Validation procedure

The Validation procedure relates to how Validation is carried out.

These procedures were approved by the EITI Board in December 2020. They apply to all Validations commencing on 1 April 2021 and thereafter.

The Validation procedure in the 2019 EITI Standard (Chapter I, Section 5) is amended as follows:

Validation will assess progress in implementing one or several of the following components of the EITI Standard: Stakeholder engagement (Requirements 1.1 to 1.4), Transparency (Requirements 2 to 6) and Outcomes and impact (Requirements 1.5 and 7). The components assessed in the Validation are determined by the outcome of the previous Validation and the Validation schedule established by the EITI Board.

Prior to the commencement of Validation, the multi-stakeholder group (MSG) oversees the collation of data and documentation that demonstrates evidence of addressing each EITI Requirement within the component(s) being assessed, using Board-approved templates. This work may be undertaken with support from, for example, the national secretariat, a consultant or the Independent Administrator. A guidance note on preparing for Validation is available. MSGs are encouraged to use Validation templates as part of their regular implementation cycle with a view to strengthening the MSG’s oversight of all aspects of the EITI process. MSGs are encouraged to share drafts of their Validation templates with the International Secretariat for comment and advice prior to the commencement of Validation. Comments by the International Secretariat should be recorded in the draft templates as additional guidance to MSGs in preparation for Validation.

The International Secretariat’s country team will provide guidance (see Annexe A for details of the division of roles within the International Secretariat). This support may involve a mission to the country ahead of Validation, which a member of the Validation team may join to consult stakeholders and provide information on the Validation process. Any consultations should seek the views of representatives from each constituency in a balanced manner.

The onus is on implementing countries to demonstrate progress and provide evidence. The national secretariat should collate the documentation and other sources that demonstrate adherence using the Board-approved templates provided by the International Secretariat. In second and subsequent Validations, the MSG is encouraged to focus on demonstrating progress in addressing the corrective actions.

The dossier submitted by the MSG should include clear references to publicly available documents and information on how to access them. Where source documents are not publicly available (e.g. MSG meeting minutes, ToRs), these should be provided as an annexe. Stakeholders are also invited to prepare any other documentation they consider relevant, including efforts to go beyond the EITI Standard.

The MSG should submit the completed data collection and documentation templates to the International Secretariat by the commencement of Validation.

Ahead of the Validation, the International Secretariat launches a call for views on stakeholder engagement in the EITI. The call for views is public and shared with the MSG and other relevant stakeholders..

The Validation Committee may also engage an external expert to provide input on any aspect of the EITI Standard on selected Validations (see Annexe B for details).

The International Secretariat’s Validation team reviews the information submitted by the MSG, as well as responses to the call for views on stakeholder engagement. The composition of the Validation team will be communicated to the MSG and national secretariat.  

The Validation team proposes a preliminary assessment of each EITI Requirement, as well as the effectiveness and sustainability indicators, following the Validation Guide. The Validation team proposes corrective actions for requirements where gaps are identified or evidence is not sufficient to demonstrate that the requirement has been fully met. If the Validation team is aware of a relevant publicly available source that addresses the gaps, it will highlight this in the draft assessment.

In second and subsequent Validations, the assessment will focus on the corrective actions determined in the preceding Validation, any indication of backsliding, innovations, efforts to implement encouraged aspects of the EITI Standard and the effectiveness and sustainability of implementation.

The Secretariat’s Validation team will offer the MSG the opportunity to discuss preliminary findings at a teleconference. The Validation team may undertake targeted virtual stakeholder consultations at this stage, consult the International Secretariat’s country team or draw on external experts to seek further information. In exceptional cases, especially if there are severe concerns related to stakeholder engagement, the Validation team may visit the country to undertake in-person consultations and seek further information.

The Validation team drafts an assessment that summarises progress in implementing the EITI Requirements related to the component(s) being assessed. The draft assessment, the underlying documentation and feedback on stakeholder engagement is shared with the MSG and the EITI Board’s Validation Committee for information.

