Version 2.0 18 June 2020...ResponsibleSteel Issues Resolution System, Version 2.0 2 Version history No. Date Description Version 1.0 29 December 2019 Approved by the Board of Directors

IssuesResolutionSystem

Version2.0

18June2020

ResponsibleSteelIssuesResolutionSystem,Version2.0 2

Versionhistory

No. Date Description

Version1.0 29December2019 ApprovedbytheBoardofDirectorsforpublicationaspartofthe

AssuranceManual

Version2.0 18June2020 ApprovedbytheBoardofDirectorsforpublication

Disclaimer

TheofficiallanguageofthisdocumentisEnglish.ThedefinitiveversionisheldontheResponsibleSteelwebsite

https://www.responsiblesteel.org/.Anydiscrepancybetweencopies,versionsortranslationsshallberesolvedby

referencetothedefinitiveEnglishversion.


TableofContents

IntroductiontotheResponsibleSteelIssuesResolutionSystem..............................................................................4

1.OverviewoftheResponsibleSteelIssuesResolutionSystem...............................................................................41.1.Outlineoftheresolutionprocess........................................................................................................................41.2.UsingtheIssuesResolutionSystem....................................................................................................................51.3.InformingStakeholdersabouttheIssuesResolutionSystem.............................................................................51.4.Assistanceinraisingissues..................................................................................................................................51.5.Confidentiality.....................................................................................................................................................61.6.Safeguardingstakeholders'rightsandfreedoms................................................................................................61.7.Conflictofinterest...............................................................................................................................................61.8.Rejectingissues...................................................................................................................................................71.9.Ceasingresolution...............................................................................................................................................71.10.Analysisofissues...............................................................................................................................................71.11.Reportingonissues...........................................................................................................................................7

2.The3stepsofResponsibleSteelIssuesResolutionSystem..................................................................................82.1.Step1.InitialdiscussionoftheissuewiththeResponsibleSteelSecretariat......................................................82.2.Step2.Resolutionusingappropriatepathway....................................................................................................82.3.Step3.EscalationtoanAd-HocResolutionCommittee....................................................................................10

3.ResolutionPathwayProcedures.......................................................................................................................113.1.Issuesrelatedtoactions/inactionsofacertifiedsite......................................................................................123.2.Issuesrelatedtoactions/inactionsofacertificationbody..............................................................................133.3.Appealsrelatedtodecisionsmadebyacertificationbody...............................................................................153.4.IssuesrelatedtoResponsibleSteelpoliciesorprocedures................................................................................163.5.IssuesrelatedtointerpretationoftheResponsibleSteelStandard...................................................................183.6.IssuesraisedagainstResponsibleSteelpersonnel.............................................................................................203.7.OthertypesofissuesrelatingtotheResponsibleSteelprogramme.................................................................213.8.Ad-HocResolutionCommittee..........................................................................................................................21

4.ResponsibleSteelIssueLogTemplate................................................................................................................23

5.ResponsibleSteelAdHocResolutionCommitteeTermsofReference................................................................24


IntroductiontotheResponsibleSteelIssuesResolutionSystem

ResponsibleSteelisanot-for-profitorganisationandtheindustry’sfirstglobalmulti-stakeholderStandardand

certificationinitiativeforresponsiblesteelsupplychains.

OurVisionistomaximisesteel’scontributiontoasustainablesociety.

OurMissionistoenhancetheresponsiblesourcing,production,useandrecyclingofsteelby:

• Providingamulti-stakeholderforumtobuildtrustandachieveconsensus;

• DevelopingStandards,certificationandrelatedtools;

• Drivingpositivechangethroughtherecognitionanduseofresponsiblesteel.

AnypartymaybringforwardanyconcernstheymighthaveinrelationtotheResponsibleSteelprogramme.The

ResponsibleSteelIssuesResolutionSystemoutlinedinthisdocumentisdesignedtounderstandtheissuesthatare

broughttoResponsibleSteel'sattentionandtogetthemresolvedinanefficientandfairmannerwiththe

stakeholderraisingtheissueandwithotherrelevantparties.

ThisdocumentisnormativeandshallbepublishedontheResponsibleSteelwebsite.Thepathwaysdescribedinthis

documentshallbeusedbyallinvolvedpartiestoraiseorresolveissues.Wherethedocumentrefersto

'ResponsibleSteel',thismeanstheResponsibleSteelSecretariat.

ItisaconditionofResponsibleSteelmembershipthatResponsibleSteelMembersandAssociateMembersagreeto

participateingoodfaithintheResponsibleSteelIssuesResolutionSysteminordertoresolveissuesraisedbythem

orrelatingtotheirownconformitywithResponsibleSteelstandards,policies,procedures,bylawsorotherrules.

1.OverviewoftheResponsibleSteelIssuesResolutionSystem1.1.Outlineoftheresolutionprocess

TherearethreestepsintheResponsibleSteelIssuesResolutionSystem:

1. Step1:InitialdiscussionoftheissuewithResponsibleSteel.

2. Step2:Resolutionusingappropriatepathway.Iftheissueisnotresolvedduringtheinitialdiscussion,a

resolutionpathwayisselecteddependingonthetypeofissue.Thesepathwaysincludeinvestigationand

considerationbythesiteorcertificationbodygivingrisetotheissue,bytheResponsibleSteelSecretariat,

theResponsibleSteelBoardofDirectorsortheirsubcommittees,arelevantResponsibleSteelworking

group,oracombinationthereof.StakeholdersshouldnotethattheResponsibleSteelcertification


programmerequiressitesandcertificationbodiestohaveapubliclyaccessiblecomplaintsmechanism

(Criterion6.2oftheResponsibleSteelStandard(forsites)andchapter8.1and9.8ofISO17021for

certificationbodies).

3. Step3:EscalationtoanAd-HocResolutionCommittee.Iftheissueremainsunresolved,anAd-Hoc

ResolutionCommitteeisformedifthestakeholderwishestoproceedwithresolution.Thestakeholdermay

askforthesupportofanadvisorinthisprocess.DecisionsbyanAd-HocResolutionCommitteearefinaland

cannotbeappealed.

Thethreestepsandthedifferentresolutionpathwaysareexplainedindetailfurtherbelow.

