Appendix B: Rules for e-Stewards Certification Bodies

The following requirements are applicable for all Certification Bodies which are performing audits and certifying e-Stewards in accordance with the e-Stewards Standard for Responsible Recycling and Reuse of Electronic Equipment.

1. Accreditation

Only Certification Bodies which have been accredited under the ANAB e-Stewards Program or another BAN approved accreditation program are eligible to participate in the Basel Action Network’s (BAN) e-Steward certification program.

2. Copyrights

Accredited e-Steward Certification Bodies shall be granted the rights to use the e-Stewards ® mark and Standard(s) in conjunction with their marketing and certification programs. A Licensing Fee may be applicable and levied upon accredited CBs in accordance with BAN’s License Fee structure. Participating CBs shall strictly observe the copyright restrictions related to the e- Stewards Standard(s) which are described in Section 1 of the complete e-Stewards Standard, and the copyrighted restrictions related to the e-Stewards mark, which are described in the BAN licensing agreement.

3. Certification Body Applications for e-Steward Certification

Applications provided by CBs to potential e-Stewards shall include a request for specific recycler information necessary to properly determine the scope of the certification and planning of the audits. Applicant e-Stewards provide a range of recycling services which must be understood and considered during the preparation of a quotation for auditing and certification, and subsequent audit planning. Applications which are provided or taken by Certification Bodies shall specifically request information needed to identify the scope of services provided by each applicant e- Steward, relative to the Standard, including:

• Are data destruction services provided by the applicant? • What Potentially Hazardous Processing Technologies are employed? • Provide a description or diagram indicating the extent of the Recycling Chain that

begins with the applicant e-Steward and ends with Final Disposition of e-Waste

and Hazardous Electronic Waste processed. • Describe any exportation of Hazardous Electronic Equipment or Hazardous

Electronic Waste currently employed.

Applications shall also include a request for each applicant’s total annual gross revenues from the most recent fiscal year, for all sectors of company dealing with Electronic Equipment falling under the scope of the e-Steward Standard. An explanation of how this determination was made by the e-Steward is also required. This information will be verified during the initial certification audit and each subsequent audit and will remain confidential.

4. AuditMan-days

This document is not the “e-Stewards Standard for Responsible Recycling and Reuse of Electronic Equipment” and may not be used as the basis for e-Stewards certification or any purpose other than for information. – 45 -

When quoting e-Steward certification services, the Certification Body shall quote not less than 20% nor more than 30% of audit days than would be quoted for simple, accredited ISO 14001 certification of the same organization. International Accreditation Forum (IAF) Mandatory Document for Duration of QMS and EMS Audits, IAF MD 5:2009 (See www.iaf.nu), shall be the basis for this determination.

If the organization requesting e-Steward certification services is already ISO 14001 certified, the Certification Body may reduce the audit man-days calculated for the initial e-Stewards certification audit by no more than 50% from the above calculated man-days to account for this existing certification.

Certification Bodies are encouraged to respect the work of and certifications issued by other accredited Certification Bodies, relevant to the e-Stewards Standard. Evidence of certification to ISO 14001 by another accredited Certification Body shall be considered in the planning of an e- Steward audit and associated quotation for services with the intention of minimizing redundancy and maximizing value for the e-Steward.

5. Contracting with the applicant e-Steward

The contract for auditing and certification services with an applicant e-Steward shall include provisions which allow all records and documentation of the audit and certification process including audit findings to be shared with BAN upon request, but shall be kept confidential.

6. Multi-site Certification

When a multi-site organization requests certification, the Certification Body shall not permit certification unless all sites are included in the environmental management system to be certified, and all are in conformance with the e-Stewards Standard. Site sampling shall not be permitted for the initial site certifications, but may be followed in accordance with the IAF Mandatory Document for the Certification of Multiple Sites Based on Sampling, IAF MD 1:2007, after all sites have been initially audited and certified.

When sampling methods are employed as part of the surveillance or recertification plan, every site must be audited at least once within every 3-year certification period.

7. Transfer of Accredited Certification

When an e-Steward candidate that is already certified to ISO 14001 by another accredited CB requests a quotation for certification to the e-Stewards Standard by an accredited e-Stewards CB, the quotation and, if applicable, the transfer process shall be in accordance with IAF Mandatory Document for the Transfer of Accredited Certification of Management Systems, IAF MD 2:2007.

8. Data Collection and Reporting

The Certification Body shall verify and collect both employee head count and annual revenue figures reported at the application phase at the initial certification audit and each subsequent routine audits. During surveillance visits following initial certification, the Certification Body shall confirm that the certified e-Steward has a current licensing agreement in place with BAN, and that use of the e-Stewards logo by the e-Steward is in accordance with the licensing agreement.

This information shall be made available to BAN upon request but shall be kept confidential.

The Certification Body shall report all e-Steward certifications and pertinent information, in a format to be provided, to the BAN designated data repository. Any changes to certification status (i.e., suspension, withdrawal, cancellation) shall be reported within 30 days.

The Certification Body audit teams shall verify, as an element of each audit, that the e-Steward has reported all required performance data to the designated data repository and shall verify the veracity of reported data during each audit, as appropriate.

9. Certificate Issuance

The Certification Body shall issue a certificate(s) indicating full conformance of the e-Steward with all applicable requirements of the Standard when, and only when the Certification Body has confirmed that the e-Steward has a valid and current Licensing Agreement in place with BAN for the use of the e-Stewards name and logo, and all non-conformances have been cleared.

The certificate issued shall bear the logo of the Certification Body and the Accreditation Body and the e-Stewards logo (as provided by BAN to the Certification Body in conjunction with its Licensing Agreement). No unaccredited e-Steward certificates may be issued by a Certification Body.

The certificate issued by the Certification Body may also reference conformity with ISO 14001. Alternatively, separate certificates may be issued for the e-Stewards Standard and the ISO 14001 Standard.

10. Agreement to Oversight of the Certification Process by BAN

The Certification Body shall agree to a reasonable level of oversight by BAN or a BAN designated third party. This overview may include witnessing of the initial accreditation office audit and witnessed audit, review of Certification Body documents and procedures related to the e-Stewards program, witnessing of Certification Body audits of e-Steward applicants and/or certified e-Stewards, and review or witnessing of other accreditation or certification body events that BAN considers to be relevant to its oversight of the e-Stewards program., and may also include participation in training or updates by BAN or its designated third party, from time to time.