APSCA - PART I PRACTICE EXAM

Instructions

Single-Select Multiple Choice: unless specified otherwise, exam takers should select only one correct answer from four possible choice
Multi-Select Multiple Choice: If a question says, "select all that apply (2) or (3)," there will be two (2) or three (3) answer(s) from four possible choices
All four answers are never correct.
True / False: select whether the statement is correct or not

QUESTION

CATEGORY

ANSWERS

If a factory is mainly employing men. Which actions should be taken to validate whether there is discrimination in hiring female workers?
Select all that apply. (2)

Discrimination

Review the job advertisements and the position to which they are being hired to determine whether the requirements focus on skills or gender.

Interview the HR manager to understand the hiring procedures and the employee selection process.

Interview the production manager to confirm the hiring date of the male and female workers.

Inform management that this is a clear case of discrimination and request them to take corrective action.

During worker interviews, the following statements were shared. Which statements may be considered discriminatory practices and require additional investigation?
Select all that apply. (3)

Discrimination

“I am paid less than what I am worth, and I am sure I can earn more in a different factory.”

“My employer pays me lower wage than my less-qualified male co-worker who has shorter tenure.”

“My employer asked me my age and marital status during the recruitment process.”

“I was told that I would be fired from my job if I file a discrimination complaint.”

Two workers are employed in the same position. However, they are not paid the same amount. In which scenario would the discrepancy in pay be considered discrimination?

Discrimination

There is a difference in their seniority.

There is a difference in their education.

There is a difference in their specific skills.

There is a difference in their age.

Which of the following is NOT protected from discrimination?

Discrimination

Age

Hair Color

Ethnicity (origin)

Sexual orientation

During worker interviews which questions would you ask if there was a trade union within the facility?
Select all that apply. (2)

Interview Skills

How are trade union representatives elected or appointed?

Do you really think having a trade union is useful?

Will you consider running for a trade union representative in the future?

If you would like to raise a complaint, who would you talk to first?

Which is the best location to conduct worker interviews?

Interview Skills

An empty desk in front of the HR managers office

The security guard office

The health and safety training room

Worker's own workstation

Which of the following methods is NOT an effective way to select workers for interviews?

Interview Skills

Select from personnel files

Identify from facility tour

Select from the manager’s preferred list

Select from attendance records

You are planning your schedule for the audit, when should the facility tour take place?

Overall Audit Questions

As soon as the audit team arrives to ensure management’s presence does not hinder the process.

After the employee interviews and just before the closing meeting.

During the early stage of an audit, to enable the audit team to gain an overall view of potential risks.

To accommodate management’s request to keep it at the last 30 minutes of the audit day.

Which of the following does NOT need to be assessed during the factory tour?

Overall Audit Questions

Product Quality Assurance.

Underage labor.

Subcontracting activity.

Environmental Health and Safety (EHS).

Before arriving at the facility, which of the following should be reviewed to understand the conditions, challenges and issues affecting the facility?
Select all that apply. (2)

Overall Audit Questions

Research applicable laws and regulations.

Be aware of specific PPE, clothing or training required to enter the site.

Nationality of management and supervisors.

Sample payroll records.

If juvenile workers (age 16 to 18) are allowed by law to work, which of the following would be part of the document review process to determine compliance of juvenile workers conditions for work?
Select all that apply. (2)

Underage Labor

Review juvenile worker’s disciplinary report.

Review juvenile worker’s productivity report.

Review juvenile workers’ time records.

Review juvenile workers’ job description.

Which statement is correct regarding what you may discover during payroll record review?

Wages Benefits

Improper rate for statutory (legal) holiday.

Improper training for new workers.

Improper withholding of identity documents.

Improper management of complaints.

A group of workers report that their wage payments can be delayed, however management informs you that they pay workers on time. What should you do next?
Select all that apply. (2)

Wages Benefits

Request to extend the number of audit days to further investigate.

Review proof of payment from facility to individual worker.

Expand worker interview sample, focusing on workers from the same department to investigate potential delayed wage payment.

Interview the general manager on the company’s financial status.

Employees tell the auditor that management purposely makes their schedules too busy for them to attend to their monthly union meeting. What would you do next to investigate?
Select all that apply. (2)

FOA

No further investigation needed.
This is a finding in itself.

Review union meeting minutes, attendance
records and production schedules.

Interview union leader to understand whether
there are consequences for union members
to attend the meeting.

Review the latest union representative
election process and election outcomes.

Which confirms that the facility’s grievance mechanism is effectively (well) implemented?

