COMPETENCY  
FRAMEWORK  
APSCA’s COMPETENCY FRAMEWORK  
CONTENTS  
1. Social Compliance Auditing as a Profession  
2. Application of the Competency Framework  
3. APSCA Qualification Levels  
3
3
4
5
4. Use of APSCA Member Auditor Number  
5. Competency Overview  
5
6. Validation of Demonstrated Competencies  
6.1 CSCA Exam (Part I and Part II)  
6
6
6
6ꢀ  
6.2 CSCA Interview  
6.3ꢀ MaintainingꢀCSCAꢀCertificationꢀꢀ ꢀ  
7. Misconduct  
6
8. Foundational Skills  
7
8.1ꢀ StrategicꢀandꢀSystemsꢀThinkingꢀꢀꢀ  
8.2ꢀ ProfessionalꢀandꢀEthicalꢀBehaviorꢀꢀ  
7ꢀ  
7
8.3ꢀ ObservationꢀandꢀInvestigationꢀꢀ  
8.4ꢀ DataꢀCollectionꢀandꢀAnalysisꢀꢀ  
7
8
ꢀꢀꢀꢀꢀꢀ8.5ꢀ ProblemꢀSolvingꢀandꢀAnalyticalꢀDecisionꢀMakingꢀꢀ  
8ꢀ  
8
8.6ꢀ ManagementꢀSystemsꢀꢀ ꢀ  
8.7ꢀ DocumentationꢀReviewꢀꢀꢀ  
8.8ꢀ InterviewꢀSkillsꢀꢀ  
9ꢀ  
9ꢀ  
ꢀꢀꢀꢀꢀꢀ8.9ꢀ Communication,ꢀRelationshipꢀManagementꢀandꢀConflictꢀResolutionꢀꢀ  
9
10ꢀ  
10  
8.10ꢀꢀSelf-Managementꢀꢀ  
8.11ꢀꢀꢀStandards,ꢀLawsꢀandꢀRegulationsꢀꢀ  
9. Functional Knowledge Areas  
11  
9.1ꢀ BusinessꢀLegitimacyꢀandꢀIntegrityꢀofꢀRecordsꢀꢀ  
9.2ꢀ UnderageꢀLaborꢀꢀ  
9.3ꢀ DiscriminationꢀandꢀDisciplinaryꢀPracticesꢀꢀ  
9.4ꢀ ForcedꢀLaborꢀꢀ  
9.5ꢀ WorkingꢀHoursꢀandꢀOvertimeꢀꢀ  
11ꢀ  
11ꢀ  
11ꢀ  
12ꢀ  
12ꢀ  
9.6ꢀ FreedomꢀofꢀAssociationꢀandꢀEffectiveꢀRecognitionꢀofꢀtheꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀꢀ  
RightꢀtoꢀCollectiveꢀBargainingꢀꢀ  
12  
9.7ꢀ HarassmentꢀandꢀAbuseꢀPracticesꢀꢀ  
13ꢀ  
13ꢀ  
13ꢀ  
14ꢀ  
14  
9.8ꢀ Wages,ꢀBenefitsꢀandꢀTermsꢀofꢀEmploymentꢀꢀ  
9.9ꢀ Subcontractingꢀꢀ  
9.10ꢀꢀOccupationalꢀHealthꢀandꢀSafetyꢀꢀ  
9.11ꢀꢀꢀUseꢀofꢀAPSCAꢀMemberꢀNumberꢀꢀ  
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Replaces:  
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This document is no longer version controlled once printed.  
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APSCA Executive Board  
APSCA’s COMPETENCY FRAMEWORK  
APSCAS COMPETENCY FRAMEWORK  
The Association of Professional Social Compliance Auditors (APSCA) aims to increase the value and  
effectiveness of independent Social Compliance Audits by enhancing the professionalism, consistency  
and credibility of individuals and organizations performing them.  
