ASI Assurance Manual: Update coming in July

25 April 2024

We are pleased to announce key updates to the ASI Assurance Manual for ASI Members and Accredited Auditors are ready for publishing in July 2024.

ASI has updated its Assurance Manual, streamlining it for members and auditors by eliminating redundancies and enhancing usability. The revisions incorporate best practices and risk-based methods pertinent to ASI Certification, aimed at bolstering the audits’ integrity and ASI’s risk management and assurance.

Key changes include:

1. ASI Membership Classes and Supply Chain Activities – We have added Bauxite Development and High Purity Alumina production to the eligible activities in the Production and Transformation class after the changes to the Constitution in November 2023 (4.3).
2. Audit Teams Compositions – We recommend that Audit Teams are to include IPAF Representatives or ASI Registered Specialists, where applicable (9.5.2 and 9.5.3).
3. Pre-audit preparation and audit planning requirements for Initial Certifications Audits involving Bauxite Mining and/or Alumina Refining and/or Aluminium Smelting – Audit plans for the Initial Certification Audits for Bauxite Mining and/or Alumina Refining and/or Aluminium Smelting supply chain activities must be submitted to the ASI Secretariat no later than six (6) weeks before the proposed Audit commencement date (9.10). The ASI Secretariat will conduct a pre-audit Risk Assessment and will provide the Audit Team with recommendations to plan for the Initial Certification Audit (5.2.1). Although this has been a requirement for approximately 18 months, this requirement is now been formally incorporated into the Assurance Manual.
4. Identification of Indigenous Peoples and Local Communities for FPIC – We have provided guidance on the understanding of the distinction between, and potential overlapping of identities between Indigenous Peoples and Local Communities (8.4) and ensuring FPIC is implemented in good faith.
5. Interviews as Objective Evidence – We clarified the process when there is a lack of Objective Evidence. Auditors should consider other forms of Objective Evidence such as interviews. A lack of Objective Evidence in the form of documentation does not necessarily mean a Non-Conformance. When documented Objective Evidence is lacking or insufficient, Auditors can consider other forms of Objective Evidence including interviews or testimonies (5.8). We have also highlighted the importance of interviews for gathering information as Objective Evidence and cross-referencing interview findings with documented evidence and implementation (9.12).
6. Multi-Site Entity Selection Guidelines and like Facilities for Multisite Sampling – We have included Multi-Site Selection factors for consideration using a risk-based approach for selection for the Audit Scope (9.4.3) and revised the number of like Facilities for Multisite Sampling for Audits (Table 15).
7. Selecting Affected Populations and Organisations and other External Parties to Interview – We have clarified that Auditors must not solely rely on the information or list of Affected Populations and Organisations provided by the Member. And to contact Affected Populations and Organisations in advance for an interview in a language understood by their representatives (wherever possible) (9.4.4).
8. Minimum Mandatory Content for Stakeholder Engagement Sampling Methodology – When Indigenous Peoples and Local Communities are not present, Members should demonstrate why these communities are not present within their Area of Influence using recognised tools and resources, rather than simply that stating the relevant criterion (i.e. 9.3 and 9.4) is not ‘Not Applicable.’ As a result, we expect the ‘Stakeholder Engagement Sampling Methodology’ in Audit Reports to be more detailed outlining the engagement methods and if applicable, unsuccessful attempts (9.21).
9. Audit Time Requirements – We have revised additional on-site time (days) for Interviews with external Stakeholders to reflect ‘on the ground’ realities and to consider off-site time and post-audit activities such as the Oversight process (9.6).
10. Guidance on conducting interviews – We have provided both common and leading practices for conducting interviews with Workers (9.12.3), especially with Vulnerable or At-Risk individuals and Groups (9.12.1).
11. Force Majeure Policy and Clear Provisions for Remote and Hybrid Audits – The Force Majeure Policy clarifies the reasonable accommodations that can be made to Audit Plans in consideration of any Force Majeure situation. We have also made clear provisions for both remote and hybrid audits (Appendix 1 and 9.7). The ‘Interim Policy regarding Audits, Audit-Related Travel and Coronavirus’ is no longer active and has been replaced by this Force Majeure Policy.

For any questions or clarifications regarding the updated ASI Assurance Manual, please contact cameron@aluminium-stewardship.org

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