The MSG is invited to provide further evidence and other feedback on the Secretariat’s preliminary assessment within four weeks from receiving the document in the local working language. The National Coordinator (NC) should compile MSG comments and additional evidence in one file and submit these to the International Secretariat. The NC is encouraged to attach to the comments the minutes of the MSG meeting(s) where the comments were discussed and agreed. In exceptional circumstances, stakeholders may contact the International Secretariat directly to provide comments.

The International Secretariat’s Validation team is expected to review all submissions from stakeholders received within the assigned 4-week period and provide a response to the MSG. The Secretariat is expected to give weight to comments agreed by the MSG over comments from individual stakeholders or constituencies. However, possible limitations to the ability of stakeholders to have their position reflected in the MSG’s submission should be taken into account. The Secretariat may request further information from stakeholders as considered necessary.

Any information on disclosures or developments taking place after the commencement of Validation will be considered in the Secretariat’s final assessment, if it is referred to in the MSG-endorsed feedback and materially affects the assessment. If individual stakeholders or constituencies submit information on new developments, these will be submitted to the Validation Committee but not taken into account in the Secretariat’s assessment. Representations received after the period for MSG comments will not be considered.

The final assessment and all underlying documentation are submitted to the Validation Committee for review. The Validation Committee shall consider the submission of any external expert appointed to provide input and may commission the International Secretariat to undertake further consultations.

The Board will not consider developments taking place after the commencement of Validation that were not included in the MSG’s feedback, unless there is recent evidence of considerable deterioration or improvement on one or more of the requirements related to stakeholder engagement (1.1 to 1.3).

The Validation Committee will make a recommendation to the EITI Board on the country’s progress in addressing EITI Requirements, performance on the sustainability and effectiveness indicators, the timing of the next Validation and, where applicable, any corrective actions required.

The EITI Board will determine the assessment of each EITI Requirement and the consequences of Validation, in accordance with Articles 4 and 5 of the EITI Standard.

Documents related to the Validation are considered confidential until the Board has reached a decision. Board members are encouraged to reach out to local stakeholders from their constituency to seek their views, without sharing confidential Board documents.

Once the Board has reached a decision, the documents will be made publicly available. The Validation Committee will consider stakeholders’ requests for comments to be treated confidentially. In accordance with Article 10 of Chapter 4 of the 2019 EITI Standard, an implementing country may petition the Board to review its decision related to Validation.

To ensure the independence of the Validation from implementation support provided by the International Secretariat, the following division of roles will be maintained:

• Country team: The International Secretariat’s country team provides regular implementation support to the country being assessed. As part of this support, it provides guidance to the MSG and national secretariat in compiling the documentation ahead of the commencement of Validation. The International Secretariat does not pre-validate countries and cannot give assurances about the outcome of Validation. The country team may consult the Validation team and thematic experts within the Secretariat in providing advice to the country. It is recognised that the country team has the deepest knowledge about the country being assessed and its EITI implementation within the International Secretariat. The Validation team should draw on this expertise to ensure that its assessment is fully informed.

• Validation team: A Validation team is agreed at least three months before the scheduled commencement of each Validation. The composition of the team is communicated to the MSG and the national secretariat. The team consists of one to three International Secretariat staff members who have the necessary expertise and language skills to undertake the assessment and have not been members of the relevant country team during the period being assessed in Validation.

The Validation team reviews the documentation compiled by the MSG and proposes an assessment of each EITI Requirement, and responds to the MSG’s feedback. The country team may seek advice from the Validation team when supporting the country in preparing for Validation. The Validation team should consult the country team when conducting the assessment to gain a better understanding of the context. The Validation team can support the country team’s country visit ahead of Validation or after the commencement of Validation to consult stakeholders and/or encourage progress in implementation. The distinct roles of the members of the country team and the Validation team should be clearly presented to stakeholders during such missions. The Validation team’s work is quality assured by a senior staff member.

