Association of Professional Social Compliance Auditors Apsca

ASSOCIATION OF PROFESSIONAL SOCIAL COMPLIANCE AUDITORS – APSCA

APPLICATION FORM FOR APSCA MEMBERSHIP

Applicants for APSCA membership:

Please complete the attached questionnaire and any attachments and return it to:

All information given in response to this questionnaire will be treated in confidence

APSCA questionnaire for completion by applicant firms:

1.Applicant’s details [If the application covers a group of companies, the contact details should relate to the group head office or other entity that will be nominated as the group's representative in the event of admission to membership of APSCA]

1.1Full name of applicant entity
1.2Registered address
1.3Operational address if different from 1.2
1.4Telephone number
1.5Fax number
1.6Website address
1.7Date of foundation of the business
1.8Company Contact Name
1.9Company Contact Email
1.10Company Contact Mobile\Cell

2.Category of Membership \ Revenue

2.1 Which category of APSCA membership are you applying for?

Category / Number of Social Compliance Auditors / Tick as appropriate
A / More than 200 social compliance auditors employed
B / Between 50 and 200 social compliance auditors employed
C / Fewer than 50 social compliance auditors employed

Note: Defined as full time equivalent individuals performing 2nd party social compliance audits employed by the applying Company.

2.2 What percentage of the above comprises freelancers/independent auditors?

2.3Which category of revenue does your company derive from social compliance audits?

Category / Company Revenue Derived from Social Compliance Audits / Tick as appropriate
1. / Over USD20M
2. / Between USD10m - USD20m
3. / Between USD5m - USD10m
4. / Between USD2.5m - USD5M
5. / Less than USD 2.5M

3.Legal status of the applicant

3.1What is the legal status of the applicant?

3.2Business License Number

4.Scope of business

4.1. Describe the total business activities of the applicant’s organization in addition to the provision of independent social compliance audits.

4.2. Does your organization conduct other social compliance related business besides the provision of social compliance audits?

Yes No

If yes, describe the type(s) of social compliance related business your organization conducts.

5. Business Set-up and Structure

5.1Describe the ownership of your business entity – who are the legal owners?
5.2Do you have any business affiliations with other commercial entities (i.e. is your business linked legally, commercially or in any other way to others). If so,name the entities you are linked to and describe the relationship.
5.3Attach the organizational structure of owners and directors.
5.4In the last 3 years, has your business been subject to any litigation or arbitration?

6. Quality

6.1Do you have a Quality Management System (QMS) which is externallycertified and accredited?

Yes No

6.2If yes, please state what standard you are certified to: Example: ISO 9001, or accredited under ISO/IEC 17020/1, or any other external standard (WRAP, SAAS, (SA8000), EICC, etc.)

Indicate the Certification/Accreditation body for thisQMS.

______

ONLY ANSWER 6.3 IF THE ANSWER TO 6.1 WAS NO.

6.3If you have defined your own QMSwhich is not externally certified and accredited, describe your approach to the following in a maximum of 200 words per section.

6.3.1Quality Assurance Governance
6.3.2Auditor Training
6.3.3Auditor Qualification Process
6.3.4Auditor Performance Monitoring
6.3.5Internal Audits
6.3.6Report Review Process
6.3.7System of Ensuring Quality Service Delivered

6.4Does your QMS apply to all areas of your business – geographically and operationally?

7. Impartiality

Do you have a process in place to safeguard your impartiality? Explain your internal process.

8. Integrity

8.1Describe how your organization maintains integrity and impartiality in the performance of its professional activities. This may be done by direction to policies and procedures.

8.2Attach copies of your company’s policies for the following:

Ensuring Integrity
Due diligence to evaluate and manage integrity risk
Anonymous grievance mechanism for reporting
Verification measures, including but not limited to, internal audit and integrity audits on auditors
Investigation procedure with an independent investigation team

9. Conflicts of interest

Describe how your organization identifies and manages potential conflicts of interest related to social compliance audit activities. This may be done by direction to policies and procedures.

10. Confidentiality

Describe how your organization preserves appropriate confidentiality in respect of information received in the course of the provision of social compliance audit services. This may be done by direction to policies and procedures.

11. Anti-bribery

Describe how your organization prevents the payment or receipt of all forms of bribery by its personnel, agents, subcontractors and similar business partners. This may be done by direction to policies and procedures.

12. Fair marketing

Describe how your organization manages the fair marketing of its services including any references to competitors. This may be done by direction to policies and procedures.

13.Management

Has any of your directorsand/ or officers or of other group member company(s) been convicted of an offence related to the management of a company or its business?

YesNo

If yes, provide details.

14.National prohibitions

Provide information on any governmental or judicial act that, either currently or within the last three years, has prohibited any part of your organization from working in any country.

I certify, by signing this document on behalf of my company, that I see no reason my business operations will cause any disrepute to APSCA.

I understand APSCA may run background checks to verify any part of the information provided in this application.

I understand, in the future, APSCA may have additional criteria for applying firms and once that criteria has been determined, we may be required to reapply for membership.

Authorised signatory #1: / ______/ Date:
Print name:
Position/title:
Authorised signatory #2 / ______/ Date:
Print name:
Position/title:

NOTE: The above signatory must have the appropriate level of authority to engage APSCA.

Document Name:APSCA Application Form-T-002Author/Owner: Executive Director
Version & Date:Version 3 Authorized by: Executive Board
Replaces:Version 2Date Printed: 04 December 2018

This document is no longer version controlled once printed.
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