Three different auditor levels are available that reflect the respective auditing experience / skills:

Transcription

1 Title A02 Auditrs Prfile Status Definitive Revisin / Date Rev09 / 1 st January 2017 Cntent 1 Cntext Types and stages f WEEELABEX Auditrs Prfile f WEEELABEX auditrs Applicatin Prcess...4 Annex 1: Summary f required cmpetencies (ability t apply knwledge and skills t achieve intended results) fr all the auditrs levels: Cntext This dcument lays dwn the requirements fr WEEELABEX Auditrs wh will be entitled t perfrm cnfrmity verificatins based n the WEEELABEX requirements undertaken by peratrs wh apply fr WEEELABEX attestatin, regardless if the request fr WEEELABEX cnfrmity verificatin was launched by a WEEELABEX Member System r the peratr. Thse individuals apprved as WEEELABEX Auditrs will cmpse a pl f auditrs that is mandated t verify cnfrmity f peratrs and treatment prcesses. 2 Types and stages f WEEELABEX Auditrs Three different auditr levels are available that reflect the respective auditing experience / skills: WEEELABEX Auditr A persn wh meets the basic criteria belw, and wh has participated in a general qualificatin examinatin wrkshp (hereinafter as examinatin wrkshp ) and successfully passed the examinatin prcess as defined in the dcument A06 General qualificatin examinatin wrkshp manual. WEEELABEX Auditrs are entitled t assist the Lead Auditr during cnfrmity verificatin audits, and t validate batch tests. The WEEELABEX Auditr must perfrm at least ne WEEELABEX Audit in tw cnsecutive years t remain certified. A02 Auditrs Prfile DEFREV09 1 st January 2017 Page 1 f 9

2 WEEELABEX Lead Auditr A persn wh is an WEEELABEX Auditr wh has either: prven WEEELABEX auditing experience at six n site WEEELABEX audits, including ne clsed WEEELABEX audit perfrmed as a trainee lead auditr under the supervisin f a WEEELABEX Lead Auditr in three cnsecutive years; r prven WEEE auditing experience f at least ten audits in last three cnsecutive years, and has perfrmed at least 3 audits as a lead auditr (fr example fr ISO r ISO 9001), and has a minimum f three years wrking experience in the WEEE sectr, and has successfully passed the Fast Track Lead Auditr qualificatin prcess as defined in the dcument C 05 Fast Track Lead Auditr qualificatin prcess (including ne clsed WEEELABEX audit perfrmed as a trainee lead auditr under the supervisin f a WEEELABEX Assessr). WEEELABEX Lead Auditrs shall perfrm at least ne WEEELABEX audit in the first twelve mnths fllwing cnfirmatin f their apprval t remain listed. If nt, they will be delisted t a psitin f WEEELABEX Auditrs. After perfrming the Cnfrmity verificatin audit under supervisin f WEEELABEX Lead Auditr, they shall be listed as WEEELABEX Lead Auditrs again. WEEELABEX Lead Auditrs are entitled t perfrm cnfrmity verificatin audits and validate batch tests and prepare the final Audit reprt and the Summary reprt (Part 1 & 2). Auditrs wh successfully becme certified as WEEELABEX Lead Auditrs will be eligible t becme examiners fr general auditr and specialist perfrmance test examinatin wrkshps. The qualificatin prcess and selectin f examiners, and the examinatin wrkshps will remain the respnsibility f, and under the cntrl f, the WEEELABEX Organisatin in accrdance with the WEEELABEX internal dcument TQM_04. WEEELABEX Specialist Auditr There are tw types f specialist auditrs. All specialist auditrs must have successfully cmpleted a general examinatin wrkshp prir t attending a specialist auditr examinatin wrkshp utlined belw: T be a specialist CFA 1 Auditr they have t have participated in a specialist and separate examinatin wrkshp setting ut the requirements and audit prcess fr the Step 1 and Step 2 perfrmance test; and successfully passed the CFA examinatin prcess during and at the end f the examinatin wrkshp. T be a specialist Lamps Auditr they have t have participated in a specialist and separate lamps examinatin wrkshp; and successfully passed the Lamps examinatin prcess during and at the end f the examinatin wrkshp. The criteria fr each type is: WEEELABEX CFA auditr A persn wh is an Auditr wh has participated in at least six WEEELABEX CFA audits (including the CFA perfrmance tests). They are entitled t perfrm a CFA perfrmance test (as set dwn in EN :2012 and CLC/TS :2014) and validate the CFA batch test. 1 CFA means cling and freezing appliances. A02 Auditrs Prfile DEFREV09 1 st January 2017 Page 2 f 9

