BECOMING AN  
APSCA MEMBER FIRM  
This document outlines the prerequisites and application process for APSCA Audit Firm  
membership (the ‘Applicant’). It should be read in conjunction with Membership  
Information for Firms and the Audit Firm Membership Application Form.  
The authority to grant firm membership rests solely with the APSCA CEO, per the policies  
and procedures established by the Board. Board input will be sought only when deemed  
necessary.  
The Membership Application process is overseen by APSCA who gathers reports from Blue  
Umbrella (a third-party due diligence reporting agency) and an independent third-party  
due diligence specialist (the ‘Specialist’) for each Application.  
APSCA grants and maintains membership only for firms that comply with the APSCA Code  
and Standards of Professional Conduct and Competency Framework.  
If there are minor deficiencies in the Applicant’s policies, procedures, or other aspects of  
their Social Compliance Audit business, APSCA may grant provisional membership for up  
to twelve months to allow the Applicant to rectify those issues.  
Application Overview  
The time it takes to process and review an applicant's application may vary due to factors  
beyond APSCA's control. However, on average, the application process typically takes  
between 6 to 7 months from the initial submission to the final decision on membership.  
Details regarding this process are outlined below.  
Document Name:  
Version & Date:  
Replaces:  
APSCA Becoming a Member D-022  
Version 6 - March 2024  
This document is no longer version controlled once printed.  
Page 1 of 5  
Author/Owner: APSCA President & CEO  
Authorized by: APSCA Executive Board  
Version 5 – January 2024  
Application Process  
1. The Applicant electronically submits a signed and dated Membership Application Form  
along with the referenced attachments (referred to as the ‘Application’).  
Upon receipt of the Application APSCA will issue an invoice for the Initial Application Fee.  
The Application process will commence only upon receipt of the Application fee and all  
required documentation.  
2. APSCA summarily reviews the Application. If any errors or omissions are identified  
during initial review, APSCA will invite the Applicant to amend or add to the Application.  
3. APSCA may appoint any third-party expert advisers (in addition to Blue Umbrella and  
the Specialist) to evaluate each Application or any part of it.  
4. APSCA engages Blue Umbrella to conduct Due Diligence and provide a Report in  
respect of the following aspects of the Applicant and Application:  
a) Business ownership, registered locations, operating structure, business license or  
equivalent within scope of applicable laws  
b) Any other documentation required by local law to be considered as an operating  
business  
c) Information on the business license/ operational document matches the data  
provided by the applicant.  
d) Individual named person check (mostly senior management/owner level)  
e) Business practice review  
f) Integrity checks – using publicly available information  
g) Business reputation review  
h) Litigation, regulatory and blacklist checks  
5. APSCA informs all Member Firms (Provisional and Full) that the Applicant has applied  
for Membership. APSCA may, only upon request, provide Member Firms with a summary  
of the Application including the Applicant’s social compliance audit systems but will  
not provide them with copies of the Application, any policies or procedures of the  
Applicant or any confidential information about the Applicant.  
6. APSCA invites all Member Firms to comment in confidence, if they wish, within a period  
of 30 days about the Application and their knowledge (if any) of the Applicant’s  
compliance with the APSCA Code and Standards of Professional Conduct and  
Competency Framework. Based on the Member Comments provided, APSCA may seek  
clarification or further information from any Member Firms.  
Document Name:  
Version & Date:  
Replaces:  
APSCA Becoming a Member D-022  
Version 6 - March 2024  
This document is no longer version controlled once printed.  
Page 2 of 5  
Author/Owner: APSCA President & CEO  
Authorized by: APSCA Executive Board  
Version 5 – January 2024  
7. APSCA provides copies of the Application (including attachments), Blue Umbrella Due  
Diligence Report and Member Comments to the Specialist. The Specialist reviews the  
Application, including conducting reference and background checks with clients of the  
Applicant and through publicly available information (including internet and social  
media). The Specialist may ask the Applicant for clarification, further information or  
documents, if required. The Applicant has the responsibility of verifying its answers and  
providing further information where required. The Applicant may be asked to submit a  
statutory declaration (or its equivalent in the Applicant’s domicile) in respect of its  
Application and any further information provided.  
8. The Specialist drafts an interim report identifying any deficiencies in the policies,  
procedures, or other aspects of the Applicant’s social compliance audit business  
as disclosed by the Applicant and revealed during the Specialist review process,  
categorizing them as minor or major. The Specialist provides the interim report to  
APSCA and the Applicant and considers any feedback provided by the Applicant  
on the draft, making revisions as needed. If APSCA amends any list of minor  
deficiencies, the amended list will be provided to the Applicant. Any major issues,  
as defined by APSCA, will need to be resolved prior to the Specialist completing the  
final report. If, by the date six months after the Application (or a later date at  
APSCA's discretion), the Applicant fails to provide satisfactory evidence to the  
Specialist demonstrating the rectification of all major deficiencies, the Application  
process will be terminated.  
9. If the Specialist’s interim report identifies:  
a) No deficiencies or only minor deficiencies; or  
b) Identifies major deficiencies and the Applicant provides evidence to the  
satisfaction of the Specialist that all major deficiencies have been resolved,  
The Specialist will prepare and submit the final report to APSCA for review.  
