AUDITOR HANDBOOK  
AUDITOR ENROLLMENT PROCESS  
AND EXAM GUIDE  
AUDITOR HANDBOOK  
CONTENTS  
This handbook is designed to assist Auditors participating in APSCA’s CSCA exam series by explaining the key  
components of each exam, including the certification processes.  
Introduction  
3
3
3
3
4
1. What is APSCA and the CSCA exam?  
A. Why do we need a credential?  
B. What credentials are offered?  
2. Auditor Process - from enrollment to CSCA:  
Stage 1: Enrollment  
4
4
4
4
4
4
Stage 2: Invoicing  
Stage 3: Membership number & Auditor level assigned  
Stage 4: Submitting Auditor logs  
Stage 5: Scheduling exams  
Stage 6: CSCA level assigned  
3. Examination - Content  
5
6
4. Examination - Format and scheduling  
Cancellations / changes  
Deadlines  
7
7
7
8
8
8
Languages  
Format  
Scoring  
Exam Results  
5. Question format by exam part  
6. Exam mode & proctoring  
9
9
7. Resources to study  
10  
10  
12  
14  
16  
17  
17  
8. How to book and exam  
9. IT system preparation & testing  
10. Day of exam preparation  
11. Feedback and reporting mechanisms  
12. Use of APSCA membership number  
13. Maintaining CSCA certification  
Appendix A: Additional Resources and Contacts  
Appendix B: Managing exam integrity issues  
Appendix C: Notices  
18  
20  
22  
23  
Appendix D: Frequently asked questions  
APSCA Auditor Handbook  
INTRODUCTION  
This handbook is designed to assist APSCA Member Auditors through the certification  
process. It is intended to be the first document Member Auditors consult in their APSCA  
journey as it outlines the examination process and assessable competencies.  
To prepare for the exams, Member Auditors are encouraged to consult APSCA Competency  
Framework and the APSCA Code and Standards of Professional Conduct. Additional resources  
are posted on the APSCA website under Resource Library.  
1. WHAT IS APSCA AND THE CSCA EXAM?  
APSCA is the industry association created to promote the use of independent social compliance audits as a  
tool for advancing workplace conditions globally.  
APSCA offers Auditors the opportunity to establish recognition of their audit credentials by attaining the  
Certified Social Compliance Auditor (CSCA) qualification. This qualification is achieved through completion of  
APSCA’s CSCA three-part examination process.  
The CSCA examination provides a formal assessment of Auditor proficiency in the areas of functional  
knowledge and skills. The examination evaluates an Auditor’s understanding of:  
Policies and procedures of APSCA  
Social compliance audit practices and methodologies  
International human rights treaties, laws, and standards.  
A. WHY DO WE NEED A CREDENTIAL?  
Foster trust in the profession of social compliance auditing  
Allow Member Auditors to demonstrate their competencies in the field by achieving a  
recognized standard  
Improve consistency and quality in the social compliance auditing process  
Provide a system for validating Member Auditor credentials and competency  
Establish a career path for entry-level social compliance Auditors  
Establish a requirement/pathway for credentialed Auditors to maintain their skills through  
Continuous Professional Development (CPD).  
B. WHAT CREDENTIALS ARE OFFERED?  
After being recognized as an Associate Social Compliance Auditor (ASCA) the next step in the process is for the  
ASCA to complete APSCA’s CSCA three-part examination process to earn their CSCA credential.  
The CSCA examination process ensures Member Auditors possess sufficient knowledge in the field of social  
compliance auditing and that they are able to demonstrate foundational skills and competencies which are  
essential to the role of a professional social compliance auditor.  
The CSCA must demonstrate the core competencies relevant to the profession through a rigorous certification  
process that includes: demonstration of a minimum timeline of professional experience in the field, education,  
examination, and a commitment to the APSCA Code and Standards of Professional Conduct (Code)  
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Page 3 of 25  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
APSCA Auditor Handbook  
2. AUDITOR PROCESS – FROM ENROLLMENT TO CSCA:  
APSCA Competency Framework outlines the requirements for eligibility to participate in the CSCA exam  
process. Currently, APSCA Auditor Membership is only open to social compliance Auditors who work for APSCA  
Member Firms. Member Auditors who attained their APSCA Membership via an APSCA Member Firm but who  
are now independent, can also participate in the CSCA exam process.  
There are six (6) stages in the process from Auditor enrollment and membership to obtaining CSCA status.  
All stages must be successfully completed prior to the Member Auditor being granted the level of CSCA.  
ꢀ
ꢁ
ꢂ
ꢃ
ꢄ
6
Auditor enrolls  
with APSCA  
Auditor or  
Firm pays  
for Auditor  
Membership  
Fee  
APSCA  
Membership  
Number &  
Auditor Level  
assigned  
Auditor/  
Firm submits  
signed Audit  
Log to confirm  
eligibility to  
begin exam  
process  
Firm submits  
ERS to enable  
Auditor to  
schedule an  
exam  
Auditor  
passes all  
3 exam parts  
to attain CSCA  
auditor level  
STAGE 1. ENROLLMENT  
The Auditor must apply for APSCA membership through their APSCA Member Firm. Please reference  
APSCA Firm Guide to Auditor Enrollment and Certification. This includes creation of an APSCA Member Auditor  
online account (My Account).  
STAGE 2. INVOICING  
APSCA issues an invoice for the annual membership fee (can be paid by Member Firm or Member Auditor).  
APSCA’s annual membership fees are per calendar year (January to December).  
STAGE 3: MEMBERSHIP NUMBER & AUDITOR LEVEL ASSIGNED  
Once an Auditor completes their enrollment as detailed in APSCA‘s How to Complete Auditor Membership  
Enrollment the applicant’s on-line account will be adjusted to reflect the Auditor’s level (ASCA) and their status  
set to ‘In Good Standing’. At the same time an APSCA Membership Number is assigned in the applicant’s APSCA  
online account (My Account). This online account also contains Member Auditor Digital Membership Card,  
STAGE 4: SUBMITTING AUDITOR LOGS  
Auditors who have sufficient experience to sit the exam must provide APSCA with an audit log to validate their  
level of experience. Audit Logs must be signed by both the Member Auditor and the Member Firm. Please  
reference APSCA Firm Guide to Auditor Enrollment and Certification for details on the requirements of an audit log.  
STAGE 5: SCHEDULING EXAMS  
An exam cannot be scheduled until an Exam Request Sheet (ERS) has been submitted to APSCA.  
The ERS is available on the Member Firm Only login page or by contacting: exam@theapsca.org.  
