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ASI Standards

ASI Assurance Manual

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



About the ASI Assurance Manual

The ASI Assurance Manual includes instruction and guidance on:

  • the overall process for achieving and maintaining ASI Certification
  • how Members perform an initial Self Assessment to prepare for an Audit
  • how Accredited Auditors conduct independent third party Audits to assess Conformance with ASI Standards
  • general principles for conducting effective Self Assessments and Audits.

  • Reinforcement of the need for a risk-based approach to auditing (Section 5.2)
  • Specified that to issue a High Overall Maturity Rating, no Non-Conformances are to be identified (Section 5.6)
  • All Audits at Facilities where Indigenous Peoples and Affected Communities are present must include interviews with these. (Section 5.7)
  • Specified that where Applicable Law and the ASI Standards are in conflict, the Entity has to comply with the higher standard (Section 6.1)
  • Clarified that in a Multi-Site Audit, if a Non-Conformance is issued at one site, it is raised as a Non-Conformance across the whole Audit Scope (Section 6.1)
  • Required to attach the Corrective Action Plans for Major Non-Conformances to the Audit Report (Section 6.4)
  • Specified that if more than three Major Non-Conformances are found in any Audit, Certification will not be issued or will be revoked (Section 6.4)
  • Inclusion of options for a Force Majeure context (Section 8.3)
  • New sections on selecting parties to interview and interviewing affected populations and communities (Sections 8.4.3 and 8.10.1)
  • New and expanded guidance on audit level of effort and extra effort required for high-risk issue types (Section 8.6)
  • New section on the review of Audit Plans involving Bauxite Mining, Alumina Refining and/or Aluminium Smelting by the ASI Secretariat (Section 8.9)
  • Expansion of the requirements for the ASI Audit Report and the public Summary Audit Report (Sections 8.18 and 8.19)
  • Added Guidance on which Criteria may be evaluated in an Off-Site Audit (Appendix 3)

The purpose of the ASI Assurance Manual is to set out the principles, procedures and objectives for the assurance model that support ASI Certification.

DOWNLOAD

Please note: Translations of the Assurance Manual will become available to download using the download buttons above once they are published.

 

Applicability

The Manual must be used by ASI Members and ASI Accredited Auditors when carrying out activities and responsibilities associated with ASI Certification.

The ASI assurance process is managed through our online assurance platform, elementAl.

 

Assurance principles

ASI‘s assurance model aligns with the principles outlined in the ISEAL Alliance Code of Good Practice: Assuring Compliance with Social and Environmental Standards (“ISEAL Assurance Code”).

The ISEAL Assurance Code sets out the following principles that ASI has adopted as key to enhancing conformity with standards and instilling trust in an assurance system:

  • Consistency: to ensure replicable results
  • Rigour: the ‘intensity’ of the assurance process that best enhances accurate results
  • Competence: of individuals carrying out assurance, to interpret and apply intent of the standards
  • Impartiality: to ensure fair and objective treatment of organisations seeking certification
  • Transparency: to provide for stakeholder scrutiny and build confidence
  • Accessibility: affordable, culturally sensitive, comprehensible and within reach of target clients

 

Access versions and translations

The 2022 Assurance Manual is effective from publication.

The 2017 version is now superseded (but can still be accessed below, pending updated translations).

ASI Limitation of Liability Disclaimer

Organisations that make ASI-related claims are each responsible for their own compliance with Applicable Law, including laws and regulations related to labelling, advertisement, and consumer protection, and competition or antitrust laws, at all times. ASI does not accept liability for any violations of Applicable Law or any infringement of third-party rights (each a Breach) by other organisations, even where such Breach arises in relation to, or in reliance upon, any ASI Standard, document or other material, recommendation or directive issued by or on behalf of ASI.  ASI gives no undertaking, representation or warranty that compliance with an ASI Standard, document or other material, recommendation or directive issued by or on behalf of ASI will result in compliance with any Applicable law, or will avoid any Breach from occurring.

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