10. APSCA assesses the final report and determines whether to offer Membership or  
resolve not to proceed with the Application. In certain circumstances, APSCA may  
consult with the Board for recommendation prior to determining Application  
outcome.  
11. If APSCA resolves not to proceed with the Application, APSCA notifies the Applicant  
of the decision along with any reasons.  
a) If the Applicant accepts the decision, the Application process terminates.  
b) If the Applicant wishes to appeal APSCA’s decision, it may provide APSCA with a  
written submission as to why APSCA should grant its Application. APSCA reviews  
the submission, in consultation with the Specialist and the Board of Directors, if  
deemed necessary, and notifies the Applicant of the appeal outcome. During  
the review by APSCA, the Applicant may be required to provide additional  
documentation to support its appeal.  
c) The appeals process may repeat until such time as the Applicant accepts the  
decision or APSCA resolves not to accept any further appeals from the  
Applicant, at which time the Application process terminates.  
Document Name:  
Version & Date:  
Replaces:  
APSCA Becoming a Member D-022  
Version 6 - March 2024  
This document is no longer version controlled once printed.  
Page 3 of 5  
Author/Owner: APSCA President & CEO  
Authorized by: APSCA Executive Board  
Version 5 – January 2024  
12. If APSCA resolves to grant Membership to the Applicant, a letter of offer will be sent  
to the Applicant including:  
a) Membership documentation to be executed and returned, and  
b) An invoice for Annual Member Firm fees, see Category C Annual fee on the  
APSCA Schedule of Fees. Member Firm annual fees are not pro-rated, the  
membership fees for the initial period of membership until December 31st of  
that year are equivalent to the fees applicable if the member had been enrolled  
for the entire calendar year.  
13. The Applicant accepts the offer of Provisional Membership when they:  
a) Execute APSCA’s Code and Standards of Professional Conduct, Confidentiality  
Framework Agreement, and all other membership documentation as requested  
and return to APSCA.  
b) Pay all Annual APSCA Membership Fees then due and payable.  
14. The Applicant’s (New Member’s) Provisional Membership with APSCA will  
commence and be announced once the Applicant employs and associates with at  
least one (1) In Good Standing APSCA Certified Social Compliance Auditor (CSCA).  
The Applicant must not publish or reference their offer of APSCA Provisional  
Membership until such time as it has commenced and been announced by APSCA.  
15. If the Applicant has not employed at least one (1) APSCA In Good Standing CSCA  
within 90 days of accepting the offer of Provisional Membership, the Applicant’s  
Membership offer will be rescinded.  
16. The Provisional Member (Applicant) is eligible for Full Membership when:  
a) all minor deficiencies identified during the Application process have been  
rectified, to the satisfaction of APSCA (in consultation with the Specialist, where  
required).  
b) Member Firm completes monthly and quarterly reporting, to a minimum of 1 full  
calendar quarter, with no data integrity concerns identified.  
c) Member Firm is not otherwise in breach of APSCA’s Code and Standards of  
Professional Conduct, Competency Framework, or By-laws.  
17. APSCA reserves the right to extend the Provisional Membership period when  
circumstances warrant.  
18. If the Applicant’s (New Member’s) Provisional Membership has not become Full  
Membership before the expiration of twelve (12) months after commencement, the  
Provisional Membership may be terminated.  
Document Name:  
Version & Date:  
Replaces:  
APSCA Becoming a Member D-022  
Version 6 - March 2024  
This document is no longer version controlled once printed.  
Page 4 of 5  
Author/Owner: APSCA President & CEO  
Authorized by: APSCA Executive Board  
Version 5 – January 2024  
Application Fee  
The Initial Application Fee includes APSCA’s estimates of third-party due diligence  
reporting fees, the Specialist’s fees, and APSCA’s administrative costs incurred in  
processing ordinary Applications.  
Additional Application Fees: If the time expended or costs incurred by APSCA (Blue  
Umbrella, the Specialist or anyone else advising or acting on APSCA’s behalf) exceed  
those budgeted for an ordinary Application, then APSCA may from time-to-time invoice  
additional Application Fees to the Applicant.  
APSCA may suspend the Application process until any outstanding invoices are paid.  
All Fees paid to APSCA are non-refundable in all circumstances.  
Application Errors or Omissions  
APSCA may withdraw, suspend, or revoke any Application or Membership (Provisional or  
Full) if the Application for Membership is found to have contained any material errors or  
omissions or to have been misleading in any material way.  
Confidentiality  
During and after the Application process, APSCA will take all reasonable measures to  
maintain the strict confidentiality of each Application, along with any confidential  
information the Applicant provides APSCA or anyone acting on APSCA’s behalf from time  
to time.  
APSCA will only disclose that information to third parties reviewing that Application on  
APSCA’s behalf who have undertaken to APSCA to maintain that confidentiality.  
Subsequent Applications  
In any circumstances in which an Application or Membership is terminated, the Applicant  
or Member may later reapply for Membership after a minimum period of three months.  
Document Name:  
Version & Date:  
Replaces:  
APSCA Becoming a Member D-022  
Version 6 - March 2024  
This document is no longer version controlled once printed.  
Page 5 of 5  
Author/Owner: APSCA President & CEO  
Authorized by: APSCA Executive Board  
Version 5 – January 2024