1.2.UsingtheIssuesResolutionSystem

StakeholdersmaycontactResponsibleSteelaboutanissueviaemail,whichisourpreferredmethodof

communication.Ifemailisnotpossible,stakeholdersmaysendaletterusingthefollowingcontactdetails:

Email: [email protected]

Mail: PKFNewcastlePtyLimited(ResponsibleSteelcompanysecretary)

POBox2368

Dangar,NSW,Australia

2309

TheResponsibleSteelSecretariatmayalsoimplementtheissuesresolutionpathwayswhenstakeholdersbringissues

toitsattentionthroughotherchannels.

1.3.InformingStakeholdersabouttheIssuesResolutionSystem

ThecontactdetailsforraisingissueswithResponsibleSteelshallbepublishedontheResponsibleSteelwebsite.

EffortsshallalsobemadetoensurethatallResponsibleSteelstakeholdersaremadeawareoftheexistenceofthe

ResponsibleSteelIssuesResolutionSystem(e.g.,throughe-newsletters,outreachduringResponsibleSteelsite

assessments,etc.).Asresourcesallow,ResponsibleSteelwillprovideinstructionsforitsIssuesResolutionSystemin

languagesotherthanEnglish.

1.4.Assistanceinraisingissues

TheResponsibleSteelSecretariataimstoadviseandsupportstakeholdersraisingissuesforresolution,but

stakeholdersmayalsoappointtheirownrepresentativesoradviserstoaccompanytheminraisingtheirissuewith

us.TheofficiallanguageofResponsibleSteelisEnglish.Wewillaimtobesupportivewherestakeholderswantto

raiseanissuewithResponsibleSteel,butdonothavesufficientknowledgeofEnglish.However,wecannotcommit


toprovidinginterpretationortranslation.Tohelpwiththeenquiry,stakeholdersareadvisedtouseanonline

translationplatformsuchashttps://translate.google.com/orhttps://www.deepl.com/translator.

1.5.Confidentiality

StakeholdersmaybringforththeirissueconfidentiallyandshouldinformResponsibleSteelupfrontiftheydonot

wanttobeidentifiedtootherparties.IfstakeholdersdonotevenwanttosharetheiridentitywithResponsibleSteel,

theycanstillbringtheirissueforward.Insuchcases,however,stakeholdersshouldmakesurethattheyprovide

sufficientdetailandsupportingevidenceandinformationforResponsibleSteeltoexploretheissuesince

ResponsibleSteelwillhavenowayofseekingclarityorfurtherdetailfromthem.ResponsibleSteel’sabilitytoresolve

anissuemaybelimitedwhereastakeholder’sidentitycannotberevealedtootherparties.

1.6.Safeguardingstakeholders'rightsandfreedoms

TheResponsibleSteelIssuesResolutionSystemshallnotbeusedtosubstitute,circumventoroverridethelegal

rightsofanypartytousejudicialmechanisms.

RetributionsorreprisalsagainststakeholdersraisingissuesinrelationtotheResponsibleSteelprogrammearenot

acceptable.ResponsibleSteelreservestherighttotakeactionagainstanypartyconsideredtohavecarriedoutsuch

retributionorreprisalagainstsomeoneraisinganissueforresolutionwithResponsibleSteel.

1.7.Conflictofinterest

Anyindividualinvolvedintheinvestigationordecision-makingonanissueshalldeclareanyactualorpotential

conflictofinteresttheymayhaveormaybeperceivedtohaveintheproceedings.ResponsibleSteelshallkeepa

writtenrecordofthedeclarationandproposewhatactionitconsidersisappropriatetoaddressthepotential

conflict.TheproposedactionwillbereviewedbytheResponsibleSteelMembershipandGovernanceCommittee

whichshallmakeafinaldetermination.Conflictofinterestshallbeunderstoodasinterests,activitiesor

relationshipsofanindividualthatcompromiseormayappeartocompromisetheindividual'simpartialityor

professionalresponsibilities.


1.8.Rejectingissues

ResponsibleSteelreservestherighttorejectanissueforfurtherconsiderationundertheseproceduresonthe

groundsthat:

a) Itisbaseduponhearsayorisraisedanonymouslywithoutanyevidence

b) Thereiscompellingevidencethattheissueraisedisfrivolous,malicious,trivialorgeneratedtogain

competitiveadvantage

c) ItrelatestoaspectsthatarenotaddressedbytheResponsibleSteelstandards,policies,procedures,

bylawsorotherdocumentedrulesorrequirements.

1.9.Ceasingresolution

ResponsibleSteelreservestherighttoceaseitsattemptstofindresolutionifinitssoleopinionthestakeholderthat

raisedtheissueisnotmakingagoodfaithefforttoresolvetheissuethroughparticipationintheproposed

resolutionpathways.

1.10.Analysisofissues

AllissuesthatareraisedwithResponsibleSteelshallbeloggedandanalysed.ResponsibleSteelanalysisofissuesshall

include:

a) Clusteringofissuesbynatureandbyobject

b) Reviewingoutcomesofresolutions

c) Gauginglevelsofsatisfactionofstakeholdersraisingissues

TheanalysisshallbeusedbyResponsibleSteeltoidentifypatternsandoverarchingissues,makeconclusionsabout

theeffectivenessoftheIssuesResolutionSystemandtoinformreviewsoftheResponsibleSteelprogramme.

1.11.Reportingonissues

Asummaryoftheissuesandoftheresolutionsandthetotalnumberofraisedandresolvedissuesshallbepublished

ontheResponsibleSteelwebsite.Thisshallbedoneinamannerthatrespectstheconfidentialityofstakeholders.


2.The3stepsofResponsibleSteelIssuesResolutionSystem2.1.Step1.InitialdiscussionoftheissuewiththeResponsibleSteelSecretariat

ThefirststepintheResponsibleSteelIssuesResolutionSystemistocontactResponsibleSteel.Stakeholdersmaydo

sobyphone,byemailorletterusingthecontactdetailsabove.

WhenastakeholdermakescontactwithResponsibleSteel,theyshouldbepreparedtoletResponsibleSteelknow:

a) Theirfullnameandcontactdetails(noteparagraph1.5aboveinrelationtoconfidentiality)

b) Thenatureandcontextoftheissuetheywouldliketoseeresolved

c) Whenoroverwhatperiodoftimeaparticularissuetookplace

d) Whohasbeenorisinvolvedintheissue

e) Whatkindofevidenceoradditionalinformationthestakeholdermightbeabletoprovideinrelationtothe

issue

f) Anystepsthestakeholderhasalreadytakentotrytoresolvetheissueandwhattheoutcomeswere

g) Whatprocessthestakeholderfeelswouldbeappropriatetoaddresstheissue.

