GENERAL REGULATION ON VERIFICATION/VALIDATION ACTIVITIES
Pursuant to the requirements applicable to bodies providing verification and validation services under ISO/IEC 17029:2019, ISO 14065:2020, ISO 14064-3:2019 and other relevant sector-specific standards and programmes;
Pursuant to Business Registration Certificate No. 0102007867 dated 06/03/2003 and the amended Business Registration Certificate dated 18/10/2021 of GIC Vietnam;
Pursuant to the Rules of Procedure of the GIC Vietnam Verification/Validation Council,
The Verification/Validation Council hereby issues the General Regulation on Verification/Validation Activities as follows:
Regulation Contents
I General Provisions
Article 1. Purpose and Scope
1. This Regulation sets out the principles, requirements, implementation procedures, and rights and obligations of relevant parties in verification and validation activities performed by GIC Vietnam.
2. This Regulation applies to clients applying for verification/validation services with GIC Vietnam; responsible parties for claims subject to verification/validation; intended users of verification/validation results; and GIC Vietnam units and personnel involved in providing such services.
3. GIC Vietnam provides independent and impartial verification/validation services for reports, data, information, projects, records or claims in sector-specific fields under the applicable programme, including but not limited to:
a) Greenhouse gases;
b) Sustainability and ESG reports;
c) Environmental, social and other information where appropriate verification/validation criteria and programmes are available.
Article 2. Terms and Definitions
For the purposes of this Regulation, the following terms apply:
1. Verification/validation subject matter: A specific report, project, claim or information of the client to be verified/validated.
2. Verification: Confirmation of a claim, through the provision of objective evidence, that specified requirements have been fulfilled (ISO/IEC 17029:2019, 3.3).
3. Validation: Confirmation of a claim, through the provision of objective evidence, that the requirements for a specific intended future use or application have been fulfilled (ISO/IEC 17029:2019, 3.2).
4. Verification/validation criteria: Policies, procedures or requirements used as the reference against which evidence is compared (e.g. ISO 14064-1 for GHG inventories, GRI Standards and IWA 48 for ESG reporting).
5. Verification/Validation Statement: The formal output of the process presenting GIC Vietnam's conclusion regarding the claim evaluated.
Article 3. Principles and Commitments of GIC Vietnam
1. GIC Vietnam performs verification/validation activities based on the following principles:
a) Independence, impartiality and fairness;
b) Reliance on sufficient, appropriate and traceable evidence;
c) Ensuring the competence of personnel performing, reviewing and deciding on verification/validation activities;
d) Transparency, integrity and avoidance of misleading information;
e) Confidentiality of information in accordance with applicable laws, contractual agreements and internal regulations;
f) Control of risks and conflicts of interest throughout the service delivery process.
2. GIC Vietnam is responsible for identifying, assessing, eliminating or controlling threats to impartiality, including but not limited to conflicts of interest, self-review, familiarity, commercial pressure or other inappropriate influences.
3. The client and responsible party, not GIC Vietnam, retain ultimate responsibility for the content of the claim and its conformity with applicable requirements. GIC Vietnam is responsible for the conclusion reached on the basis of objective, sufficient and appropriate evidence.
II Application and Verification/Validation Process
Article 4. Application, Review of Requirements and Agreement on Engagement Terms
1. The client submits an application for services together with the information and documents necessary for GIC Vietnam to assess its ability to provide the service.
2. Before accepting the engagement, GIC Vietnam reviews the request in order to:
a) Clearly determine the subject matter, objectives, scope, criteria and applicable programme;
b) Determine the level of assurance, materiality and relevant technical requirements;
c) Clarify the client, responsible party and intended users where these parties are not the same;
d) Evaluate GIC Vietnam's competence to perform the service;
e) Assess risks and conflicts of interest that may affect impartiality;
f) Determine access to data, records, locations, personnel and other necessary conditions.
3. Where GIC Vietnam does not have sufficient competence, cannot ensure impartiality or does not have adequate conditions to perform the service, it may decline the engagement.
4. The terms agreed between the parties shall be documented in a contract, agreement or service acceptance document and shall form the basis for planning and performing the verification/validation.
5. Detailed requirements for each sector-specific field shall be applied in accordance with the corresponding GIC Vietnam regulations.
Article 5. Performance of Verification/Validation
1. GIC Vietnam appoints a team or assigns personnel with appropriate competence to perform the verification/validation in accordance with the approved plan.
2. The verification/validation process includes the following principal activities:
a) Preparation of the verification/validation plan;
b) Risk analysis and determination of assessment focus areas;
c) Collection, examination and cross-checking of data, information and evidence, including confirmation of traceability;
d) Identification of misstatements, nonconformities or matters requiring clarification;
e) Evaluation of the claim against the applicable criteria;
f) Preparation of the draft conclusion, draft Verification/Validation Statement and related reports, where necessary.
3. Any modification to the verification/validation plan during the engagement shall be recorded, justified and appropriately communicated to the client.
