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1 Certification Scheme Document UEEE and WEEE Re use Operator Scheme: Requirementss for Re use Operato ors November 2013 Cover image copyright BIS / WRAP 2013

2 Table of Contents 1.Introduction Normative References How to use this Document Scheme Administration Accreditation The Certification Process 3 2.Approval Requirements for Certification Bodies Acceptance Criteria Scope 5 3.Requirements for Certification Scope of Equipment Types Change of Re use Organisation Details Use of REEE Mark Sharing of Information for Reporting Purposes Audit Procedure 13 Figures Figure 1 Key roles and responsibilities within the scheme... 2 Figure 2 Registration Fees... 4 Figure 3 Change of Details and Consequences... 7 Figure 4 Audit Types... 13

3 Glossary Phrase Accreditation Audit BIS Certification Certification body Certification scheme document EEE EN ISO/IEC 17065:2012 PAS Meaning Procedure by which an authoritative body gives formal recognition that a body or person is competent to carry out specific tasks, for example the act of approving a certification body to issue certificates. Systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which the certification scheme audit criteria are fulfilled An acronym for Business, Innovation, and Skills, a UK government department The issuing of a formal declaration of conformity to the requirements of a certification scheme to a re use organisation An accredited organisation which undertakes certification via assessment and audit A documented set of rules defining the operation of certification for all parties An acronym for Electrical and Electronic Equipment Equipment which is dependent on electric currents or electromagnetic fields in order to work properly and equipment for the generation, transfer and measurement of such currents and fields and designed for use with a voltage rating not exceeding 1000 V for alternating current and 1500 V for direct current A document published by BSI titled Conformity assessment Requirements for bodies, certifying products, processes and services An acronym for Publically Available Specification BSI PAS 141 See BSI PAS 141:2011 BSI PAS 141: 2011 REEE Re use operator Re use operator scheme A document published by BSI titled Re use of used and waste electrical and electronic equipment (UEEE and WEEE) Process management Specification An acronym for Re use Electrical and Electronic Equipment UEEE or WEEE that has been prepared for re use for the same purpose for which it was conceived An organisation that prepares equipment for re use The certification scheme described by this document relating to the certification of organisations as complying with the requirements of BSI PAS 141

4 Scheme administration Scheme Administrator Scheme Owner Standard UEEE UKAS WEEE WRAP The organisation administering the scheme The representatives and executives of the scheme administration The Scheme Owner is BIS, as the funding party for this document A written document which defines requirements and/or characteristics An acronym for Used Electrical and Electronic Equipment EEE that has been used that might not be waste An acronym for the United Kingdom Accreditation Service An acronym for Waste Electrical and Electronic Equipment EEE which is waste, including all components, subassemblies and consumables which are part of the product at the time of discarding Waste and Resources Action Programme. A government backed notfor profit company.

5 1. Introduction This document serves to inform UEEE and WEEE re use operators 1 of the procedures involved in gaining certification against the requirements of BSI PAS 141:2011. A re use operator is an organisation that prepares equipment for re use 2. The development of the re use operator scheme described in this document was funded by the Department of Business Innovation and Skills (BIS) under their responsibility for growing the national economy, and remains their copyright. This document is an extract of the full scheme document, providing only information relevant to Re use operators. The full scheme document is available upon request from the Scheme Administrator (see section 1.3). 1.1 Normative References Certification is based on conformity to: BSI PAS 141:2011 Re use of used and waste electrical and electronic equipment (UEEE and WEEE) Process management Specification 3 ; and Internal documents suitable to guide the re use process for specific products How to use this Document Figure 1 provides an overview of the key certification scheme roles and responsibilities which are wider that that detailed within this document. 1 Re use organisations include a) manufacturers of electrical and electronic equipment, b) businesses that are focused on refurbishment and re use operations and c) organisations in the third sector. 2 The definition of preparing for re use covers WEEE and UEEE in that it applies to equipment that has not been classified as waste as well as to waste items 3 Within this document this is abbreviated to PAS Examples of Product Specific Protocols (PSPs) are available from WRAP for guidance but note that each re use organisation is responsible for developing its own appropriate PSPs that are specific for the procedures and tests they perform. 1

