1. Auditors*

It is required that Auditors who participate in VAP/CMA/AMA/SVAP** on forced labor audits be EICCapproved

Auditors. See “Audit Team Members.” Audit Firms are responsible for assigning their EICCapproved

Auditors for upcoming audits. EICC members are responsible to ensure that only EICC-approved

Auditors are appointed for CMA and AMA audits.

It is the responsibility of the Auditor to not only conduct the audit, but also take steps in Auditor

preparation, on-site audit and report writing.

*The term “Auditor” throughout this document generally refers to EICC VAP, CMA, AMA and SVAP

Auditors. Internal Auditors of EICC member companies shall also comply with the qualification criteria

listed in this guidebook if they wish to seek registration as EICC-approved Auditors with EICC.

** VAP = Validated Audit Program; CMA = Customer Managed Audit; AMA= Auditee Managed Audit,

SVAP = Supplemental VAP on forced Labor.

Auditor Responsibilities

The audit must be conducted in accordance with the expectations outlined in the EICC VAP

Operations Manual.

Auditor responsibilities include:

? Executing the audit:

? Audit preparation

? Conducting the audit

? Finalizing the report

? Providing the proper documentation

? Conducting the audit in accordance with the contents of the EICC VAP Operations Manual

and following EICC Audit Protocols

? Understanding applicable national, regional and local regulatory requirements

? Applying EICC Standards and Code interpretations, as well as applicable national, regional and

local regulatory requirements

? Participating in the opening, closing and other necessary meetings

? Preparing findings, including complete descriptions of supporting evidence, for all assigned

audit criteria questions, as required by the EICC Audit Protocol

? Acting in an honest and ethical manner

? Escalating all “Priority” Non-Conformances as required by the EICC

? Gathering field notes and copies of evidence (documents, photos) upon completion of the Audit

report, and providing to the Audit Program Manager (APM) as needed

Audit Team Members

Auditors participating in EICC audits must be “EICC Approved.” Individuals must have the competencies,

experience and/or education and training required to be approved for each discipline – Labor & Ethics,

forced labor and Environment, Health and Safety (EHS).

Auditors can be approved for one of the following categories:

? EICC Lead Auditor

? EICC Auditor

? EICC Provisional Auditor

The EICC audit team must always consist of at least one “Lead Auditor” for both EHS and Labor & Ethics

elements. Exception: only one Lead Auditor is required for a closure audit where review is on either EHS or

Labor & Ethics issues.

At least 51 percent of the audit team must be a “Lead Auditor” or “EICC Auditor.” Provisional Auditors

may make up less than 50 percent of the audit team (therefore, if there are two Auditors, neither may

be Provisional; if there are three Auditors, one may be Provisional; if there are four Auditors, one may

be Provisional; if there are five auditors, two may be Provisional).

Non-approved Auditors may attend and observe the audit. Non-approved Auditors attending audits are

required to follow the same EICC Auditor standards regarding professionalism and ethical behavior, and

must follow the audit process.