Successfully transitioning from a Provisional Certification to a Full Certification
As Members transition to Version 3 of the ASI Performance Standard, there has been an uptick in the number of major non-conformances identified during ASI certification audits, resulting in more Certifications with Provisional status. Here, we describe some steps to take in order to successfully make the transition to Full Certification within the one-year timeframe.
12 September 2023
Major non-conformances are identified in cases where the Entity’s policies, systems, procedures and processes demonstrate a lack of understanding/ implementation of the criterion, systemic failure or a group of related, repetitive or persistent minor non-conformances. A major non-conformance may also be raised where the Entity is in non-conformance with a criterion and the situation presents a significant risk to workers, the environment or the community.
In cases where there is at least one major non-conformance, a one-year Provisional Certification is issued to encourage improvement and targeted transition towards Conformance. All Provisional Certifications are expected to transition to a full Certification as soon as practicable within the one-year timeframe.
So how can an Entity transition from a Provisional Certification to a Full three-year Certification?
- Develop and Implement Corrective Actions – Corrective Action Plans are created (by the Entity) to reverse the effects of any harm resulting from the non-conformance and also eliminate the cause of the non-conformance or incident, in order to prevent a recurrence. Corrective Actions for major non-conformances should, where possible, target a completion timeline of six months to one year from the date of the Audit. The Corrective Action Plan must be submitted to the Lead Auditor for approval within one month of the on-site portion of the Audit.
- Verify the effectiveness of the action – to ensure that no new actual and/or potential risks have been introduced and that the root cause of the issue has been addressed, to avoid a recurrence of the non-conformance.
- Submit the Corrective Action Plan for auditor approval – the Corrective Action Plan must be approved by the Lead Auditor prior to the finalisation of the Audit Report.
- Schedule the next Audit – Provisional Certification requires a site-based Surveillance Audit within six months of the previous Audit.
- Transition – Subject to the satisfactory completion of the Audit (i.e., no Major Non-Conformance) the provisional certification will revert to a full Certification.
To enhance performance and minimise the likelihood of major non-conformances being identified during the audit, we encourage certifying members to take advantage of the support tools available.
If you have been issued with a Provisional Certification and need our support as you transition to a Full Certification, please get in touch with our learning team at educational@aluminium-stewardship.org.
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