Consistent with its mission of increasing the value and effectiveness of independent social compliance audits by enhancing their professionalism and consistency, and the credibility of individuals and organizations performing them, APSCA has the authority to enforce the Code. This includes disciplining Member Auditors who violate the provision of these documents. These Disciplinary Procedures (“Disciplinary Procedures”) describe the processes for enforcing the Code with respect to Member Auditors, and the bodies authorized to do so.
The Disciplinary Board oversees the disciplinary process for APSCA. It is authorized to:
Members are given 30 days to respond in writing and submit relevant supporting documentation and evidence to be considered by the Disciplinary Board.
To the extent feasible, APSCA shall present all matters to the Disciplinary Board in an anonymous format, without disclosing the name of the Member(s) involved.
The standard of review for the Disciplinary Board shall be a preponderance of the evidence, which generally means “more probable than not.”
The Appeals Board may only reverse a decision of the Disciplinary Board if it finds a clear error in the decision.
When the Disciplinary Board has reviewed an allegation that a Member Auditor has violated the Code, it may take any of the following types of actions.
Conflict of Interest
Members of the Disciplinary Board and the Appeals Board shall recuse themselves from participating in the consideration of any matter where such participation would result in, or give the appearance of, a conflict of interest.
Disciplinary Action Relating to Misconduct During APSCA Exams
Guidelines for investigations and sanctions of suspected misconduct in connection with APSCA certifications exams are set out in a separate document. Actions of the President & CEO under these guidelines are not subject to review by the Disciplinary Board or the Appeals Board unless either the President & CEO, or APSCA’s Senior Advisor, Ethics & Integrity, specifically refer the case to the Disciplinary Board for its review and action.
Unless disclosure is required by a court order or other applicable legal requirements, decisions of the Disciplinary Board and Appeals Board shall be confidential, provided that APSCA may share actions by the Boards with the relevant Member Firm, and may publish on its website and elsewhere information on cases individually and collectively, provided that the name of the Member Auditor or Member Firm involved is not revealed.