Asafirststep,theResponsibleSteelSecretariatshalltrytoresolvetheissuethroughaninformaldiscussionwiththe

personraisingtheissue.

2.2.Step2.Resolutionusingappropriatepathway

Thefollowingtablesummarisesthemaintypesofissuesthatareexpectedtoberaisedbystakeholdersandthe

relatedresolutionpathways,whicharedescribedinmoredetailfurtherbelow.

TypeofIssue Description

1.Issuesrelatedto

actions/inactionsofa

certifiedsite

Concernsmayberaisedthatacertifiedsiteisnotmeetingoneormore

RequirementsoftheResponsibleSteelStandard.

Resolutionpathway:Site→certificationbody→ResponsibleSteel→Ad-Hoc

ResolutionCommittee

Notethatiftheconcernsuggestsagraveandurgentissuethatmightposedanger

tolifeduetowilfulactionsofthesite,ResponsibleSteelshalldivertfromthe

describedresolutionandengagewiththesitedirectly,and,ifnecessary,also

engagewithrelevantauthorities.

Examplesmayinclude,butarenotlimitedto:complaints1againstauditfindings

(e.g.,failuretoraiseanonconformity,incorrectlyraisinganon-conformity,

1Acomplaintisanexpressionofdissatisfaction,otherthananappeal,byanypersonororganisation,relatingtotheactivitiesorlackofactivities

ofacertificateholder,acertificationbody,oranaccreditationbody,wherearesponseisexpected(AdaptedfromISO/IEC17000:2005).



2.Issuesrelatedto

actions/inactionsofa

certificationbody

incorrectlyclassifyinganon-conformityasminorormajor),issueswithauditor

behaviour,withhowauditprocedureswereimplemented,lackofimpartiality,etc.

Resolutionpathway:Certificationbody→ResponsibleSteel→Ad-HocResolution

Committee

3.Appeals2relatedto

decisionsmadebya

certificationbody

Inthecontextofcertificationdecisions,appealsmayonlybemadebyentitiesthat

weresubjecttotheadversedecision.(Otherstakeholderscanfilecomplaintswith

certificationbodiesiftheydisagreewithacertificationdecision).Appealsmaybe

madeagainstadecisiontoaward,suspend,withdraworre-issueacertificate.

Resolutionpathway:Certificationbody→ResponsibleSteel→Ad-HocResolution

Committee

4.Issuesrelatedto

ResponsibleSteel

policiesorprocedures

IssuesmayrelatetothecontentorinterpretationofResponsibleSteelpoliciesor

procedures.Proceduresandpoliciesinclude,butarenotlimitedto,Standard

DevelopmentProcedures,ResponsibleSteelgovernancepolicies,Membership

policies,AssuranceManual,Claimspolicies,etc.

Resolutionpathway:ResponsibleSteel→ResponsibleSteelBoardsubcommittee→

ResponsibleSteelBoard

5.Issuesrelatedtothe

ResponsibleSteel

Standard

Ineverystandard,thereissomeroomforinterpretationoftherequirementsand

fordifferencesininterpretationbystakeholders,includingcertificationbodies,

certifiedsitesandthosewantingtobecomecertified.

Inadditiontointerpretationquestions,theremaybeconcernsrelatingtothe

contentoftheStandarditself.Stakeholdersmaybelievethatkeyrequirementsare

missingorthatsomeaspectsoftheResponsibleSteelStandardareoverly

restrictive.

IssueswiththecontentoftheStandardshallberesolvedthroughscheduled,formal

revisionoftheStandard,forwhichthereisaseparateStandardsDevelopment

Procedure(availableathttps://www.responsiblesteel.org/resources/).Questionsof

interpretationshallberesolvedthroughthedevelopmentofguidance,whichis

describedfurtherbelow.

Resolutionpathway:ResponsibleSteel→ResponsibleSteelBoardsubcommittee→

ResponsibleSteelscheduledStandardrevisionprocess

2Anappealiswhenasiterequestsacertificationbodytoreconsideradecisionthecertificationbodyhasmadeinrelationtothesite(Adapted

fromISO17000-Conformityassessment-Vocabularyandgeneralprinciples).



6.Issuesraisedagainst

ResponsibleSteel

personnel

ConcernsmayberaisedabouttechnicalaspectsoftheworkofResponsibleSteel

personnel,abouttheirbehavior,actionsorinaction.Thesetypesofconcernsshall

beheardindependentlyofthepersonnelthatiscausingconcern.

PersonnelshallincludeResponsibleSteelSecretariatstaff,Boardmembers,

contractors,etc.

Resolutionpathway:ResponsibleSteelpersonnel→ResponsibleSteelExecutive

Director→Ad-HocResolutionCommittee

7.Othertypesofissues

relatingtothe

ResponsibleSteel

programme

Stakeholdersmightraiseissuesthatarenotlistedhere.Ifsuchanissueisbrought

forward,ResponsibleSteelmayproposeoneofthelistedpathwaysordefine

anotherpathwayforresolution.

Examplesof'other'typesofissuesmayinclude,butarenotlimitedto,improper

useofclaimsorlabels;complaintsrelatedtoResponsibleSteelmembers.

ResponsibleSteelreservestherighttorejectanissuefromconsiderationifitdoes

notpertaintoResponsibleSteelstandards,policies,proceduresorother

documentedrulesorrequirements(seeparagraph1.8above).

Resolutiondependingontheissuebroughtforward

Onceanissueisclearlyunderstood,apathwayforresolutionshallbechosenandimplemented(seebelow)in

consultationwiththepersonthatraisedtheissueandwithotherpartiesinvolved.Whenthestepsforresolutionare

completeandanyagreedactionshavebeentaken,theissueshallbeconsideredresolvedandclosed,unlessthe

stakeholderwishestotakethingsfurtherforconsiderationbyanAd-HocResolutionCommittee.Whentheissueis

closed,asummaryoftheissue,oftheresolutionoutcomeandthetakenactionsshallbepostedonthe

ResponsibleSteelwebsite,respectingconfidentialityofstakeholders.