3 WEEELABEX Lamps auditr A persn wh is an Auditr wh has participated in at least three WEEELABEX Lamps audits. They are entitled t perfrm a lamp audit (as part f a general audit) and validate the Lamps batch test. 3 Prfile f WEEELABEX auditrs In rder t seek apprval as a WEEELABEX auditr, individuals shuld as a minimum meet the fllwing criteria: All Auditrs: a) Prfessinal backgrund: i WEEELABEX auditrs shuld either have a EEE / WEEE related technical / practical backgrund and / r prven auditing experience in the cntext f ISO 9001/14001 r specialist WEEE facility audits in rder t perfrm cnfrmity verificatin activities in the cntext f WEEELABEX. iii ii They shuld be familiar with general waste and WEEE treatment technlgies and with EU and particular natinal legislatin in the areas f WEEE, waste, envirnment, hazardus substances and ccupatinal health and safety. WEEELABEX auditrs shall have knwledge f and access t the respective WEEE treatments standards (including respective WEEE related EN standards) which are valid within the scpe and the time frame f the respective WEEELABEX audit. b) Persnal qualificatins: WEEELABEX auditrs shuld have a gd level f judgement, and gd cmmunicatin skills. They shuld be custmer riented and have a gd sense f cmprehensin and ability fr assertin. c) Impartiality and cnfidentiality: Auditrs shall be cmmitted t impartiality 2 and cnfidentiality accrding t the ISO and ISO 17065, and be independent t the extent that is required with regard t: i An auditr emplyed by a WEEELABEX System may nt perfrm an audit at a facility where the auditr has the respnsibility fr the cntractual / service relatinship within the last twelve calendar mnths. ii All audits are t be carried ut by third party auditrs (auditrs that are nt emplyed by any WEEELABEX System). Withut prejudice t clause i and the sentence abve, a third party auditr may request the services f a secnd party auditr (auditr that is emplyed by a WEEELABEX System) in exceptinal cases where there is a lack f auditrs r where the third party auditr is being assessed t becme a lead auditr. An auditr (Lead auditr r Auditr) emplyed by a WEEELABEX System may therefre perfrm a WEEELABEX audit nly as a member f an audit team cmprising f at least ne third party auditr (auditr that is nt emplyed by any WEEELABEX System). All members f the audit team shall be cmmitted t impartiality and cnfidentiality accrding t ISO and ISO Cntractual relatinship between the auditr(s) and the audited peratr shall be 2 Impartiality: The audit shall be cnducted with due impartiality f the audit and bjectivity f the audit cnclusins. The auditrs will be expected t be free frm any cmmercial, financial and ther interest which might affect their judgement. Prcedures will be implemented t ensure that persns r rganisatins external t the Auditr cannt influence the results f audit carried ut. A02 Auditrs Prfile DEFREV09 1 st January 2017 Page 3 f 9