Independent Auditor’s must contact APSCA before scheduling an exam: exam@theapsca.org  
STAGE 6: CSCA LEVEL ASSIGNED  
Following successful completion of the above steps, and achievement of a passing score in each of the  
3 examinations, the CSCA Level will be assigned. The Member Auditor’s online account (My Account) will be  
updated to reflect the Auditor level of CSCA and the APSCA CSCA certificate can be downloaded.  
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
Page 4 of 25  
APSCA Auditor Handbook  
3. EXAMINATION – CONTENT  
The CSCA examination evaluates an Auditor’s proficiency with respect to essential knowledge and skills  
identified in APSCA’s Competency Framework. The functional knowledge areas include core topics critical to a  
social compliance audit, as identified by APSCA:  
Business legitimacy and integrity of records  
Underage labor  
Discrimination  
Disciplinary practices  
Forced labor  
Working hours and overtime  
Freedom of association and effective recognition of the right to collective bargaining  
Harassment and abuse practices  
Wages, benefits, and terms of employment  
Subcontracting  
Occupational health and safety  
Exam questions regarding the above topics will assume a baseline knowledge of relevant standards, such as  
The National Institute for Occupational Safety and Health. For example, occupational health and safety (OHS)  
controls are understood to be the most effective if performed according to the below chart.  
Note: This chart will not be visible on the exam, however, questions regarding this chart may be included in  
the exam.  
Most  
effective  
Physically remove  
the hazard  
Elimination  
Replace  
the hazard  
Substitution  
Isolate people from  
the hazard  
Engineering Controls  
Administrative  
Controls  
Change the way  
people work  
Protect the worker with  
Personal Protective Equipment  
PPE  
Least  
effective  
Credit: The National Institute for Occupational Safety and Health. Click here.  
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
Page 5 of 25  
APSCA Auditor Handbook  
The foundational knowledge areas included in the CSCA examination will address the Social Compliance Audit  
process with specific reference to:  
Strategic and systems thinking.  
Professional and ethical behavior.  
Observation and investigation.  
Data collection and analysis.  
Problem solving and analytical decision making.  
Management systems.  
Documentation review.  
Interview skills.  
Communication, relationship management and conflict resolution.  
Standards, laws, and regulations.  
The CSCA examination does not review knowledge of environmental issues or specific country laws.  
While all reasonable efforts are made to maintain the currency of this document, APSCA reserves the right to  
amend the CSCA exam content without notification and / or amendment of this guide.  
4. EXAMINATION – FORMAT AND SCHEDULING  
The cost for each of the exam parts can be found here: APSCA Schedule of Fees. (Note: these prices are  
subject to change.) Please refer to the table below for more details on the logistical aspects of each exam:  
Exam  
Part I  
Cost of  
Exam  
Minimum  
lead time  
required to  
schedule  
When to  
pay  
Who will How to pay  
pay  
What happens  
if invoice not  
paid?  
Refund  
possible?  
Rescheduling  
Policy  
21 days  
21 days  
30 days  
Prior to  
exam  
(minimum  
14 days  
prior to  
exam date)  
Firm /  
Online using  
a credit card  
(preferred);  
direct bill to  
firm; bank  
Not pre-  
NO  
NO  
NO  
Rescheduling  
permitted with  
a minimum  
of 24 hours  
advance  
APSCA  
Schedule  
of Fees  
authorized to  
sit exam, exam  
results will not  
be released,  
exam results  
disallowed  
Auditor  
transfer.  
notice  
Part II  
Prior to  
exam  
(minimum  
14 days  
prior to  
exam date)  
Firm /  
Online using  
a credit card  
(preferred);  
direct bill to  
firm; bank  
Not pre-  
Rescheduling  
permitted with  
a minimum  
of 24 hours  
advance  
APSCA  
Schedule  
of Fees  
authorized to  
sit exam, exam  
results will not  
be released,  
exam results  
disallowed  
Auditor  
transfer  
notice  
Part  
III  
Prior to  
exam  
(minimum  
35 days  
prior to  
exam date)  
Firm /  
Online using  
a credit card  
(preferred);  
direct bill to  
firm; bank  
Not pre-  
Rescheduling  
permitted with  
a minimum  
of 30 days  
advance  
APSCA  
Schedule  
of Fees  
authorized to  
sit exam, exam  
results will not  
be released,  
exam results  
disallowed  
Auditor  
transfer  
notice  
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
Page 6 of 25  
APSCA Auditor Handbook  
CANCELLATIONS / CHANGES  
For Part I and II exams, cancellations within 24 hours are charged at the full rate and will need to be  
rescheduled as per the exam request process. A 30 day advance lead time is required to schedule exams, to  
allow coordination with ProctorU.  
Payment for the exams should be received at least 14 days in advance of the exam appointment.  
For Part III exams, cancellations / changes must be completed at least 30 days in advance, otherwise the  
full rate will be charged. The reason for this is due to the participation of an interviewer / examiner who must  
be paid for their time. Please consult APSCA Schedule of Fees for cancellation / change charges.  
DEADLINES  
Prior to 2022, there was another Auditor level known as ‘Registered Auditor’ (RA) level, this was phased out for  
new enrollments as of 1 January, 2022.  
RA level Auditors are required to sit their exams within the published exam deadlines. ASCAs are not required  
to sit their exams within a specific deadline. Please see Key Dates section of our website for the exam  
deadlines: APSCA Exam Deadlines. Should you have questions regarding exams please contact  
exam@theapsca.org  
LANGUAGES  
The APSCA CSCA exams can be taken in a variety of languages and via several techniques.  
Please see details below:  
EXAM LANGUAGES  
Part I and Part II exams are available in the  
Part III exams are available in the following  
following languages:  
languages:  
ƒEnglish  
ƒEnglish  
ƒBengali  
ƒChinese – Mandarin  
ƒChinese – Cantonese  
ƒSpanish  
ƒChinese - Simplified  
ƒChinese - Traditional  
ƒItalian  
For all other languages a translator is used.  
Please see list of languages available here:  
APSCA Part III Language Lists  
ƒPortuguese  
ƒSpanish  
Subject to change due to interviewer availability.  
ƒThai  
ƒTurkish  
ƒVietnamese  
For all other languages, exams are available with  
the assistance of technology.  
Technology Based Translation Information  
How to Use Online Translation  
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
Page 7 of 25  
APSCA Auditor Handbook  
FORMAT  
The APSCA CSCA exam format is different for each part. Please see below for details:  
Exam Part  
Format  
Exam Mode  
Online exam  
Online exam  
Duration (hours)  
1
2
3
Multiple-choice  
Written Case Study  
Simulated Interview  
2
2
Online exam using video conference  
2.5  
IMPORTANT NOTE: The duration times are permitted to complete the respective exams. However, they do  
NOT include the set-up time and review of the exam guidelines / rules. Ensure you allocate additional time in  
your schedule for this. We suggest blocking a total of 3 hours Part I and Part II exam and 2.5 hours for Part III  
in the event that the initial set-up takes longer than expected. The timer will begin once the first exam question  
/ scenario appears on the screen. The timing cannot be adjusted or reset, so the Auditor will have no more  
than the stated amount of time for the exam. If using translation for Part III exam, please block 3.5 hours.  
