Validation

On 23 February 2016, EITI Board approved the 2016 EITI Standard with revised Validation procedures. An overview of the changes is available here, including a summary of changes to EITI Validation.

What is Validation?

Validation is an essential feature of the EITI process. It serves to assess performance and promote dialogue and learning at the country level, and safeguards the integrity of the EITI by holding implementing countries to the same global standard. It is intended to provide all stakeholders with an impartial assessment of whether EITI implementation in a country is in line with the provisions of the EITI Standard. The Validation report, in addition, seeks to identify the impact of the EITI in the country being validated, the implementation of activities encouraged by the EITI Standard, lessons learnt in implementation, as well as address any concerns stakeholders have expressed and recommendations for future implementation of the EITI.

All EITI countries have a Validation deadline. When the EITI Board accepts a country as an implementing country, it establishes deadlines for publishing the first EITI Report and undertaking Validation. An implementing country’s first EITI Report must be published within 18 months from the date that the country was accepted as an EITI country and Validation is required to commence within two and a half years of becoming an EITI country. Section 8 of the EITI Standard sets out the timeframes that implementing countries have to adhere to, and the consequences of noncompliance with the EITI Requirements.

Validation methodology

Validation assesses progress against the EITI Standard (set out in section 3 of the EITI Standard). The methodology is set out in the Validation Guide, with guidance on assessing each provision of the EITI Standard. In some cases, the Validation Guide specifies the evidence that the validator must use to ensure that a provision has been satisfied. In other cases, there are different approaches that a country might take to address an EITI provision, and the Validation Guide provides examples of the types of evidence that the validator might consider.

Validation procedures

Given the multi-stakeholder nature of the EITI and the importance of dialogue, the Validation procedures emphasise stakeholder consultation. Validation is carried out in three stages.

1. Initial data collection and stakeholder consultation are undertaken by the EITI International Secretariat. The International Secretariat reviews the relevant documentation, visits the country and consults stakeholders. This involves meetings with the multi-stakeholder group, the Independent Administrator and other key stakeholders, including stakeholders that are represented on, but not directly participating in, the multi-stakeholder group. The Board maintains a standardised procedure for data collection.

Based on these consultations, the International Secretariat will prepare a report making an initial evaluation of progress against the requirements in accordance with the Validation Guide. The report will not include an overall assessment of compliance with each provision in the EITI Standard. The report is submitted to the Validator. The multi-stakeholder group is invited to comment on the report.

2. Independent Validation. The EITI Board will appoint the Independent Validator, who will report to the Board via the Validation Committee. The Board will appoint Validators to review batches of Validations in accordance with a schedule to be agreed by the EITI Board. In accordance with the Validator’s terms of reference, the Validator assesses whether the Secretariat’s initial Validation has been carried out in accordance with the Validation Guide. This will include: a detailed desk review of the relevant documentation for each requirement and the Secretariat’s initial evaluation for each requirement, and a risk-based approach for spot checks, and further consultations with stakeholders. The Board may request that the Validator undertake spot checks on specific requirements. The Validator will amend or comment on the Secretariat’s report as needed. The Validator then prepares a short summary (the Validation Report) for submission to the Board. This will include the Validator’s assessment of compliance with each provision, but not an overall assessment of progress against the EITI Standard. The multi-stakeholder group will be invited to comment on the Validation Report.

3. Board review. The Validation Committee will review the Validator’s assessment and any feedback from the multi-stakeholder group. The Validation Committee will then make a recommendation to the EITI Board on the country’s progress against the EITI Standard.

The EITI Board will make the final decision as to whether the requirements are met or unmet, and on the country’s overall compliance with the EITI Requirements in accordance with provision 8.3.a.ii of the EITI Standard.

On 27 May 2016 the Board agreed:

  1. A revised Validation guide.
  2. Validation procedures, including a standardised procedure for data collection and stakeholder consultation by the EITI International Secretariat and a procedure for the procurement of Validators and standardised terms of reference.

See the documents listed below.

Validation schedule

On 25 October 2016 (Astana Board meeting), the EITI Board agreed the Validation schedule for all EITI implementing countries. 

 

Validation outcomes and consequences

The outcome of Validation can have different consequences for the status of the country as member of the EITI.

The following figure illustrates the consequences of Validation results. It can also be found in the EITI Standard after requirement 8.8.

EITI Validation flow chart

You can find more information on the statuses of countries by following the link below.

Background to the changes to the Validation system

The first Validation Guide was published in 2006. The Validation procedure has since been updated and improved on a number of occasions. In 2015, the EITI Board conducted a review of the Validation process, including an extensive consultation process. At the EITI Board meeting in Berne in October 2015, the EITI Board agreed to conduct five pilot Validations (an example of the work done in Mongolia is available here). This led to the changes to the Validation system, as outlined above. 

For further information about EITI Validation, please contact Sam Bartlett at the EITI International Secretariat.