Sustainable Forestry

Dispute Resolution

Certification Complaints, Appeals and Dispute Resolution Policy



			En Español

Background: Complaints from stakeholders (e.g., community residents, adjoining landowners, consulting foresters, government officials, or environmental organizations) may arise about or in relation to a SmartWood-certified operation or applicant for certification, either before, during or after the initial SmartWood certification assessment process. During or before the assessment, such perspectives will be considered during the assessment process. This policy is provided specifically for challenges relating to SmartWood-certified operations, whether in the form of complaints, appeals or other disputes, lodged after the final decision-making stage of the certification assessment process. In order to be fair to the certified operation, and at the same time give due process and attention to any observation, complaint or other challenge, SmartWood must have clear policies and protocols regarding the handling of complaints, appeals and disputes and the role of programmed or random audits or inspections of certified operations. This document provides these policies and protocols.

Note: The following policies provide important background on SmartWood auditing procedures and may relate to any challenges relating to SmartWood-certified operations, whether in the form of complaints, appeals or other disputes:

1) SmartWood reserves the right to conduct random on-site audits (as stipulated in all SmartWood Certification Agreements).
2) During a formal, random or planned audit, a SmartWood auditor coordinates visits with the designated contact person at the certified operation, potentially with as little as 24 hours notice, but generally more.
3) The designated contact person at the certified operation must be notified of unannounced random site visits prior to actual field inspection of a field operation.
4) All discussions about perceived problems encountered during on-site audits will be directed to the designated contact person at the certified operation.

Policies and Procedures: All appeals, complaints and disputes brought before SmartWood by suppliers or other parties shall be subject to the following procedures. SmartWood shall keep a record of all appeals, complaints and disputes and remedial actions relative to certification, take appropriate subsequent action and document the action taken and its effectiveness, in each case pursuant to the procedures outlined below.

A. Lodging of Complaints, Appeals and Disputes: SmartWood may receive either written or verbal complaints, appeals or disputes. If not lodged in writing, the person contacted at SmartWood will put the challenge in writing and distribute to the following:

a) the SmartWood Director or, in his absence, the SmartWood Managing Director or, in his absence, the SmartWood headquarters (HQ) staff person with responsibility for the region from which the dispute originates;
b) the SmartWood task manager (at HQ and/or a regional office, if any) for that certification;
c) the designated contact person at the certified operation; and
d) the certified operation's file at HQ.

B. Written Response: SmartWood staff will document and respond in writing to all written challenges within 15 days. A formal FSC Complaints Log is saved on the designated drive at HQ by the SW Certification Administrator. Included on the log: date the written complaint is received, SW certificate registration code (if not certified, status is noted, e.g., "pending"), contact person and organization the complaint is received from, SW staff person responsible for follow-up and date reply to complainant is sent. HQ staff will review verbal challenges. In most cases, if a challenge is not lodged in writing, SmartWood will not respond.

C. Notification of SmartWood-Certified Operation: As per the above, upon receiving and/or documenting a challenge, the SmartWood task manager will send documentation of the challenge to the contact person at the SmartWood-certified operation. This must take place within seven (7) days of receipt of the challenge. If HQ receives the challenge in writing, a copy will be forwarded immediately to the certified company with a copy of these policies and procedures and a cover memo describing actions that will be taken by HQ. SmartWood will honor the confidentiality of the aggrieved party if requested or, in the judgment of SmartWood, in cases where divulging his/her name may be politically or personally dangerous. It is important to stress that even if a challenge is not lodged in writing, SmartWood may contact the certified operation and let them know what has been heard and communicate about the response process. SmartWood will err on the side of responsiveness. HQ staff will formally keep track of responses to challenges, in writing and in the appropriate HQ file for the certified operation.

D. Opportunity for Certified Operation Response: SmartWood will give the SmartWood-certified operation an initial opportunity to provide its perspective on the issue, e.g., through the operation's own version of the incident, historical background, etc. This may be done in either verbal or written fashion, preferably in writing.

E. Initial SmartWood Response: SmartWood will provide a written response to the aggrieved party within 15 days from the time that SmartWood receives a written challenge (with copies to all of the entities listed under paragraph A above). SmartWood may ask the certified operation to assist in providing such written response. It is a SmartWood decision whether to seek comment from the certified operation on the draft response or not. SmartWood may choose to do either. SmartWood may also choose to contact relevant third parties to clarify the situation. SmartWood may also need assistance in this regard from the certified operation. SmartWood will deal with such situations expeditiously and professionally with a priority on fairness to the certified operation and the aggrieved party and protecting the credibility of SmartWood. SmartWood believes such accountability is expected in certification and will respond in a consistent fashion in all situations.

F. Independent Dispute Resolution: If the aggrieved party is not satisfied with the SmartWood response, it may request in writing the opportunity to present its case to an entity that has the duty of seeking the timely resolution of disputes, grievances, complaints or appeals made against Rainforest Alliance, Inc. and is independent of (1) the relevant certification evaluation; (2) the relevant certification decision; and (3) the day-to-day implementation of the polices of Rainforest Alliance, Inc. and SmartWood. An example of such an entity is the Rainforest Alliance Chief of Agriculture. If, after input and actions by such independent entity, there is no resolution, SmartWood will either ask the aggrieved party to put its continued concerns in writing to the Director of SmartWood or to the Director of the Forest Stewardship Council, or HQ may forward all related correspondence to the FSC to commence, if appropriate under FSC's guidelines and procedures, a formal FSC complaint or appeal process.

G. Resolution: If resolution is reached during any of the steps outlined above, a memorandum for the record shall be distributed to the contact points listed in paragraph A above, providing final documentation and/or closure.

H. Public Certification Summary: Depending on the severity of a complaint, appeal or other dispute, the public summary for a SmartWood certification may include a summary of such challenge and SmartWood's response.