FSC-PRO-10-606 - V2-1 EN - Approval of Forest Stewardship Standards
FSC-PRO-10-606 - V2-1 EN - Approval of Forest Stewardship Standards
FSC-PRO-10-606 - V2-1 EN - Approval of Forest Stewardship Standards
Standards
Approval date and body: October 24, 2017 by Policy and Standards
Committee
Contact for comments:
FSC International Center GmbH
Performance and Standards Unit
Adenauerallee 134
53113 Bonn, Germany
+49-(0)228-36766-0
psu@fsc.org
All Rights Reserved FSC® International 2019 FSC®F000100.
No part of this work covered by the publisher’s copyright may be reproduced or copied in
any form or by any means (graphic, electronic or mechanical, including photocopying,
recording, recording taping, or information retrieval systems) without the written permission
of the publisher.
The Forest Stewardship Council® (FSC) is an independent, not for profit, non-government
organization established to support environmentally appropriate, socially beneficial, and
economically viable management of the world's forests.
FSC’s vision is where the world’s forests meet the social, ecological, and economic rights
and needs of the present generation without compromising those of future generations.
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Contents
A Scope
B Effective date
C References
D Terms and definitions
1 General Principles
2 The Approval Process
3 Preliminary decision making
4 Finalizing the decision and communication
A Scope
The objective of this document is to provide an internal procedure for the FSC Policy
and Standards Committee (PSC) to ensure a consistent decision making process for
the approval of Forest Stewardship Standards. These include the following:
B Effective date
C References
The following referenced documents are indispensable for the application of this
document. For undated references, the latest edition of the referenced document
(including any amendments) applies.
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FSC-PRO-60-007 V1-0 EN Structure, Content and Development of Interim
National Standards
FSC-GUI-60-002 V1-0 EN Guideline for Standard Developers for addressing risk
of unacceptable activities in regard to scale and intensity
PSU Standards Evaluation Checklists (internal)
For the purposes of this procedure, the terms and definitions provided in FSC-STD-
01-002 FSC Glossary of Terms, and the following apply:
FSC Forest Stewardship Standard - The FSC Principles and Criteria together with
the addition of indicators that are adapted to regional (trans-national, supra-national),
national and/or sub-national conditions in order to be implemented at the forest
management unit (FMU) level constitute an FSC Forest Stewardship Standard.
FSC Interim National Standard - The FSC Principles and Criteria together with the
IGI that are adopted or adapted to the national conditions by a Technical Working
Group (TWG). It specifies the requirements with which The Organization must
conform in order to obtain FSC certification in countries that are lacking NFSS.
FSC Regional Standard - The FSC Principles and Criteria together with associated
indicators that are adapted to regional conditions by a SDG. It specifies the
requirements with which The Organization must conform in order to obtain FSC
certification.
FSC Non-timber Forest Product Standard - The FSC Principles and Criteria
together with the IGI that are adopted or adapted for non-timber forest products by a
Technical Working Group (TWG). It specifies the requirements with which The
Organization must conform in order to obtain FSC certification in countries that are
lacking NFSS.
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1 General Principles
1.1 Formal decision-making authority in relation to approval of FSC Forest
Stewardship Standards rests with the FSC Board of Directors (Sections 2.10 and
8, FSC-PRO-01-001 V3-1). The FSC Board of Directors may delegate its powers
to a formal committee charged with this duty, subject to oversight by the FSC
Board of Directors (FSC Statutes 2013, section 24 on page 8, and FSC-PRO-01-
001 V3-1 section 1.1).
1.2 The FSC Board of Directors delegated the authority to approve Forest
Stewardship Standards to the Policy and Standards Committee (PSC) at Board
Meeting 58. (See Annex 3, PSC Terms of Reference).