Harassment & Abuse

The facility has established and posted an open-door policy.

The facility has a suggestion box installed outside the human resource (HR) manager’s office.

The facility regularly receives, reviews and investigates grievances with appropriate corrective actions being taken.

There is a record indicating that the open-door policy is available upon request.

Which of the following situations may be considered forced labor?
Select all that apply. (2)

Forced Labour

Employee’s first month of wage payment is withheld until the term of employment is completed.

Deducting attendance bonus for arriving 5 minutes late to work.

Delaying enrollment in legally required social benefits.

Extensively delaying payment of a performance bonus agreed in the employment contract.

Which location in the factory must have a safety shower?

OHS

Electroplating shop, phosphoric acid treatment bath.

Fabric and trims storage room, fire fighting equipment storage room.

Silk screen printing shop, cleanroom.

Boiler room, unused machinery warehouse.

Which step should be taken to maintain confidentiality when presenting audit findings?

Communication, Relationship Management and Conflict Resolution

Ensure the audit findings are presented in a sealed envelope.

Ensure audit findings are presented behind closed doors and given only verbally.

Have a confidentiality agreement signed by all persons attending the closing meeting.

Express audit findings with empirical (observed) data without specific names/job titles of workers.

When inconsistencies are found during payroll review, what should you do?

Business Legitimacy and Integrity of Records

Communicate with factory management by explaining the issue and encouraging them to share transparent records prior to the closing meeting.

Interrogate the workers involved in the inconsistent records and inform them of the problem.

Complete the audit as soon as possible once a critical issue has been identified, to allow more time for a thorough report.

Discontinue reviewing payroll and time records, as a finding cannot be determined due to inconsistent records.

During an audit, you identify differences between time records and what employees report their working hours to be. What additional records would you review to validate whether this is a finding?

Business Legitimacy and Integrity of Records

Surveillance camera recording and daily production records.

Pest control service log and daily production sheet.

Illness & injury log and subcontracted welders time sheet.

Security guard patrol log and incoming shipment log.

Worker interviews shall be conducted towards the end of the onsite audit, so the auditor can gather all the information and documents before the interview.

Observation & Investigation

TRUE

FALSE

When conducting an audit, you should provide your opinion and recommendation for the purpose of continuous improvement.

Professional & Ethical Behaviour

TRUE

FALSE

Which of the following is an indication that the factory, may be using homeworkers? Select all that apply. (2)

Subcontracting

Missing certain manufacturing process required for the products.

Quality of work is inconsistent.

There are records of unfinished goods leaving the facility.

Production rates are right on target.

Which of the following is NOT one of the three pillars of the Guiding Principles on Business and Human Rights by the United Nations?

Standards, Laws & Regulations

The state duty to protect human rights.

The corporate responsibility to respect human rights.

Access to remedy.

The collective effort to enforce human rights.

During worker interviews, a worker appears to be nervous, what would you do to help put the person at ease? Select all that apply (2)

Management Systems

Start with self-introductions

Look away until the worker calms down

Have a welcoming tone of voice

Ask the worker if they would like to bring a friend

Which of the following may be an indicator (warning sign) of forced labor? Select all that apply. (2)

Forced Labor

Management retains workers’ savings and returns it in full upon completion of employment.

Management collect fees for PPE (personal protective equipment).

Management controls workers’ choice of housing.

Management has established mandatory regular work hours.

What does PDCA stand for?

Management Systems

Project, Demonstrate, Communicate and Assess

Protection, Determination, Consistence and Attention.

Plan, Do, Check and Act.

Plan, Do, Challenge and Adapt.

You are reviewing employee files and identify that 50% of the workers have a record of both verbal and written warnings for rule violations.
Your analysis is:

Project, Demonstrate, Communicate and Assess

The disciplinary system is extremely consistent across all supervisors.

There is some type of systemic issue that requires investigation.

The facility may have too many rules for its employees.

The documentation is thorough and reliable.

How would a Registered Level Auditor whose number is 21712345, write their APSCA Membership Number on a social compliance audit report?

Use of APSCA Number

If you are asked to include your APSCA Membership Number on an audit report which is NOT a social compliance audit, what would you do next?

Use of APSCA Number

Remind your supervisor of APSCA expectations regarding the use of APSCA’s Membership Number.

Include the number because you must follow your supervisors request.

Contact the audit firm’s ethics hotline to report the supervisor.

Include the number adding a disclaimer indicating the audit report is not a social compliance audit.

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APSCA - PART I PRACTICE EXAM

Instructions