VERIFICATION REGULATIONS

4C VERIFICATION REGULATIONS
VERSION 2.1 | APRIL 2016
Rating
Findings, Risks and Observations
Verifiers are requested to confirm the Self-Assessment conducted by 4C Units regarding all three
pillars of the 4C Code of Conduct, i.e. the 27 principles, the Unacceptable Practices (UAPs) and the
Internal Management System (IMS). Findings, risks and observations can be made in any of these pillars
as per the below description.
Finding:
A finding is any repetitive (as opposed to one-off) deviation in a rating of any principle at the
aggregated level in the Self-Assessment with sound, clear and verifiable evidence. A finding can be
both up-rating and down-rating a principle against the Self-Assessment. At the level of the UAPs, a
finding is any non-compliance with one or more UAP(s) at the individual level of one or more Business
Partners or at the level of the Managing Entity. A finding in relation to the IMS is any deviating
evaluation by the verifier as opposed to th
IMS).
Observation:
At the level of the principles, an observation is a one-off instance or a case having insufficient evidence
to be concluded as a finding against these principles. In that sense observations do not apply to the
UAPs or the IMS.
Risk:
A risk is the likelihood and extent that a non-conformity will actually occur. A risk is derived using the
risk assessment matrix and refers to any practice observed during verification (at level of the principles,
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