1.3 The FSC Performance and Standards Unit (PSU) acts as the Secretariat to the
PSC and shall prepare a Recommendation Note for each Forest Stewardship
Standard that is submitted by an FSC National Office, registered Standards
Development Group (SDG) or registered Technical Working Group (TWG) is the
body charged with the development of an Interim National Standard, INS) for
formal approval. The PSU Recommendation Note should not be more than twelve
(12) pages and shall include:
• A decision request cover sheet with a list and explanation of all documents
and materials associated with the standard;
• A confirmation by the Performance and Standards Unit (PSU) that all FSC
procedures and rules relevant to the development and endorsement of a
Forest Stewardship Standard have been followed and that the Standard is
ready for PSC consideration and decision;
• Observations about any major issues with the Standard that should be
evaluated by the PSC, including major issues resolved between the SDG and
PSU that require PSC consideration, and any issues not resolved between
SDG and PSU;
• Recommendations about any potential conditions to be associated with
approval that the PSC should consider;
• A brief outline of the forest sector and forest conditions in the country;
• A summarized description of the standard development process applied by
the Standard Development Group (SDG) together with PSU’s evaluation of
the SDG process and conclusions on conformance to FSC requirements;
• A summarized description of the content of the standard together with PSU’s
evaluation of the contents and conclusions on conformance to FSC
requirements;
• Identification of the numbers of International Generic Indicators (IGI) that
have been adopted, adapted, or dropped and the number of new Indicators
that have been added;
• A summary of the comments and issues identified by external reviewers; and,
• Any other key information deemed relevant by PSU for decision-making by
the PSC.
1.4 Together with the Recommendation Note, PSU shall submit the following Key
Documents to the PSC:
• A copy of the Forest Stewardship Standards that has been submitted for
formal approval;
• The PSU detailed evaluation of the Standard and a summary of the
interactions between PSU and SDG and final conclusions by the PSU on any
outstanding process or content matters raised by the PSU;
• A Transfer Matrix showing all Indicators in the Standard, the consistency of
these Indicators with the IGI, and any PSU or external reviewer comments;
• A draft of the PSC Forest Stewardship Standards Decision Form for PSC
consideration and decision;
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• Third party evaluations of the NFSS; and,
• Any other documents of significance.
1.5 In addition to the Recommendation Note and the Key Documents, PSU may
provide additional Supplemental Documents. These documents may vary by
country but could include, for example:
• Membership of the SDG;
• Stakeholder consultation process;
• Details of public meetings; and,
• Any other supplemental information deemed potentially useful for the PSC
1.6 All related information (PSU checklists with analysis of process and content) shall
be available to the PSC through the PSC Intranet and on request.
1.7 The PSU shall only submit a Regional or National Forest Stewardship Standard
to the PSC if in its evaluation it believes all relevant requirements have been met
and it deems the standard ready for consideration by the PSC, and ready for approval
or conditional approval.
2.2 Prior to the PSC meeting scheduled to consider the decision on the standard the
Manager shall have responded to any comments, queries and additional requests
for information with the aim of addressing these prior to the meeting.
2.3 The Manager shall collate and keep records of these communications on issues
raised in relation to the standard and the response of the PSU, in order to annex
them to the decision form and minutes.
3. Decision making
3.1 At the scheduled PSC meeting that has quorum (at least 4 of 6 members present
and one from each chamber) the PSC may make a decision on an FSS following
consideration of the Recommendation Note, PSU Evaluation and any additional
information provided by PSU and any recommendations provided by PSU relating
to the standard.
3.2 The Chairperson of the PSC shall structure and facilitate discussion on the
submitted FSS and PSU documents and, with approval of PSC members, shall
record and sign the decision reached in consensus by the members of the PSC.
3.3 The PSC shall normally seek to make a decision on a standard at the first
scheduled meeting following submission to the PSC, or in exceptional
circumstances shall make a decision within a maximum of three scheduled
meetings that have quorum.
3.5 The PSC has four options for making a decision about an FSS submitted through
PSU for consideration:
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a) Approve the submitted FSS as a FSC Forest Stewardship Standard;
b) Approve the submitted FSS as an FSC Forest Stewardship Standard, upon
completion of conditions;
c) Return the submitted standard to the SDG through PSU for additional work
prior to re-submission for approval; or
d) In situations where the PSC is unable to reach a consensus decision on
approval or approval with conditions, the PSC shall defer the decision making
process to the Board of Directors. The PSC shall request that the Board of
Directors either:
• provide direction to the PSC on how to address specific issues identified
by the PSC and, with Board guidance, allow the PSC to continue
deliberation on the Standard; or,
• take responsibility for decision making on the Standard from the PSC.
NOTE: If the PSC is not in consensus and defers the decision-making process to
the Board of Directors, it shall state the reasons for this decision as per normal
PSC procedures, and may suggest what steps it considers necessary in order to
address its concerns.
