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ASI Performance Standard: Overview and progress on addressing Non-Conformances

Latest info: 2023 // Project active since: 2021 

Series of analyses (D&R Insight articles) of Non-Conformance (NCs) data from current ASI Performance Standard Certifications for PS V2 and PS V3 present: 

  • Overview of all NCs broken down by Principle, 
  • Common reasons for NCs for the top three Principles of NC occurrence, 
  • Progress on NCs and Corrective Action Plans, 
  • Distribution of NCs by region, 
  • Increase of NCs under PS V3. 

Learnings & recommendations

Analyses of NCs allow ASI to identify patterns and recurring issues across Membership. It informs us where are the gaps in understanding and implementation of the Standards by Members and Auditors. Results demonstrate Performance Standard Certification drives change. At the time of the analysis (September, 2022), 75% of NCs were closed within 12-18 months. However, NCs relating to GHG emissions and waste management took longer to address than other topics. Regional differences in Performance Standard implementation were also identified. Additionally, ASI Performance Standard V3 has raised expectations for improvement in the aluminium value chain, resulting in a higher number of NCs. 

ASI reflections

The Secretariat tracks NCs in real time, and regularly discusses the trends and specific findings within the Assurance function of the Secretariat. Any noted trends and concerns are addressed through a variety of means. These include direct discussions with the Auditor/Member as required; and formal communications with the ASI Accredited Auditor cohort, including monthly Auditor Updates, FAQ updates, and quarterly Auditor Calibration Calls.  Additionally, any criterion of the Standards seeing a higher-than-expected number of NCs is flagged for future update of Guidance, and longer-term consideration as part of the next Standards development process.  



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