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 foundation ofbusiness
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 EMPLOYEDsocial compliance auditors
B / Between 50 and 200 EMPLOYEDsocial compliance auditors
C / Between 1 and 50 EMPLOYEDsocial compliance auditors

2.2How many sub-contractors/freelance social compliance auditors does your organisation use?

2.3For the previous calendar year, indicate below which category your company falls regarding revenue derived from conducting independent 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

2.4 List which brands, retailer, initiatives you are approved to conduct social compliance audits on behalf of?

Tick as appropriate / Initiative, Brands / Retailers / Tick as appropriate / Initiative, Brands / Retailers
BSCI / Better Works
EICC / ICS
ICTI Care / Unilever
SMETA / Amazon
SAC / McDonald’s
SA8000 / The Coca Cola Company
WRAP / Other

List other initiatives, brands, retailers below.

3.Legal status of the applicant

3.1What is the legal status of the applicant? (ie US Corporation, Limited Liability, Company Limited etc)

3.2Government Registered Company Number (ie Business License)

Note: Ensure the Government Registered Company Number / Business License Number matches the company applying for membership

4.Scope of business

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

4.2. List the countries where you currently conduct Social Compliance Audits.

4.3. 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 5 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.

15.References

Provide at least 3 references from organisations which you have or are currently conducting Social Compliance Audits on behalf of.

I certify all information supplied here is true and accurate and acknowledge that if any of the information supplied is found to be false or misleading, my organization’s membership in APSCA may be terminated. I understand APSCA may run background checks to verify any part of the information provided in this application.

I understand this application is for provisional membership only, and, in the future, APSCA may have additional criteria for applying firms and once those criteria have been determined, all firms will be required to reapply for membership.

I understand that by applying for membership and upon acceptance, I will be expected to uphold and be held accountable to all elements of APSCA’s Code of Professional Conduct, including that true and accurate information shall be made available to APSCA upon request.

By ticking this box, you are consenting to APSCA to maintainand storeinformation as required to manage your Membership profile.

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

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 9 – December 2017Authorized by: Executive Board
Replaces:Version 8Date Printed: 07 October 2018

This document is no longer version controlled once printed.
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