Evaluating effectiveness

ASI periodically conducts independent outcome and impact evaluations on specific topics of critical importance to implementing our Monitoring & Evaluation program. These outcome or impact evaluations are undertaken by independent third-parties to document results and evaluate the effectiveness of ASI’s standards and certification program.

Below, we provide the evaluations that have been completed, are ongoing, and are in the planning stage.

Completed publications

Analysis of implementation of GHG Emissions reporting from ASI Certified Entities: March 2020-March 2021 update

Completion date: 16 August 2021

ASI management response

This follow-up study provides very useful insights in the energy use and GHG emissions reporting and disclosures of ASI Entities, energy use and GHG emissions comparison across ASI aluminium supply chain activities, from bauxite mining to downstream activities. ASI welcomes the findings and recommendations from the report, and will use these in the following ways:

  • As with the 2020 study, the findings and recommendations from this evaluation will directly inform the ASI Standards Revision 2020-2022 and ASI Performance Standard Principle 5 – GHG Emissions.  The second draft documents will go out for public consultation in Q1 2022. The report findings will also be discussed with the ASI Standards Committee and GHG Working Group.
  • In addition to the recommendations from this report, ASI has proposed in the draft ASI Performance Standard V3.0 (draft 1.0 – March 2021) that publicly disclosed GHG data to be independently verified. For an overview of ASI’s Standards Revision process and new requirements for Principle 5, please refer to the ‘ASI Standards – 2021 Consultation Round I – Overview’ document.
  • ASI agrees with the authors that the current ‘2030 smelter emissions threshold’ of 8 t CO2e/t Al provides less incentive for smelters in the upper 50% of the emissions curve to consider ASI certification. To engage more smelters and provide further incentives, ASI has therefore included alternative pathways in the ASI Performance Standard V3.0 (draft 1.0 – March 2021) to certification for smelters above the current 8t CO2e/t threshold, whilst still requiring clear, significant and time-bound reductions in GHG emissions.
  • This evaluation will also inform the development of GHG-specific member and auditor training modules which will be published as part of the ASI Standards Revision process.  The modules aim to support the implementation and the evaluation of the revised ASI Performance Standard Principle 5 Criteria, and will help Entities point to relevant tools and resources for GHG accounting and reporting.
  • The comparison of publicly disclosed data from ASI Entities against data from CRU’s Emissions Analysis Tool, for primary aluminium activities, provides for the valuable checking of data and is a tangible outcome of ASI’s recent MoU with CRU. Over the coming months, ASI Certified Entities’ CoC certification status, inclusion of rolling mills and the challenges of differing GHG inventory scopes will be added to the CRU Emissions Analysis Tool.
  • In conjunction with the CRU Emissions Analysis Tool, the ASI Secretariat will also use the analysis contained in this report to inform oversight of audit reports for GHG disclosures.  The study provides a ‘year on year’ snapshot of Certified Entity data being publicly disclosed, enables comparison between similar Entity types.  In addition, the CRU Emissions Analysis Tool enables the Secretariat to compare the Entity’s publicly disclosed data against the best available emissions intensity estimate published in the CRU Tool. Upon identification of any material discrepancy, the ASI Secretariat will liaise with the auditors and/or Entity to address any errors or inaccuracies in the public data.

Data Collation and Validation of Greenhouse Gas Emissions (GHGs) from ASI Members

Completion date: 14 November 2020

ASI management response

This outcome evaluation provides useful insights into the challenges facing ASI’s Members and Entities in adopting a consistent, accurate and complete approach to GHG emissions reporting and public disclosure. ASI has considered the findings of this Report with respect to its current review process of the ASI Performance Standard, including the criteria relating to Principle 5 – Greenhouse Gas Emissions.

  • The ASI GHG Working Group and ASI Standards Committee have both also reviewed the findings of this Report, and considered its main outcomes in the development of revised draft criteria.
  • During 2021, the findings and recommendation from this evaluation will also directly inform the revision of existing ASI Performance Standard Guidance and development of new Guidance (as required) to better support Members and Entities in effectively implementing the revised requirements of Principle 5 of the Standard when the updated Standard is released in early 2022.
  • The outcome evaluation also offers the ASI Secretariat additional baseline and comparative data to support the audit oversight process, when assessing Entity performance against select criterion of Principle 5.
  • ASI also expects this evaluation to inform the development and facilitation of GHG-specific auditor training modules as part of the revised Standard implementation process.

In-progress studies

Gulkula Mining Company and ASI Certification

This independent external evaluation looks at the role of ASI Certification on Gulkula’s mining practices, at the practices that have improved as a result of activities at Gulkula and ASI’s certification process, and the most important challenges and opportunities encountered en route to achieving ASI Certification. The evaluation is conducted by Dr. Mark Annandale of the University of the Sunshine Coast and Dr. Penda Diallo, Camborne School of Mines, University of Exeter.

Planned studies

The ASI Certification Program was launched in December 2017.  As of 18 August 2021, 96 certificates have been issued against the ASI Performance Standard (PS) and 36 certificates have been issued against the ASI Chain of Custody (CoC) Standard.

After more than 3 years of implementing its Certification Program, ASI is conducting an internal research project in Q3 and Q4 2021 to understand what the drivers, benefits and challenges are for different types of companies seeking ASI PS and CoC Certification.