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:
[email protected]
All information given in response to this questionnaire
will be treated in confidence
Document Name:
Version & Date:
Replaces:
APSCA Application Form-T-002
Version 3
Version 2
This document is no longer version controlled once printed.
Page 1 of 9.
Author/Owner: Executive Director
Authorized by: Executive Board
Date Printed: 14 July 2017
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]
1.1
Full name of applicant entity
1.2
Registered address
1.3
Operational address if different
from 1.2
1.4
Telephone number
1.5
Fax number
1.6
Website address
1.7
Date of foundation of the
business
Document Name:
Version & Date:
Replaces:
APSCA Application Form-T-002
Version 3
Version 2
This document is no longer version controlled once printed.
Page 2 of 9.
Author/Owner: Executive Director
Authorized by: Executive Board
Date Printed: 14 July 2017
1.8
Company Contact Name
1.9
Company Contact Email
1.10
Company 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
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
Tick as
appropriate
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?
Document Name:
Version & Date:
Replaces:
APSCA Application Form-T-002
Version 3
Version 2
This document is no longer version controlled once printed.
Page 3 of 9.
Author/Owner: Executive Director
Authorized by: Executive Board
Date Printed: 14 July 2017
2.3 Which category of revenue does your company derive from social compliance audits?
Category
Company Revenue Derived from Social Compliance Audits
1.
Over USD20M
2.
Between USD10m - USD20m
3.
Between USD5m - USD10m
4.
Between USD2.5m - USD5M
5.
Less than USD 2.5M
3.
Tick as
appropriate
Legal status of the applicant
3.1 What is the legal status of the applicant?
3.2
4.
Business License Number
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.
Document Name:
Version & Date:
Replaces:
APSCA Application Form-T-002
Version 3
Version 2
This document is no longer version controlled once printed.
Page 4 of 9.
Author/Owner: Executive Director
Authorized by: Executive Board
Date Printed: 14 July 2017
5.
Business Set-up and Structure
5.1
Describe the ownership of your business entity – who are the legal owners?
5.2
Do 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.
5.3
Attach the organizational structure of owners and directors.
5.4
In the last 3 years, has your business been subject to any litigation or arbitration?
6.
Quality
6.1
Do you have a Quality Management System (QMS) which is externally certified and
accredited?
Yes
6.2
No
If 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.)
Document Name:
Version & Date:
Replaces:
APSCA Application Form-T-002
Version 3
Version 2
This document is no longer version controlled once printed.
Page 5 of 9.
Author/Owner: Executive Director
Authorized by: Executive Board
Date Printed: 14 July 2017
Indicate the Certification/Accreditation body for this QMS.
___________________________________________________________________________
ONLY ANSWER 6.3 IF THE ANSWER TO 6.1 WAS NO.
6.3
If you have defined your own QMS which is not externally certified and accredited,
describe your approach to the following in a maximum of 200 words per section.
6.3.1 Quality Assurance Governance
6.3.2 Auditor Training
6.3.3 Auditor Qualification Process
6.3.4 Auditor Performance Monitoring
6.3.5 Internal Audits
6.3.6 Report Review Process
6.3.7 System of Ensuring Quality Service Delivered
6.4 Does 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.
Document Name:
Version & Date:
Replaces:
APSCA Application Form-T-002
Version 3
Version 2
This document is no longer version controlled once printed.
Page 6 of 9.
Author/Owner: Executive Director
Authorized by: Executive Board
Date Printed: 14 July 2017
8.
Integrity
8.1
Describe how your organization maintains integrity and impartiality in the
performance of its professional activities. This may be done by direction to policies
and procedures.
8.2
Attach copies of your company’s policies for the following:





9.
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
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.
Document Name:
Version & Date:
Replaces:
APSCA Application Form-T-002
Version 3
Version 2
This document is no longer version controlled once printed.
Page 7 of 9.
Author/Owner: Executive Director
Authorized by: Executive Board
Date Printed: 14 July 2017
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 directors and/ or officers or of other group member company(s) been
convicted of an offence related to the management of a company or its business?
Yes
No
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.
Document Name:
Version & Date:
Replaces:
APSCA Application Form-T-002
Version 3
Version 2
This document is no longer version controlled once printed.
Page 8 of 9.
Author/Owner: Executive Director
Authorized by: Executive Board
Date Printed: 14 July 2017
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:
________________
Date:
Print name:
Position/title:
Authorised signatory #2
Print name:
Position/title:
NOTE: The above signatory must have the appropriate level of authority to engage APSCA.
Document Name:
Version & Date:
Replaces:
APSCA Application Form-T-002
Version 3
Version 2
This document is no longer version controlled once printed.
Page 9 of 9.
Author/Owner: Executive Director
Authorized by: Executive Board
Date Printed: 14 July 2017