EXTERNAL COMPLAINTS POLICYFirst Edition

November 2022

INTERNATIONAL TROPICAL TIMBER ORGANIZATION

Adopted by the International Tropical Timber Council at its 58th Session

EXTERNAL COMPLAINTS POLICY
1. Purpose
The purpose of this policy is to ensure transparency and accountability to all
stakeholders in relation to complaints regarding ITTO and its operations. It seeks tomake clear the mechanisms available for making complaints and the way in which
complaints will be handled and resolved. ITTO acknowledges the value of receiving
complaints as an important tool in understanding and responding to stakeholder’s
expectations where the ITTO Secretariat will respond to all complaints in a prompt, fairand sensitive manner. We therefore welcome complaints and will respondconstructively and in a timely manner.
Complaints may be submitted by our supporters, donors, the general public,
beneficiaries, official bodies and our partners. This policy deals only with external
complaints and does not cover internal issues and/or complaints by staff member,interns or volunteers.
Guiding Principles
Confidentiality: The ITTO Secretariat is committed to ensuring that all information
related to complaints and their resolution will remain confidential. The privacy ofindividuals will be maintained and personal information will not be divulged.
Accessibility: complaints procedures should be easily accessible and well publicized tothe people we work with and other stakeholders. Information relating to the process isaccessible and options exist to make a compliant to ensure no complainants aredisadvantaged.
Objectivity: complaints are treated with respect in a fair and equitable manner. Conflictsof interest will be identified to ensure objectivity.
Responsiveness: complaints are dealt with in a manner that is timely, responsive andwill be taken seriously. Complainants will be kept informed on the progress of theircomplaint through the process.
2. Definitions
ITTO defines a complaint as an expression of dissatisfaction about the standards ofservice, actions or lack of actions by ITTO.
A complainant is any person or organization making a complaint.
3. Compliance
The consequence of not complying with the policy and procedures ranges fromdisciplinary action to performance management to cessation of employment or contract
agreement, dependent on the seriousness of the non-compliance.

-1-4. Procedures
4.1 Complaints Handling Process
ITTO will receive and respond to all complaints irrespective of who makes them or thenature of the complaint. It is acknowledged that some complaints are of a more minor
nature and can be resolved quickly and informally (informal resolution).
Where a complaint cannot be resolved easily and informally, the Complaints Handling
Process described below should be followed.
4.1.1 Making a complaint

How can a complaint be made?
Complaints should be made through the online contact form located on ITTO’s website,which is the central point for all complaints.
Complaints can be forwarded in the three official ITTO languages.
4.1.2 Receiving a complaint

Who can receive a complaint?
Complaints lodged electronically will be received through the ITTO’s generaladministration e- mail at itto@itto.int and logged through ITTO’s established generalinternal administration procedures. Upon initial assessment by the Division ofOperations on the veracity of any complaint received, a complaint will be referred tothe manager responsible for the relevant area for appropriate action. In the event of acomplaint being made verbally, it is important the staff member clarifies the issues,
listens to what the complainant has to say and makes a brief and accurate writtensummary of the complaint. The staff member should also establish if the complainantneeds assistance in making the complaint.
The employee receiving the complaint will record the following details:
i. The name of the person/s making the complaintii. The date, time and location the complaint is received
iii. A brief description of the complaint and the expectations of the complainant
The primary officer in charge of investigating legitimate complaints will be the Directorof Operations (dop@itto.int) or alternatively, the head of any other division (dti@itto.int /dfm@itto.int) if the complaint relates to a particular division/staff member. If a complaint
is made against the Executive Director, the complaint will be referred to the ITTC
Chairperson who will decide on appropriate action as necessary, including referring thecomplaint in a neutral and factual manner to an appropriate professional investigativeentity (such as consultants and/or a legal entity).
A complaint lodged through an ITTO member shall be sent by the member to the ITTO
Executive Director, who will take the necessary action as appropriate and report backto the ITTO member. If the complaint lodged by an ITTO member is against theExecutive Director, the complaint will be referred to the ITTC Chairperson who will
determine in consultation with the ITTO Officials on appropriate action to be taken, if
any, including referring the complaint in a neutral and factual manner to an appropriate
professional fraud investigative entity (such as consultants and/or a legal entity).
In some instances, a complainant may request that their identity is not divulged
however it should be acknowledged this may restrict the resolution of the complaint.