3.6 If the PSC has taken a positive decision to approve the standard as submitted,
the Standard is formally considered approved. This decision does not require
further ratification by the FSC Board of Directors.
3.7 If the PSC has taken a positive decision to approve a standard with conditions,
the PSC may delegate authority to determine when those conditions have been
met by the SDG and the authority to approve the standard to the Policy and
Standards Director (PSU). The PSC may also delegate the authority to the
Policy and Standards Director (PSU) to allow the partial meeting of a condition
and to approve the standard in those circumstances where the SDG has
demonstrated that it has made every effort to meet the condition and has
provided satisfactory justification to the Director as to why the condition could
not be fully met. These decisions do not require further ratification by the PSC or
by the FSC Board of Directors.
3.8 If the Standard receives approval as an FSC Forest Stewardship Standard, the
Manager shall inform the applicant of the approval, or the approval with
conditions, and shall initiate the next steps according to FSC-STD-60-006.
3.9 If a standard submitted by an SDG does not receive approval by the PSC, the
PSC shall provide reasons for the decision through the PSU. The Policy and
Standards Director (PSU) shall inform the applicant of the rejection by the PSC
and the reasons.
Note: If an SDG wishes to challenge the PSC decision on an FSS, the following procedure
will apply.
4.1 Upon receiving notice of a decision by the PSC to return a Standard to an SDG for
further work, or of conditions imposed by the PSC on approval of a Standard, the
SDG may file a request with the PSC Chair that the PSC review its decision. The
SDG shall provide reasons for the request for review.
4.2 The PSC Chair shall immediately establish a chamber-balanced subgroup of the
PSC to address the issues raised by the SDG and to make a recommendation to
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the full PSC.
4.3 Upon receiving a request for a review from an SDG, the PSC shall complete
review of the decision within 90 days.
4.4. Upon receiving a decision from the PSC, based on its review, the SDG may use
the FSC dispute resolution process (FSC-PRO-01-005).
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Annex 1 Policy and Standards Committee Decision
Form
Name of Standard
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1. General information
2. Decision
3. Conditions
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Annex 2 PSU Recommendation Note Template
FSC-REP- VERSION – EN
Country
Date
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Decision Request Cover Sheet:
2. Decision
Contents
1. General Information on the Forest Stewardship Standard ...............................12
2. Decision..............................................................................................................................................12
3. A brief outline of the forest sector and forest conditions in the country. 13
4. A summarized description of the standard development process. .............13
4.1 PSU evaluation of the process and conclusions on compliance with FSC
requirements. .................................................................................................................................13
5. A summarized description of the standard content. ............................................13
5.1 PSU evaluation of the content and conclusions on compliance with FSC
requirements. .................................................................................................................................13
6. Evaluation of use of International Generic Indicators (IGIs) as starting point. 13
7. External reviewers’ note .........................................................................................................13
8. Issues identified from evaluation to be evaluated by PSC .................................14
9. Additional note deemed relevant for PSC decision if any ..................................14
10. Annexes: Record of communication on the standard .......................................14
11. Recommendation Note by the Policy and Standards Director. ....................14
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3. A brief outline of the forest sector and forest conditions in the country.
4.1 PSU evaluation of the process and conclusions on compliance with FSC requirements.
5.1 PSU evaluation of the content and conclusions on compliance with FSC requirements.
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8. Issues identified from evaluation to be evaluated by PSC
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Annex 3
1. Background
1.1 The FSC Board of Directors (BoD) established the Policy and Standards Committee (PSC)
in order to streamline, facilitate and accelerate decision-making processes in relation to the
development of new and revision of existing FSC Policies, Standards, Procedures and other
normative FSC documents.
2. Objective
2.1 The PSC acts on behalf of the BoD with respect to all technical matters related to the
development, execution and decision making on all FSC Policies, Standards, Procedures and
other normative documents.
3. Duties
3.1 Where involvement of the BoD is formally required, the PSC will be acting on behalf of, and
making recommendations for decisions to, the BoD with regards to the development or revision
of FSC Policies, Standards, Procedures and other normative documents.
III. Process requirements for the development and maintenance of National Forest
Stewardship Standards (FSC-STD-60-006)
NOTE: at their 58th meeting the FSC BoD decided the following:
“National standards on which there is consensus in the PSC are considered automatically
approved and do not need to be submitted to the FSC BoD for specific approval.”
