Updates to the ASI Assurance Manual

10 April 2024

We are pleased to announce the key updates to the ASI Assurance Manual for ASI Members and Accredited Auditors. These updates aim to remove redundancies and improve the useability of the information provided. These include best practices and risk-based approaches for activities and responsibilities associated with ASI Certification. These updates are intended to enhance the integrity and quality of ASI Audits and further strengthen ASI’s risk management and assurance measures.

 The following outlines the key changes for Members:

1. ASI Membership Classes and Supply Chain Activities

We have added Bauxite Development and High Purity Alumina production to the eligible activities in the Production and Transformation class after the changes to the Constitution in November 2023 (4.3).

2. Engaging External Affected Populations and Organisations

We have established expectations for Members when notifying and engaging with Affected Populations and Organisations on upcoming Audits to ensure their effective participation. This includes providing sufficient notification using an appropriate language, and measures to protect individuals from retaliation, reprisal and more (8.4).

3. Identification of Indigenous Peoples and Local Communities for FPIC

We have provided guidance on the understanding of the distinction between, and potential overlapping of identities between Indigenous Peoples and Local Communities (8.4) and ensuring FPIC is implemented in good faith.

4. Like Facilities for Multisite Sampling

We have revised the number of like Facilities for Multisite Sampling for Audits (Table 15).

5. Managing Reprisal Risks and their Impacts on Audit Quality

We have established mechanisms for Auditors and interviewees to protect themselves from potential risks of reprisals. This includes:

• allowing Auditors to leave an Audit if the Entity is unreasonably uncooperative or
• if there are any risks of reprisals against Auditors, Workers and/or Affected Populations and Organisations (9.18)

We have also provided best practices to prioritise the protection of Workers’ identities and minimise reprisal risks. (9.12.1).

6. Minimum Mandatory Content for Stakeholder Engagement Sampling Methodology

When Indigenous Peoples and Local Communities are not present, Members should demonstrate why these communities are not present within their Area of Influence using recognised tools and resources, rather than simply stating that the relevant criterion (i.e. 9.3 and 9.4) is not ‘Not Applicable.’

As a result, we expect the ‘Stakeholder Engagement Sampling Methodology’ in Audit Reports to be more detailed outlining the engagement methods and if applicable, unsuccessful attempts (9.21).

7. Force Majeure Policy and Clear Provisions for Remote and Hybrid Audits

The Force Majeure Policy clarifies the reasonable accommodations that can be made to Audit Plans in consideration of any Force Majeure situation. We have also made clear provisions for both remote and hybrid audits (Appendix 1 and 9.7). The ‘Interim Policy regarding Audits, Audit-Related Travel and Coronavirus’ is no longer active and has been replaced by this Force Majeure Policy.

For any questions or clarifications regarding the updated ASI Assurance Manual, please contact cameron@aluminium-stewardship.org

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