SCORING  
Part I is comprised of 100 multiple-choice or True/ False questions requiring a pass score of 75% or above.  
Part II is comprised of 44 questions which are a combination of multiple-choice, True / False, free text (short  
answer) questions, and require a pass score of 75% or above  
Part III is comprised of 3 scenarios which will be selected from opening, closing meetings, worker, supervisor,  
union worker, cleaner, subcontractor interviews, etc. A pass score of 75% or above is required.  
Failed Exam Results: If an Auditor is at the RA level and they FAIL an exam, their level will be moved to  
ASCA, until such time as they sit and pass that exam. Changes in Auditor Level as a result of sitting the exam,  
e.g. from RA – ASCA or ASCA – RA or CSCA occurs on the day exam results are issued.  
When Auditors need to schedule their exam (whether a first attempt or re-sit), there is a 21-day required lead  
time for Part I and Part II to allow for coordination with Proctor U and 30 days for Part III.  
APSCA will review scoring on a quarterly basis and reserves the right to amend scoring to ensure that Auditor  
knowledge and skills are being adequately validated.  
EXAM RESULTS  
Results of the respective exams will be communicated within 14 business days. However, if payment for exams  
has not been received at least 14 days prior to the exam date, your results may be delayed. Failure to promptly  
pay for an exam will result in the exam being disallowed.  
In terms of the total timeline, it takes approximately 14 business days for exams to be processed and reports  
sent. Thus, from the date of the exam to communication of the result it can be about 3 weeks.  
Accessing Exam Results: Auditors can assess and view their exam results via their APSCA online account  
(My Account) under the “Invoices” tab. Within the entry for each exam taken, there will be a column for  
Pass / Fail, in which the overall result of the exam is indicated, and “Exam Results” – where a copy of the  
exam results report is posted and can be downloaded.  
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
Page 8 of 25  
APSCA Auditor Handbook  
5. QUESTION FORMAT BY EXAM PART  
The CSCA examinations (Parts I - III) use a variety of assessment formats including:  
1. Multiple choice:  
a. Single-Select Multiple Choice: unless specified otherwise, exam takers should select only ONE  
correct answer from four possible choices.  
b. Multi-Select Multiple Choice: If a question says, “select all that apply (2) or (3)” there will be TWO  
or THREE answers from the four possible answer choices (Note: all four answers are NEVER correct).  
2. True/False (Part I and II): select whether the statement is correct or incorrect  
3. Short Answer (Part II and III): provide a concise written statement that accurately and relevantly answers  
the Question  
4. Part II Written Case Study - Short Essay Questions:  
•
If asked to list several answers, ensure to not repeat yourself. Additional points are not given for  
stating the same answer multiple times but in a slightly different way.  
•
If the maximum point value is five (5), you must provide at least five (5) different answers. If the  
maximum point value is three (3), at least three (3) different answers are required. Should you provide  
more correct answers than required, you will receive no more than the maximum number of points  
possible.  
5. Simulated Interview (Part III only): a live online session, conducted using a video conferencing  
platform, during which a set of three (3) scenarios are provided to test the Auditor’s interview skills during  
a mock social compliance audit. The exam will include a language specific interviewer and a translator is  
also present, if required.  
Generally, two of the three scenarios will have a written question at the end. The exam time is 90 minutes in  
length, with 30 minutes allocated for each scenario. The 30-minute timer re-starts at the commencement of  
each new scenario. Auditors should allow an appropriate amount of time to complete each scenario, including  
reading the details of the scenario and relevant information, taking notes, conducting the interview, and  
responding to the written question (as applicable).  
All exam questions have been written as if you are conducting a full social compliance audit e.g. not referring  
to a re-audit, and it is not specific to any one standard or a specific country’s law(s).  
Note: When APSCA provides a translator, additional time is provided per scenario.  
6. EXAM MODE & PROCTORING:  
APSCA’s CSCA exams utilize an online proctoring service, ProctorU, which is responsible for maintaining the  
live recording (see Appendix C for ProctorU Exam Session Recording Notice), as well as monitoring and  
reporting any non-compliance incidents during the examination process.  
The CSCA exam will be administered by a live, remote proctor (invigilator) from our partner, ProctorU. ProctorU  
is an online proctoring service that allows Auditors (test takers) to sit the exam from a quiet location which has  
a stable internet connection and where he / she can complete the exam without distraction.  
Watch the ProctorU Test Taker Experience Video for what to expect.  
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
Page 9 of 25  
APSCA Auditor Handbook  
7. RESOURCES TO STUDY  
The Core APSCA documents which will be included in the scope of the exam are:  
APSCA Code and Standards of Professional Conduct  
APSCA Competency Framework  
APSCA Use of Auditor Number  
APSCA Glossary of Terms  
It is important to study APSCA’s terminology in advance of testing to ensure an understanding of what these  
terms mean with respect to the APSCA exams. Please reference: APSCA Glossary of Terms  
APSCA has prepared Guides to Success and practice exams for Part I and Part II to help Auditors prepare for  
their exams:  
Part I Guide to Success  
Part I Practice Exam  
Part II Guide to Success  
Part II Practice Exam  
Part III Guide to Success  
Please see APSCA Resource Library for webinars for each exam Part.  
Ensure you are familiar with the following (see APSCA Glossary of Terms):  
a. Pillars within the UN Guiding Principles on Business and Human Rights  
b. Definition of Forced Labour as per ILO Conventions  
c. Elements of human trafficking according to the United Nations  
d. Core categories of the fundamental principles and rights at the workplace  
e. Use of APSCA Number (Reference APSCA Use of Auditor Number)  
f. Please reference International Labour Organization (ILO) for details regarding:  
a. Freedom of Association  
b. Elimination of forced or compulsory labor  
c. Abolition of child labor.  
d. Elimination of discrimination  
8. HOW TO BOOK AN EXAM  
An exam cannot be booked until an Exam Request Sheet (ERS) has been submitted to APSCA by a Member Firm.  
Please reference Section 2 of this Handbook.  
Once an Auditor is approved to book an exam the Auditor must create an account with ProctorU.  
Please do this by following this link: https://www.proctoru.com/portals/apsca  
Select ‘Sign-Up’  
Select “Test Taker”  
Member Number: APSCA Member Auditor Number (begins with 2170xxxx or 3220xxxx)  
Complete the remaining information.  