4. GIC Vietnam may require the client or responsible party to provide additional documents, explanations or evidence, or to provide necessary access to enable completion of the evaluation.
Article 6. Handling of Misstatements, Nonconformities and Insufficient Evidence
1. Where misstatements, nonconformities or incomplete information are identified, GIC Vietnam informs the client or responsible party so that explanations, adjustments, corrective actions or additional evidence can be provided within the agreed timeframe.
2. GIC Vietnam evaluates the impact of misstatements, nonconformities or evidence deficiencies based on materiality and the requirements of the applicable programme.
3. Where the client or responsible party fails to take corrective action, fails to provide sufficient additional evidence, or the evidence obtained remains insufficient or inappropriate to support a conclusion, GIC Vietnam may:
a) Suspend the verification/validation process;
b) Decline to issue a Verification/Validation Statement;
c) Issue a modified conclusion, adverse conclusion or disclaimer of conclusion, where permitted by the applicable sector-specific programme;
d) Terminate the service in accordance with the contract.
4. Any action taken under Clause 3 of this Article shall be clearly documented in the engagement file and considered during the independent review and issuance decision.
III Issuance and Validity of Results
Article 7. Independent Review, Decision and Issuance of the Verification/Validation Statement
1. Before issuance, the complete verification/validation engagement file shall be subject to independent review.
2. The reviewer shall:
a) Have appropriate competence for the field being evaluated;
b) Not have been directly involved in performing the verification/validation for that engagement;
c) Be free from influences that could affect the impartiality of the review.
3. The independent review shall confirm, at a minimum, that:
a) Verification/validation activities have been fully performed in accordance with the agreement and applicable programme;
b) The evidence obtained is sufficient and appropriate to support the conclusion;
c) Significant findings have been properly considered, resolved and documented in the engagement file.
4. The decision to issue or not issue the Verification/Validation Statement shall be made by an authorized person of GIC Vietnam who has not directly performed the evaluation for that engagement.
5. Where GIC Vietnam decides not to issue the Verification/Validation Statement, the client shall be informed in writing and the reasons shall be stated.
Article 8. Content and Validity of the Verification/Validation Statement
1. A Verification/Validation Statement issued by GIC Vietnam shall include, at a minimum, the following:
a) Name of the client;
b) Description of the subject matter or claim verified/validated, including the relevant date or reporting period;
c) Name and address of GIC Vietnam;
d) Reference to the applicable criteria, programme and requirements;
e) GIC Vietnam's conclusion or opinion, including information concerning the level of assurance, materiality or sector-specific requirements, where applicable;
f) Date of issuance and unique identification number of the Statement.
2. The Verification/Validation Statement is valid only for the specific subject matter, scope, reporting period, records or project reviewed, and within the context of the criteria applicable at the date of issuance.
3. Verification/validation is performed at a point in time and does not automatically provide continuing validity or periodic surveillance, unless otherwise specified by the applicable sector-specific programme.
Article 9. Events Arising after Issuance; Amendment, Replacement and Withdrawal of the Verification/Validation Statement
1. Where GIC Vietnam becomes aware, after the date of issuance, of new information or events that may materially affect an issued Verification/Validation Statement, GIC Vietnam shall review and assess the impact and notify the client within an appropriate timeframe.
2. Based on the results of the review, GIC Vietnam may take one or more of the following actions:
a) Require the client or responsible party to provide explanations, information or additional evidence;
b) Amend and reissue the Verification/Validation Statement;
c) Withdraw the Verification/Validation Statement;
d) Notify relevant parties as required by the applicable programme or by law, where necessary.
3. Where a Verification/Validation Statement is amended, the reissued document shall state the reason for the amendment and replace the previously issued document.
4. The client shall immediately cease using the Verification/Validation Statement from the time GIC Vietnam notifies the client of its withdrawal or replacement.
IV Use of Results and Verification/Validation Marks
Article 10. Use of the Verification/Validation Statement
1. The client may use, publish or refer to the Verification/Validation Statement only in a complete, accurate and truthful manner, within its stated scope and without creating a misleading impression regarding the nature of the verification/validation service.
2. The Verification/Validation Statement shall not be used in a manner that could cause a third party to believe that GIC Vietnam has certified a product, process, system or the entire organization, unless a separate programme and separate document exist in accordance with the applicable requirements.
3. The client shall not excerpt, misinterpret, use out of context or apply the Verification/Validation Statement to any subject matter, location, reporting period or scope not reviewed by GIC Vietnam.
4. Where the Verification/Validation Statement is amended, replaced or withdrawn, the client shall immediately cease using the previous document and take necessary measures to prevent misleading use.
Article 11. Use of Verification/Validation Marks and Reference to Results
1. The use of any mark, symbol or reference to GIC Vietnam in communication materials, reports, disclosure documents or other media is permitted only with GIC Vietnam's authorization and shall comply with GIC Vietnam's specific requirements.
2. Any mark or reference specified in Clause 1 of this Article shall:
a) Be traceable to GIC Vietnam and the issued Verification/Validation Statement;
b) Be used only for the specific claim and scope verified/validated;
c) Not create confusion with product, process or management system certification.