6 UEEE and WEEE Re usee Operator Requirementss November 2013 Figure 1 Key roles and responsibilities within the scheme 1.3 Scheme Administration The WEEE re use operator scheme is i overseen by the Department for Business, Innovation and Skills (BIS). The scheme is also supported by a Technical Advisory Committee (TAC), whichh provides technical guidance. Operational matters are undertakenn by a Scheme Administrator, namelyy Valpak Ltd.., which can be contacted using the following details: Valpak Ltd Stratford Business Park Banbury Road Stratford upon Avon CV37 7GW Contact: Carys White E mail: carys.white@valpak.co.uk Web: 2 UK Department for Business, Innovation and Skillss 2011

7 1.4 Accreditation All certification bodies which operate within this scheme must be accredited by the United Kingdom Accreditation Service (UKAS) 5 or an equivalent national accreditation body to EN ISO/IEC 17065:2012 Conformity assessment Requirements for bodies certifying products, processes and services or any amendments thereto. Where certification to this scheme is offered in other jurisdictions, either UKAS or the national accreditation body shall be required to ensure the certification body is appropriately accredited. 1.5 The Certification Process For PAS 141 certification, a re use company must follow the key steps below. Step 1: Obtaining Standards BSI PAS 141:2011 Re use of used and waste electrical and electronic equipment (UEEE and WEEE) Process management Specification and EN ISO/IEC Conformity assessment Requirements for bodies certifying products, processes and services may be purchased from the following source: BSI Customer Services 389 Chiswick High Road London W4 4AL Sample Product Specific Protocols (PSPs) may be obtained from WRAP. These are base level examples of good re use practice that may be appropriate for re use organisations to consider when preparing their own procedures and protocols. The normative references within BSI PAS 141 shall also be held and used. Step 2: Process Set up Set up preparation for re use processes to meet the requirements of PAS 141. Step 3: Auditing The re use organisation will seek certification from an accredited Certification Body. Details of UKAS accredited companies can be found here 6 : Step 4: Registration Once audited and successfully certified, the re use organisation is required to register to the scheme and subscribe to the use of its official REEE mark. An annual fee is payable to the scheme administrator upon certification. For details of the annual fee payable to the scheme administrator please contact Carys White, carys.white@valpak.co.uk 5 UKAS is the sole accreditation body in the UK recognised by Government to assess, against internationally agreed standards; organisations that provide certification, testing, inspection, and calibration services. For further information: accreditation.org/about us 6 Please see section 3.5 for further details of audits 3

8 UEEE and WEEE Re usee Operator Requirementss November 2013 Figure 2 Registration Fees 4 UK Department for Business, Innovation and Skillss 2011

9 2. Approval Requirements for Certification Bodies 2.1 Acceptance Criteria In order to certify UEEE and WEEE re use organisations, certification bodies shall be accredited to BS EN ISO/IEC 17065:2012 Conformity assessment Requirements for bodies certifying products, processes and services and meet the requirements of the scheme document. Certification provides UEEE and WEEE re use organisations with an acknowledgement that their operations have been assessed by a third party to conform to BSI PAS 141 and that consequently the used equipment they supply has been processed in accordance with the certified process. Subsequently BSI PAS 141 certified organisations are able to identify equipment prepared for re use with a certification mark. 2.2 Scope Certification to the scheme involves compliance with the following: BSI PAS 141 Specification for the processing for re use of waste and used electrical and electronic equipment (WEEE and UEEE); and Scheme Document. Note that undated references to BSI PAS 141 or any other document relate to the latest version. 5