2.3.Step3.EscalationtoanAd-HocResolutionCommittee

Ifalleffortstoresolveanissuehavebeenexhausted,stakeholdersmayraisetheissuewithanAd-HocResolution

Committee.TheCommitteeshallbeputtogetherspecificallytoaddresstheirissue.Itshallcomprisethreemembers

anditscompositionshalldependonthenatureoftheissue.Representativesofthefollowingpartiesmightbe

membersoftheCommittee:

• ResponsibleSteelBoard(seehttps://www.responsiblesteel.org/about/board-and-secretariat/)

• ResponsibleSteelBoardworkinggroups(consistingofsubjectexperts)

• ResponsibleSteelMembersandAssociateMembers(see

https://www.responsiblesteel.org/membership/members-and-associates/)


• ResponsibleSteelAssurancePanelMembers

• AcademiafromfieldsrelevanttotheResponsibleSteelprogramme

• Civilsociety(suchastradeunions,humanrightsorenvironmentalorganisations)

• Specialistsinoverseeingcertificationbodiesandworkingwithcertificationprogrammes

ConditionsforbeingpartoftheAd-HocResolutionCommitteeshallbe:

• ExtensiveknowledgeontheResponsibleSteelprogramme

• Expertiseintheareathattheissueisrelatedto

• Noconflictofinterestinrelationtotheobjectoftheissue(whichcouldbeasite,acertificationbodyor

ResponsibleSteelpersonnel)

ResponsibleSteelshallseekthestakeholder'sconsenttothesuggestedmembersoftheCommitteebefore

confirmingitsfinalmake-up.

ResponsibleSteelaimstominimisethecostsofissuesresolutionforallparties.Wherepossible,costsfor

investigatingtheissueshouldbesharedbetweenResponsibleSteelandthestakeholderthatraisedtheissue.This

shallbediscussedandagreedwiththestakeholderbeforetheAd-HocResolutionCommitteeisformed.Allcoststo

becoveredbyResponsibleSteelmustbeagreedtobytheExecutiveDirectorinwritingandinadvanceofbeing

incurred.Examplesofpotentialcostsinclude,butarenotlimitedto,hiringanadvisorand/orinterpretertoassista

stakeholderduringtheresolutionprocess,sitevisitsorresearchtosupporttheAdHocCommittee’sunderstanding

oftheissue.

InvestigationbytheAd-HocResolutionCommitteeshallbethefinalstageintheResponsibleSteelIssuesResolution

SystemanddecisionsbytheCommitteecannotbeappealed.

3.ResolutionPathwayProcedures

Thefollowingsectiondescribesthedifferentresolutionpathwaysindetail:

1. Issuesrelatedtoactions/inactionsofacertifiedsite

2. Issuesrelatedtoactions/inactionsofacertificationbody

3. Appealsrelatedtodecisionsmadebyacertificationbody

4. IssuesrelatedtoResponsibleSteelpoliciesorprocedures

5. IssuesrelatedtointerpretationoftheResponsibleSteelStandard

6. IssuesraisedagainstResponsibleSteelpersonnel

7. OthertypesofissuesrelatingtotheResponsibleSteelprogramme

8. Ad-HocResolutionCommittee


Thetimelinesoutlinedbelowaregoals,however,itisrecognisedthattheremaybecircumstancesthatprevent

timelinesfrombeingmet(e.g.,communicationschallenges,nationalorculturalholidays,orotherissues).

ResponsibleSteelwillstrivetomeetthetimelinesandiftheycannotbemetwillinformrelevantstakeholdersof

expectednewtimelines.

3.1.Issuesrelatedtoactions/inactionsofacertifiedsite

Overview

ConcernsmightberaisedaboutacertifiedsitepotentiallynotmeetingrelevantPrinciples,CriteriaorRequirements

oftheResponsibleSteelStandard.Theremightalsobeconcernsaboutasite'sperformanceingeneral.Inthese

instances,ResponsibleSteelshallrequirethatthepersonraisingtheconcernfirsttriestoresolvetheissuedirectly

withthesite.Thesiteisbestplacedtoexplainwhatitisorisnotdoingabouttheissue,andwhythatmightbethe

case.TheResponsibleSteelStandardrequiresthateverysiteparticipatinginResponsibleSteelmusthaveagrievance

mechanismfortheeffectiveresolutionofconcernsanddisputes.Thestakeholdershallbeadvisedtousethis

mechanismfirst.

Toassistthestakeholderinthis,ResponsibleSteelshalldiscusstheissuewiththepersonconcernedtohelpidentify

thenatureoftheissueinrelationtotheResponsibleSteelStandard,andshallhelpthestakeholderlocatethesite's

grievancemechanism.ResponsibleSteelshall,however,notintervenewiththesiteatthisstage,orgiveanindication

astowhetheritfeelsthesitehasaddressedtheissuecorrectlyornot.

Iftheissueisnotresolvedwiththesiteitself,thenextavenueforresolutionshallbethecomplaintsmechanismof

therespectivecertificationbody(whichcanbefoundontheResponsibleSteelwebsite).

ResponsibleSteelshallonlyconsidertheissueagainafterithasbeenraisedwiththesiteandthecertificationbody,

andifneitherhavebeenabletoresolvetheissuesatisfactorilythroughtheirprocesses.However,iftheconcern

suggestsagraveandurgentissuethatmightposedangertolifeduetowilfulactionsofthesite,ResponsibleSteel

shalldivertfromthedescribedpathwayandengagewiththesitedirectly,and,ifnecessary,alsoengagewith

relevantauthorities.

Process

ResponsibleSteelshallcapturetheinitialconcerninitsissueslog.

Within1weekof

receivingconcern

ResponsibleSteelshallhelpthepersonraisingtheissueidentifywhichchapteror

RequirementoftheResponsibleSteelStandardtheissuerelatestoand,where

appropriate,providethestakeholderwithadditionalinformationonthe

ResponsibleSteelprogrammetoensuretheyunderstanditsobjectives,scopeandways

ofoperating.