3. GIC Vietnam may require the client to discontinue any inappropriate use of a mark or reference and, where necessary, may take action in accordance with the contract and applicable law.
V Rights and Obligations of Clients
Article 12. Rights of Clients
1. To be treated fairly by GIC Vietnam and to receive objective and professional services.
2. To receive adequate information concerning the applicable programme, service process, rights and obligations of the parties, fees, conditions for use of results, and the complaints and appeals mechanism.
3. To have information kept confidential in accordance with Article 15 of this Regulation.
4. To receive the Verification/Validation Statement when the requirements of the applicable programme and service contract have been fulfilled.
5. To submit complaints or appeals concerning GIC Vietnam's services or decisions in accordance with Article 16 of this Regulation.
Article 13. Obligations of Clients and Responsible Parties
1. To be responsible for the accuracy, completeness, integrity and legality of the claims, data, records, information and evidence provided to GIC Vietnam.
2. To provide in a timely and complete manner all necessary documents, explanations, access to locations, personnel and systems, and other conditions required for verification/validation activities.
3. To cooperate in taking corrective actions, making adjustments or providing explanations concerning misstatements, nonconformities or matters that GIC Vietnam requires to be clarified.
4. Not to obstruct the process, conceal information, provide misleading information or exert inappropriate influence on the impartiality of the verification/validation team, reviewer or decision-maker.
5. To pay all service fees in accordance with the agreement.
6. To use the Verification/Validation Statement, marks and related references in accordance with GIC Vietnam's requirements.
7. To promptly notify GIC Vietnam of any significant change that may affect an issued Verification/Validation Statement.
VI Information, Confidentiality, Complaints and Appeals
Article 14. Publicly Available and Provided Information
1. GIC Vietnam makes publicly available or provides interested parties with necessary information concerning:
a) Verification/validation programmes being applied;
b) The service process;
c) Requirements governing the use of Verification/Validation Statements, marks and references to results;
d) Complaints and appeals procedures;
e) Other information required by law or by the applicable programme.
2. GIC Vietnam maintains an appropriate means for checking the validity status of issued Verification/Validation Statements, within the scope of information permitted to be publicly disclosed.
3. Before making client-related information publicly available, GIC Vietnam shall notify the client in advance of the information intended for disclosure, unless otherwise required by law or agreement.
Article 15. Confidentiality of Information
1. GIC Vietnam is responsible for managing and safeguarding all information obtained or created during verification/validation activities.
2. Except for information already made publicly available by the client, information that the parties have agreed may be disclosed, or information required to be provided by law, all client-related information shall be treated as confidential.
3. Where GIC Vietnam is required to disclose information by law or contractual arrangement, the client shall be notified in advance of the scope and content of the information to be disclosed, unless notification is prohibited by law.
4. Information about the client obtained by GIC Vietnam from a third party shall also be treated as confidential under this Regulation unless the source agrees to its disclosure.
Article 16. Complaints and Appeals
1. Clients and interested parties have the right to submit:
a) Complaints concerning service quality, personnel conduct or the implementation of GIC Vietnam's procedures;
b) Appeals against GIC Vietnam's decisions concerning the issuance, non-issuance, amendment or withdrawal of a Verification/Validation Statement.
2. GIC Vietnam shall establish, maintain and make publicly available a process for receiving, reviewing and handling complaints and appeals.
3. The handling of complaints and appeals shall ensure that they:
a) Are received, recorded, tracked and retained;
b) Are reviewed and investigated on the basis of sufficient necessary information;
c) Are acknowledged upon receipt, with progress and outcome communicated to the submitter;
d) Are handled without discrimination;
e) Are decided or approved by persons who have not been directly involved in the matter complained about or the decision being appealed.
4. Detailed procedures, timeframes and forms shall be implemented in accordance with GIC Vietnam's internal procedure for handling complaints and appeals.
VII Implementation Provisions
Article 17. Effective Date
This Regulation takes effect from the date of signing and supersedes any previous provisions that are inconsistent with this Regulation.
Article 18. Responsibility for Implementation
1. GIC Vietnam units and personnel involved in verification/validation activities are responsible for implementing this Regulation.
2. Clients, responsible parties and other relevant parties are responsible for complying with this Regulation throughout the application, verification/validation and use-of-results processes.
Article 19. Dispute Resolution and Amendment
1. Any dispute arising from the implementation of this Regulation or a service contract shall first be resolved, where possible, through negotiation and mediation in a spirit of cooperation.
2. Where a dispute cannot be resolved through negotiation or mediation, it shall be referred to the competent authority in accordance with Vietnamese law.
3. Amendments or supplements to this Regulation shall be reviewed and decided by the GIC Vietnam Verification/Validation Council based on management requirements, changes to applicable standards or programmes, or legal requirements.
FOR THE VERIFICATION/VALIDATION COUNCIL CHAIRPERSON
(Signed)