Institution: Enter Association of Professional Social Compliance (ASPCA). (Not your Audit Firm.)  
BOOKING A PART I OR PART II EXAM (Must be booked 21 days in advance)  
1. Auditor signs into their ProctorU account.  
2. Select a term: Current Term.  
3. Select Your Exam: Part I Multiple Choice or Part II Case Study, as applicable. (ensuring you have passed  
the Part I exam before attempting to move on to Part II etc.). Do NOT schedule both Part I and Part II at  
the same time.  
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
Page 10 of 25  
APSCA Auditor Handbook  
4. Select Your Language: When scheduling an exam in a language other than the languages listed  
(Reference Section 2 of this Handbook) choose, “Alternate Language”.  
5. Select a Date: (Note: dates will appear in YOUR local time, as per your profile settings with ProctorU).  
Pay close attention to AM and PM. 12 am is midnight.  
6. Auditors will receive an email notification from ProctorU when the exam appointment is made.  
(Auditors can reschedule their exam date and time by logging back into their PU account.  
Changes to bookings need to be made no later than 48 hours before the scheduled exam date.)  
7. Watch the Test Taker Experience Video for what to expect.  
Follow this link to our quick guide: APSCA How to Book a Part I and Part II CSCA Exam.  
BOOKING A PART III EXAM (Must be booked at least 30 days in advance)  
1. Part III Exams are booked in Calendly (Not ProctorU) using language specific links:  
English  
Chinese (Mandarin)  
Chinese (Cantonese)  
Spanish  
For all other languages use this Calendly link: Alternate Language  
2. Auditor MUST use same name and email in Calendly as their current ProctorU profile.  
3. Auditor should take a screenshot of the confirmed exam booking that has been made in Calendly, accept  
the calendar invite from your interviewer once received and note time/ date/ and interviewer scheduled.  
4. Part III bookings are moved to the Auditor’s PU profile from Calendly (Auditors do not need to do this).  
Auditors will receive an email notification from PU when the exam appointment is entered into Auditor’s  
PU profile - the same as Part I and II.  
5. Auditors should log into their PU profile 7-10 days after booking the exam in Calendly to check that the  
appointment time, date and language is correctly noted in PU. If your exam date or time is incorrect  
contact APSCA immediately exam@theapsca.org.  
Follow this link to our quick guide: APSCA How to Book a Part III CSCA Exam  
Note: Should you be hearing impaired please contact exam@theapsca.org before your exam so this can be  
noted in your account for the examiner.  
ProctorU’s on-line assistance is available 24/7 via the Need Help Chat Now button.  
You may need to wait a few minutes for a Live Technician to connect. When connecting  
to the Live Technician, complete the form according to the screenshot below (do NOT  
put your Member Firm name as the Institution).  
Name: as you enrolled with ProctorU  
Institution: APSCA (NOT your audit firm)  
Date: you are scheduled to sit the exam.  
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
Page 11 of 25  
APSCA Auditor Handbook  
9. IT SYSTEM PREPARATION & TESTING  
Auditors are required to have a Testing area and workspace that meets ProctorU and APSCA’s requirements  
Testing areas: A room that is secure from disruptions, which includes any individual entering the room  
during the exam (Note: only one person can be sitting the exam in the room at a time).  
Best practice is to place a sign on the door stating, “Exam in Session, DO NOT ENTER”.  
Workspace: Your desk must be completely clear of all unpermitted resources, regardless of whether these  
resources could be used to help with the taking of the exam or not This includes but is not limited, to paper,  
notes, books, tablets, external monitors, glasses cases or anything beyond the list of permitted resources  
(see section 4). A beverage is allowed.  
APSCA encourages Member Firms to offer a private space for Auditors to sit their exams without external  
distractions and to avoid compromising the integrity of the exam (as per requirements above). However, it is  
worth mentioning that firewalls may be in place on corporate networks, and this could impact the Auditor’s  
ability to access the ProctorU interface. It is essential that equipment is tested both in the location where the  
exam will take place (even if you have tested before, ensure you test again) and at approximately the same  
time of day that the exam is scheduled. A member of the IT team being available on the day to assist has also  
proven to be beneficial to test takers.  
BASIC EQUIPMENT REQUIREMENTS:  
Auditors are required to have a computer equipped with a webcam (internal or external), working microphone,  
and high- speed stable internet connection.  
The stability of the internet connection is critical for all parts of the EXAM and must be tested each time  
each exam part is attempted.  
Hot spotting off your phone is generally NOT acceptable.  
Best Practice is to be connected via ethernet cable.  
ADDITIONAL EQUIPMENT REQUIREMENTS  
Please follow the link below to see the most current ProctorU equipment requirements:  
https://support.proctoru.com/hc/en-us/articles/115011772748-Equipment-Requirements  
It is important to check these requirements before each exam as they are subject to change.  
For Part III – additional software is required:  
Part III only  
Software  
Go To Meeting  
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
Page 12 of 25  
APSCA Auditor Handbook  
TESTING THE EXAM COMPUTER IS ESSENTIAL  
Auditor MUST test their equipment 3-5 days in advance of each exam date.  
Ensure the same equipment that will be used during the exam is tested in the (same) location that it will be used.  
Ensure to use the current and full version of Firefox or Chrome. If using Chrome, download the ProctorU  
Chrome extension available at http://bit.ly/proctoruchrome.  
If using Firefox, download the ProctorU Firefox extension http://www.proctoru.com/firefox..  
If testing from China: ProctorU advises downloading the Firefox extension.  
If you cannot use Firefox or Chrome as your web browser or cannot download the Chrome or Firefox extension,  
liaise with ProctorU regarding another compatible web browser as soon as possible ensuring this is sorted well  
before the date of the exam. Failure to do so MAY see your exam cancelled and your payment forfeited.  
Test your equipment here: ProctorU Test Equipment Link  
ProctorU can verify if and when equipment and your connection were tested.  
If when you are on the ProctorU site and are having difficulties, use the “need help chat  
now” feature which is located on the bottom right-hand side of the PU screen. Connect  
with them ASAP don’t just wait  
PART III EXAM SOFTWARE TESTING  
For Part III exam you will also need to access GoToMeeting (GTM)  
https://www.gotomeeting.com/meeting/join-meeting.  
You will need to ensure that GoToMeeting runs properly on your computer Note that when you are testing  
your equipment with ProctorU, they will NOT test your compatibility to access GoToMeeting. Ensure you test  
GoToMeeting separately, as outlined in the Part III Exam Guide, in advance of your exam and liaise with your  
IT support team, if applicable.  
GoToMeeting (GTM) Quick Tip  
Do NOT wait until the day of your exam to test GTM.  