ResponsibleSteelshalladvisethestakeholderto:

• Accessthesite'scomplaintsandgrievancemechanismtotrytoresolvetheconcern

• Triggerthecertificationbody'scomplaintsmechanismiftheissueisnotresolved

• ReturntoResponsibleSteeltoseekfurtherassistanceiftheissueisstillnotresolved

totheperson’ssatisfaction.

ResponsibleSteelshallalsohelplocatethesite'sgrievancemechanismandthe

certificationbody'scomplaintsmechanism.

ResponsibleSteelshallcompleteitsissueslogtocapturewhathasbeendoneandshall

considertheissuetobeclosed.

ResponsibleSteelshallpublishasummaryoftheissueandoftheresolutionpathwayon

theResponsibleSteelwebsite.

Supportingdocumentationandreferences

• ResponsibleSteelIssuesLogTemplate

• ResponsibleSteelStandard(Chapter1.4ComplaintsandGrievanceMechanismandAccesstoRemedy)

• ISO17021,part1(Chapter9.8Complaints)

3.2.Issuesrelatedtoactions/inactionsofacertificationbody

Overview

ISO17021,uponwhichtheResponsibleSteelRequirementsarebased,asksthatcertificationbodieshavepublic

processestoreceive,evaluateandmakedecisionsoncomplaints.TheResponsibleSteelAssuranceManualasksthat

certificationbodiesinformResponsibleSteelaboutreceivedcomplaintsandtheiroutcomes.

Whereastakeholderraisesissuesrelatedtoauditfindings,auditorbehaviour,implementationofauditprocedures

etc.,ResponsibleSteelshallrequirethatthestakeholderfirstraisestheconcernthroughthecomplaintsmechanism

oftherespectivecertificationbody.

Toassistthestakeholderinthis,ResponsibleSteelshalldiscusstheissuewiththepersonconcernedtohelpidentify

thenatureoftheissueinrelationtotheResponsibleSteelAssuranceManualortheResponsibleSteelStandard,and

shallhelpthemlocatethecertificationbody'scomplaintsprocess.ResponsibleSteel,however,shallnotintervene

withthecertificationbodyatthisstage,orgiveanindicationastowhetheritfeelsthecertificationbodyhas

addressedtheissuecorrectlyornot.

Ifthestakeholderfeelsthattheissuehasnotbeenproperlyinvestigatedbythecertificationbodyorthatthe

outcomeofthecomplaintsprocessisnotadequate,theymaycomebacktoResponsibleSteeltoseekfurther


considerationoftheissue.ResponsibleSteelshallidentifyanappropriateresolutionpathway,whichmightbe

resolutionthroughanAd-HocResolutionCommittee.

Process


Within1weekof

receivingconcern

ResponsibleSteelshallprovidethestakeholderwithadditionalinformationonthe

ResponsibleSteelprogrammetoensuretheyunderstanditsobjectives,scopeandways

ofoperatingandshallhelpthestakeholderidentifythecomplaintsmechanismofthe

respectivecertificationbody.

ResponsibleSteelshalladvisethestakeholderto:

• Triggerthecertificationbody'scomplaintsprocess

• ReturntoResponsibleSteeltoseekfurtherassistanceiftheissueisnotresolvedto

theperson’ssatisfaction.


considertheissuestobeclosed.



OncethecertificationbodyhasinformedResponsibleSteelofthecomplaintsprocess

outcome,ResponsibleSteelshallupdateitsissueslogandpublishasummaryofthe

complaintsprocessoutcomeonitswebsite.

Within2weeksof

receivingthe

summaryfromthe

certificationbody



• ResponsibleSteelAssuranceManual(1.4.2.)andISO17021(Chapters8.1PublicInformationand9.8

Complaints)

• ResponsibleSteelStandard


3.3.Appealsrelatedtodecisionsmadebyacertificationbody

Overview

TheResponsibleSteelAssuranceManualandISO17021,uponwhichtheResponsibleSteelRequirementsarebased,

askthatcertificationbodieshaveprocessestoreceive,evaluateandmakedecisionsonappeals.Theyalsoaskthat

certificationbodiesinformResponsibleSteelofareceivedappealandsendasummaryoftheappealsprocess

outcometoResponsibleSteel.

Whereasiteappealsagainstadecisionmadebyacertificationbodytocertify,nottocertify,suspendorwithdraw

certificationofaparticularsite,ResponsibleSteelshallrequirethatthesiteraisestheissuethroughtheappeals

processoftherespectivecertificationbody.

Atthisstage,ResponsibleSteelshallnotintervenewiththecertificationbodyorgiveanindicationastowhetherit

feelsthecertificationbodyhasmadethecorrectdecisionornot.

Ifthesitefeelsthattheissuehasnotbeenproperlyinvestigatedbythecertificationbodyorthattheoutcomeof

theappealsprocessisnotadequate,theymaycomebacktoResponsibleSteeltoseekfurtherconsiderationofthe

issue.ResponsibleSteelshallidentifyanappropriateresolutionpathway,whichmightberesolutionthroughanAd-

HocResolutionCommittee.

Process


Within1weekof

receivingconcern

ResponsibleSteelshalladvisethesiteto:

• Triggerthecertificationbody'sappealsprocess

• ReturntoResponsibleSteeltoseekfurtherassistanceiftheissueisnotresolvedto

thesite'ssatisfaction.





OncethecertificationbodyhasinformedResponsibleSteeloftheappealsprocess

outcome,ResponsibleSteelshallupdateitsissueslogandpublishasummaryofthe

appealsprocessoutcomeonitswebsite.

Within2weeksof

receivingthe

summaryreport

fromthe

certificationbody




• ResponsibleSteelAssuranceManual(1.4.2.)andISO17021(Chapters8.1PublicInformationand9.7Appeals)

• ResponsibleSteelStandard

3.4.IssuesrelatedtoResponsibleSteelpoliciesorprocedures

Overview

IssuesraisedinrelationtothecontentortheinterpretationofResponsibleSteelpoliciesorproceduresmight

showthatachangetotherespectivepolicyorprocedurewouldhelpimprovetheResponsibleSteelcertification

programme.Insuchacase,aproposedrevisionshallbedevelopedbyResponsibleSteelinconsultationwiththe

stakeholderthatraisedtheissueand,whererelevant,withotherparties.Theproposedrevisionshallbereviewed

byasubcommitteeoftheBoard,andgotothefullResponsibleSteelBoardforpotentialapproval.

