# 1. Contracting
A. [Client Pre-engagement form](https://https://sustaincertcom.sharepoint.com/:w:/r/sites/SustainCERTQMS/_layouts/15/Doc.aspx?sourcedoc=%7BE27A6650-7613-4A1D-8018-2724339308DB%7D&file=20210730.MD.GEN.Zoho_Client_PreEngagement_Form_V02.docx&action=default&mobileredirect=true)
* Check Conflict of Interest (COI) with SC
* Booking calendar in SC APP

B. Team nomination
* Objective observer
* Team leader
* Validator/verifier
* Technical/Financial/Country Expert
*COI Declaration of each team member and creation of MSA*

C. [Master Service Agreement (MSA)](//https://sustaincertcom.sharepoint.com/:w:/r/sites/SustainCERTQMS/_layouts/15/Doc.aspx?sourcedoc=%7B0E776927-61C2-44E6-A78A-D3DCFBC26534%7D&file=20210921.MD.LGL.006.MSA-Validation_and_Verification_V04.docx&action=default&mobileredirect=true)
* Statement of work submitted to the client.
* Evaluate the level of assurance (for verification purposes)
* MSA Signed

D. Issue Invoice
* Payment received
* Update ZOHO
* Notification sent to Audit Team

E.Validation Planning Process

# 2. Planning
A. Download documentation uploaded by the client.

*From GS Principles And Requirements:*

Projects shall provide evidence of conformity to the Requirements using approved Gold Standard Project templates except for supporting evidence and documents. The following project documentation and associated evidence are required at the different stages of the project cycle.

[*Refer to Gold Standard Project Cycle for detailed workflow*](https://hackmd.io/@evNDfm4pRxi_x9MjSKUVNQ/rJzwmZVjh)

1. Preliminary Review
* Key Project Information (see Project Design Document, [PDD Template](https://globalgoals.goldstandard.org/t-prereview-design-document/))
* Draft PDD including [Safeguarding Principles Assessment](https://globalgoals.goldstandard.org/103-par-safeguarding-principles-requirements), SDG Impacts identified and draft [Monitoring and Reporting Plan](https://globalgoals.goldstandard.org/t-perfcert-monitoring-report)
* [Stakeholder Consultation Report](https://globalgoals.goldstandard.org/t-prereview-stakeholder-consultation-report)
* Supporting evidence and documents such as maps, survey results, or calculations
* Signed [Cover Letter](https://globalgoals.goldstandard.org/t-prereview-cover-letter) and [Terms and Conditions](https://globalgoals.goldstandard.org/terms-conditions)

2. Validation and Design Review
* Completed PDD including Monitoring and Reporting Plan
* Fully completed Stakeholder Consultation Report
* Validation Report
* Any Activity, Context, Methodology or Product Requirement specific documentation
* Supporting evidence and documents

3. Annual Reporting
* Completed Annual Report
* Supporting evidence and documents

4. Verification and Performance Review
* Any updates to the Key Project Information, PDD, and Monitoring and Reporting Plan
* Any Context, Activity, Methodology and Product Requirement specific documentation
* Verification Report
* Supporting evidence and documents such as maps, surveys results, and/or calculations.

B. [Risk Analysis Plan and Evidence Gathering Plan](https://sustaincertcom.sharepoint.com/:w:/s/SustainCERTQMS/Ebp2Q1vy0bdBsVvsrrACpVgB04ffbfwKYKin5cyCwlIPTg?e=XHCxtQ)

C. Desk review
1. Identify if a physical visit is required.
* If yes, prepare a [physical audit plan](#Objective-Observer-(OO)-visit-workflow)
* If no, prepare remote audit plan

2. Send [audit plan](https://sustaincertcom.sharepoint.com/:w:/s/SustainCERTQMS/ES30BJdL_gdAq-5ZuHA5kFwBE7quVWNqlZllTC7fUElSsA?e=v3IGDu) to client
* If not accepted, audit plan revision
* if accepted, start the audit by notifying the team