10 3. Requirements for Certification There are no legal requirements to become certified to BSI PAS 141:2011 Re use of used and waste electrical and electronic equipment (UEEE and WEEE) Process management Specification. Certification as certification is optional. Certification indicates that a process is in place that provides that received equipment will be handled in a responsible, effective and auditable manner and the REEE mark will give purchasers of repaired equipment reassurance in the quality of that equipment. Certification does not per se alter the legal status of the equipment; however it is likely that certification will help a re use organisation demonstrate to the regulatory authorities that their processed equipment need not be subject to waste management controls. Where the re use organisation s legal status is in doubt, it is the responsibility of the re use organisation to clarify their legal position with regards to UEEE and WEEE with the relevant regulatory body for the area in which they operate and then present evidence of their status to their certification body. 3.1 Scope of Equipment Types The following equipment types can be individually included within the scope of a certified re use organisation: 1. Information and communications technology (ICT) equipment; 2. Large household appliances (cookers, fridges, microwaves etc.); 3. TVs, PC monitors/computer screens; 4. Monitoring and control equipment; 5. Power tools; 6. Toys, leisure & sports equipment; 7. Smaller household appliances (vacuum cleaners, irons, and other consumer electronic equipment, etc.); and 8. Vending machines and automated dispensers. Additional types or variations which appear to fall outside of these shall be discussed with the certification body at the time of application. The certification body may contact the Scheme Administrator for clarification. The relevant scope of equipment types shall be included in the certification certificate issued by the certification body to the re use organisations, accompanied with the REEE mark and approved text. The numbering used in the WEEE Directive may be used on a certificate. 3.2 Change of Re use Organisation Details When re use organisations are applying to become certified they must provide information about their company such as how and where they operate. They will also be required to provide specific 6

11 information to the Scheme Administrator 7, upon registration to the scheme (once certification has been granted). The re use organisation must also keep their certification body informed of any changes to the information they provide both during and after the certification process Change of Details Process It is essential that changes that may affect the validity of the certification agreement are disclosed to the certification body, such as change of ownership and/or company registration number. The minimum details to collect from an applicant and subsequently certified re use organisation are agreed by the Scheme Administrator and the TAC. The certification body shall make available to its clients a control form to enable the company to inform the certification body of any changes. On receipt of this, the certification body shall assess the changes for significance and pass relevant information to the Scheme Administrator Consequences of Change of Details The following consequences shall occur upon the listed change of details: Figure 3 Change of Details and Consequences Type of Change Additional location Relocation Fundamental change to production plant or process e.g. new plant and/or equipment or new/amended manual activity Dissolution of re use organisation Change of company/charity name Certification body aware of undeclared changes in a re use organisation s business status Removal of permits/licenses to operate New technology placed on market Different equipment types handled Consequences Audit of new location Audit of new location Audit of alterations and any affected processes Certificate withdrawn. Re certification via application and full audit necessary Re issue of certificate (with reference to former name if within that certification cycle) Certification body to review, potential to suspend or withdraw certificate and request a full or partial re audit Suspension/withdrawal of certificate until such time that the necessary permits/licences are in place and can be provided by the re use organisation May require new or additional testing or the development of product specific protocols and also require audit of new process May require a re audit of new processes for different equipment types 7 For details of the information required to be provided, please contact the Scheme Administrator, Carys White at Valpak 7

12 Alterations that do not fall within these definitions shall be referred to the National Accreditation Body 8 (NAB). If necessary, the NAB shall refer the alteration to the Scheme Administrator, e.g. if there is a technical issue involved. The Scheme Administrator shall make a decision within two weeks and where appropriate shall amend this document to reflect such alterations. 3.3 Use of REEE Mark The purpose of this section is to set out how the REEE mark may be used, and includes information regarding how other associated marks (such as the certification body s own marks and the national accreditation mark) should be arranged with it. The scope relates to any mark or wording used by a party in reference to certification to this scheme. The affixing of the REEE mark indicates that a piece of equipment has undergone a certified re use process to the requirements of BSI PAS 141; it does not certify the conformity of the original product to current EU or national laws. The REEE mark shall not be used unless the re use organisation has been certified in accordance with this document Permitted Users of the Mark The mark and associated wording used in reference to re use certification may only be used by companies that are certified by an accredited certification body and is approved by the Scheme Administrator to the requirements of this scheme (and have not been requested to refrain from using the mark by the Scheme Administrator) Purchasing of REEE Mark Re use organisations certified by an accredited certification body and approved by the Scheme Administrator to the requirements of this scheme are required to purchase the scheme mark. To limit fraud the mark may only be provided by the Scheme Administrator. For the avoidance of doubt, registered logo referencing PAS 141 can only be used by the re use organisation following certification by an accredited certification body. REEE Mark Fees The mark can be ordered from the Scheme Administrator upon receipt of an authorised copy of the reuse organisation s certificate from the certification body, and payment of the licensing fee. This electronic copy of the standalone REEE Mark can be used to integrate the REEE Mark into product labels, in order to communicate with consumers and customers that the piece of equipment has undergone a certified re use process to the requirements of BSI PAS In the UK this is UKAS 8