Labor rights and workplace conditions are a central focus for many organizations, due to expanding global  
supply chains, public perceptions related to social responsibility, and legislation. Independent social  
compliance services are an important tool in advancing labor rights and workplace conditions for workers  
globally. APSCA aims to raise the value, quality and effectiveness of social compliance services and support  
Member Auditors and Member Firms who are performing them.  
Social compliance auditing plays a vital role in initiatives to assess and improve labor rights in the workplace  
throughout global supply chains.  
APSCA’S Competency Framework is to be read in conjunction with APSCA’s Code and Standards of  
1. SOCIAL COMPLIANCE AUDITING AS A PROFESSION  
Through APSCA’s Certified Social Compliance Auditor (CSCA) program, the organization aims to elevate  
the role of the social compliance Auditor, and develop a workforce of committed, competent, experienced  
and ethical professionals. Auditors can help their clients make positive change to the lives of workers by  
identifying and understanding key labor rights issues. To help them succeed, Auditors should be provided  
with the working conditions and the ongoing support and development needed to maintain high quality  
standards.  
APSCA believes Member Auditors deserve to be treated with respect in line with the UN Guiding Principles  
for Business and Human Rights. APSCA expects Member Firms to respect the human rights of its Member  
Auditors and avoid causing or contributing any adverse human rights impacts.  
APSCA supports audit programs, initiatives, brands and retailers who utilize the skills of social compliance  
Auditors for them to have the necessary confidence in the level of Auditor competency.  
Note: Throughout this document an APSCA Associate Social Compliance Auditor (ASCA) will be noted as  
ASCA, and an APSCA Certified Social Compliance Auditor (CSCA) will be noted as CSCA.  
2. APPLICATION OF THE COMPETENCY FRAMEWORK  
APSCA’s Competency Framework for Social Compliance Auditors sets out the basic competency  
requirements for Certified Social Compliance Auditors (CSCA). Competency refers to the knowledge and skills  
drawn on in performing tasks necessary to operate in the role of a social compliance Auditor .  
This framework specifies the competencies expected of CSCA. It is intended to be used by:  
ƒ ASCA to better understand the skills and knowledge required to gain and maintain CSCA status.  
ƒ CSCAs to validate their skills, abilities, and articulate the value of Certification.  
ƒ Clients and the public to understand the value of using a CSCA.  
ƒ APSCA Member Firms as guidance for the development of internal frameworks.  
ƒ CSCA and APSCA Member Firms for continuing professional development (CPD) requirements.  
ƒ APSCA to guide the CSCA certification process and monitor adherence to the APSCA Code.  
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APSCA’s COMPETENCY FRAMEWORK  
ƒ Audit programs, initiatives, brands and/or retailers who utilize the skills of social compliance  
Auditors, to:  
Have confidence in Auditor competency. Training and education program developers in  
the design and development of learning objectives and materials for course curricula and  
profession-specific programs.  
Anyone who works or considers working as a social compliance Auditor to ensure they are  
informed regarding the competency requirements for CSCA.  
ƒ ASCA to apply efficiently the principles of objective auditing to gain and maintainCSCA status.  
The intention of this document is to outline the competencies required by CSCAs, not to set audit  
standards or define audit methodology. The brand, initiative or collaborative program will be responsible for  
communicating and validating that their specific expectations are adhered to.  
Members providing social compliance services must be independent and avoid conflicts of interest that,  
in fact or in appearance, may create an incentive to report anything other than the true and accurate facts  
gathered during a social compliance service.  
Member Firms shall only deploy social compliance Auditors (whether direct employees or independent  
contractors) who demonstrate, at a minimum, the relevant knowledge, skills and attributes outlined in the  
APSCA Competency Framework, and agree to act in accordance with the Code.  
3. APSCA QUALIFICATION LEVELS  
There are two (2) levels for APSCA Auditor Membership; ASCA and CSCA. During the initial period, APSCA  
had a level called Registered Level Auditor (RA). This was an interim level which includes Auditors who  
have provided evidence of the experience required to be a CSCA, and are going through the CSCA  
examination process. RAs have the rights, responsibilities and obligations of a CSCA. The RA Level is being  
phased out May 2023. Any RA that remains as of 31 May 2023 will be moved to ASCA until they pass all 3 parts  
of the CSCA exam.  