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Page 13 of 25  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
APSCA Auditor Handbook  
10. DAY OF EXAM PREPARATION  
DAY OF EXAM COMPUTER ISSUES  
On the day of the exam, if you are more than 15 minutes late signing in to ProctorU for your appointed exam  
time, your appointment may be cancelled.  
There are no credits or refunds given.  
ProctorU will try to assist when there are last minute technical issues. However, it is your responsibility to  
ensure that your equipment is working PRIOR to the test day / time.  
If when you are on the ProctorU site and are having difficulties, use the “need help chat now”  
feature which is located on the bottom right hand side of the PU screen. Connect with them ASAP  
don’t just wait  
DAY OF EXAM PREPARTION  
Auditors are required to have ALL of the following available at the scheduled time for the exam:  
1. Computer: Ensure the power source of your computer is plugged in during the exam. The recording and  
exam set up may drain more power than normal use. If you do need to stop to find a power source after the  
exam has started, you must first inform your proctor and obtain permission to arrange. Note: any lost time  
arranging for a power source will NOT be compensated (and you cannot leave the room during the exam).  
2. Testing area: A room that is secure from disruptions – please reference Section 9  
3. Workspace: Your desk must be completely clear – please reference Section 9.  
4. Identification: Government issued form of identification which includes a photograph e.g. passport,  
driver’s license, identity card. Your form of ID cannot be expired, and it cannot be your employer’s or  
APSCA’s identification. The ID should confirm the same name as noted under your APSCA profile.  
(Note: If your name in your APSCA profile needs to be changed / edited, please contact  
data.administrator@theapsca.org). The APSCA and ProctorU systems are NOT linked with each other, so a  
change on one platform does not transfer to the other.  
5. APSCA Member ID Number: APSCA Membership Number (2170xxxx or 3220xxxx) Have your APSCA Member  
ID number written down or memorized. Be sure your number is correct to avoid delays or possible  
cancellation of your exam.  
6. Mobile phone: A cell / mobile phone with a front facing camera or mirror (this may be used during the  
validation process to confirm your identity and secure the room). Once these steps are complete, the  
phone, if used, must be turned off and stored well away from the testing area. Please note: the phone  
cannot generally be used to hotspot for an internet connection and will be requested to be put away prior  
to the start of your exam. It is helpful, however, to keep your phone close in case you are having difficulties  
connecting to ProctorU. The proctor may try to call you using the number referenced in your ProctorU  
profile. ProctorU will instruct you when the time has come to put your phone away.  
DAY OF EXAM PREPARTION  
All Exams (Part I - III)  
Auditors will be actively observed and recorded during the set-up time and while taking the Exam.  
Auditors must use only his or her own knowledge during the Exam.  
Breaks are not permitted during the exam.  
Test takers ARE permitted to: have a beverage available at their workstation for the duration of the exam,  
ensure you have this available prior to the commencement of the exam.  
Ensure you have taken any necessary bathroom breaks BEFORE you sit for your exam.  
Document Name:  
Version & Date:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
This document is no longer version controlled once printed.  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
Page 14 of 25  
Replaces:  
Version 12 - April 2022  
APSCA Auditor Handbook  
Auditors are NOT allowed to:  
• Record / Print / screenshot or otherwise capture information from the exam site, either during the  
set- up phase or once the test questions are visible.  
• Take screenshots, photos, or record the Proctor, Interviewer, and / or Evaluator. Any inappropriate  
behavior in this regard will be documented by ProctorU / Evaluator, recorded, and flagged to APSCA for  
possible disciplinary action. See Appendix B regarding impact of exam integrity not being adhered to.  
• Use of printed materials and / or use or attempt to use / access internet materials / resources during  
the exam. This includes sites that provide a definition / translation of a word or using right click on your  
mouse to obtain synonyms etc. Unless prior approval by APSCA has been given, using external resources  
is not acceptable.  
• Receive help from any person during the exam. This includes, but is not limited to, security or other types  
of cameras within the room, people looking through windows into the testing area, making phone calls,  
or any other form of communication.  
• No person may enter or exit the room during the Exam (this includes the Auditor (test taker).  
The test taker may not get up from his / her workstation during the exam. If this occurs, a warning  
will be noted on the exam. The recording will be reviewed, and the exam may be disallowed. If special  
accommodations are required due to medical reasons, please arrange this in advance of the exam with  
APSCA. Special accommodations cannot be established solely with your Member Firm OR ProctorU.  
For Part III ensure you follow both the Proctor and Evaluator / Interviewer’s guidance. You must always  
acknowledge any communication / messages coming through to you from the Proctor via the ProctorU  
chat box at all times.  
Items which are NOT allowed in the testing area or on your workspace during the Exam include:  
a. Any digital device, including, but not limited to, smart phone, tablet, digital or smart watch, ear buds  
/ head phones (except for Part III), and any other equipment which may be used to receive or send  
messages, record, transmit, or play back audio, photographic, text, or video content or accessing online  
information during the exam to try and get information to assist in answering the exam questions or to  
record the exam content. Note that you may have your phone nearby in the initial setup phase, but once  
the exam begins, it should be in another room and / or switched onto silent mode or off and out of reach.  
b. Pamphlets or papers of any kind (including blank paper), unless allowed in a specific exam, as noted  
above (e.g. one sheet of blank paper for Part II exam only).  
c. Laptops, notebooks, personal devices or any other personal computing devices other than the machine  
being used for the Exam.  
d. Cameras or any other type of photographic equipment (includes security cameras).  
e. Timers of any type (a clock will be visible on the bottom right-hand corner of your computer and a  
countdown timer within the exam will be located on the bottom right-hand corner of the screen).  
TIPS IF USING A TRANSLATOR  
• Ensure your answers clearly convey your message, speaking in shorter sentences can also be helpful.  
The translator will be doing a “literal” translation.  
• If the translator asks for clarification or to repeat what you have said, please rephrase the sentence in a  
different way.  
• The translator cannot see your exam or screen, they only have audio and are there to translate what you  
are saying.  
PERMITTED RESOURCES  
Part I - None  
Part II - Case Study  
• Calculator (that is NOT on a phone or computer  
• Pen or pencil and one (1) blank piece of A4 or letter size paper  
• The case study is visible on the screen, there is an online highlighting function and an on-screen place  
to type notes.  
Part III - Simulated Interview only  
• Calculator (that is NOT on a phone or computer)  
• The scenarios are visible on the screen and there is an on-screen place to type notes, paper is not allowed.  