13 UEEE and WEEE Re usee Operator Requirementss November Mark Presentation Requirementss on Documents Related to REEE Documentation directly associated with products that have been processed by a PASS 141 certified system can be marked with the REEE mark and displayed alongside the national accreditation mark and the certification body s own mark in such a wayy as to form the full certification markk described below. The full mark comprisess three elements: 1. REEE mark; 2. Certification body mark; and 3. Accreditation body mark, if required by the national accreditation body. It is important however that the REEE mark is not placed within the same line box ass the national accreditation body and certification body marks. These threee elements combine to create the certification mark for the certification scheme. The REEE mark and associated wording may only be used on literature and a websitess relating to the t specific equipment types for which certification has been granted and that are stated within the scope of certification on the certificate. Such literaturee can include, but is not limited to: 1. Websites; and 2. Sales brochures. Permission and approval for each use of the REEE mark and associated wording w must be obtained from the relevant certification body. Use of certification marks or wording in relationn to equipment which is not n covered by the scope of the certification certificate is specifically forbidden. Sales literature containing information about other equipment must make it clear that they t are not covered by the certification. Documentation Mark Certification body Nationall accreditation body [re-use organisation name] assessed as a re-use organisation to PAS 141:2011 by [certification body b name] 9 UK Department for Business, Innovation and Skillss 2011

14 The following specification should be used: 1. On an A4 sheet, letters should be in black 10 point in Arial font; 2. The height of the national accreditation mark shall not be less than 20mm or exceed 30mm. The heights of the other elements shall be of similar dimensions; 3. Renditions shall be proportional to the image shown above, and may be proportionally increased in size in relation to an A4 reference sheet; 4. The national accreditation body and certification body marks shall be bounded by a drawn box in black, the REEE mark shall not be placed in this box; 5. The three marks are placed in the order, orientation, and relative spacing indicated; 6. The REEE certification mark shall be reproduced in black and white; 7. Lines of wording state [re use organisation name] assessed as a re use organisation to BSI PAS 141:2011 by [certification body name] ; and 8. All wording shall be centred and set immediately below the block outline of the three marks The Certification Body Mark This is the element of the mark that will be unique to the certification body. It may be their company logo or other logo that they choose to use for certification. Any depiction outside these requirements must be submitted to the certification body for interpretation, guidance and approval. Certification bodies will have their own requirements and restrictions regarding the use of their certification mark. Certification bodies shall include use of the REEE mark within their procedures for controlling the use of marks. Responsibility of the Re use Organisation The re use organisation must ensure that: 1. The requirements of BSI PAS 141 are followed at all times; 2. The equipment processed by it under a valid up to date scheme certificate, and using the certification mark, conform at all times with the requirements of the scheme; 3. Any terms and conditions set by the certification body are complied with at all times; and 4. In the event of termination of the agreement with the certification body, howsoever arising, immediately and without undue delay: a. Cease using the certification marks; and b. Cease making any claims of certification and remove REEE Mark from all literature and documentation. 10

