Certification Standard

IAER CERTIFICATION STANDARD
©2000, 2006 & 2007

1. OBJECTIVES

The IAER Certification Program is intended to provide a service to member companies to help them improve their management systems and gain recognition for high quality business practices. Generally accepted minimum requirements have been established by the IAER as a basis for certifying electronics recycling companies.

2. CERTIFICATION PROCESS

2.1 GENERAL

The IAER Certification Process employs a leading third party Registrar with expert auditors to evaluate the management systems and capabilities of electronics recycling companies in relation to the IAER Certification standards and the company's scope of business. The evaluation of adequacy is based on a determination of whether the requirements were:

1. addressed

2. implemented

3. effective

2.2 PROCESS DETAILS

The details of the IAER Certification Process are contained in supporting documents:

– IAER Certification Guidance Document

– IAER Pre-Screening Questionnaire

– IAER Certification Audit Checklist

3. MANAGEMENT SYSTEMS

IAER Certification addresses the key elements of basic management systems, including: Environment, Health, Safety and Quality. These management systems shall be documented, maintained up to date, and have the following common elements:

3.1 COMMITMENT & POLICY

There shall be corporate commitments, in the form of policies and/or instructions that address the achievement and improvement of high standards of business practices in relation to each of the basic management systems.

– As an electronics recycler, there should be a commitment to reuse, recycling and materials recovery as priorities for the handling of all equipment received.

3.2 PLANNING

There shall be a planning process for each of the basic management systems that:

– Identifies significant environmental aspects and potential health hazards

– Identifies legal requirements

– Establishes objectives & targets

– Establishes programs for achieving objectives and targets

3.3 IMPLEMENTATION

The management systems shall be implemented as evidenced by the following, as applicable:

– Structure & responsibilities

– Training, awareness & competence

– Communications

– Documentation

– Control of Documents

– Operational control

– Emergency preparedness & response

3.4 MEASUREMENT & EVALUATION

The management systems shall have a process for measuring and evaluating their effectiveness that includes such elements as:

– Monitoring & measurement

– Non-conformance and corrective & preventative action

– Records management

– Evaluation of Compliance

– Internal management system audits

3.5 REVIEW & IMPROVEMENT

The management systems shall have a Management Review process that includes:

– Objectives, targets and performance

– Follow-up actions from previous management reviews

– Internal and compliance audit findings and progress on corrective actions

– Communications from external interested parties

– Evaluation of management systems effectiveness

– Evaluation of corporate policy

– Recommendations for action, change and improvement

3.6 UNIQUE ELEMENTS

In addition, the management systems shall have unique elements, as appropriate. These would typically include:

3.6.1 Environment

– The identification and assessment of Environmental Aspects and hazardous materials.

– Evidence of compliance with applicable environmental regulations.

– Practices for responding to and reporting exceptional releases or emergencies that could pose a risk to worker safety, public health, or the environment.

3.6.2 Health & Safety

– Processes and programs for identification of hazards and prevention of accidents and illnesses – including engineering controls, workplace practices, personal protection equipment, and exposure monitoring as applicable.

– Evidence of compliance with applicable health and safety regulations

3.6.3 Quality

– Operational quality procedures and controls

– Business process quality program

4. GENERAL BUSINESS

IAER Certification also addresses business factors that are generally expected by customers of good suppliers. These include:

4.1 MANAGEMENT

– Top Management of the company shall be knowledgeable, supportive and involved in the basic Management Systems.

– The management of the company shall be guided by a business planning process.

4.2 FINANCES

– The company shall have financial stability and adequate resources to meet its customer commitments.

4.3 INSURANCE

– There shall be adequate insurance coverage for potential risks and liabilities associated with the nature and magnitude of the company’s operations.

4.4 SECURITY

– There shall be a plan and program for the security of the physical facilities, products and materials assets involved in the operational processes.

– In the case of handling customers’ assets and valuable commodities (such as precious metals and electronic components), there should be a formal tracking and control process.

5. OPERATIONAL CAPABILITIES AND PROCESSES

IAER Certification also addresses the operational capabilities and processes of electronics recycling. The basic capabilities that would generally be expected by customers include:

5.1 KEY ELEMENTS OF OPERATION

– There shall be physical capabilities to support the key operational elements that are consistent with the scope and mission of the company. These would typically include materials handling, processing, storage, and transportation.

– There shall also be management processes to support operations, such as tracking and reconciliation of customer products and materials. Tracking records shall be sufficient to demonstrate the material flow for all equipment, components, and materials that pass through the facility and to downstream vendors.

– There shall be evidence that a high percentage of the product received by the company is reused or recycled and not land filled as well as a commitment to continuously improve in this area. Any residual materials shall have a waste determination made prior to disposal.

– Reuse and refurbishment facilities shall ensure that electronic equipment shipped for reuse is fully functional and is shipped to a vendor who is in the business of selling for reuse, and that equipment and components shipped for refurbishment are refurbish able. Reuse and refurbishment operations shall have a process to control the testing and tracking of such equipment.

– There shall be a process to control and document the destruction of data from equipment or media capable of storing data. This process should ensure that any stored data is permanently destroyed by means of a secure data-wiping process, degaussing or by physical destruction of the storage device or media.

– The transportation of equipment, components, and materials shall have the appropriate regulatory authorizations and be carried out in a manner protective of health, safety and the environment.

– Electronics recycling operations shall have a closure plan that addresses processing equipment and abandoned materials including provisions for post closure activities (as needed), and financial assurance in accordance with applicable laws and regulations.

5.2 CONTROL OF MATERIALS OF CONCERN

– Materials identified in the assessment of hazards and environmental aspects of the operations as potentially posing a risk to workers or the environment shall be treated and controlled as “Materials of Concern” – including, but not limited to substances designated as “hazardous” by applicable laws and regulations.

– Hazardous substances, electronics scrap and any associated emissions should be handled, transported and disposed of in accordance with applicable laws and regulations. All equipment used to process electronics scrap shall be equipped with the proper pollution controls and permitted in accordance with applicable laws and regulations.

– Materials of Concern shall be removed from equipment and components if they are determined to potentially pose a risk to workers or downstream vendors.

– Each Material of Concern that presents health, safety, or environmental risks shall be handled and processed in a manner that addresses the potential risks.

– Shipments of Materials of Concern shall be tracked and documented.

5.3 DOWNSTREAM DUE DILIGENCE AND RISK MANAGEMENT

– There shall be a process for the evaluation and monitoring of key contracted operations in relation to compliance with applicable regulations as well as the adequacy of their management systems.

– There shall be a process to control and document the downstream movement of electronic devices or their components until such point that they are reused, recycled, reclaimed or disposed in a manner that supports resource recovery and minimizes negative impacts on human health and the environment. This includes the exporting of equipment and materials for reuse and recycling, which should be conducted in accordance with all applicable laws and regulations – both national and international.

5.4 QUALIFICATIONS AND TRAINING OF PERSONNEL

– The staff of the company involved in critical operations shall have adequate technical knowledge, skills and experience to perform their assigned tasks.

– Training should include worker safety and health for the prevention of accidents and illnesses and the handling of hazardous materials in accordance with all applicable laws and regulations.

– There should be an individual designated with the responsibility for worker safety and health programs.

5.5 SUITABILITY OF EQUIPMENT AND FACILITIES

– The equipment and facilities of the operation shall be adequate to support the key elements of the operation and in accordance to all applicable environmental, safety and health laws and regulations.

Revised 5/7/07