3. Desk Review Quality Control and update audit plan

5. List of findings filled out using the [Validation / Verification findings](https://sustaincertcom.sharepoint.com/:w:/s/SustainCERTQMS/EbBadSPqDk5ArSvQ7Jr9pvMBb1TCypdlgu0KhDex3zvV2A?e=ijUs0P) template

5. Draft of Final Findings and inform team leader that the desk review is completed.

6. Desk Review Quality is checked by team leader.

D. Perform Remote audit / Site Visit

E. Prepare [Validation / Verification findings guide](https://sustaincertcom.sharepoint.com/:w:/s/SustainCERTQMS/EXwPCIiZx2FNrVenMgUd5kAB65iKlFNIcfnoZg0-gJJ6Ag?e=zC2qdR) (V.O.X reviewed)

F. Send Findings Guide to client and perform feedback rounds if needed.

G. Independent review validation

H. Issuance of opinion

I. Upload final validation/verification report in SC platform

# 3. Sharing of findings to client
Check if Validation and/or verification findings were closed after two rounds
* If yes, client sends an affirmation notice within 12 weeks -> Final validation and verification report opinion
* If no, check for exit clause in MSA -> Prepare report and modified/adverse opinion -> Final validation and verification report and opinion

# Objective Observer (OO) visit workflow


## A. Deciding when a project need an OO
Detailed information regarding Site Visit and Remote Audit Requirements can be accessed [here](https://globalgoals.goldstandard.org/standards/112_V2.0_PAR_Site-Visit-and-Remote-Audit-Requirements.pdf).
### Validation
* Standalone Project - Target Random (MS Reqs 9.1.2 (f))
* Programme of Activities (PoA) - Different technology, measure or methodology than already in PoA (POA Reqs annex A 9.1.3)
*If project is first-of-its-kind (FOIK) or risky, don't send OOs at validation as there isn't much to see*
### Verification
* Standalone Project - if not validated within 2 years of project design certification or start of certification/crediting period, whichever is later (MS Reqs 11.1.2)
* Programme of Activities (PoA) - within 3 years of the date of Design Certification (inclusion) with GS
*ISO rules require we send someone unless we have justification for not doing so. Justification must be present in the Risk Assessment*
*General rule, send an OO at 1st verification.*
*Send an OO if more than 3 years since the last one*

1. Receive an email about the initiation of the 4-week review for all validations and verifications
2. Cross reference the GSID and ZOHO to see the date of last OO visit.
3. If OO visit is required, navigate through `Certification Review` and select `Yes` on the lowest GS ID
4. Proceed to `OO Selection` and create an entry for the project that needs an OO visit (e.g., GSID, projects, POA ID, country, and project name)
5. After create an OO entry, create a folder in `Technical` > `Objective Obserber` > `Assignments` > `<GS ID>` and place all relevant documents about OO in the folder.

## B. Getting Candidate OOs
If an OO from the database is not available, send an email to PD to share a minimum of 3 CVs and complete the [Validation Appraisal Report](https://globalgoals.goldstandard.org/standards/T-DesCert_V1.2-Microscale-Validation-Appraisal-Report.docx) or [Verification Appraisal Report](https://globalgoals.goldstandard.org/standards/T-PerfCert_V1.2-Microscale-Verification-Appraisal-Report.docx)