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
Page 15 of 25  
APSCA Auditor Handbook  
11. FEEDBACK AND REPORTING MECHANISMS  
To be eligible for the CSCA examination, Auditors must be fully enrolled with APSCA. As such, they have  
access to the feedback and reporting mechanisms noted below. APSCA strongly encourages Members to  
use these tools. Auditor feedback assists the Association in maintaining its reputation for best practice and  
integrity. APSCA has an Ethics & Integrity Program to address a variety of issues. Visit our Ethics & Integrity  
page on the APSCA website for more, here: https://www.theapsca.org/ethics-integrity/.  
The CSCA exam series has undergone an extensive development process, however, we acknowledge  
opportunities for continuous improvement. We welcome ideas pertaining to the content, scope and delivery of  
the examination. To share your feedback regarding Parts I, II, or III of the exams email: exam@theapsca.org.  
CONFLICT OF INTEREST (PART III EXAM ONLY)  
In some cases, the Auditor may know or have an existing relationship with the Interviewer / evaluator.  
Therefore, a conflict of interest may be present, and not known until the start of the exam. In situations such  
as this, the interviewer / evaluator should continue with the exam, but both parties should alert ProctorU  
regarding the potential conflict of interest prior to the start of the exam. ProctorU will mark that interview for an  
additional review by APSCA.  
If the interviewer / evaluator has a more significant existing relationship with the Auditor such as any of the  
following: the examiner is related to the Auditor, has financial interests in the Member Firm which the Auditor  
is affiliated with, or any other type of obvious conflict of interest that could impact the integrity and / or  
outcome of the exam. ProctorU must be informed as soon as any existing and significant relationship with the  
interviewer is realized, and the exam is to be terminated.  
The proctor will report any irregularities during your exam to APSCA. This includes but is not limited to  
inappropriate/ questionable behavior, the use of prohibited materials or outside assistance, failing to  
submit the exam when instructed by the proctor, or not following other instructions / guidance provided.  
Infractions may result in cancellation of the examination, its score, a demotion to ASCA and / or not being  
eligible to re-sit the exam for up to 12 months. No refunds or credits are issued when mishaps occur during  
exams, technical or otherwise. Additional penalties for violations of exam integrity are subject to APSCA’s  
Ethics & Integrity Program.  
Disclaimer:  
ProctorU is solely responsible for the provision of APSCA Exam technology, administration, and reporting of  
irregularities. Exam content, however, and decisions pertaining to irregularities occurring during exams are the  
responsibility of APSCA. APSCA retains the right to disqualify an Auditor’s examination result, demote to ASCA,  
request re-examination at the Auditor’s cost, or make the Auditor ineligible to sit future exams. Auditors can appeal  
decisions via APSCA’s ethics & integrity process (ethics@theapsca.org)  
EXAMINATION INTEGRITY  
Exam integrity is paramount to the legitimacy of APSCA and to each Auditor’s success in achieving CSCA  
designation. If any Member Auditor is aware of a violation of the Code and Standards of Professional Conduct,  
which includes breaking the rules set forth for the exam, he / she can report misconduct or irregularities, to  
ASPCA Ethics Team: ethics@theapsca.org  
INTEGRITY ISSUES OR IRREGULARITIES  
If an integrity issue is identified during the exam, ProctorU will indicate this to APSCA using a system of  
integrity violation notifications. In most of the cases, the exam will continue and APSCA will be notified of any  
possible infraction(s) within 48 hours. APSCA will review the notification(s) and the associated (Member Firm /  
Auditor) will be informed, as applicable. If anyone comes into the room during an exam, they will be asked to  
leave, a notation will be made on the exam report by ProctorU, and these details will be shared with APSCA. If  
the TT gets up from their workstation or leaves the room at any time during the exam, a notation will be made  
on the exam and shared with APSCA. Leaving the room during an exam for any reason will be considered a  
“red” flag / notification. Using the internet or any other external source to obtain assistance during the exam  
will also be considered a “red” flag. Other red flags can include, but are not limited to, people (other than the  
test taker) watching an exam and / or peering through a window, watching the test taker by security camera or  
by other means or failure to follow instructions given by the proctor or Interviewer.  
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
Page 16 of 25  
APSCA Auditor Handbook  
Potential sanctions for any of the above include, but are not limited to:  
• suspension from sitting the exam for up to a period of 12 months,  
• demotion to ASCA; and  
• possible revocation of the Auditor’s Membership.  
Systemic issues of cheating involving multiple Auditors from a Member Firm will be dealt with on a case by  
case basis as will involvement by the Member Firm (See Appendix B).  
PROFESSIONAL ETHICS AND STANDARDS  
It is essential to the overall sanctity of the CSCA exam that the exam questions are never shared by an Auditor  
with persons who have or have not yet taken the exam. Confidentiality is critical to maintaining the integrity of  
the system and preventing Auditor (s) from having an unfair advantage over others. If you become aware that  
a violation of this policy is occurring, please contact APSCA (ethics@theapsca.org) as soon as possible so an  
investigation can be launched.  
In the case of a Member Auditor or non-Member Auditor violating APSCA’s Code, Such cases may be reported  
to the Member Firm engaging the Member Auditor or directly to APSCA.  
APSCA has an integrity program within the organization that is dedicated to ensuring that the Code is enforced.  
Refer to Appendix D within this document, or APSCA’s Code for more information.  
Disclaimer:  
The following provisions are not intended and shall not be interpreted or implemented as intending in such a way, as  
to illegally restrict competition or entry into the profession of independent social compliance auditing.  
The Association shall maintain a list of all its Member Auditors and their status. The Member Auditor status can be  
verified by inputting both APSCA Auditor Membership Number and First or Last Name (Surname) via APSCA’s website  
https://www.theapsca.com/apsca-member-auditors.html.  
APSCA requires that Member Auditor and Member Firm pledges to adhere to APSCA’s Code  
This Code requires that all Members adhere to principles of integrity, competence, reporting, and proper  
record-keeping. Members obligations include understanding when, where, and how to use the APSCA  
Membership Number appropriately. Questions regarding the use of APSCA Membership Number will be  
included on all 3 CSCA exams.  
12. USE OF APSCA MEMBERSHIP NUMBER  
Refer to the APSCA Use of Auditor Number document for details on appropriate and inappropriate usage of  
the APSCA Membership Number.  
If an Auditor uses their APSCA Membership Number inappropriately, whether voluntarily or otherwise, this  
will be considered a violation of APSCA’s Code and Standard of Professional Conduct and will be subject to  
sanctions imposed by APSCA’s Ethics & Integrity Program.  
13. MAINTAINING CSCA CERTIFICATION  
Auditors looking to obtain CSCA or maintain certification, will need to meet ongoing requirements which will be  
demonstrated by compliance to the APSCA Continuous Professional Development Policy (CPD).  
