FAQ become an ASI Accredited Auditor

I'm considering ASI Membership

I would like to become ASI Certified

I'd like to source ASI Aluminium ASI Alumina, or ASI Bauxite

I'd like to become an ASI Accredited Auditor

I’d like to become an ASI Accredited Auditor

Applications

Does ASI validate a Conformity Assessment Body’s (CAB’s) and individual auditor’s credentials?

Yes, ASI Accredited Auditing Firms and their associated ASI Accredited Auditors must have appropriate experience and expertise and ensure that there is no conflict of interest when undertaking audits for Members.  These are verified through ASI’s Auditor Accreditation process.  Mandatory ASI training and competence assessment also applies, along with ongoing Oversight processes carried out by ASI.

What are the costs of becoming an ASI Accredited Auditing Firm?

Currently there is an application fee for the audit firm of USD 600 and an annual renewal fee of USD 400.  There are no costs associated with individual auditors, other than a small fee (USD 32) to complete the exam.

What are the typical lead times between initial application and being granted Accreditation status?

Provided the Audit Firm provides all the appropriate information required with their initial application, the review should be complete within 10 working days. This does not allow the Audit Firm to immediately commence auditing activities however, as the Individual Auditors will need to complete all the training requirements.  On average, auditor personnel typically take 4-6 weeks to complete all the requirements – however some have completed these in a shorter time where it has been their priority.

Adding new auditors

Can I add ASI Accredited auditor personnel in my audit firm?

Yes. At any time, a prospective individual auditor can complete and submit an auditor application form (including copies of supporting documentation). There are no costs associated with this, other than the exam cost. The auditor must complete all training requirements, including the final auditors exam before they can participate in any ASI audit-related activities.

Can I use ASI Accredited auditor personnel who have previously audited or are still providing auditing services for a different audit firm?

Yes, subject to appropriate approvals received from all parties, an existing ASI Accredited Auditor, particularly if they are a sole trader (freelancer) can apply for a scope change and provide the contact details relating to a different audit firm. A separate elementAl account will be created, enabling the auditor to work under two or more different ASI Accredited auditing firms.

Can I use a support person or technical specialist who is not ASI accredited?

Yes you can, however these individuals are providing support services to the auditing team only, and are not considered auditors. These individuals could be used as interpreters or to provide specific technical expertise (eg. Indigenous Peoples, resettlement, geotechnical, rehabilitation, biodiversity etc.) to the audit team. As with all auditors, these specialists must not have undertaken any related work or provided professional advice to the Entity.

Adding new regions

How can I add a new country to our existing geographical scope?

There are a two methods commonly applied by audit firms to extend their geographical scope. An existing ASI Accredited auditor can apply for a scope change in order to add the country to the geographical scope, and therefore the audit firm’s geographical scope is also extended. However the scope change must be accompanied by evidence that confirms the auditor has previously undertaken auditing work in an appropriate industry sector.

Alternatively, the audit firm can nominate an employee or contractor with relevant auditing experience in that country to become ASI Accredited. Some audit firms also choose to engage sole trader (freelancer) ASI accredited auditors with experience in those countries.

Please refer to Section 5.8 Schedule 4 of the ASI Auditor Accreditation Procedure for more details on how this can be undertaken.