NEPAL ACCREDITATION FOUNDATION (NAF) NAF-SCH-VVB-CHK-01 ISO/IEC 17029:2019 Assessment Checklist for Validation and Verification Bodies Conformity Assessment Body (CAB) Name: Lead Assessor / Evaluation Team: Date(s) of Assessment: Assessment Location (Physical/Remote): Part 1: Principles (Clause 4) Clause Assessment Requirement Compliance Objective Evidence / Assessor Findings 4.2.1 Does the VVB deploy a method for reaching reliable and reproducible validation/verification conclusions based on sufficient and appropriate objective evidence? Conformant Non-Conformant Not Applicable 4.2.3 Are validation/verification activities, findings, and statements—including significant obstacles and unresolved diverging views—truthfully and accurately reflected (Fair Presentation)? Conformant Non-Conformant Not Applicable Part 2: General Requirements (Clause 5) Clause Assessment Requirement Compliance Objective Evidence / Assessor Findings 5.1 Is the VVB a legal entity, or a defined part of a legal entity, that can be held legally responsible for all its validation/verification activities? Conformant Non-Conformant Not Applicable 5.3.3 Does the VVB actively monitor its activities and relationships (including personnel relationships) to identify threats to its impartiality? Conformant Non-Conformant Not Applicable 5.3.7 Are reviews and decisions made by personnel strictly different from those who carried out the validation/verification execution? Conformant Non-Conformant Not Applicable 5.3.9 Is the VVB strictly prohibited from offering or providing both consultancy and validation/verification for the same claim from the same client? Conformant Non-Conformant Not Applicable 5.4 Can the VVB demonstrate it has evaluated the risks arising from its activities and has adequate arrangements (e.g., insurance/reserves) to cover liabilities? Conformant Non-Conformant Not Applicable Part 3: Structural Requirements (Clause 6) Clause Assessment Requirement Compliance Objective Evidence / Assessor Findings 6.1.3 Is the organizational structure documented, including duties, responsibilities, authorities of management, personnel, and any committees? Conformant Non-Conformant Not Applicable 6.1.4 Has top management been explicitly identified as having overall authority for policy development, finance supervision, and ensuring impartiality? Conformant Non-Conformant Not Applicable 6.2.1 Does the VVB have a process for the effective control of activities delivered by branch offices, partnerships, agents, or franchisees? Conformant Non-Conformant Not Applicable Part 4: Resource Requirements (Clause 7) Clause Assessment Requirement Compliance Objective Evidence / Assessor Findings 7.2.2 Do all personnel involved in activities enter into legally enforceable agreements committing to impartiality, confidentiality, and declaring conflicts of interest? Conformant Non-Conformant Not Applicable 7.2.5 Are personnel who provided consultancy on a claim barred from performing V/V activities on that claim for a specified period to minimize impartiality threats? Conformant Non-Conformant Not Applicable 7.3.2 Does the VVB determine competence criteria including the ability to apply generic V/V concepts (materiality, assurance levels) and programme knowledge? Conformant Non-Conformant Not Applicable 7.4 If outsourcing, does the VVB retain core functions (engagement, decision, statement issue), use enforceable agreements, and obtain client consent? Conformant Non-Conformant Not Applicable Part 5: Process Requirements (Clause 9) Clause Assessment Requirement Compliance Objective Evidence / Assessor Findings 9.2.2 Is a pre-engagement review conducted to ensure the claim is understood, requirements are suitable, and the VVB has access to required resources? Conformant Non-Conformant Not Applicable 9.4.1 Does planning include assessing the risk of a material misstatement regarding the claim and determining necessary evidence-gathering activities? Conformant Non-Conformant Not Applicable 9.5.4 Does the execution phase involve collecting sufficient objective evidence on original data, ensuring traceability, and identifying misstatements? Conformant Non-Conformant Not Applicable 9.6.3 Does the independent review confirm that all activities were completed per the agreement and that evidence is sufficient to support the decision? Conformant Non-Conformant Not Applicable 9.7.2 Does the issued V/V statement state the client’s name, describe the scope, indicate if data was historical/projected, and state the decision? Conformant Non-Conformant Not Applicable 9.8.1 Are there procedures to manage new facts discovered post-issuance that could materially affect the statement, including potential revision or withdrawal? Conformant Non-Conformant Not Applicable 9.9 & 9.10 Does the VVB have a documented process to receive, evaluate, track, and make decisions on appeals and complaints independently? Conformant Non-Conformant Not Applicable Part 6: Information & Management System Requirements (Clauses 10, 11) Clause Assessment Requirement Compliance Objective Evidence / Assessor Findings 10.3.1 Does the VVB have rules governing references to validation/verification or use of marks, ensuring traceability and preventing misleading claims? Conformant Non-Conformant Not Applicable 10.4.3 Are proprietary information and the identities of complaint sources kept strictly confidential, except where authorized by law or contract? Conformant Non-Conformant Not Applicable 11.2.1 Does top management review the management system at planned intervals to ensure its continuing suitability, adequacy, and effectiveness? Conformant Non-Conformant Not Applicable 11.3.3 Are internal audits conducted at planned intervals by internal auditors who do not audit their own work? Conformant Non-Conformant Not Applicable 11.4 Are there established processes for identifying nonconformities, determining root causes, and implementing effective corrective actions? Conformant Non-Conformant Not Applicable Print Assessment / Save to PDF File
