15. Approval Termination

Both the Auditor and the Audit Firm may have their approval to conduct EICC audits terminated.

Auditor Termination

The auditor may no longer be approved to conduct EICC audits for the following reasons:

Confirmed Ethical Breach – acceptance of bribery, accepting gifts, unethical or dishonest audit scores,

etc.:

 Approved Auditor status removal is effective immediately upon confirmation of ethics violation

 This decision is at the sole discretion of the Appointed Agent or the EICC

 Ethical breaches apply not only to ethical issues within the EICC program, but any ethical issues

with any audit or auditee, or within any auditing scheme

Suspected, But Not Confirmed, Ethical Breach – Auditors that have a suspected, but not confirmed,

ethical breach (acceptance of bribery, accepting gifts, unethical or dishonest audit scores, etc.) will be:

 Suspended from conducting audits during the investigation, unless otherwise permitted to do audits by the Appointed Agent or the EICC

 Suspended from conducting EICC audits for up to 12 months (to protect the EICC and EICC audit

process) – Auditor must be re-approved as a new Auditor prior to conducting EICC audits

 Placed on probation for up to 24 months (probation means any other ethical breach, or

suspected ethical breach, during this time may result in removal from the approved auditor list)

 NOTES:

 The decision to consider any Auditor in "Suspected, But Not Confirmed, Ethical

Breach" and the application of any or all of the above is at the sole discretion of the

Appointed Agent and/or the EICC

 Ethical breaches apply not only to the EICC program, but any ethical issues with any

audit or auditee, or within any auditing scheme

Egregious Errors – large errors in the audit process, including, but not limited to, not completing

portions of an audit, late audit submittal without communication, extremely unprofessional

quality, etc.:

 First offense – warning to the Auditor

 Second offense – Auditor on probation for between 6-24 months (probation time applied at

the discretion of the Appointed Agent or the EICC, based on factors related to the offenses)

 Third offense – if the third offense occurs while on probation, Auditor is removed from

approved Auditor list

 Auditor is no longer approved to conduct EICC audits

 Auditor may request re-approval as a new Auditor after 12 months

Continual errors, late reporting, unprofessionalism, or other issues that are not addressed or corrected

The Appointed Agent reserves the right to suspend Auditors who continually make similar mistakes or

otherwise do not implement corrections to the process as suggested by the Appointed Agent or the

EICC.

Detrimental Actions – The Appointed Agent and the EICC have the sole discretion to terminate any

Auditor for any reason at any time for actions, comments, attitudes or any other actions or factors that

may be detrimental to the EICC audit program. Protection of the EICC’s reputation and confidence in

the program by member companies, Auditors, auditees, external stakeholders and others is the top

priority in determining termination of any Auditor’s approval to work within the EICC system.

Expired CPD hours – If the 24 CPD hours have not been completed by an Auditor within 12 months,

approval to participate in EICC audits ends. However, Auditors have a two-month window after their

approval ends to collect the 24 CPD hours. Failure to satisfy the 24 CPD hours results in termination of

approval for conducting EICC audits.

Auditors may become re-approved to conduct EICC audits, but must be approved through the same

process as a new Auditor.