APSCA ASSOCIATE SOCIAL COMPLIANCE AUDITOR (ASCA)  
Entry-level social compliance Auditor, who is enrolled with APSCA, gaining experience under the  
supervision/guidance of a CSCA.  
Requirements  
ƒ Has completed classroom training with an APSCA Member Firm or an APSCA-approved  
organization and  
ƒ Shadowed a minimum of 3 social compliance audits  
ƒ Has been signed off by a Member Firm as competent in meeting ASCA Level competencies  
Receiving onsite/field training by an APSCA Member Firm or accredited training organization  
ƒ Holds a university-level degree  
ƒ Satisfactory results from pre-employment screening of new staff/Auditors, where allowed by law  
ƒ Has signed APSCA’s Code  
ƒ To begin the exam process, Auditors must submit an audit log (signed by both Auditor and Member  
Firm) demonstrating participation in a minimum of 20 social compliance audit days.  
Responsibilities  
ƒ Participates in social audits as a team member Must be supervised by an CSCA during all audits  
ƒ Does not independently make decisions or call out findings or non-compliances  
ƒ Adhering to the principles within APSCA’s Code  
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APSCA CERTIFIED SOCIAL COMPLIANCE AUDITOR (CSCA)  
Experienced Social Compliance Auditor who has completed the CSCA process.  
Requirements  
ƒ Has obtained the level of ASCA  
ƒ Has passed all elements of the CSCA examination process  
Responsibilities  
ƒ Conducts social compliance audits independently and/or as part of a team  
ƒ Organizes, directs and manages audit team members in preparation, during and after the audit.  
ƒ Supervises ASCAs  
ƒ Approving and signing off on the audit report  
ƒ Adhering to the principles within APSCA’s Code  
Note: APSCA may consider exceptions to the above requirements on an ad hoc basis.  
4. USE OF APSCA MEMBER AUDITOR NUMBER  
APSCA Member Auditors may only sign off on a Social Compliance Audit if they are a CSCA.  
5. COMPETENCY OVERVIEW  
Note: The competencies noted on pages 6 - 14 are focused on the specific activity of executing a Social  
Compliance Audit.  
FOUNDATION SKILLS  
FUNCTIONAL KNOWLEDGE AREAS  
ƒ Strategic and Systems Thinking  
ƒ Professional and Ethical Behavior  
ƒ Observation and Investigation  
ƒ Data Collection and Analysis  
ƒ Business Legitimacy and Integrity of Records  
ƒ Underage Labor  
ƒ Discrimination and Disciplinary Practices  
ƒ Forced Labor  
ƒ Working Hours and Overtime  
ƒ Problem Solving and Analytical  
Decision Making  
ƒ Freedom of Association and Effective Recognition  
of the Right to Collective Bargaining  
ƒ Management Systems  
ƒ Documentation Review  
ƒ Interview Skills  
ƒ Harassment and Abuse Practices  
ƒ Wages, Benefits and Terms of Employment  
Subcontracting  
ƒ Communication, Relationship Management  
ƒ Occupational Health and Safety  
ƒ Use of APSCA Member Number  
and Conflict Resolution  
ƒ Self-Management  
ƒ Standards, Laws and Regulations  
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6. VALIDATION OF DEMONSTRATED COMPETENCIES  
The Competency Framework outlines the expected level of competency for ASCAs and CSCAs:  
ƒ Understanding: Auditor has a basic knowledge and understanding of what is required in this area  
but is not yet proficient.  
ƒ Proficiency: Auditor has a sufficient degree of skill and/ or expertise in this area.  
Refer to APSCA’s Auditor Handbook for more information on the exam.  