15 3.3.5 Misuse and Misrepresentation of Certification Marks Definition Certification marks are defined as the logos and associated wording used to signify certification. Misuse of certification marks is defined as, but not limited to, abuse, wrongful exploitation, or mishandling. For example this might include use of the mark by a party entitled to use it, but using it in an incorrect manner. Misrepresentation of certification marks is also defined as, but not limited to, distortion, or falsification. For example this might include use of the mark by a party not entitled to use it at all or in relation to products from a non certified process. Copyright The certification marks described within this document are owned and are copyright of: 1. The national accreditation body (or relevant government department) for their element; 2. BIS/WRAP for the REEE mark element; and 3. The certification body for their mark. Reporting The Scheme Administrator can accept reports of misuse or misrepresentation (including by certified and non certified party), from any party but will verify the validity of such comments before taking any action, which may include: 1. Requiring the certification body to investigate and report the case; 2. Participating in the investigation with the certification body; or 3. Investigating the case itself. Following this the Scheme Administrator may recommend the certification body to suspend or withdraw certification, or may take steps to initiate legal action. Certification Body and Accreditation Body Mark The usual internal procedures shall be followed by the certification body in such cases, and the Scheme Administrator shall be notified by the certification body once the situation has been remedied. Where misuse or misrepresentation of any mark is found the certification body may take action that includes the investigation, suspension, and/or withdrawal of certification from that re use organisation. In more serious cases it may resort to legal action. Certification bodies shall refer to their agreement with their accreditation body concerning the remedies applicable in the case of misuse or misrepresentation of their mark. 11

16 3.4 Sharing of Information for Reporting Purposes The purpose of this section is to detail what information is to be collected and passed to the Scheme Administrator. This information is used to determine the effectiveness of the scheme and to help make continual improvements to the scheme Scope The information that is deemed necessary includes: 1. Certification bodies operating in the scheme; 2. Details of certified re use organisations; 3. Any instance of misuse or misrepresentation of marks; and 4. Performance details of both these groups (certification bodies and re use organisations) against Key Performance Indicators (KPIs). This information will be collected by certification bodies and passed to the Scheme Administrator for collation and analysis. No personal data will be collated or transmitted Certified Re use Organisations The information relating to re use organisations collected by the certification bodies and passed to the Scheme Administrator will entail: 1. The Certified Company details (name, location, registration number); 2. Certification status; and 3. Performance information (anonymous, suspended or withdrawn certifications, instances of misuse or misrepresentation of marks) Security of Information All information collected by certification bodies, the Scheme Administrator, and BIS, shall be kept securely and under the control of the organisation s documented system to avoid wider dissemination, without written consent. No data that falls within the remit of the Data Protection Act 1998 shall be shared. All parties shall ensure that no individuals are named in any data passed to another party. It is understood that certification bodies are likely to record information where an individual could be determined by inference (such as a reference to the production manager ). Data where an individual could be identified shall be sufficiently edited before sharing. 12

17 3.5 Audit Procedure Certification Cycle The normal certification cycle for the scheme following initial or recertification is three years with annual on going certification surveillance assessments. Updated Standard Audits When the BSI standard PAS 141 is updated, it shall be implemented into audits within the period of the calendar year end of the following year (for example BSI PAS 141:2013 would require implementation within a timescale determined by the TAC). Where this falls within a re use organisation s existing certification cycle the new elements of the standard shall be included within an existing audit prior to the implementation expiry period. Where an audit is initial, the latest updated version of BSI PAS 141 shall be used Audit Types There are several types of audit which are described below. Normal audits occur at set times, special audits occur when required. Figure 4 Audit Types Certification Cycle 13

