ASI Assurance Manual V1
The purpose of the ASI Assurance Manual is to set out the principles, procedures and objectives for the assurance model that support ASI Certification. Specifically, this Manual gives instruction and guidance on:
- the overall process for achieving 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.
The Manual should be used by ASI Members and ASI Accredited Auditors when carrying out activities and responsibilities associated with ASI Certification.
About ASI’s assurance model
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”). ASI aims to design and implement an assurance model that is in conformance with the ISEAL Assurance Code, and delivers on core goals of integrity, credibility and effectiveness. 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
The ASI Theory of Change sets out the following desired impacts of the ASI assurance model, which are:
- Sustainability and human rights principles are increasingly embedded in aluminium production, use and recycling
- Companies increasingly invest in and reward improved practices and responsible sourcing for aluminium
- Aluminium continues to improve its sustainability credentials with stakeholders
The following strategies from the ASI Theory of Change are embedded in ASI’s Standards, Guidance and Assurance Manual in order to achieve these desired impacts:
- Clear standards and assessment tools that are meaningful, practical and accessible
- Guidance and learning opportunities for capacity building and continuous improvement
- Open membership opportunities and flexibility in certification uptake
- Credible assurance based on materiality and risks
- Innovative IT platforms to manage data and processes
- Transparency of outcomes and collaboration with stakeholders and other systems
Over time, ASI’s assurance model will be regularly reviewed to take into account testing through the cloud-based ASI Assurance Platform, reviews of implementation by Members and Auditors, emerging risks and opportunities, and new strategies for data management. Following revisions, changes to the assurance model and the effective date will be clearly and promptly communicated to all Members and stakeholders.
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.