> Hi `<PD>`,
>
> Thanks for your submission. We would like to send an OO for this validation/ verification, which means you need to share 3 CVs. We may select our preferred candidate from these CVs or choose from experts who are already on our roster.
>
> I have attached the [Terms of Reference](https://sustaincertcom.sharepoint.com/:b:/g/TeamSite/Technical/EfRc8xvyPg5Bp-_yiPmkojsBA0azvf6EAvbBsFQYfOjMgg?e=xtg72E) that stipulate the requirements to be an OO. When you are satisfied 3 candidates meet the requirements, please send me the selected CVs (each with a valid email address inside) in PDF format and I will start the assessment process with the OOs.
>
> We pick up travel costs etc, and we select the candidate based on their inputs in later stages of the application process, which involves completing a short exam.
>
> Please can also let me know of suitable dates for yourself for the on-site visit in the next month? You should also ensure that your candidates are available at this time.
>
> Please can you also fill out a [Verification / Verification Appraisal Report](https://globalgoals.goldstandard.org/t-descert-microscale-validation-appraisal-report/), with your project-based information as per the guide in the template. This will form the template for the selected OO’s report and help them plan their assignment.
>
> Hopefully it is clear from the template what is required, but let me know if you have any questions.
>
> It is strongly recommended to send your 3 CVs within 2 weeks of the date this email. The later the OO site visit happens in the certification process, the more chance of delay.
>
> Many thanks,
> `<Name of VVB>`

If an OO from the database is available, send an email to desired OO with the details of the project. Send an email to PD nominating the OO from the database.

## C. Assessing OO Candidates
1. Check CVs of potential OOs to see if they meet the [minimum requirements](https://sustaincertcom.sharepoint.com/:b:/g/TeamSite/Technical/EfRc8xvyPg5Bp-_yiPmkojsBA0azvf6EAvbBsFQYfOjMgg?e=xtg72E).
2. Assess whether potential OOs are free from any form of COI.
3. After assessment, potential OOs will receive an invite email to take a short exam.
> Hi `<Name of OO>`,
>
> I hope you are well.  We have received your CV from `<PD>` who are implementing a `<Project Name>` in `<Geographical Location>` and they mentioned that you are interested in becoming an Objective Observer to validate the sustainable development impacts of their project.
>
> I have attached the part completed template Validation/Verification Appraisal Report that the selected candidate will use to report on OO assignments, Section A tells you the where the project is located. You must be able to travel to this area for the onsite visit.
>
> To move forward in the assessment process, please read the attached short (4 page) [Training Manual](https://sustaincertcom.sharepoint.com/:b:/g/TeamSite/Technical/EcmqiLAWb-ZAgKY72Hj7lngBUXZmfKUglDBkGZiBTpkKQQ?e=pa3gob) to better understand the key requirements of the task. We then invite you to take a 10-question exam (please use this [link](https://survey.zohopublic.com/zs/tjBUzR)) to demonstrate your understanding of this manual within 5 business days of this email.
>
> Please inform me once you have taken this exam and confirm in the same email your expected day rate for the assignment. I will review your exam results and compare your day rate along with other candidates to select our Objective Observer for this assignment.
>
> The successful candidate will be given further instructions and will prepare a proposed budget/workplan as part of the contracting process and will complete the site visit within 10 business days unless otherwise agreed.
>
> If you have any questions, please ask.
>
> Many thanks - and I look forward to hearing from you.
>
> Best regards,
> `<Name of VBB>`
4. Check whether desired potential OO has passed the exam. Response to exam question can be accessed [here](https://survey.zoho.com/survey/newui#/portal/691083704/department/UdB3mv/mysurveys). Passing mark is 7 out of 10.

## D. Reviewing OO Workplan
Send an email to potential OO to send a workplan.

> Hi `<OOName>`,
>
> I am happy to say that you are our preferred candidate and we’d like to move to contracting. I have reattached the Training Manual to help you carry out this final planning task.
>
> You will also find a set of Onsite instructions attached, these describe the key activities and evidence we require from you. You are encouraged to carry out any other activities you think may be of use, but you must include them in your workplan so that we can decide to approve them, or not.
>
> Please can you develop a workplan using the attached file ([Objective Observer Workplan & Budget](https://sustaincertcom.sharepoint.com/:x:/r/TeamSite/Technical/_layouts/15/Doc.aspx?sourcedoc=%7BD6B99231-3047-46F9-8241-63A20F3BED66%7D&file=20210819.MD.GEN.OO_Workplan%26Budget-v4.xlsx&action=default&mobileredirect=true)) to show how you will carry out the assignment. Make sure you clearly link your workplan to the [Onsite Instructions](https://sustaincertcom.sharepoint.com/:w:/s/SustainCERTQMS/ERf-ZfSzPxFFoJa7NFUJjmcBi00ENHtu3BjrbyiGaFL8Lw?e=3ge0yx) and the assessment questions (>>) in the attached part-filled VAR that you will use to complete your report.
>
> Once we have approved your workplan, we will ask you to sign a contract and then you can start planning the visit. Note, you should only go on onsite if there are no covid19 restrictions that prevent travel to the project location – if restrictions prevent travel, we can conduct this assignment remotely.
>
> Best regards,
> `<Name of VVB>`