4 managed by the third party auditr (auditr that is nt emplyed by any WEEELABEX System). iii An auditr r his/her auditing cmpany shall nt perfrm an audit at a facility where the auditr r the auditing cmpany have a direct cnsultancy / business relatinship within the last twelve calendar mnths. iv Auditrs r his/her auditing cmpanies shall nt prvide a cnsultancy service r frm a business relatinship with any treatment facility where he has perfrmed a WEEELABEX Audit fr ne year after the said WEEELABEX Audit has taken place. d) Language skills: WEEELABEX auditrs shall have a gd cmmand f English (written and ral) Nte: A member f each audit team must have sufficient knwledge f the lcal language, besides English. e) Cde f cnduct: WEEELABEX auditrs shall adhere t the fllwing principles: i Ethical cnduct: Prfessinalism when cnducting all activities. ii Fair presentatin: There is an bligatin t reprt findings truthfully and accurately. iii Due prfessinal care: The applicatin f diligence and judgement in auditing. iv Evidence-based apprach: A systematic audit prcess shall enable the auditr in reaching reliable and reprducible audit cnclusins. A summary f required cmpetencies (ability t apply knwledge and skills t achieve intended results) fr all the auditrs levels is defined in the Annex 1 f this dcument. 4 Applicatin Prcess Prspective auditrs that cnsider they meet with the abve criteria shuld apply in the first instance t the WEEELABEX Organisatin using the Auditr Applicatin Frm [available n the website / frm the WEEELABEX ffice]. Prspective auditrs wh are certified as WEEELABEX Auditrs will be expected t abide by the terms and cnditins set dwn in the A03 Auditr Agreement Frm. Further details may be fund n the website / frm the WEEELABEX ffice. A02 Auditrs Prfile DEFREV09 1 st January 2017 Page 4 f 9

5 Lead Auditr Auditr Specialist Auditr - CFA auditr Specialist Auditr - Lamps auditr Annex 1: Summary f required cmpetencies (ability t apply knwledge and skills t achieve intended results) fr all the auditrs levels: Required cmpetencies - ability t apply knwledge and skills t achieve intended results GENERAL AND SURVEILLANCE AUDIT Ability t crdinate the activities included in the Cnfrmity Verificatin prcess (batch tests, specialist perfrmance tests) amng the different actrs invlved (specialist auditrs/auditrs, auditees, certificatin bdy). - supervising the audit team carrying ut the audits/tests, ensuring that all stages f the audits/tests are planned, carried ut, and frmally reprted t the auditee and the Certificatin bdy. Ability t cmpile and issue a cmprehensive Audit plan fr General/ Surveillance audit accrding t the fllwing infrmatin: - review the Declaratin f Intent; - review any previus audit findings; - review any audit reprts issued previusly; - calculatin f n-site audit duratin in cmpliance with Annex 1 f the dcument B04. Ability t frm the Audit team accrding t the fllwing infrmatin: - identificatin f audited WEEE streams based n review r a Declaratin f Intent; - identificatin the need fr participatin f specialist auditrs, technical experts, r interpreters; - identificatin f knwledge and skills f audit team members. Ability t lead the n-site General/Surveillance audit: - leadership and cmmunicatin skills; - gd cmmand f English (written and ral); - knwledge f the Cnfrmity Verificatin prcess, dcuments, and circulatin f dcuments; - supervising the audit team carrying ut the n-site audit, ensuring that all stages f the audit are planned and carried ut. Ability t perfrm the n-site General/ Surveillance audit: - cmmunicatin and auditing skills; - gd cmmand f English (written and ral); - gd cmmand f the lcal language f the Auditee (at least ne f the audit team); - deep knwledge f WEEELABEX requirements including the EN series standards; - deep knwledge f the dcument A04 Auditr manual, including the audit questinnaire, classificatin f nncnfrmities and ther aspects f the auditing prcess; - knwledge f technical and legal aspects f the WEEE treatment prcess, r delegate this task t a member f the audit team with recgnised skills; A02 Auditrs Prfile DEFREV09 1 st January 2017 Page 5 f 9