6.1 CSCA EXAM (PART I AND PART II)  
The CSCA Exam serves as a benchmark for the assessment of proficiency in the areas of functional  
knowledge and foundational skills. The exam assesses an individual’s understanding of basic facts,  
policies, practices, methods, international human rights treaties and labor standards, local legislation and  
other regulations relevant to their role. The exam includes multiple choice, short answer and case study  
questions.  
6.2 CSCA INTERVIEW (PART III)  
Candidates must demonstrate proficiency required of CSCAs. This step will take the form of a formal  
interview assessing the individual’s ability to conduct effective audits.  
6.3 MAINTAINING CSCA CERTIFICATION  
Individuals that are CSCA level looking to maintain certification will need to meet ongoing requirements.  
This is demonstrated through compliance with the standards for Continuing Professional Development (CPD).  
CPD involves undertaking development activities that support CSCAs in ensuring maintenance of their  
competencies as well as expanding their professional knowledge and practice. 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 CSCA and recorded into APSCA’s data system.  
Information to validate these records may be requested by APSCA at any time. CPD includes the following:  
ƒ 16 hours – field social compliance audit  
ƒ 16 hours – training (focused on gaps identified during examination)  
ƒ 16 hours – APSCA recognized training which may include, firm, brand, scheme training, participation  
in social compliance conference or other relevant events.  
Reference: APSCA's Resource Library for APSCA’s Continuous Professional Development (CPD) policy.  
7. MISCONDUCT  
Any APSCA Member who is aware of another APSCA Member or audit firm personnel who has committed a  
violation of APSCA’s Code, must inform the Member Firm for which the audit was conducted or APSCA.  
Others who are aware of an APSCA Member or audit firm personnel who is to have alleged to have  
committed a violation of APSCA’s Code, are encouraged to inform the Member Firm for which the audit was  
conducted or APSCA.  
When professional misconduct or an infringement of the Code come to the attention of APSCA, there is  
an obligation that an investigation will be undertaken. If the outcome of such an investigation confirms a  
Member was in breach of the Code it will lead to an APSCA disciplinary hearing which gives the Member(s)  
the right to defend their actions. A possible outcome of such a disciplinary hearing would be to suspend or  
revoke APSCA Membership, which APSCA reserves the right to make public.  
There is a restriction therefore on Member Firms from appointing an Auditor whose Membership and  
/ or certification has been withdrawn by APSCA as well as a restriction on the Auditor from presenting  
themselves as a Member Auditor of APSCA. A Member Firm who has taken disciplinary action against a  
Member Auditor who has committed a violation of the Code shall inform APSCA.  
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8. FOUNDATIONAL  
Note: All areas are to be read “as related to the work”  
U: Understanding P: Proficiency  
8.1 STRATEGIC AND SYSTEMS THINKING  
ASCA  
CSCA  
Is open-minded, reasonable, and willing to consider alternative ideas or points of view  
Is persistent and focused in their approach  
P
P
P
P
P
P
P
P
P
P
Can integrate ideas and solutions across all levels and functions in the organization  
Operates effectively in an environment of change and uncertainty, maintaining flexibility  
Is aware of issues and develops timely strategies to solve problems or seize opportunities  
8.2 PROFESSIONAL AND ETHICAL BEHAVIOR  
ASCA  
CSCA  
Is fair, truthful, unbiased, discreet, trustworthy and respectful  
P
P
Makes ethical decisions even though these actions and decisions may result in  
disagreement, confrontation or appeal proceedings; reports to higher levels of  
management or others when appropriate  
P
P
Maintains objectivity and impartiality  
P
P
P
P
Maintains confidentiality and avoids conflicts of interest  
Maintains and enhances the reputation of the Member Firm, CSCAs, ASCAs, APSCA  
and the initiatives they are auditing against  
P
P
P
P
Upholds the law, professional standards and policies when exercising judgement,  
seeking out advice where needed and relying on their ethical principles to guide  
their behavior  
Possesses honesty and integrity, particularly in relation to preventing or reporting  
bribery and corrupt practices  
P
P
P
P
P
P
Is courteous, conscientious and business-like in their approach to auditing  
Can raise uncomfortable issues and ask challenging questions in a polite manner.  
Enables constructive challenge at all levels in the organization  
U
U
Delivers factual, clear, accurate, timely and accessible reporting  
8.3 OBSERVATION AND INVESTIGATION  
ASCA  
CSCA  
Applies audit principles, procedures and techniques  
U
U
P
P
Thoroughly reviews and analyzes relevant documentation  
Possesses a detailed knowledge of compliance issues commonly applied for social  
compliance audit codes or standards  
U
P
Uses investigative skills / triangulates a range of information to determine the  
authenticity of information and to verify possible allegations made by other sources  
U
U
U
P
P
P
Triangulates information from interviews, documentation review and observation to  
draw conclusions regarding activities at the facility  
Selects and applies a range of appropriate operational and management tools and  
techniques  
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U: Understanding P: Proficiency  
8.3 OBSERVATION AND INVESTIGATION (Continued)  
ASCA  
CSCA  
Is observant of physical surroundings, people and activities throughout the entire  
audit process  
P
P
Applies detection / triangulation skills, looking for methods of document manipulation,  
fraudulent actions and fraudulent practices  
U
P
8.4 DATA COLLECTION AND ANALYSIS  
Selects and applies a range of appropriate analysis tools and techniques  
Undertakes effective sampling where appropriate  
U
U
U
U
P
P
P
P
P
P
Mitigates impact of factors that can affect the reliability of audit findings and conclusions  
Can reach timely conclusions based on logical reasoning and analysis  
Uses numeracy skills to understand and interpret relevant number systems  
8.5 PROBLEM SOLVING AND ANALYTICAL DECISION MAKING  
ASCA  
CSCA  
Shows logical judgement skills, making decisions based on objective and verifiable  
evidence  
P
P
Uses an evidence-based approach to problem solving and decision making  
When facing an issue during an audit, can provide solutions to solve the problem  
P
P
P
U
Assesses situations and information to make informed decisions on objective and  
verifiable evidence  
U
P
8.6 MANAGEMENT SYSTEMS  
ASCA  
CSCA  
Demonstrates knowledge of management system frameworks, applicable procedures  
or other management systems documents  
U
P
Able to apply management system principles to different organizations and to interact  
between components of the management system  
U
U
P
P
Demonstrates knowledge of the use of information systems and technology to validate  
the authenticity of records through triangulation  
Understands specific organizational functions including human resource management,  
payroll systems, environmental, trade union relationships, collective bargaining  
processes, applicable collective agreements, health and safety cooperation, other  
worker representation and worker grievance procedures  
U
P
Demonstrates ability to effectively investigate, collect data, analyze and draw  
conclusions in relation to:  
Policies, implementation and verification  
Auditees capabilities and root cause analysis  
Training  
U
U
U
U
P
P
P
P
Feedback and grievance mechanisms  
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U: Understanding P: Proficiency  
8.7 DOCUMENTATION REVIEW  
ASCA  
CSCA  
Demonstrates the ability to review documentation specific to each of the functional  
knowledge areas, including:  
Business ethics management program (review documents: anti-bribery and anti-  
corruption – contracts/ agreement with suppliers, third party providers, business  
ethics records)  
U
P
Environmental permits  
U
U
P
P
Legal compliance with inspections, audits, certifications, collective agreements  
8.8 INTERVIEW SKILLS  
ASCA  
CSCA  
Is experienced in a range of interviewing techniques and uses as appropriate  
Creates an environment where the interviewee/s feel comfortable and at ease  
Can select a sample and/or groups for interview as appropriate  
Can ask effective follow-up questions to collect information  
U
P
P
P
P
P
P
P
Possess appropriate investigative interviewing skill to raise probing questions to collect  
information on sensitive issues, triangulate information across interviews  
U
U
P
P
Interviews appropriate personnel, including management, HR, security staff, worker  
representatives and workers across shifts to gather information on adherence to  
relevant laws and other regulations  
Listens to the interviewee and adjusts questions and tone of voice appropriately. Reads  
verbal and non- verbal cues  
P
P
P
Relays findings without compromising the source of information, and deals appropriately  
with personnel who may feel compromised or uncomfortable being interviewed  
U
8.9 COMMUNICATION, RELATIONSHIP MANAGEMENT AND CONFLICT RESOLUTION ASCA  
CSCA  
Is tactful and respectful in dealings with people, balances diplomacy and assertiveness  
P
P
P
Puts people at ease and builds open, constructive relationships with workers,  
managers, peers and clients  
P
P
Can communicate and work with many different stakeholders, at various levels of an  
organization  
U
Displays effective influencing and negotiation skills  
U
P
P
P
P
P
Demonstrates strong (oral and written) reporting skills  
Listens, understands and empathizes with others, and is sensitive to people’s needs  
Displays effective communication skills, oral, written and non-verbal, for example, when  
conducting audit meetings, interviews etc.  
P
P
P
P
P
P
Demonstrates cultural awareness and sensitivity, with an appreciation of the situation of  
vulnerable workers, such as migrant labor, young workers, homeworkers etc.  
Is a fluent speaker and reader of the language(s) used in the organization being  
audited, or communicates effectively through an interpreter  
Discusses audit findings with appropriate levels of the organization independently and  
with confidence, while maintaining confidentiality and protecting potentially vulnerable  
individuals from retaliation  
U
P
Assumes a leadership role during possible conflict situations and is confident to  
manage and control discussions  
U
U
P
P
Anticipates reactions and objections and plans how to overcome  
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U: Understanding P: Proficiency  
8.10 SELF-MANAGEMENT  
ASCA  
CSCA  
Arrives on site in a timely manner, prepared for the work, including knowledge of the  
appropriate standard, understanding of both industry and facility-specific details, in  
possession of any reference materials and supplies required for the audit  
P
P
Arrives on site dressed appropriately – e.g. flat, enclosed shoes, PPE if required  
Functions effectively and independently during audits  
P
P
P
U
Demonstrates strong time management skills, by planning, prioritizing and adjusting  
audit activities as required  
U
P
P
P
Demonstrates good organizational and time-management skills, ensuring deadlines,  
actions and objectives are achieved even when faced with problems, challenges and  
pressure  
Responds well to feedback and is committed to continually developing own skills  
Acts as a role model, demonstrating high performance for teams and individuals  
P
P
P
U
Takes personal accountability for results delivered in area of responsibility, strives for  
excellence and encourages others to do the same  
P
P
Monitors and improves own performance  
P
P
P
P
Engages in continuous professional development  
Recognizes limits to own professional competence, seeking support from other  
professionals and experts as needed  
P
P
8.11 STANDARDS, LAWS AND REGULATIONS  
ASCA  
CSCA  
Understands relevant applicable laws, regulations and the role of collective  
agreements where they exist  
U
P
Understands relevant International Standards and international authoritative  
documents under all functional knowledge areas. Examples are the Universal  
Declaration of Human Rights, the Fundamental and other relevant ILO International  
Labor Conventions, the UN Guiding Principles on Business and Human Rights,  
applicable parts of the OECD Guidelines for multinational enterprises"  
U
U
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9. FUNCTIONAL KNOWLEDGE AREAS  
Note: All areas are to be read “as related to the work”  
U: Understanding P: Proficien-  
cy  
9.1 BUSINESS LEGITIMACY AND INTEGRITY OF RECORDS  
ASCA  
CSCA  
Demonstrates a detailed knowledge of business integrity standards  
U
P
Demonstrates ability to effectively collect data, analyze and draw conclusions in  
relation to:  
Business Ethics Management System  
U
ASCA  
U
P
CSCA  
P
9.2 UNDERAGE LABOR  
Identifies young appearing workers, triangulates information, reports on current and /  
or historic underage labor  
Demonstrates ability to effectively investigate, collect data, analyze and draw  
conclusions in relation to:  
Age verification system and records  
U
U
U
U
P
P
P
P
P
P
Young workers – training/apprentice student worker/internship programs  
Young workers – working hour limits, hazardous roles, night work  
Child labor remediation  
Hazardous work for young workers  
9.3 DISCRIMINATION AND DISCIPLINARY PRACTICES  
ASCA  
CSCA  
Investigate whether worker demographics represent industry/sector/country. Identify  
signs of policy implementation (e.g. signs posted in languages of all workers, workers  
understand their rights and the policies relating to discrimination and disciplinary  
practices)  
U
P
Demonstrates ability to effectively investigate, collect data, analyze and draw  
conclusions in relation to:  
Employment decisions and Employment Equality (based on ability)  
Non-discrimination policy  
U
U
U
U
U
U
P
P
P
P
P
P
Monetary fines and/or deductions used as a form of discipline  
Grounds for termination  
Fair employment practices  
Labor contracts (in language understood by worker)  
Vulnerable groups, such as women, ethnic minorities, LGBTIQ+ people and people  
with disabilities (including discrimination in recruiting, hiring, employment, promotion)  
U
P
Document Name:  
Version & Date:  
Replaces:  
APSCA Competency Framework D-011  
Version 7 – June 2022  
Version 6 – March 2022  
This document is no longer version controlled once printed.  
Page 11 of 15  
Author/Owner:  
Authorized by:  
APSCA President & CEO  
APSCA Executive Board  
APSCA’s COMPETENCY FRAMEWORK  
U: Understanding P: Proficiency  
9.4 FORCED LABOR  
ASCA  
CSCA  
Understand operational indicators of forced labor; how to effectively identify these  
indicators during the audit process and how to record these indicators on audit reports  
in a manner that leads to remediation.  
U
P
Demonstrates ability to effectively investigate, collect data, analyze and draw  
conclusions in relation to:  
Freedom of movement – including third party workers e.g. agency, contracted,  
dispatch workers  
U
P
Payment to obtain a job – including throughout the recruitment and labor supply chain  
Indebted or coerced to work, including document retention and deposits  
U
U
P
P
With appropriate processes to identify these practices in the different business models  
of forced labor, particularly:  
State induced and prison labor  
U
U
U
P
P
P
Employer induced, including rogue and corrupt managers and supervisors  
Third party intermediary e.g. labor providers and sub-agents  
Identify proactive policy implementation to deter, detect and correctly deal with  
suspected and actual cases of forced labor  
U
P
9.5 WORKING HOURS AND OVERTIME  
ASCA  
CSCA  
Investigate signs of potential non-compliances, e.g. signs of unrecorded working hours,  
coaching notes, cages blocking time cards  
U
P
Demonstrates ability to effectively investigate, collect data, analyze and draw  
conclusions in relation to:  
Recording of working hours. Compliance with local law and international standards.  
Objective means to set and monitor working hours  
Waivers  
U
U
U
U
U
U
P
P
P
P
P
P
Rest days / breaks between shifts / total working hours  
Working hour limits for hazardous jobs and categories of workers.  
Transparency and accuracy of working hours records  
9.6 FREEDOM OF ASSOCIATION AND EFFECTIVE RECOGNITION OF THE RIGHT  
ASCA  
CSCA  
TO COLLECTIVE BARGAINING  
Identifies signs of compliance, such as signage relating to trade union events, space for  
union meetings  
U
P
Demonstrates ability to effectively investigate, collect data, analyze and draw  
conclusions in relation to:  
Freedom to join lawful trade union without interference  
Grievance procedures/worker feedback on employment practices  
Non-discrimination and non-retaliation  
U
U
U
U
P
P
P
P
Collective Bargaining Agreement adherence  
Document Name:  
Version & Date:  
Replaces:  
APSCA Competency Framework D-011  
Version 7 – June 2022  
Version 6 – March 2022  
This document is no longer version controlled once printed.  
