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Assessment & Monitoring
At the core of the EICC’s approach is an engagement model for supporting members' implementation of the Code in their operations and their suppliers.
The model is designed to drive long-term change, rather than short-term fixes.  It emphasizes companies' ownership and responsibility for workplace practices, investments in capability-building, and rewards for continuous improvement.
Each phase of the engagement model is supported by practical tools and processes that EICC member companies use to communicate the social and environmental standards in the Code, monitor performance, and drive needed change. Denoted as a circular process, this model relies on continuous improvement throughout a company’s corporate responsibility journey.
PHASE ONE: Organizational Assessment
 The Organizational Assessment phase focuses on assessing high level risk, and building awareness and capability. In the early stages of building a company’s corporate responsibility programs and practices, companies typically:
- Complete a initial gap assessment of the company’s own policies and practices against the EICC Code of Conduct
- Incorporate CSR concepts in company policies and operational processes as dictated by the gap assessment (i.e. supplier requirements, human resources policies, contracts, dedicated internal resources and training)
- Complete an initial high level CSR risk assessment (Risk Assessment 1 - RA1) of their supply chain (suppliers)
- Launch initial training, such as the EICC’s capability building e-learning module Corporate Responsibility in the Electronics Industry Supply Chain
The "risk" being assessed is compliance risk (likelihood of regulatory noncompliance and EICC Code of Conduct nonconformance) and reputation risk (the significance of poor CSR performance to the customer). The purpose of an initial high level supply chain risk assessment (RA1) is to help companies (members) prioritize and focus efforts on the suppliers and locations of greatest potential risk.
Once a company (member) has established their internal CSR policies and identified their most significant supply chain risks, they will begin to develop the programs and systems needed to implement those policies and to begin working with their suppliers to achieve conformance with the EICC Code of Conduct.
PHASE TWO: Self-Assessment & Training
 As companies progress in their corporate social responsibility journey, they typically conduct detailed self-assessments on four key areas of social responsibility risk including labor, health and safety, environment, and ethical conduct. The self-assessment, conducted at both the company and facility levels, also addresses the management systems which are needed to effectively manage these different areas.
A company (member) generally completes an EICC Self-Assessment Questionnaire, referred to as an SAQ, first for their own operations and then for their suppliers. A completed self-assessment questionnaire score primarily indicates the potential for risk but also provides an assessment of conformance to the EICC Code of Conduct. Risk potential is the determination of key facility characteristics (e.g., hazardous materials, contract workers) relevant to inherent risk parameters (e.g., likelihood, severity, exposure or inherent vulnerability).
Through self-assessment and training, a company either starts or continues in their journey of continuous improvement. Even the most experienced companies find enhancements that can be made to their business practices and programs.
PHASE THREE: Validated Audit
 Phase Three is focused on performance measurement of both a company’s own operations and those of their suppliers.
For a member’s own facilities, the EICC Code of Conduct requires periodic self-evaluations. These may consist of internal audits, external audits based on the standards in the EICC Code of Conduct, or an EICC-facilitated Validated Audit Process (VAP). For a company’s (member’s) suppliers, a VAP is preferable when the supplier serves multiple customers in the electronics industry. However, if the supplier does not have many electronic industry customers, the company (member) could do their own audit of the supplier.
Member Validated audit requirements are based on the EICC Code of Conduct, Version 4.0, Section E.9 (Audits and Assessments): “Periodic self-evaluations to ensure conformity to legal and regulatory requirements, the content of the Code and customer contractual requirements related to social and environmental responsibility.
The VAP conducted in this phase provides a detailed evaluation of labor, ethics, occupational health and safety, and environmental practices relative to the requirements set out in the EICC Code of Conduct, and applicable local and national laws and regulations. The VAP also evaluates the related management systems to help provide a comprehensive view of a both a company’s overall performance, and related management system capability necessary for sustained conformance to the EICC Code of Conduct. The resulting VAP report identifies company practices that meet the requirements and those that require improvement to meet the requirements.
All companies, members and suppliers alike, are expected to review areas of nonconformance, develop meaningful plans to address any nonconformance and obtain necessary resources and training to properly implement improvements.
See the Assessment section for more information on the tools used in supply chain assessment.
(Last Updated December 7, 2012)
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