Notes:

• Legitimate complaints must be related to an alleged non-conformance to SFI standard objective and or Indicator.

• Complaints may be registered in writing with either SFI Inc. or SFI certified participant; complaint can also go directly to certifier.

• Goals: initial communication back to complainant within 30 days. Follow up as required to provide information on how complaint has been addressed. Assure confidentiality for participants and for complainants who request it.

• “Addressed” means to the satisfaction of the SIC and on-the-ground professionals that the standards have been met, not necessarily to the satisfaction of the complainant.

• “Resolved” means satisfaction that issue(s) of non-conformance identified through earlier investigation have been satisfactorily dealt with.

PROCESS

Step 1 - Formal complaints specific to non-conformance with the SFI standard referred to SIC are directed to affected participant.  Participant asked to address with complainant using external experts as required.  An investigation report is to be sent back to SIC. All complaints will be responded to and recorded.  At the option of the affected participant, the complaint may be taken directly to their certifier to initiate their dispute resolution process (Step 3).  In this event, the SIC will notify the complainant of the decision.  No further action would be required of the SIC other than to record that a complaint was filed in the Annual Report to SFI Inc. 

Step 2 – If the SIC is not satisfied with the response or considers the complaint and the resulting investigation to indicate a non-conformance relative to the SFI standard, the complaint and investigation work is referred to SFI SIC Manager. Determination to refer matter to SFI SIC manager is based on review and recommendation of WC SIC complaint task force, which will be comprised of three 3rd party certified WC SIC reps.

Step 3 - SFI SIC Manager asks certifier to initiate dispute resolution process.

Step 4 - if Step 3 is not successful SFI Inc. refers matter to SFI National Inconsistent Practices Program via the External Review Panel Secretariat.; appropriate action taken.

Possible actions: no action necessary, field visit by expert panel organized in consultation with SFI Inc., membership/license suspension or termination, certification suspended or terminated.

Version 3.0 Final

March 16, 2009