10 things you need to know about the ASI Assurance Process

ASI’s Standards apply throughout the global aluminium chain, from bauxite mining through to downstream sectors that use aluminium in their products such as cars, cans and packaging.  ASI Certification is the outcome of an assurance process:  assessing and reporting on conformance with these Standards.

Assurance processes might seem like a ‘black box’ when are you not involved with them.  So, how does ASI assurance work in practice?  Who can be an auditor for ASI?  How are audits planned?  What do audits look like on site?  How is quality controlled?  How do I raise a complaint or concern? 

Read on to find out 10 important facts about ASI assurance.

ASI Auditors are independent third-party audit firms who bring together qualified audit teams.  Individual auditors must have experience in the relevant country or region, and with the part of the aluminium value chain they will be auditing. 

Auditors are  accredited  by ASI based on a detailed review of their experience and competencies.  All ASI Auditors must also complete mandatory training and competence assessments.  This ensures they have familiarity with ASI Standards and assurance processes before they start auditing, and continue their knowledge development in key topics.

Where required, accredited auditors also draw upon additional local expertise, whether it be for local language support, cultural understanding and experience, subject-matter expertise (such as Indigenous Peoples, community engagement biodiversity or rehabilitation). For some audits, the audit team has engaged an ASI Registered Specialist, who not only provides local expertise, but also has a sound understanding of the ASI Standards.

Conflicts of interest must be declared. This is typically discussed between the Entity, the audit team and the ASI Secretariat well in advance of the audit commencing. The fact that the audit team is clear of any known or perceived conflicts is then typically declared by the Lead Auditor prior to any stakeholder interviews as well as in the opening meeting.

You can access the list of ASI Accredited Auditors by following the link below.

ASI audits take place all over the world. They can be for an initial Certification, a Surveillance audit, a change in the Scope of the Certification (for example adding sites), or a Re-certification Audit. 

The number of ASI audits continues to increase each year.  For example, in 2021 there were 109 ASI audits; and in 2022, there were 191 ASI audits.

To plan an audit, Auditors consider the nature of the Entity and its activities, the applicable requirements of the ASI Standards, and the operating context and risks.

An audit plan will set out how the audit team will collect objective evidence for the Entity’s implementation of the ASI Standards.  This will include review of the Entity's documentation, visiting and observing site activities and work practices, and interviews with responsible personnel, workers, contractors and other stakeholders including local communities, Indigenous peoples and identified non-government organisations. Competency or translation support to work across multiple languages may be required.

The ASI Secretariat reviews the audit plans in advance for all upstream Entities – those involved in bauxite mining, alumina refining and/or aluminium smelting.  The Secretariat check for:

The ASI Secretariat also conducts a pre-audit risk assessment for upstream facilities, and provides this to the audit team.  The risk assessment conducts desktop research for information in the public domain relating to issues such as:

A ‘traffic light’ system highlights key risks that will need additional time spent on them during the audit.  This pre-audit risk assessment is shared with the Auditors to inform or update their planning.

An audit is a very busy process. Days are often long, as auditors try to maximise the time on site to access as much information as possible to inform their findings.

In some cases, the ASI Secretariat conducts witness assessments of audits on site.  A witness assessment involves observing the audit team’s practices, such as how they engage with all stakeholders and cross reference information, during the conduct of a live audit. 

ASI selects audits for witness assessments to see a diversity of features in action:  audit firm, location, supply chain activity, ASI Standard, audit type and issue(s) risk.

ASI’s online assurance platform, elementAL, manages the flow of information and data for the Certification process.

ASI Accredited Auditors and those ASI members seeking Certification use elementAL to manage self-assessments, audit planning, documentation of evidence and findings, and reporting. 

The ASI Secretariat also accesses assurance data through elementAL, to manage planning, workflows and oversight processes.  In 2024, ASI will launch elementAL 2.0 which will be a re-built platform with enhanced data management and workflows.

All ASI Audit Reports are subject to an internal Oversight assessment undertaken by the ASI Secretariat.  In addition to ensuring that the audit has been carried out appropriately, the Secretariat can provide auditors with direct feedback to enhance competence and consistency across audits.

The Oversight process for a Performance Standard audit specifically reviews issues such as:

For every ASI Certification issued, Audit Reports are published. This enhances transparency and provides a means for feedback or queries from stakeholders about ASI Audits, which can further inform ASI oversight activities

No. To maintain Certification over time, the Entity will need to continue to undergo surveillance and/or re-certification audits. If there are any non-conformances with the Standard, progress on corrective actions will be reviewed in subsequent audits.

ASI Standards also continue to evolve.  In 2022, updated ASI Standards were published and all ASI Certifications are transitioning to the new versions.

Ongoing audits and ongoing standards updates create a platform for ongoing improvement of performance and outcomes.

The  ASI Assurance Manual  sets out the principles, procedures and objectives for the assurance model that supports ASI Certification.

The Manual is regularly updated based on implementation experience, risks and ongoing development of leading practice.  This work is undertaken in collaboration with the multi-stakeholder ASI Standards Committee, often with input from Working Groups on topics such as human rights.

We continue to capture insights and learning to identify opportunities to improve our processes. 

The Secretariat conduct regular internal reviews of risks and issues, work with ASI's multi-stakeholder Standards Committee, Indigenous Peoples Advisory Forum (IPAF) and topic-based Working Groups, and take account of external feedback.

We also run a Community of Practice for ASI Auditors, to share feedback and good practice approaches from the Secretariat and also from peer auditors.  This Community of Practice meet on-line on a quarterly basis, and can forward any ideas, experiences, challenges or concerns they have to the Secretariat at any time.

For example:

Vincent Douvernelle, ASI auditor accredited with GUTcert (AFNOR Group) since 2020, shares his recommendations with other auditors for adopting a risk-based approach during an ASI audit:

We welcome the opportunity to liaise with communities, Indigenous peoples, workers, companies and auditors about their concerns.  We will work through dialogue and/or investigation processes to try and seek a resolution.

Please contact us through the  ASI Complaints Mechanism  to raise a question, concern or complaint.

You can also contact us at  info@aluminium-stewardship.org 

Find out more on the ASI website:   www.aluminium-stewardship.org