ASI Complaints Mechanism

Purpose of the ASI Complaints Mechanism

The Aluminium Stewardship Initiative (ASI) Complaints Mechanism aims to ensure the fair, timely and objective resolution of complaints relating to ASI’s standards setting processes, certification program, auditor conduct and ASI policies and procedures.

• It serves as an important part of the overall ASI governance model, allowing stakeholders to raise issues of concern and have these investigated and addressed as appropriate.
• It does not replace or limit access to judicial remedies.

Who can make a complaint?

• ASI Members and their employees
• ASI Auditors
• Other stakeholders, including communities NGOs, workers and Indigenous Peoples
• Whistleblowers

What is the process?

You are encouraged to submit complaints, concerns or inquiries relating to topics noted in our Complaints Mechanism so that we can respond and improve.

For more information on the process, you can download:

Initial enquiries

Initial telephone or email enquiries can be made to ASI to seek guidance as to the eligibility, content or process for submitting a Complaint.

Enquiries can help identify the relevant parties to a potential Complaint, or discuss avenues for raising them directly.  Concerns can sometimes be solved quickly and informally through this kind of engagement.

You can contact us at:

• Email: complaints@aluminium-stewardship.org
• Telephone: +61 3 9857 8008

Making a complaint – EthicsPoint portal

Visit the third-party EthicsPoint portal at aluminium-stewardship.ethicspoint.com to enter a complaint or inquiry. The portal functions on both mobile phones and computers, and the various language pages can be accessed via the links below.

Information is available in five languages – English, French, Chinese, German and Portuguese (Brazil).  Translation services provided by EthicsPoint enable complaints and correspondence to be managed in multiple languages.

EthicsPoint is a comprehensive and confidential reporting tool created by NAVEX Global that enables complaints to be securely raised, managed and responded to.  This enables anonymity to be maintained where desired by complainants, or as relevant to whistleblowing situations.

Making a complaint – direct to ASI

An ASI Complaints Form, and guidance for completing it, is included in Appendix 1 of the document. Fully completed ASI Complaints Forms with supporting evidence may be submitted by post or email direct to ASI:

• Email: complaints@aluminium-stewardship.org
• Post: ASI Complaints Officer, PO Box 4061, Balwyn East, VIC 3103, AUSTRALIA

Translations

ASI may request Complainants to prepare official translations of documents that are not in English at the Complainant’s expense. For Complaints involving Indigenous Peoples communities, ASI will discuss with Complainants on a case by case basis how translations support can be provided where needed.

What will happen to my complaint?

Every Complaint submitted to ASI will be carefully reviewed and responded to.  In general terms, there are a range of possible outcomes of submitting a complaint:

• A Complaint may not be within the scope of the ASI Complaints Mechanism; or
• Where a Complaint is within scope, it follows ASI’s published procedures which may result in one or more of the following:
  • The matter may be resolved through dialogue or mediation
  • An independent Panel may be convened
  • The matter may be flagged for the next scheduled audit
  • Corrective action may be undertaken by the Respondent, either voluntarily or as required by a determination made under the complaints process
  • Disciplinary procedures may be initiated and sanctions may be applied, which can include loss of ASI Certification and/or Membership for ASI Members, or loss of ASI Accreditation for Auditors.

The ASI Complaints Mechanism, including all decisions made under it, binds:

• ASI, ASI Members and Board directors – by virtue of the ASI Constitution; and
• ASI Auditors, ASI employees, contractors and others – by virtue of separate contractual arrangements.

What complaints have been made so far?

So far, ASI has received no formal complaints via the ASI Complaints Mechanism.

Where agreed by the parties, tracking of Complaints under investigation will be available on the ASI website, including a summary of the issue(s), the steps and processes underway/used to resolve the Complaint, and the outcome(s) reached. The ASI Board will be kept updated on Complaints in process, including recommendations from the ASI Complaints Officer, a Panel or the Indigenous Peoples Advisory Forum for addressing these.

In all cases, once investigation processes are concluded, Complaints received and processed will be included in an overall summary publicly available to interested stakeholders on this page.