4.1.3 Acknowledging a complaint has been received

Each complaint must be acknowledged as it is received. Acknowledgement will also
include an outline of the next steps. If an oral complaint is received, the staff member-2-

should take the name and contact details so the outcome can be communicated without
breaching privacy or confidentiality.
4.1.4 Registering Complaints

All complaints dealt with under the Complaints Handling Process, whether verbal orwritten are to be recorded in a Complaints Record log. These records will be used toensure complaints are dealt with effectively, to monitor trends and to ensure continuous
improvement of the complaints handling process.

4.1.5 Assessing and reviewing a complaintOnce a complaint has been received and acknowledged, the Director of Operations will
make a preliminary assessment as to whether the issue raised merits furtherexamination. In this context, the Director will take into account:

The identity of the party concerned and its interest in the matter;
Whether the issue is material and substantiated;
Whether there seems to be a link between ITTO activities and the issue raised;
How similar issues have been, or are being, treated in other domestic orinternational proceedings.

Following its preliminary assessment, the Director of Operations will respond to theparties concerned. If it is decided that the issue does not merit further consideration,
the parties will be informed of the reasons for this decision.
If the Director of Operations determines that the complaint does merit further
investigation, it will be referred to the manager responsible for the relevant area for
appropriate action. Depending on the nature of the complaint, appropriate action caneither constitute direct action by the relevant manager or potentially a more formal
process by a third-party, independent investigator with appropriate expertise for thecircumstances.
4.1.6 Remedy or System Improvement

At times, remedy and systems improvement may arise out of complaints dealt with
under either Informal Resolution or under the Complaints Handling process. This
procedure will be initiated by the relevant manager using the following steps.
1. Assess if remedy and/or systems improvement is warranted or no action is required.
2. Implement
immediate
remedy/system
improvement
orplanfuture

implementation of remedy/system improvement.
3. Inform complainant of outcome

Remedy is action taken to correct or rectify a situation for an individual where it identified
he/she has been treated poorly or unfairly by the system.
Systems improvement, where appropriate, is an opportunity to improve policies,
procedures, organizational culture, or similar issues to prevent future problems.

-3-4.1.7 Informing complainant of outcome

Once the complaint has been resolved, the complainant will be advised of the outcome
ensuring the privacy of any individual involved in the matter.

4.1.8 Timeframe for Response

ITTO will seek to resolve complaints as quickly as possible and ensurecomplainants are regularly updated as to the progress or outcome of their complaint.

4.1.9 Appeals Process(1) If the complainant is dissatisfied with the responses received from ITTO or if they
believe action has not been taken, they may appeal to the next management level.
If the matter involves a Director, it should be referred immediately to the ExecutiveDirector (ED). If the complaint involves the Executive Director, it should be referredto the Council Officers.
(2) Any response provided to an external complainant should be from the ED on behalfof the organization. External complainants dissatisfied with the outcome arepermitted to appeal to Council Officers.

4.2 Publication of the Policy
ITTO will provide clear information to its stakeholders and members of the public on
how to make a complaint and the ability to make a complaint for suspected breachesof the Code by a signatory organization.
This information will be publicly available on the ITTO website. ITTO staff will inform
relevant stakeholders of the policy where appropriate and provide copies of the policy
on request.
4.3 Training of Policy
New staff will be provided with the policy as part of their induction to the organization.
The policy will also be available for all staff on a nominated share drive and placed on
ITTO’s website. Training and/or communication will also be provided following anupdate or change to the policy.

5. Responsibilities
ITTO’s Senior Management is responsible for ensuring that ITTO responds tocomplaints according to the policy and procedures.
The Executive Director (ED) is ultimately responsible for complaints which cannot beresolved by management.
The Council Officers are responsible for managing complaints relating to the ED. The
Director of Operations acts as the Complaints Handling Officer and is responsible for:oooo

Initial assessment of complaints and identifying those which are to be actioned
upon, those which can be dealt with informally and those which are clear,serious, or complex complaints to be addressed according to the complaints
handling procedure;
Ensuring complaints are appropriately referred, resolved and that follow up
actions have taken place;
Reporting such investigative activity (with due regard to confidentiality
requirements) to Council; andMaintaining the Complaints Log.

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