CPD involves participation in development activities that support RA / CSCAs in ensuring maintenance of their  
competencies and skills, as well as expanding their professional knowledge and practice into new areas. Auditors  
are required to complete a minimum of 48 hours of CPD per calendar year, including mandatory training as  
outlined by APSCA. CPD undertaken must be tracked by the RA / CSCA and recorded in Auditor’s APSCA online  
account (My Account). To validate this information, records may be requested by APSCA at any time.  
APSCA’s CPD policy is included on APSCA’s website: Resource Library.  
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
Page 17 of 25  
APSCA Auditor Handbook  
APPENDIX A: ADDITIONAL RESOURCES AND CONTACTS  
APSCA Core Study Resources  
APSCA Code and Standards of Professional Conduct  
APSCA Competency Framework  
APSCA Use of Auditor Number  
APSCA Glossary of Terms  
Part I Guide to Success  
Part I Practice Exam  
Part II Guide to Success  
Part II Practice Exam  
Part III Guide to Success  
APSCA Website  
https://www.theapsca.org  
APSCA’s Resource Library  
APSCA Resource library  
The Resource Library includes all documents above plus:  
▪
Exam Webinars  
Frequently Asked Questions  
APSCA Exam Deadlines  
APSCA Exam Deadlines  
APSCA Schedule of Fees  
APSCA Schedule of Fees  
APSCA Quick How to Book Guides  
APSCA How to Book a Part I and Part II CSCA Exam  
APSCA How to Book a Part III CSCA Exam  
APSCA Language Technology Information  
Technology Based Translation Information  
How to Use Online Translation  
APSCA Part III Exam Language lists  
APSCA Part III Language Lists  
General Exam Enquiries  
exam@theapsca.org  
Ethics & Integrity Enquiries\Reporting:  
ethics@theapsca.org  
APSCA News  
Stay informed of the latest APSCA news by subscribing to our newsletter. Visit our website at:  
www.theapsca.org  
https://www.theapsca.org/apsca-newsletters  
Follow APSCA Social Channels  
@the_APSCA  
@association-of-professional-social-compliance-auditors  
YouTube: https://www.youtube.com/channel/UCXGqUeVAxKgmtbZgZ8_FSaw  
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
Page 18 of 25  
APSCA Auditor Handbook  
APSCA Contact  
https://www.theapsca.org/contact-us.html  
or director@theapsca.org  
ProctorU Exam Booking Site (Part I and II Only)  
https://www.proctoru.com/portals/apsca  
Calendly Exam Booking Site (Part III Only)  
Part III Exams are booked in Calendly (Not ProctorU) using language specific links:  
English  
Chinese (Mandarin)  
Chinese (Cantonese)  
Spanish  
For all other languages use this Calendly link: Alternate Language  
Note: these links are only to be used once approval to sit exams has been given by both APSCA and the  
Member Firm and an invoice has been requested.  
Do NOT forward or share this to others who may not be approved  
ProctorU Resource Center  
Visit ProctorU’s Test Taker Resource Center, and watch the video explaining how the platform works, what to  
expect etc.  
https://www.proctoru.com/live-plus-resource-center  
ProctorU Equipment Requirements  
https://support.proctoru.com/hc/en-us/articles/115011772748-Equipment-Requirements  
ProctorU Equipment Testing  
ProctorU Test Equipment Link  
ProctorU Chat/Help  
Note: if you require assistance on the day of your exam, use ProctorU’s chat feature, (blue circle)  
located on the bottom right-hand side of the screen.  
ProctorU Helpdesk  
Click “Support”  
https://www.proctoru.com/contact-us  
GoToMeeting Support  
Click to test your system:  
https://support.goto.com/meeting/system-check  
Join a Test Session with GoToMeeting  
https://support.goto.com/meeting/help/join-a-test-session-g2m050001  
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
Page 19 of 25  
APSCA Auditor Handbook  
APPENDIX B: MANAGING EXAM INTEGRITY ISSUES  
Possible sanctions and disciplinary actions arising from violations of APSCA exam guidelines and unethical  
behavior.  
While the below table is not an exhaustive list, it should be used as a guide to support the understanding of  
what APSCA’s expectations are for those Member Auditors involved in the exam process. The range of possible  
sanctions and actions is included as a guide, noting that there could be other actions taken, depending on  
individual circumstances. In all instances, there will be no refund or credit of paid exam fees.  
Possible sanction  
Type of action or violation  
Before the examination:  
or action – For the  
individual(s) involved  
Trying to steal or copy, take pictures, screenshots, record, film or share  
information or elements from the exam or exam papers, including specific exam  
questions, in any format with other individuals associated with APSCA or not.  
Attempting to receive or give help, including but not limited to:  
communicating with or attempting to receive any help or assistance from others.  
°
Using “prohibited materials” include but not limited to:  
pamphlets or papers (including cheat sheets) of any kind.  
°
any information that could be considered to give an unfair advantage to an  
Auditor, including sample / mock exams not provided or sanctioned by APSCA.  
°
During the examination:  
Trying to steal or copy, take pictures, screenshots, record, film or share  
information or elements from the exam or exam papers, including specific  
exam questions in any format with other individuals associated with APSCA  
or not.  
Cancellation of the  
exam, its score and  
refusal to accept  
resubmission for a  
period of 12 months  
demotion to ASCA  
Attempting to receive or give help, including but not limited to:  
communicating with or attempting to receive any help or assistance from  
others.  
°
accessing the internet, using translation software, or other method or form  
of attempting to receive assistance (including right clicking on words to  
obtain synonyms).  
°
use of any documents including this Auditor Handbook, APSCA’s  
Competency Framework, Code and Standards of Professional Conduct or  
any other resources.  
°
Using “prohibited materials” including:  
any digital device, including, but not limited to, a smart phone, tablet,  
°
digital or smart watch, ear buds / headphones, and any other equipment  
which may be used to receive or send messages, record, transmit, or  
play back audio, photographic, text, or video contents or accessing online  
information during the exam to try to get information to assist in answering  
the exam questions.  
pamphlets or papers (including cheat sheets or blank paper) of any kind.  
°
any information that could be considered to give an unfair advantage to an  
Auditor, including sample / mock exams not provided or sanctioned by APSCA.  
°
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
Page 20 of 25  
APSCA Auditor Handbook  
Possible sanction  
or action – For the  
individual(s) involved  
Type of action or violation  
During the examination (continued)  
Using “prohibited materials” including:  
laptops, notebooks, personal devices or any other personal computing devices,  
with the exception of the machine being used specifically for the exam.  
°
cameras or any other photographic equipment, including security camera  
within the examination room or any recording device inside or outside the  
computer or room.  
°
separate timers of any type – there is a timer on the exam and a clock visible  
on the bottom right-hand side of the computer to manage time during the exam.  
