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.
ASI aims to achieve effective outcomes and access to remedy for stakeholders. which may include one or more of:
| Engagement |
Improvement |
Remedy |
| Establishing or creating new or improved relationships through engagement (e.g. meetings, dialogue, mediation, ongoing consultative structures, etc)
Establishing or improving engagement and understanding of the ASI Certification process.
|
Improving ASI standard implementation
Improving transparency and disclosure.
Stopping human rights infringements or other non-compliances with ASI Standards.
Preventing future harm through guarantees of non-repetition
|
Making good any human rights violations or other harms that have occurred (e.g. by restitution, rehabilitation, apologies, financial or non-financial compensation, or punitive sanctions). |
Who can make a complaint?
Anyone can make a complaint. This includes:
- Rights-holders and stakeholders, including Indigenous Peoples, affected communities, workers and NGOs
- ASI Members and their employees
- ASI Auditors
- Any organisation or individual
You are encouraged to submit complaints, concerns or inquiries so that we can respond and improve.
What is the process?
ASI will carefully review and respond to every complaint received. When you get in touch with us, we will seek to understand the issues. We will then use one or more ways to try and find appropriate solutions for resolving them.
What happens when you raise a Complaint with ASI?
For more details, or a one page overview of the process, you can download:
The 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.
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The ASI Complaints Mechanism Infographic describes, in a visual way, how stakeholders that have concerns about our program can file a complaint
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Use this form to submit a Complaint to ASI
DOWNLOAD
Are there risks to me if I complain?
ASI will keep confidential the name of any person making a complaint, where it is either requested or reasonable to do so. ASI will do its best to ensure that there is no retaliation or reprisal by the party being complained about.
Are there costs?
Lodging a Complaint may involve external costs, such as for translations or independent experts. Where there are external costs, the parties to the complaint should agree on the sharing of costs, or ASI will determine the cost-sharing for them.
ASI will generally waive external costs for Indigenous Peoples organizations or small civil society groups or affected communities. ASI may also provide financial and technical support to allow them to properly prepare and participate in the complaints process.
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:
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.
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:
What could be the outcome of my complaint?
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
- ASI may decide in favour or against the person making the complaint
- The matter may be may be required to be considered as part of 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.
- If the decision involves a loss of ASI membership or certification, or serious harm to people, it can be appealed against.
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.
ASI ultimately has limited enforcement power over its Members and its Auditors. ASI may not be able to achieve a remedy if a Member resigns or is expelled from ASI.
Are complaints published?
ASI will report on complaints received and the outcomes via its website. This will include a summary of the issue(s), the steps and processes underway or used to resolve the Complaint, and the outcome(s) reached. You can access information this information under “Current Complaints” at the right.
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. ASI will also monitor the implementation of any agreed resolution between the parties or any decision on the complaint including any corrective action plans or other remedies.
ASI Whistleblower Policy
ASI is committed to the highest standards of conduct and ethical behaviour in all of ASI’s activities and to promoting and supporting a culture of honest and ethical behaviour, corporate compliance and good corporate governance. ASI encourages the reporting of any instances of suspected unethical, illegal, fraudulent or undesirable conduct involving ASI’s activities and provides protections and measures so that those persons who make a report may do so confidentially and without fear of intimidation, disadvantage, or reprisal.
This policy is designed to comply with the Australian Corporations Act 2001 (Cth) (Corporations Act) and Taxation Administration Act 1953 (Cth) (Taxation Administration Act), which provide protection for certain individuals who make a qualifying disclosure. In addition to the protections under this policy, the Corporations Act provides specific protections to whistleblowers who disclose information concerning misconduct or an improper state of affairs or circumstances in relation to ASI and the Taxation Administration Act provides specific protections to whistleblowers on tax related matters.
An ”eligible whistleblower” under this policy is an individual who is, or has been, any of the following:
- an officer of ASI
- an employee of ASI
- an individual who supplies services or goods to ASI (whether paid or unpaid)
- an employee of a person that supplies services or goods to ASI (whether paid or unpaid)
- an individual who is an associate of ASI (such as a director or secretary of ASI)
- a relative of an individual referred to in any of paragraphs (a) to (e)
- a dependant of an individual referred to in any of paragraphs (a) to (e), or of such an individual’s spouse or
- an individual prescribed by the regulations in relation to ASI.
Eligible whistleblowers may raise a concern or make a report and have it managed under the Whistleblower Policy.
Any other person may make a complaint under ASI’s Complaints Mechanism.
