Overview of Validation

Section 2 of Part 2 of the 2023 EITI Standard

This section sets out the objectives, methodology and procedure that the EITI Board uses to assess a country’s progress in meeting the EITI Standard.

Validation is an essential feature of the EITI process. It serves to assess performance and promote dialogue and learning at the country level. It also 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 seeks to identify the impact of the EITI in the country being validated; the implementation of activities encouraged by the EITI Standard; lessons learned in EITI implementation; any concerns stakeholders have expressed; and recommendations for future implementation of the EITI.

Validation assesses progress in meeting the EITI Requirements. The methodology is set out in the Validation Guide, with guidance on assessing each EITI Requirement. In some cases, the Validation Guide specifies the evidence that the Validator must use to ensure that a requirement has been satisfied. In other cases, there are different approaches that a country might take to address an EITI Requirement, and the Validation Guide provides examples of the types of evidence that the Validator might consider.

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 that are assessed in Validation are determined by the outcome of the previous Validation and the Validation schedule established by the EITI Board.

1. Preparation for Validation

Prior to the commencement of Validation, the multi-stakeholder group 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. Countries may wish to consult the EITI’s guidance note on preparing for Validation.

The country team of the EITI International Secretariat will provide guidance. 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 to the EITI Requirements using the Board-approved templates provided by the EITI International Secretariat. In second and subsequent Validations, the multi-stakeholder group is encouraged to focus on demonstrating progress in addressing the corrective actions.

The dossier submitted by the multi-stakeholder group should include clear references to publicly available documents and information on how to access them. Where source documents are not publicly available (e.g. multi-stakeholder group 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 multi-stakeholder group should submit the completed data collection and documentation templates to the EITI International Secretariat by the commencement of Validation.

Ahead of the Validation commencement date, the EITI International Secretariat launches a call for views on stakeholder engagement in the EITI. The call for views is public and shared with the multi-stakeholder group 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.

2. Review of information and preliminary assessment

The Validation team of the EITI International Secretariat reviews the information submitted by the multi-stakeholder group, as well as responses to the call for views on stakeholder engagement. The composition of the Validation team will be communicated to the multi-stakeholder group 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 previous Validation; any indication of backsliding; innovations; efforts to implement encouraged aspects of the EITI Requirements; and the effectiveness and sustainability of implementation.

The Validation team will offer the multi-stakeholder group the opportunity to discuss preliminary findings at a teleconference. The Validation team may undertake targeted virtual stakeholder consultations at this stage, consult the country team of the EITI International Secretariat 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) that are being assessed. The draft assessment, the underlying documentation and any feedback on stakeholder engagement is shared with the multi-stakeholder group and the EITI Board’s Validation Committee for information.

3. Stakeholder comments

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

The Validation team of the EITI International Secretariat is expected to review all submissions from stakeholders received within four weeks and provide a response to the multi-stakeholder group. The International Secretariat is expected to give priority to comments agreed by the multi-stakeholder group over comments from individual stakeholders or constituencies. However, possible limitations to the ability of stakeholders to have their position reflected in the multi-stakeholder group’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 EITI International Secretariat’s final assessment, if it is referred to in the feedback endorsed by the multi-stakeholder group 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. Comments received after the period for multi-stakeholder group comments will not be considered.

4. Board review

The final assessment and all underlying documentation are submitted to the Validation Committee for review. The Validation Committee shall consider views by an appointed external expert and may commission the EITI International Secretariat to undertake further consultations.

The EITI Board will not consider developments taking place after the commencement of Validation that were not included in the multi-stakeholder group’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.

The EITI Board will determine the assessment of each EITI Requirement and the consequences of Validation, in accordance with Articles 4 and 5 of Section 1, Part 2 of the 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 EITI 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 the EITI Standard, an implementing country may petition the EITI Board to review its decision related to Validation.