Additionally, the Validation Committee may appoint external experts to provide views on the assessment. To ensure the timely completion of Validation, the Validation Committee will seek to identify upcoming Validations that require input from an external expert in its work plan. The criteria and procedure for inviting external experts to provide input to the Validation are defined in Annexe B.  Board members who are lead reviewers are encouraged to review Validation documentation and raise any concerns related to the integrity of the assessment at the Validation Committee.

The Validation Committee may appoint external experts to provide input on any aspect of the EITI Standard on selected Validations. The decision on whether to engage an external expert will be taken by the Validation Committee at least eight weeks before the scheduled commencement of the Validation and be documented in the Committee’s work plan. In exceptional circumstances, the Validation Committee can agree by consensus to the rapid appoint of an external expert outside of the prescribed calendar. The EITI Board will annually establish a budget line for the engagement of external experts in Validation.

The role of the external expert is to provide input to inform the assessment prepared by the International Secretariat and the EITI Board’s decision-making. The scope of the expert’s work may cover individual EITI Requirements or a module of several interlinked requirements. The duration of the assignment will vary depending on scope and complexity of the assignment. The deliverable is a report that documents evidence of the country’s progress in addressing the relevant EITI Requirement(s) and opportunities for strengthening implementation. The expert’s report will provide input to the Validation assessment prepared by the International Secretariat and be made available to the Validation Committee.

The International Secretariat will provide an overview of upcoming Validations at the start of each year as well as at each Validation Committee meeting, as part of updates to the Committee’s work plan. Where implementation support or communications with national stakeholders has indicated potential weaknesses in implementation related to

1. levels of constituency engagement or
2. technical issues of particular complexity,

the International Secretariat will alert the Validation Committee in writing of the potential need to engage an external expert to review documents related to specific Requirement(s) in an upcoming Validation.

Any Board member or MSG may propose to the Validation Committee that an external expert be involved in its Validation. Such requests should be made in writing to the Validation Committee at least twelve weeks before the scheduled commencement of Validation and explain the rationale for the request and the need for an expert, if possible with reference to the six criteria on how to involve an external expert in Validation. The Secretariat may also advise the Validation Committee to consider the engagement of external expert depending on early findings from the Secretariat review. The Validation Committee shall consider such proposals as an integral part of its regular review of the Validation Committee work plan. Decisions for engaging external experts can be approved by the Validation Committee via circular, following recommendations from the Secretariat.  

In advising the Validation Committee on deciding which Validations to involve an external expert, the International Secretariat will consider the following criteria:

1. the complexity of the EITI process being assessed,
2. the country’s Validation ratings and findings,
3. challenges in stakeholder engagement in the EITI identified during implementation and/or in recent ratings and trends related to the broader enabling environment,
4. the International Secretariat’s need for external support,
5. budget implications and
6. the particular added value from external expertise in the case at hand.

The International Secretariat will provide an assessment of the adherence to the six criteria in its presentation of the written request for an external expert to the Validation Committee. The Validation Committee will review and approve the International Secretariat’s ranking of candidates for external experts.

The following criteria will be considered when appointing the external expert:

1. demonstrated relevant thematic and regional expertise,
2. demonstrated knowledge of the EITI Standard,
3. a reputation for credibility and trustworthiness, and
4. ability to complete the assignment in the agreed timeframe.

Once the Validation Committee has decided to involve an external expert in an upcoming Validation and has agreed the thematic scope of the expert’s work, the International Secretariat will conduct procurement of the external expert through an open international procurement process. Validation Committee members may encourage potential experts to submit proposals for this procurement. The Validation Committee will review the list of applicants for external expert, approve the selection of the expert and the terms of reference for the assignment. The Committee will consider potential conflicts of interest in selecting the expert.

The engagement of the external expert in Validation is structured according to the following timeline: