GLOSSARY OF TERMS

ASCA: Associate Social Compliance Auditor (ASCA) is an auditor who has been signed oﬀ by a Member Firm as

meeting the criteria noted within the Competency Framework; has been enrolled with APSCA; and is working

towards sitting the CSCA exam.

Audit Firm: Companies or organizations providing independent social compliance services. This deﬁnition

does not include internal audit functions.

Audit Firm Personnel: Auditors and all personnel who are involved in the management and supervision,

coordination, report writing and report quality review of social compliance services.

Audit the Auditor: A risk-based conﬁrmation of audit results for a sample of executions by reperformance of

audit procedures by another auditor or detailed review of audit working papers.

Auditee: The facility at which the audit is being executed.

Auditor: Any individual who conducts social compliance services including an employed, freelance, or

subcontract auditor.

Client: The organization that has requested the social compliance service and / or the organization that is

owed the duty of care.

Code: APSCA Code and Standards of Professional Conduct.

Code of Ethics Agreement: Industry standard agreement to be executed in connection with all social

compliance services outlining the key requirements of the Member Firm’s integrity program and requiring

reporting of all solicitation or oﬀers of bribes.

Collaborative Program: A program that manages a social compliance audit as part of a larger system of

social compliance improvement. The program is managed by an organization which includes stakeholder

members who support the development of and enhancements of the program, These programs may also be

known as schemes or initiatives.

Competency Framework: APSCA’s compendium of demonstrated competencies for practitioners and the

basis for consideration as an ASCA or CSCA.

Complaints: Reporting, whether on an identiﬁed or anonymous basis, of alleged non-compliance with the

Code or Standards.

CSCA: Certiﬁed Social Compliance Auditor (CSCA) is a designation signifying that an auditor demonstrates

speciﬁc experience, knowledge and skills within the ﬁeld of social compliance auditing. Through a rigorous

certiﬁcation process - including experience, education, examination and assessment - the CSCA candidate

must demonstrate the core competencies relevant to the profession.

Facility: An operation that is the subject of the social compliance services. Generally, these operations would

be a speciﬁc geographic location and have a unique business license. This can include any location where

products are produced, grown, distributed or sold.

Freelance Auditor: – see Subcontractor.

Independent Translator: An individual with language skills allowing for communication with workers or

management and the auditor. In all cases, the individual shall have no relationship with either the facility or

the local authorities and will have executed a non-disclosure agreement.

Member Auditor: An auditor who is enrolled and in good standing with APSCA in either an ASCA or CSCA

capacity.

Member Firm: An audit ﬁrm that is a member of APSCA and provides Social Compliance Audit services.

Members: Member Firms and Member Auditors.

Owners: Those with an ownership interest as follows:

Public Company: any level of ownership requiring legal disclosure under applicable securities laws

Private Company: any level of ownership

Document Name:

Version & Date

Replaces:

APSCA Glossary of Terms D-031

Version 3 – January 2021

Version 2 – July 2020

This document is no longer version controlled once printed.

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Author/Owner:

Authorized by:

APSCA President & CEO

APSCA Executive Board

Partner: An organization that is independent from an APSCA Member Firm and is used to conduct

assessments, audits, or other work. They could operate under the Member Firm name or not, however they

do not share and / or have the same ownership and / or policies.

Registered Level Auditor (RA): A temporary designation for an auditor who has been signed oﬀ by a Member

Firm as meeting the educational and experience requirements of a CSCA during APSCA’s initial deployment

of the certiﬁcation regimen, and is going through the CSCA examination process. During the initial period,

Registered Level Auditors have the rights, responsibilities and obligations of a CSCA.

Social Compliance Audit: A social compliance service requiring consideration of each of the sections in the

Competency Framework with the capture and evaluation of suﬃcient evidential matter to assess performance

relative to each section by a CSCA. Competent capture of suﬃcient evidential matter includes at a minimum:

Observations of conditions in the facility, which include the work area and any other relevant areas

Review of records and policies related to Code of Conduct sections

Management interviews

Worker interviews

Triangulation of all information

CSCA’s and Member Firms have the responsibility to ensure that appropriate time is spent on site to

competently achieve these tasks. Appropriate time is a function of many factors, including but not limited

to the number of workers and physical size of the facility. Industry standard practice indicates that eﬀective

consideration would generally require a minimum of one auditor day on site for small facilities (e.g. less than

100 workers), whereas for larger facilities with more workers, two or more auditor days will be required on an

incremental basis based on the number of workers and the physical size of the facility.

Social Compliance Consultancy: Any form of assistance with the implementation of any processes or

management systems that relates to the requirements of a social compliance service. This includes, but is not

limited to, tailored training, document development or provision of advice that would speciﬁcally assist an

entity to work towards meeting requirements or to achieve compliance.

Social Compliance Consultancy does not include:

The customary exchange of information at the conclusion of or following an audit including clarifying

requirements or explaining ﬁndings either to an entity undergoing an audit or to an organization

commissioning an audit

Corrective Action Plan management or administration that does not involve the provision of speciﬁc

direction to address or remediate identiﬁed issues

Training open to the public, not speciﬁc to a client and held at a public forum

Social Compliance Service: An engagement to evaluate, measure, understand and report an organization’s

social and ethical performance. A social compliance service is intended to support a larger system to improve

labor conditions.

Subcontractor: Any individual auditor that is not under the direct employment of the Member Firm, has been

contracted to conduct a social compliance service on behalf of a Member Firm, and for whom the Member

Firm is responsible.

Takes Responsibility for the Overall Process: The Member Firm who has the relationship with the client and

is responsible for the scheduling, execution, and quality review of the Social Compliance Audit, and applies its

audit integrity policies and procedures to the process and the auditor.

Training Outcomes: Evidence of successful completion of training, including the results of examinations or

evaluations from the trainer(s).

Worker: Individuals present in a facility where a social compliance service is being performed including direct

employees, contractors, temporary workers and all other persons on-site.