Guidelines:
* 1-2 days in the field is sufficient + 1 day for reporting
* Normal budget is `≤ 1000 USD`
* Car rental is typical `100 USD`
* Hotels in Africa can be expensive - `40-50 USD` is typical
* Check for receipts or proof of costs

## E. Contracting OO
Send contract to OO after the approval of workplan.

> Dear `<Name of OO>`,
>
> Thanks for your workplan, we have approved it. Please find the [contract](https://sustaincertcom-my.sharepoint.com/:w:/r/personal/joan_adera_sustain-cert_com/_layouts/15/Doc.aspx?sourcedoc=%7B914D5E8E-352A-4B38-9348-F38C604C94CC%7D&file=20210806.MD.LGL.004.Objective_Observer-FINAL%20contract.docx&action=default&mobileredirect=true) attached that confirms the project details and the agreed budget.
>
> Can you please
> * update page 1 with the date of signing and your name and address
> * sign page 6
>
> As soon as you have signed I'll put you in touch with the project owner to organize the on-site visit as per your workplan. Please don’t forget to keep hold of receipts for all activities.
>
> We look forward to working with you!
> Best regards,
> `<Name of VVB>`

## F. Introduction of chosen OO to PD
1. Introduce OO to PD, along with details of the workplan. Exclude all prices and unnecessary budget lines

> Dear `<PD>`,
>
> We have selected `<Name of OO>` as our Objective Observer, her workplan and preferred dates for the site visit are below.
>
>Will leave it to you and `<Name of OO>` to arrange the logistics, just let me know if anything changes datewise.
>
> Any questions please let me know.
>
> Best regards,
> `<Name of VBB>`

2. Let the OO organise the site visit, following the onsite instruction guide.

## G. Review OO VAR Report
Team leader must review the OO report and evidence they supply using the CARs/Feedback form in the annex.

## H. Final OO VAR Report
1. Send an email with the final OO report to PD confirming it will be published in its current form unless SC receives a feedback within 2 business days.

> Hi`<PD>`,
>
> Hope all well.
>
> The OOs report is complete and was positive, please see attached
>
> There is one comment that we would like to look into – `<General info about issue>`. Please have a look at this comment – this will be transferred to the ver. feedback.
>
> Please review the report – we will publish so want to make sure there are no confidentiality/accuracy concerns before we do.
>
> I will allow 2 business days (`<Date>`) for you to finish reviewing. In line with GS disclosure requirements, we will publish, unless we hear from you.
>
> Regards,
> `<Name of VVB>`

2. After approval of VAR, obtain a signature from the OO to confirm the final version of the VAR / OO report. Mark the document final.
3. Upload OO report to SC App

## I. Arranging OO Payment
1. Ask OO to make out an invoice following the instructions in the OO workplan & budget sheet 2
2. Cross reference that the amount spent is the same as budgetted (10% variance is ok). Double check receipts with expense report.
3. Send request payment to <[e-mail]>. Inform OO to contact Finance Team directly for any payment issues.
*Payment in advance, contact <[e-mail]>*

## J. Update OO database
Navigate to the OO database `Technical` > `Certification` > `Objective Observer` > `OO database.xls` and place the details of the OO in the database.