WhereanissueisraisedduringanongoingauditandrelatestorequirementsdefinedintheAssuranceManual,

certificationbodiesmayclassifytheissueas'urgent'toexpeditetheprocessforproposingandapproving

potentialchangestotheAssuranceManual.

Process Normal Expedited

ResponsibleSteelshallcapturetheinitialconcerninitsissues

log.

Within2weeksof

receivingthe

issue

Withina

maximumof1

weekofreceiving

anissuemarked

as'urgent',

ResponsibleSteel

shallreviewthe

issueanddraft

changestothe

Assurance

Manual,if

appropriate.This

shallbedonein

collaboration

withthe

ResponsibleSteel

Standardand

Whereappropriate,ResponsibleSteelshallprovidethe

stakeholderwithadditionalinformationonthe

ResponsibleSteelprogrammetoensuretheyunderstandits

objectives,scopeandwaysofoperating.

ResponsibleSteelshalldiscusspossiblerevisionstothepolicyor

procedurewiththestakeholderand,whererelevant,with

otherparties.

IfResponsibleSteelagreesthatachangetothepolicyor

procedurewouldimprovetheResponsibleSteelcertification

programme,ResponsibleSteelshalldraftrevisedwording.

WhereResponsibleSteeldoesnotagreethatachangewould

leadtoimprovement,theissueshallbeconsideredclosedand

thestakeholdershallbeadvisedthattheymayraisetheissue

throughanAd-HocResolutionCommittee.Insuchacase,

ResponsibleSteelshallcompleteitsissueslogtocapturewhat


hasbeendoneandshallpublishasummaryoftheissueandof

theresolutionoutcomeontheResponsibleSteelwebsite.

Assurance

Committee.

Stepsoutlinedin

thecolumn

'normal'donot

apply

ResponsibleSteelshallpresenttheproposedchangestothe

policy/procedureandassociatedimplementationtimelinesto

theResponsibleSteelBoardsubcommitteeforreview.The

ResponsibleSteelBoardsubcommitteemayrequestfurther

informationorre-drafting,mayrejecttheproposal,ormay

recommendthattheproposedchangesandtimelinesareput

totheResponsibleSteelBoardforapproval.

Within4weeksof

receivingthe

issue

ResponsibleSteelshallseekBoardapprovalofthechangesand

timelines.

Within8weeksof

thedecisionof

the

ResponsibleSteel

Board

subcommittee

ResponsibleSteelshallpublishtheapprovedrevisedpolicyor

procedureonitswebsiteandshallinformallaffectedpartiesof

thechangesandthedatethepolicy/procedurebecomes

effective.

ResponsibleSteelshallinformthestakeholderthatraisedthe

issueaboutthechangesandtheimplementationtimelines.


hasbeendoneandshallconsidertheissuetobeclosed.

ResponsibleSteelshallpublishasummaryoftheissueandof

theresolutionoutcomeontheResponsibleSteelwebsite.

Within2weeksof

approval

SupportingDocumentationandReferences


• ResponsibleSteelpoliciesandprocedures


3.5.IssuesrelatedtointerpretationoftheResponsibleSteelStandard

Overview

Dependingontheissuebroughtforward,clarificationontheResponsibleSteelStandardorguidanceonhowto

interprettheResponsibleSteelStandardmaybeneeded.

AclarificationisanexplanationofthecorrectmeaningofarequirementoftheResponsibleSteelStandard,where

thecorrectmeaningisclearfromexistingguidance,contextorothersourcesofinformation.Clarificationsmaybe

providedbytheTechnicalDirectorortheExecutiveDirector.

AninterpretationprovidesguidanceontheapplicationofaStandardRequirementwherethecorrectmeaningis

notclearfromexistingguidance,contextorothersourcesofinformation.

QuestionsoninterpretationofResponsibleSteelStandardRequirementsmaycomeinduringsiteaudits.Where

thisisthecase,certificationbodies,auditedsitesorstakeholdersengagedintheauditmayclassifythemas

'urgent'toexpeditetheprocessfordevelopingprovisionalinterpretationguidanceandtonotholduptheaudit.

Provisionalinterpretationguidanceissubjecttostakeholderconsultationforfinalisation.Thesamegoesfor

interpretationquestionsthatarenotmarkedasurgent.Bothpathwaysforprovidinginterpretationguidanceare

outlinedbelowandaredescribedinmoredetailintheStandardDevelopmentProcedures.

Process Normal Expedited

ResponsibleSteelshallcapturetheinitialconcerninitsissues

log.Within1weekof

receivingthe

issue

Withina

maximumof1

weekofreceiving

aninterpretation

issuemarkedas

'urgent',

ResponsibleSteel

shallprovide

provisional

interpretation

guidance.

ResponsibleSteel

mayconsultwith

stakeholders

including

ResponsibleSteel

members,

membersofthe

Boardof

Whereappropriate,ResponsibleSteelshallprovidethe

stakeholderwithadditionalinformationontheResponsibleSteel

programmetoensuretheyunderstanditsobjectives,scopeand

waysofoperating.

ResponsibleSteelshallprepareaconsultationpaperwhich

includesatleastthefollowing:

a. Explanationoftheissueforinterpretation;

b. Considerations;

c. Theprovisionalinterpretation;

d. Anexplanationoftheprovisionalinterpretation;

e. Theconsultationprocesstofinalisetheinterpretation,

includingtimelineandopportunitiesforstakeholdersto

contribute;

f. Thedecision-makingprocess–includinghowdecisions

aremadeandbywhom,inaccordancewith11.10and

11.11oftheStandardDevelopmentProcedures(copied

below).

Between1and4

weeksof

receivingthe

issue


Interpretationsshallbesubjecttoaminimumconsultation

periodof30days.ResponsibleSteelshallcarryoutconsultations

onaquarterlyschedule.ResponsibleSteelshallinform

ResponsibleSteelmembers,certificationbodies,certification

applicantsandcertificateholdersoftheconsultationandshall

maketheconsultationpaperpubliclyavailableonthe

ResponsibleSteelwebsite.

Onaquarterly

basis

Directorsand/or

relevantexperts

atitsdiscretion.

Stepsoutlinedin

thecolumn

'normal'donot

apply.However,

provisional

interpretation

guidanceshallbe

finalisedas

outlinedinthe

Standard

Development

Procedures.