18 Initial Assessment Audit Stages Initial assessment audits are the audits undertaken when a re use organisation first applies for certification. Pre assessment Audits Pre assessment audits are optional organisations confident that they are prepared can choose to move to a main audit without a pre assessment audit. The auditors will: 1. Review the re use organisations processes and procedures for conformity to BSI PAS 141; 2. Review the re use organisations status and understanding of the requirements for processing UEEE & WEEE and their preparation for re use; 3. Identify key performance or significant aspects, processes, objectives and operations of the processes to prepare UEEE & WEEE for re use in conformity with BSI PAS 141; 4. Communicate to the re use organisation any inconsistencies between the re use organisations policy, objectives and targets (consistent with the expectations of the process for the preparation for re use of UEEE and WEEE); and 5. Issue a report summarising the above within ten working days of the audit. Major Shortfall Where there are significant shortfalls in the preparedness of the re use organisation such that the main audit activity cannot proceed without major changes to documentation and management procedures, the certification manager will review the lead auditor s recommendations and inform the re use organisation of the outcome, giving the re use organisation the opportunity to address shortfalls prior to a full audit. Re examination Where the re use organisation is required to make substantial changes in order to satisfy the preassessment requirements then the re use organisation may be asked to do one of the following: 1. Make a full application and undertake a further pre assessment audit; 2. Submit specific documentation; and 3. Respond to requests for specific information/evidence. Items a) and b) above are at the sole discretion of the certification manager who may make alternative arrangements should the situation warrant. In any case, a full or partial pre assessment audit may be required at the re use organisation s premises. Initial Audit The initial audit is the formal evaluation of the implementation and effectiveness of the re use organisation s system to achieve and maintain conformity of the process with the requirements of the scheme and BSI PAS 141. This is achieved by a full and thorough on site audit of the facilities of the reuse organisation. 14

19 This audit will cover: 1. All locations that will be in the scope of certification i.e. those that will be listed on the certificate; 2. The office, administration and technical functions associated with and managing the re use facilities; 3. The processes of the re use organisation; and 4. Testing facilities of the re use organisation (whether in house or outsourced). Surveillance Audits Surveillance audits are undertaken during the certification cycle and aim to check a sample of the documented system and processes to determine whether they continue to meet the requirements of the certification scheme and BSI PAS 141. At all audits, the certification body auditor will review any action the re use organisation has taken on non conformities identified during previous scheme audits. General Surveillance audits are targeted to specific areas of the re use organisation s activity covered by the scope of certification. Changes to the system are checked at every surveillance visit, as are: 1. Internal audits; 2. Management review; 3. Test results (sample); 4. Post processing records; 5. Customer complaints or adverse failure trends relating to the preparation for re use of UEEE & WEEE; and 6. Conformity of the processes and equipment processed with requirements. Major changes to the re use organisation s documented system may require additional surveillance time to be made available. Frequency of Surveillance Audits Re use organisations certified to BSI PAS 141 processes will be subject, as a minimum to a surveillance audit within the six calendar months prior to the yearly anniversary of initial certification (i.e. between 10 and 12 months following initial certification) and this pattern will be repeated annually whilst certification is active. Maintaining Certification On going certification is granted on the specific recommendation of the lead auditor provided that the following conditions are met: 1. The audit is undertaken within the two calendar months prior to the expiry of the certificate; 2. Non conformities of a serious nature are closed out and recorded as such; 3. Any circumstance that might affect the status of certification is reported to the certification body; and 15

20 4. All audit reports are reviewed to ensure confirmation of the on going effectiveness of the processes certified. Special Audits Special audits are audits which fall outside of initial, surveillance, or recertification audits, such as those required for additions to scope or the review of corrective actions. Extensions to Scope When the re use organisation wishes to extend the scope of their certification to include new products or locations etc., additional audits may be required. In some cases a desk top review may be used, and followed up at the next available surveillance audit. In other cases a specific extension to scope audit may be the most appropriate option. Short notice Audits A certification body may exercise its right to request access for additional audits to assess the re use organisation s certified system: 1. At six months from initial certification where the system is in the opinion of the certification body either immature, had multiple non conformities at the initial audit, or is of a large scale; 2. When a certification body needs to investigate the situation relevant to a formal complaint or to verify the evidence of the re use organisation s response to a complaint; 3. To review NCR corrective actions taken by a re use organisation; 4. If the re use organisation makes significant changes to the documented system or the organisational structure; and 5. Following a period of temporary suspension of certification in such cases a special audit shall be completed and any relevant corrective actions completed prior to re instatement of the certification. 16