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Author/Owner:  
Authorized by:  
APSCA President & CEO  
APSCA Executive Board  
APSCA’s COMPETENCY FRAMEWORK  
9.7 HARASSMENT AND ABUSE PRACTICES  
ASCA  
CSCA  
Observes interactions between supervisors, management and workers  
U
P
Demonstrates ability to effectively investigate, collect data, analyze and draw  
conclusions in relation to:  
Disciplinary procedures  
U
U
U
U
U
U
P
P
P
P
P
P
Grievance mechanism  
Role of security guards against abuse  
Physical punishment or physical abuse  
Verbal abuse, mental abuse, coercion or harassment  
Application of disciplinary procedures to vulnerable groups  
9.8 WAGES, BENEFITS AND TERMS OF EMPLOYMENT  
ASCA  
CSCA  
Demonstrates ability to effectively investigate, collect data, analyze and draw  
conclusions in relation to:  
Responsible recruitment practices  
Payroll procedures (including payslips, regular payment)  
Wage calculations including piece rate  
Deductions  
U
U
U
U
U
U
U
U
U
P
P
P
P
P
P
P
P
P
Benefits  
Seasonal/temp workers/migrant workers/labor providers  
Equal remuneration  
Terminations and severance  
Transparency and accuracy of wages records  
9.9 SUBCONTRACTING  
ASCA  
CSCA  
Demonstrates ability to effectively investigate, collect data, analyze and draw  
conclusions in relation to:  
Ability to identify missing processes / ability to identify reasonable capacity  
Identification of signs of homeworking  
U
U
P
P
Document Name:  
Version & Date:  
Replaces:  
APSCA Competency Framework D-011  
Version 7 – June 2022  
Version 6 – March 2022  
This document is no longer version controlled once printed.  
Page 13 of 15  
Author/Owner:  
Authorized by:  
APSCA President & CEO  
APSCA Executive Board  
APSCA’s COMPETENCY FRAMEWORK  
9.10 OCCUPATIONAL HEALTH AND SAFETY  
ASCA  
CSCA  
Demonstrates ability to effectively investigate, collect data, analyze and draw  
conclusions in relation to workers awareness and presence of:  
Health and safety policies and management system  
Health and safety training  
U
U
U
U
U
U
U
P
P
P
P
P
P
P
Licenses and permits  
Potable water (review documentation)  
Accident reporting and follow up actions  
Personal protective equipment (PPE)  
Equipment/machine safety  
Waste and chemical management program (review permits, licenses, MSDS  
training for workers)  
U
U
Repetitive motion (review assessment reports, interview workers, observe use of PPE)  
Emergency procedures, fire safety, exits, fire prevention, fire extinguishers  
U
U
U
P
Air Quality Management Systems (identify system in place to manage air quality in  
the work environment)  
U
U
First aid  
U
U
U
U
U
P
P
P
P
P
Sanitation and hygiene  
Dormitories  
Canteen  
Lighting  
Noise (documentation review of medical records, interview workers/management,  
ensure noise monitoring has been completed)  
U
U
U
P
Ventilation and temperature control (documentation review, interview  
management/ workers, medical records, evaluating what checks have been  
undertaken)  
Risk mitigation/supplier assessment/root cause analysis  
Occupancy Certificate  
U
U
U
U
P
P
P
U
Hazardous material handling  
Waste Management  
9.11 USE OF APSCA MEMBER NUMBER  
How to write Member Number  
ASCA  
CSCA  
P
P
P
P
When to use APSCA Member Number  
Document Name:  
Version & Date:  
Replaces:  
APSCA Competency Framework D-011  
Version 7 – June 2022  
Version 6 – March 2022  
This document is no longer version controlled once printed.  
Page 14 of 15  
Author/Owner:  
Authorized by:  
APSCA President & CEO  
APSCA Executive Board