ResponsibleSteelshallprepareasummaryofinputreceivedand

theproposedfinalinterpretationfordecisionbytheStandards

andAssuranceCommittee.

Standardsand

Assurance

Committee

decisionwithin4

weeksof

receiving

stakeholderinput

Whereaninterpretationisapproved,itshallcomeinto

immediateeffectandshallbecommunicatedto

ResponsibleSteelmembers,certificationbodies,certification

applicants,certificateholdersandmembersofthe

ResponsibleSteelAssurancePanel,andbeannouncedonthe

ResponsibleSteelwebsite.

NOTE:certificatesissuedcorrectlyonthebasisofaprovisional

interpretationshallremainvalidfortheirnormalremaining

duration.Certificateholderswouldberequiredtocomplywith

thefinalisedinterpretationinorderforacertificatetobere-

issuedfollowingitsnextaudit.

Within1weekof

Standardsand

Assurance

Committee

decision


hasbeendoneandshallconsidertheissuetobeclosed. Within1weekof

approval

Within1weekof

issuingthe

provisional

interpretation



• ResponsibleSteelStandardsDevelopmentProcedures(availableat

https://www.responsiblesteel.org/resources/)


3.6.IssuesraisedagainstResponsibleSteelpersonnel

Overview

ResponsibleSteelpersonnelarecommittedtoworkprofessionallyandrespectfullyandtofullyimplement

ResponsibleSteelpoliciesandprocedures.Ifthisisperceivednottobethecase,ResponsibleSteelshallinvestigate

suchissues.Iftheissuecannotberesolvedtothesatisfactionofthestakeholderthatraisedtheissue,the

stakeholdermayraiseitthroughanAd-HocResolutionCommittee.

PersonnelincludeResponsibleSteelSecretariatstaff,Boardmembers,contractors,etc.

Process


Within1weekof

receivingthe

issue

Thestakeholderraisingtheconcernshallbeasked,ifpossible,toraiseandtrytoresolve

theirissuedirectlybydiscussingitwiththepersoncausingtheconcern.Ifthisisnot

appropriateorhasbeentriedandtheoutcomewasnotsatisfactory,thenthe

stakeholdershallbeaskedtocontacttheResponsibleSteelExecutiveDirector.Ifthe

concernrelatestotheResponsibleSteelExecutiveDirector,thepersonraisingthe

concernmayraisetheirissuewiththeChairoftheResponsibleSteelBoardorthroughan

Ad-HocResolutionCommittee.

TheExecutiveDirectorshalldiscusstheconcernwiththepersonnelwhoisthesubjectof

theissueraisedor,whereappropriate,shalldelegatethistotheindividual'simmediate

supervisor.IftheissuerelatestoaResponsibleSteelBoardmember,theExecutive

DirectorshallinformtheChairoftheResponsibleSteelBoardoftheissueanddiscuss

withthemhowbesttoaddressit.

TheExecutiveDirectormaytakewhateveradditionalactiontheExecutiveDirectorand,

potentially,theChairoftheResponsibleSteelBoarddeemappropriatetounderstandthe

basisoftheconcernandtotrytoresolvetheissue,subjecttoAustralianlawand

employerobligationsandresponsibilities.

Within6weeks

ofreceivingthe

issueTheExecutiveDirectorshallreportbacktothestakeholderthatraisedtheconcernasto

theactionthathasbeentakentotrytoresolvetheissue.ResponsibleSteelshallinform

thestakeholderthattheymayraisetheissuethroughanAd-HocResolutionCommittee

incasethematterisnotresolvedtotheirsatisfaction.



ResponsibleSteelshallpublishasummaryoftheissueandoftheresolutionoutcomeon




• IssuesLogTemplate

3.7.OthertypesofissuesrelatingtotheResponsibleSteelprogramme

Overview

Stakeholdersmightraiseissuesthatarenotlistedintheabove.Ifsuchanissueisbroughtforward,

ResponsibleSteelmayproposeoneofthelistedpathwaysordefineanotherpathwayforresolution.

ResponsibleSteelreservestherighttorejectanissuefromconsiderationifitdoesnotpertaintoResponsibleSteel

standards,policies,proceduresorotherdocumentedrulesorrequirements(seeparagraph1.8above).

3.8.Ad-HocResolutionCommitteeOverview

Ifnoneofthepathwaysaboveresultinsuccessfulresolutionoftheissue,thenthestakeholderthatraisedtheissue

mayescalateittoanAd-HocResolutionCommitteethatshallbesetupbyResponsibleSteelspecificallytoaddress

theissue.

TheactionstakenundertheAd-HocResolutionCommitteemayormaynotresolvetheissuetothesatisfactionof

thestakeholderthatraisedtheconcern.However,thedeterminationbytheAd-HocResolutionCommitteeshallbe

finalandcannotbeappealed.

Process

ResponsibleSteelshallcapturetheconcerninitsissueslogor,whereResponsibleSteel

referredtheissuetoanotherpartybefore,shallidentifyinitsissueslogwhichconcernis

broughtbackforconsiderationbyanAd-HocResolutionCommitteeandshallupdatethe

issueslogentrytoreflectactionsthathavebeentakensincetheissuewasfirstraised.

Within4weeksof

theissuebeing

broughtto

ResponsibleSteel

ResponsibleSteelshallnominateatthreepotentialmembersfortheAd-HocResolution

Committee.Inchoosingcandidates,ResponsibleSteelshallensurethattheyarefreefrom

conflictofinterestinrelationtotheobjectoftheissue(whichcouldbeasite,a

certificationbodyorResponsibleSteelpersonnel).

ResponsibleSteelshallinformthestakeholder:

• OftheCommittee'sreviewprocess(asbelow)

• ThattheCommittee'sdecisionscannotbeappealed

• WhenthestakeholdermightexpectanoutcomeoftheCommittee'sinvestigation.

ResponsibleSteelshallappointtheCommitteemembersandprovidethemwithall

relevantinformationontheissuerequiringresolution,includinganydocuments,records

andotherinformationthathasbeengatheredandreviewedduringotherresolution


pathwaysandearlierresolutionsthatwereprovidedbutdidnotsatisfythecomplaining

party.