°
Continuing to answer questions after being notified (by the timer on the exam  
and / or the Proctor) that time has run out unless specific dispensation has  
been given by either ProctorU OR Part III interviewer.  
Not promptly adhering to ProctorU’s guidance and directions such as  
submitting the exam when your exam time is up.  
Cancellation of the  
exam, its score and  
refusal to accept  
resubmission for a  
period of 12 months  
demotion to ASCA  
Following the examination:  
Following the exam, attempting to re-visit, access, or otherwise share the  
interviewer link or call in number provided for your designated exam session.  
Attempting to receive or give help, including but not limited to:  
communicating with or attempting to receive any help or assistance  
from others.  
°
Using, producing and or distributing “prohibited materials” including but are not  
limited to:  
pamphlets or papers (including cheat sheets) of any kind.  
°
any information that could be considered to give an unfair advantage to  
Auditor, including sample / mock exams not provided or sanctioned by APSCA.  
°
specific exam questions  
°
Note for Member Firms:  
Putting pressure on, or indicating in any way, that the Auditor must “do whatever is necessary to pass the  
APSCA exams” or obtain their certifications, will be considered an ethical violation by a Member Firm.  
Systemic or recurring exam violations involving Auditors from the same Member Firm and / or Member  
Firm(s) will be addressed on a case by case basis. The result may be that no Auditors from that Firm in  
the offending country (or countries) will be eligible to sit the exam for a specified period and they may be  
required to re-sit the same exam.  
Substantiation of systematic or recurring exam violations may result in the Member Firm(s) being  
brought before the Disciplinary Board for Member Firms, and the Auditor being brought before the  
Disciplinary Board for Member Auditors, where the potential sanction could be as extreme as revocation  
of Membership for Member Firm and / or Member Auditors involved.  
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
Page 21 of 25  
APSCA Auditor Handbook  
APPENDIX C: NOTICES  
Exam Session Recording Notice – ProctorU  
At the time of the exam, Auditors participating in APSCA’s CSCA examination process will be asked by  
ProctorU to provide permission to have their exam(s) recorded. Consent is required to proceed with the  
examination process. Please read the notice below to be clear about the permissions being given.  
Exam Session Recording Notice  
ProctorU will record your Exam Session for potential review and training purposes. This information is  
encrypted and can be accessed only by institution-authorized individuals.  
Recording will begin after we check your system and environment. Following exam completion (including  
final review of your exam), you MUST disconnect from your ProctorU session by closing the application  
and your browser. The webcam will continue to record until you complete BOTH actions.  
l understand the exam rules prior to starting my exam with ProctorU.  
l understand l will be recorded while in the exam.  
l understand I must disconnect from my ProctorU exam session and close the Recording Browser Tab  
upon completion of my exam.  
View our Security Document for more information  
Should you have an issue or concerns regarding granting your permission to have your exam recorded by  
ProctorU (for use by APSCA only and as necessary to evaluate the sanctity of the exam), you must notify your  
Member Firm and APSCA at least two (2) weeks in advance of your exam date. It is the responsibility of the  
Member Auditor to raise questions and/or concerns in advance.  
Failure to do so could result in a forfeit of your exam time, fees, and consequently you will need to  
reschedule and pay prior to re-sit the exam. There are no refunds or credits.  
Note: Recordings are only used for internal verification purposes by APSCA.  
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
Page 22 of 25  
APSCA Auditor Handbook  
APPENDIX D: FREQUENTLY ASKED QUESTIONS (FAQ)  
Q: Is my login for ProctorU the same as the credentials I use for APSCA’s data system?  
A: Not necessarily. The credentials you use to log into ProctorU are chosen by you at the time you create  
your ProctorU profile. Please note, avoid issues by ensuring your name (first and last), is consistent with  
both your ProctorU account and your APSCA member account. Discrepancies may result in your exam  
being cancelled.  
Q: Does my exam time begin when I connect with ProctorU?  
A: NO. The time allotted for your exam does not begin until the exam questions / scenario appears on your  
screen. At that time, you will be able to view the timer at the bottom righthand corner of your screen and it  
will start counting down. Once you see the time display, your exam begins, and you have the designated  
amount of time to complete.  
Q: I forgot my ProctorU password. What can I do?  
A: Click https://go.proctoru.com/password_resets/new. Enter the email address associated with your  
ProctorU account and ProctorU will send you a password reset email. If you still have difficulties, use the  
ProctorU Chat feature on their website.  
Q: Are breaks allowed during my exam?  
A: NO. Breaks are NOT allowed during the exam. Test takers are NOT permitted to (1) get up from their  
work station during the exam, (2) leave the room during the exam, (3) speak to any individual during an  
exam (in person or via any form of communication) except for the Proctor.  
Q: What time should I arrive for my exam?  
A: You can log in to your ProctorU account at any time, however your “start exam button” in your ProctorU  
profile will only be visible from 2 minutes prior to the scheduled time.  
Q: What do I do if I can’t see the “start exam button” to get connected with ProctorU?  
A: Use ProctorU’s Need Help Chat Now button immediately to address any technical difficulties.  
Let them know your exam is scheduled for NOW and describe the issue. Do NOT wait – click immediately  
to get started.  
You can type in “Transfer” – this will bypass the auto responses (bot) and get you to a person  
(live technician).  
Q: I have previously sat an exam with ProctorU through another organization. Can I add APSCA to my  
profile or do I need to set up a completely new profile?  
A: You can add APSCA to your existing ProctorU profile – follow the instructions below. If you have any issues,  
connect with ProctorU via their Chat feature for assistance.  
Step 1  
Step 2  
To add APSCA (a new Institution) Enrollment,  
login to your ProctorU Account and select  
your name in the top right-hand corner for a  
navigation menu to drop down.  
Select Account Settings to navigate to your  
account profile and make the changes.  
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Page 23 of 25  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
APSCA Auditor Handbook  
Step 3  
Step 4  
Scroll Down to the bottom of the profile to  
click the Add Enrollment button where you will  
have a new box appear for you to add APSCA  
(institution).  
Next search for APSCA and make the necessary  
selection. Be sure to click the Update Account  
button and save your changes. You will then  
be able to select APSCA when scheduling for  
different exams.  
Below is a link to ProctorU’s support resources for test takers. The page is filled with useful information.  
https://support.proctoru.com/hc/en-us/categories/115001818507.  
Document Name:  
Version & Date:  
Replaces:  
APSCA Auditor Handbook-D019  
Version 13 - June 2022  
Version 12 - April 2022  
This document is no longer version controlled once printed.  
Author/Owner:  
Authorized by:  
President & CEO  
APSCA Executive Board  
Page 24 of 25