Steps to ASI Certification
ASI Certification gives an assurance of resilient business processes, built for continuous improvement and compliance.
ASI Certification is underpinned by an independent third-party audit conducted by ASI Accredited Audit Firms. This applies for both the ASI Performance Standard and ASI Chain of Custody Standard.
The path to certification consists of four main steps – and the ASI team is available to guide members through the process.
Getting started – Self Assessment
The pre-audit Self Assessment is an important preparatory step for ASI Certification. Conducting a comprehensive Self Assessment gives companies the opportunity to conduct an internal review of systems, policies and procedures against the certification criteria. It helps to identify relevant evidence for the independent audit and any areas where corrective actions may be needed. This step can also be used to familiarise employees and stakeholders with the process for the upcoming audit.
The Self Assessment is conducted via ASI’s online assurance platform, elementAl. When members define their Certification Scope, elementAl will identify applicable criteria in ASI Standards. It then provides a step-by-step structure to consider current conformance levels, document objective evidence and identify areas for improvement. This is an efficient way to centralise information and processes for the audit process and enable access to key information for your chosen ASI Accredited Audit Firm.
Tips for conducting a successful Self Assessment – Before, During and After
Before embarking on the Self Assessment
- Communicate the purpose and nature of the ASI Self Assessment to key employees. This will help develop internal support and a collaborative approach as the self-assessment is carried out.
- Organise elementAl accounts as needed – identify key members of your certification team and ensure they also have access to elementAl to contribute to the Self Assessment.
- Familiarise yourself with elementAl and ASI’s Standards and supporting documents.
- Access ASI’s online training through educationAl.
- Liaise with ASI Accredited Audit Firms to select and schedule an audit.
During the Self Assessment
- Initiate the Self Assessment within elementAl
- Define the certification scope including supply chain activity and relevant existing certifications – elementAl will apply the applicable Standard’s criteria based on your selection.
- Delegate Self Assessment elements to named users/responsible persons.
- Address the applicable criteria and work through the various columns
- Review the examples of conformance and objective evidence
- Review the “points to consider” in the Guidance document
- Develop and implement corrective actions for identified non-conformances
- Use the FAQs and Help Desk to reach out to the ASI Secretariat for further help.
After the Self Assessment
- When you are ready, click *Submit Self Assessment for Review* where you can:
- Check for completeness: identify any sections in your self-assessment that still need information to be entered.
- Enable auditor access for a quote: if you are seeking quotes from several ASI Accredited Audit Firms, you may wish to make your self-assessment information available to them through the platform. Click this if you have not yet formally engaged this auditor for the ASI Audit but wish to share your self-assessment as an initial step.
- Submit the completed Self Assessment to the Auditor for review: Click this once you have formally engaged an ASI Accredited Auditor and are ready to initiate the ASI Audit process.
- When the audit is scheduled, the auditor will work with you to finalise preparation and logistics for the audit date(s).
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