TheAd-HocResolutionCommitteemembersshalleachindividuallystudytheprovided

information.Theyshallgettogetherbyvirtualorin-personmeanstodiscusstheissueand

apotentialresolution.TheCommitteeshalltakewhateveractionitdeemsappropriateto

betterunderstandthebasisoftheconcern.

Within3-12

weeksoftheAd-

HocResolution

Committee

receivingissue,

dependingonthe

complexityofthe

matter.

TheAd-HocResolutionCommitteemightconcludethatfurtheractionthatisconsistent

withResponsibleSteelpoliciesandproceduresandwiththescopeoftheResponsibleSteel

programmecouldbetakentoresolvetheissue,oritmightconcludethatappropriate

actiontoresolvetheissuehasbeentakenandthatfurtheractionwouldbeunlikelyto

resolvetheissue.

IncaseswheretheAd-HocResolutionCommitteecannotfindagreementonconclusions,

itshallseekadvicefromqualifiedexperts.Inothercases,seekingadvicefromqualified

expertsisoptional.However,suchexpertsshallnottakepartindecision-makingandshall

notbeinvolvedinanyactivitythatconstitutesaconflictofinterest.

TheAd-HocResolutionCommitteeshallprepareawrittenreportthatdescribesits

mutuallyagreedconclusionsand,potentially,anyactionsandassociatedtimelinesthat

shallbetakentoresolvetheissue.Thereportshalldocumentiftherewasdisagreement

betweentheCommitteemembersandhowdisagreementwasresolved.TheAd-Hoc

ResolutionCommitteeshallsubmitthereporttoResponsibleSteel.

ResponsibleSteelshallreviewthereporttoconfirmthatanysuggestedactionsare

consistentwithResponsibleSteelpoliciesandproceduresandwiththescopeofthe

ResponsibleSteelprogramme.Wherethisisnotthecase,ResponsibleSteelshallprovide

feedbacktotheCommitteeforthemtoreflectintheirreport.

ResponsibleSteelshallsubmitthefinalreportoftheAd-HocResolutionCommitteetothe

partythatgaverisetotheissueinthefirstplaceandtothepartythatraisedtheissue.

WheretheAd-HocResolutionCommitteerequestsfurtheractiontobetaken,

ResponsibleSteelshallexplaintothepartyandtothestakeholderthat:

• TherequestedactionsmustbesatisfactorilycompletedbeforeResponsibleSteelcan

considertheissuetobeclosed

• Iftherequiredactionsarenotcarriedout,thepartyrisksconsequencessuchas

terminationofitsapprovalasResponsibleSteelcertificationbody,suspensionofits

certificate,orterminationofitsResponsibleSteelmembership.


Whererelevant,ResponsibleSteelshallverifythattherequestedactionshavebeen

satisfactorilycompleted.Oncethisisthecase,ResponsibleSteelshallinformthe

stakeholderthatraisedtheissueandtheAd-HocResolutionCommitteeaccordingly.



ResponsibleSteelshallpublishasummaryoftheissueandoftheresolutionoutcomeon


Within2weeksof

receivingtheAd-

HocResolution

Committeereport

or,whereactions

arerequested,

within2weeksof

verifying

satisfactoryaction

completion.



• Ad-HocResolutionCommitteeTermsofReference

4.ResponsibleSteelIssueLogTemplateIssueNumber:

DateissueraisedwithResponsibleSteel:

Nameofstakeholderraisingtheissue:

Descriptionoftheissue:

AnalysisofissueintermsofResponsibleSteelprogrammerequirements:

Descriptionofanyactionstakenbythestakeholdertoresolvetheissuepriortoitbeingraisedwith

ResponsibleSteel,includingpartiesinvolvedintheissue:

Pathwayforresolutionasagreedwiththestakeholder,descriptionofnextsteps:

Outcome(s)ofresolution:

DateofResponsibleSteeldeterminationthattheissueisconsideredclosed:


5.ResponsibleSteelAdHocResolutionCommitteeTermsofReference

ThegoaloftheAd-HocResolutionCommitteeistoprovideresolutionondisputedissuesinrelationtothe

ResponsibleSteelcertificationprogrammeforresponsiblesteelsites.EscalationtotheAd-HocResolutionCommittee

shallbethelastresortonceotherpathwaysforresolutionhavebeenexhausted.

CommitteemembersshallbeproposedbyResponsibleSteeltothepartythatraisedtheissuerequiringresolution.In

identifyingcandidatesfortheCommittee,ResponsibleSteelmaychoosemembersfromthefollowingparties:

• ResponsibleSteelBoard(seehttps://www.responsiblesteel.org/about/board-and-secretariat/)

• ResponsibleSteelworkinggroups(consistingofsubjectexperts)

• ResponsibleSteelMembersorAssociateMembers(see

https://www.responsiblesteel.org/membership/members-and-associates)

• ResponsibleSteelAssurancePanelMembers

• AcademiafromfieldsrelevanttotheResponsibleSteelprogramme

• Civilsociety(suchastradeunions,humanrightsorenvironmentalorganisations)

• Specialistsinoverseeingcertificationbodiesandworkingwithcertificationprogrammes

ThequalitiesthatResponsibleSteelwillbeseekinginAd-HocResolutionCommitteemembersshallinclude,but

arenotlimitedto:

• SupportoftheResponsibleSteelVisionandMission

• ExtensiveknowledgeontheResponsibleSteelsystem(orwillingnesstogothroughanResponsibleSteel

trainingsession)

• Expertiseintheareathattheissueisrelatedto

• Awillingnesstoseekfairandbalancedresolutions

• Abilitytomakerationaldecisionsbasedontheevidenceprovided

• Abilitytothinkcreativelyaboutsolutionstoresolveconflicts

• Demonstratedabilityorwillingnesstoworkingoodfaithinmulti-stakeholdersettings

AnyprospectiveAd-HocResolutionCommitteemembershalldisclosetoResponsibleSteelpotentialconflictsof

intereststobeconsideredforcommitteemembership.

TheAd-HocResolutionCommitteeshallfollow3.8oftheResponsibleSteelIssuesResolutionSysteminproviding

resolution.

Documents

Version 2.0 18 June 2020...ResponsibleSteel Issues Resolution System, Version 2.0 2 Version history No. Date Description Version 1.0 29 December 2019 Approved by the Board of Directors