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Guidance

Validation procedure (2023 EITI Standard)

Procedure for validating EITI implementing countries against the 2023 EITI Standard

Applicable EITI Standard
2023

Updated by the EITI Board in June 2024. 

Validation assesses progress in implementing one or several of the three 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.

Five-step procedure

1. Preparation for Validation

Before Validation begins, 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 templates approved by the EITI Board. This work could be undertaken with support from the national secretariat, a consultant or the Independent Administrator. A guidance note on preparing for Validation is available.

The International Secretariat’s country team will provide guidance (see Annexe B 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.

Implementing countries are responsible for demonstrating progress and providing 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 should to focus on demonstrating progress in addressing the corrective actions. Failure to demonstrate progress in the subsequent Validation may result in temporary suspension, or, in cases where the country is already suspended for a low overall result, delisting.

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, Terms of Reference), 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.

Three months 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 national secretariat is to disseminate the call for views on its website and through its communication channels. It is also distributed on social media by the International Secretariat.

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


2. Review of information, stakeholder consultations and preliminary assessment

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 assessment is informed by stakeholder consultations that usually take one to two weeks. The consultation period can vary depending on the complexity of the sector, actors involved and civic space considerations.

In its preliminary assessment the Validation team identifies strengths and weaknesses in the country’s implementation. The objective of the draft assessment is to highlight progress and efforts of going beyond the Standard, as well as identifying gaps in the technical aspects and / or the fulfilment of the underlying objectives of EITI Requirements. Those gaps are discussed with relevant stakeholders in consultations, to inform the Sectretariat’s understanding. If the Validation team is aware of a relevant publicly available source that addresses the gaps, it will highlight this in the draft assessment.

If after the consultations those gaps remain, the Secretariat will  propose corrective actions for all requirements that have not yet been fully met, and include strategic recommendations to strengthen implementation, which the MSG may consider.

In second and subsequent Validations, the assessment will focus on:

  • Corrective actions determined in the preceding Validation
  • Indications of backsliding
  • Innovations
  • Efforts to implement encouraged aspects of the EITI Standard
  • The effectiveness and sustainability of implementation

The timeline between the commencement of Validation and the submission of the draft assessment will depend on the timing of the consultations and vary with regards to the quality of the documentation provided, the complexity of the sector and the responses of stakeholders during consultations. The timeline provided in Annex A is indicative.

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.


3. Stakeholder feedback

The MSG is invited to provide further evidence and other feedback on the International 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 within two weeks and provide a response to the MSG. The International 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 International 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 International 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 International Secretariat’s assessment. Representations received after the period for MSG comments will not be considered in the International Secretariat’s assessment.


4. Committee review

The final assessment and all underlying documentation are submitted to the Board’s Validation Committee for review. The Validation Committee will review submissions from any appointed external expert and may task the International Secretariat with conducting additional consultations.

The EITI 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 (Requirements 1.1, 1.2 and 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.


5. Board decision

The EITI Board will determine the assessment of each EITI Requirement and the consequences of Validation, in accordance with Articles 4, 5 and 6 of Section 1, Part 2 of the 2023 EITI Standard.

Documents related to the Validation are considered confidential until the EITI 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 EITI 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 Section 1, Part 2 of the 2023 EITI Standard, an implementing country may petition the Board to review its decision related to Validation.


Annexe A: Validation timeline

Milestone

Responsible party

Timeline

Compilation of data and documentation

MSG, with support from the national secretariat and guidance from International Secretariat country team

Prior to the commencement of Validation

Call for views on stakeholder engagement launched

International Secretariat Validation team

12 weeks before the commencement of Validation

Submission of data and documentation to the International Secretariat

MSG

By Validation commencement date

Commencement of Validation

-

Varies as per the schedule agreed by the EITI Board

Review of information, stakeholder consultations and initial assessment

International Secretariat Validation team

Ten to 12 weeks after commencement of Validation. Timeline will vary depending on duration of stakeholder consultations, complexity of the sector and responses from stakeholders.

Translation of initial assessment

International Secretariat

 

Three weeks after completion of the initial assessment

MSG comment period

MSG

Four weeks after submission of the draft assessment to the MSG

Finalisation of Secretariat’s assessment

International Secretariat Validation team

Two weeks after the reception of the MSG comments

Completion of Board review

Validation Committee, EITI Board

Up to ten weeks from the finalisation of the Validation report


Annexe B: Roles and responsibilities

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 International 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 C. EITI 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.


Annexe C: Procedure for engaging external experts

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.

Scope and deliverables of external experts

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.

International Secretariat input to Validation Committee on potential need for external expertise

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 EITI Requirement(s) in an upcoming Validation.

Submission of proposal for external expert in Validation

Any EITI 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 International Secretariat may also advise the Validation Committee to consider the engagement of external expert depending on early findings from the Secretariat’s 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 International Secretariat.  

International Secretariat recommendation on external experts

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

  • The complexity of the EITI process being assessed
  • The country’s Validation ratings and findings
  • Challenges in stakeholder engagement in the EITI identified during implementation and/or in recent ratings and trends related to the broader enabling environment
  • The International Secretariat’s need for external support
  • Budget implications
  • 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.

Procurement of external expert

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

  • Demonstrated relevant thematic and regional expertise
  • Demonstrated knowledge of the EITI Standard
  • Reputation for credibility and trustworthiness
  • 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.

Engagement timeline for external experts

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

Engagement timeline for external experts

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

Timeframe

Activity

Responsible party

At the start of the year and at every Validation Committee meeting

International Secretariat update to the Validation Committee on potential need to engage external expert in Validation of specific EITI Requirement(s)

International Secretariat

Start of Validation – minimum 12 weeks

EITI Board member or MSG proposal on the appointment of an external expert in Validation, in writing to the Validation Committee

EITI Board members and MSGs

Start of Validation – minimum 12 weeks

Validation Committee discussion on the need to appoint an external expert in a specific Validation

Validation Committee

Start of Validation – minimum 8 weeks

Validation Committee agreement on the appointment of an external expert in a specific Validation and the Terms of Reference for the expert’s engagement

Validation Committee

Start of Validation – 8 weeks

Recruitment of external expert via international tender on EITI website

International Secretariat

Start of Validation – 6 weeks

Short-listing of external expert candidates and interviews and update on outcome to the
Validation Committee

 

International Secretariat

Start of Validation – 4 weeks

Contract signing with external expert and Committee update

International Secretariat

Start of Validation + 4 weeks

Submission of draft report by external expert

External expert