3.2 PSC members shall seek to make recommendations and decisions which benefit the
Organization as a whole and represent the views and concerns of the sub-chamber which they
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represent (e.g. South/Social) in the Committee deliberations, rather than simply reflect personal
views or the views of the organization with which they are affiliated.
3.3 In addition the PSC shall provide guidance and advice to the FSC Performance and
Standard Unit (PSU) on which ‘direction’ to take with a policy or standards issue in particular
(e.g. policy and standards interpretations) or in general (e.g. on position or discussion papers).
4.1 The PSC should consist of six (6) FSC members, one (1) from each of the six (6) FSC sub-
chambers, selected by the BoD based on an application process open to all FSC members.
4.2 Effective September 1, 2017, the term of PSC members is four (4) years which shall cover
a suitable transition period for the introduction of new members, including becoming familiar
with the process, procedures and scope of the Committee, their responsibilities towards
reaching out to and representing their sub-chamber and the overall time commitment involved.
4.3 The term for the appointed member of PSC can be renewed for one (1) additional period.
4.4 A neutral non-voting Chair may be appointed by the Board for a two (2) year period and can
be extended for further two (2) years on an annual basis.
4.5 The PSC is supported by and in general interfaces with PSU through a single staff person
assigned by PSU. All necessary administrative, minute taking, technical and logistical support
will be provided by the PSU via this staff person.
4.6 Additional support is provided by the staff person assigned to lead the development or
revision of a certain FSC Policy, Standard, Procedure or other normative document. Under
normal circumstances the PSC will not be expected to consider any issue or policy, standard,
etc., unless a formal paper has been prepared and circulated in advance and is part of the PSC
workplan.
4.7 The PSC is accountable to the BoD. All decisions taken by the PSC, except for approval of
forest stewardship standards (FSS), are considered as recommendations to the BoD, and have
to be reported to and confirmed by the BoD.
NOTE: at their 58th meeting the FSC BoD decided the following:
“National standards on which there is consensus in the PSC are considered automatically
approved and do not need to be submitted to the FSC BoD for specific approval.”
4.8 When requested by a Steering Committee, the PSC may identify members to serve in the
roles of advisor or liaison persons as provided in FSC-PRO-01-001 V3-1, Clause 3.4.
4.9 The PSC submits an annual report to the BoD, which includes a self-assessment of PSC’s
work.
5.1 PSC Members and Non-Voting Chair will be selected from among the FSC International
Membership in good standing based on their qualification, expertise and experience in relation
to FSC Policy and Standards. The selection process shall be initiated at least six (6) months
before the term of the existing PSC members and Non-Voting Chair expires.
5.2 Application for PSC members and Non-Voting Chair shall be accompanied by:
a) Curriculum Vitae of the applicant
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b) Letter of support from at least two (2) members in the represented sub-chamber
c) For organizational member, a letter of endorsement from the Designated Representative or
Head of the Organization if the applicant himself/herself is not the Designated
Representative of the organizational member.
5.5 Upon receipt of PSC’s Annual Report, which includes the committee’s self-assessment,
the BoD reviews the performance of the PSC members.
5.6 PSC membership may be terminated by the BoD subject to any of the following
conditions:
a) Voluntary resignation or death of the PSC member.
b) Shift of his/her FSC International chamber and sub-chamber membership allocation, and/or
revocation of his/her FSC International membership.
c) The PSC member had not fulfilled the obligations as stated in Clause 5.3, based on the
recommendations by the BoD Liaison and BoD annual performance review on PSC.
d) Written complaint by at least 50% of the PSC members against a particular PSC member to
the BoD.
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e) In the conditions c) and d), a probation between 3 to 6 months will apply for the PSC
member concerned to correct or improve his/her conduct in the internal governance of the
committee before a final decision on termination is confirmed by the BoD.
NOTE: the BOD can also terminate the mandate of the neutral Non-Voting Chair on the basis
of the criteria listed above.
6.1 The PSC shall meet at least two (2) times annually and at a sufficient frequency to address
the work presented to the PSC by PSU or the FSC Board.
6.2 The PSC shall decide on its own leadership, e.g. by appointing a vice chairperson and,
when necessary, developing an annual Work Plan.
6.3 Quorum is required for decision making. Quorum is defined as a minimum of four (4) PSC
members, with at least one (1) from each chamber.
6.4 Communication will mainly be via email. In addition to in-person meetings, telephone
conferences can be organized by the FSC International Center if required.
6.5 PSU, through the staff persons assigned according Clause 4.5 and 4.6 above, is responsible
for facilitating communication and decision making of the PSC by providing discussion papers,
draft documents, administrative, technical and logistical support, including taking minutes, and
requesting decision making as need arises. PSU is also responsible for the timely
communication of all recommendations to the BoD and filing all relevant communications and
resulting decisions of the PSC.
6.6 The staff person assigned to the development of a new or revision of an existing Policy,
Standard, Procedure or other normative document shall participate in all communication leading
to a decision and shall be informed about decisions by the PSC.
6.7 The PSC shall make its decisions by consensus, which is defined as the absence of
sustained opposition. With the exception of decisions explicitly delegated to the PSC by the
Board, decisions of the PSC are recommendations to the BoD and require ratification by the
FSC Board of Directors. If consensus cannot be achieved, the applicable issue or element of a
policy, standard, procedure or normative and non-normative document shall be deferred to the
BoD for decision making, including reporting on the reasons for decisions, the different positions
and the extent of disagreement within the PSC.
6.8 Recommendations to the FSC Board from the PSC are confidential until the Board makes
a decision and releases Minutes.
ANNEX 1:
PSC Operating Procedures:
1. Meetings, whether in person or phone are agreed as much in advance as possible to facilitate
attendance, preparation and logistics, and are guided by the workplan and priority setting of the
BoD.
2. PSC will adopt the same Conflict of Interest policy and procedures as adopted by the FSC
Board.
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3. A workplan will be developed from the priority issues guidance from the BoD and the PSU
workplan, and with regard to the FSC decision-making matrix. The workplan will be formatted
in such a way as to be able to track and timeline all items and will be updated regularly by the
chairperson and PSU.
5. Additional agenda items can be considered if their consideration and a decision is required
urgently. Urgent items or issues can be put to the PSC at any time and do not necessarily need
a meeting for their consideration.
6. Additional agenda items may also be proposed by PSC members if they are within the scope
of Policy and Standards issues.
7. Minutes of meetings will capture only a short summary of proceedings and discussion but
aim to accurately record any decisions (recommendations to the BoD). To speed up the time
for finalisation, for in-person meetings decisions will be confirmed by those present in the
meeting via a screen or printed version. Absentee PSC members will need to confirm via email.
8. The PSC shall strive and make every effort to achieve consensus. If consensus cannot be
achieved within the PSC then the minutes will need to include considerably more detail as per
item 6 of the general rules above.
9. Consideration of agenda items will begin with a presentation from the person leading the item
(usually a PSU staff person). Discussion will be preceded by a short round of the PSC to see
what, if any, major or minor issues people wish to raise. PSC members are encouraged to be
open and frank about concerns or questions, and the PSU to be equally so in their responses
or clarifications – with the aim of coming to a very robust and well considered decision. To
facilitate this, views or perspectives shared in the PSC
are expected to remain in confidence, or at a minimum “Chatham House” rules apply in terms
of recording in the minutes.
10. Agenda items which have already been decided in a higher level decision making bodies
such as the General Assembly or by the FSC International BOD are considered as normative
and shall not be further disputed in the PSC in terms of its content.
11. Internal grievances within the PSC shall be raised with the PSC Chairperson in writing with
a copy to the BOD Liaison to PSC. The grievance process shall include:
The PSC Chairperson, with the guidance from the BOD Liaison to PSC, shall determine whether
the grievance can be processed individually or needs to be resolved collectively in the
committee.
12. PSC members may consult or seek advice from members of the BOD on agenda items to
be discussed before and after the PSC meeting.
13. Where necessary PSC members may also consult working group members and the BOD
Liaison to a particular working group on related issues that are within the PSC agenda.
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14. To assist PSC to deliberate on normative documents or forest stewardship standards, PSC
may appoint a sub-committee from among the PSC members to provide review and/or
recommendations for full PSC consideration.
15. PSC members are encouraged to participate in the public consultations or webinars
organized on policy or standard matters, and the webinar presentation of BoD decisions to the
membership.
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ic.fsc.org
FSC International Center GmbH
Adenauerallee 134 · 53113 Bonn · Germany
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