6 - understanding and evaluatin f cmpliance f all the treatment prcesses, cvering but nt limited t the fllwing tpics: General and legal cmpliance and dcument management; Dcuments and dwnstream mnitring; Material receptin, srting, handling and strage; Training, facility safety and emergency planning; Depllutin; Recycling & recvery and batch tests; Preparatin fr reuse; Dispsal f fractins. - knwledge f depllutin benchmarks, depllutin limit values and targets values defined in the WEEELABEX requirements; - knwledge f hw t identify nn-cnfrmities and recmmendatins fr imprvement in cmpliance with the dcument A04 Auditr manual. Ability t create and issue the Audit reprts frm the General/Surveillance audit: - deep knwledge f the reprting tls and templates (A 05.0a Integrated Auditing Reprting Template); - gd cmmand f English (written); - gd PC skills with a fcus n use f MS Office r equivalent sftware; - knwledge f hw assess the level f cmpliance against the WEEELABEX requirements and hw t answer the questins defined in the Audit questinnaire accrding t the rules defined in the dcument A04 Audit manual; - knwledge f hw t define and describe nn-cnfrmities and recmmendatins fr imprvement in cmpliance with the dcument A04 Auditr manual; - knwledge f hw t describe evidence btained t supprt the auditr s answers r the facts f a cnfrmance r nncnfrmance in cmpliance with the dcument A04 Auditr manual; - deep knwledge f what are the cnditins t issue a recmmendatin fr the certificatin (r nt) t the Certificatin bdy; - knwledge f the Cnfrmity Verificatin prcess, dcuments, and circulatin f reprts based n the dcument B04 WEEELABEX Guidance Dcument. SPECIALIST PERFORMANCE TEST AND BATCH TEST TEMPERATURE EXCHANGE EQUIPMENT (CFA perfrmance test) Ability t cmpile and issue a cmprehensive Audit plan fr CFA perfrmance test accrding t the fllwing infrmatin: - gd understanding f the treatment prcess; - review any previus audit reprts (if available); - deep knwledge f the EN series standards; EN and CLC-TS ; - knwledge f the minimum amunt f WEEE that shall be treated during the CFA perfrmance test accrding t the standard EN and CLC-TS ; - knwledge f the minimum amunt f WEEE that shall be treated during the CFA batch test accrding t the EN Ability t frm the Audit team accrding t the fllwing infrmatin: - identificatin the need fr participatin f specialist auditrs, technical experts, r interpreters; - identificatin f knwledge and skills f audit team members. Ability t lead the n-site CFA perfrmance test: - leadership and cmmunicatin skills; - gd cmmand f English (written and ral); A02 Auditrs Prfile DEFREV09 1 st January 2017 Page 6 f 9

7 - knwledge f the Cnfrmity Verificatin prcess, dcuments, and circulatin f dcuments; - supervising the audit team carrying ut the n-site test, ensuring that all stages f the test are planned and carried ut. Ability t perfrm the n-site CFA perfrmance test: - cmmunicatin and auditing skills; - gd cmmand f English (written and ral); - gd cmmand f the lcal language f the Auditee (at least ne f the audit team); - deep knwledge f the EN series standards, EN and CLC-TS ; - knwledge f technical and legal aspects f the WEEE treatment prcess, r delegate this task t a member f the audit team with recgnised skills; - understanding and evaluatin f cmpliance f the treatment prcess, cvering but nt limited t the fllwing tpics: Step 1 depllutin and treatment prcess; Step 2 depllutin and treatment prcess; Depllutin mnitring and reprting requirements and prcedure. - knwledge f depllutin prcess, depllutin benchmarks, depllutin limit values and targets values defined in the EN EN series standards, EN and CLC-TS ; - skills and knwledge f sampling methds and prcedures and manual/handpicking analysis methds and prcedures as defined in the EN series standards, EN and CLC- TS ; - knwledge f hw t select a labratry fr the required chemical analysis and hw t specify the required chemical analysis and hw t interpret the results. Ability t create and issue the Audit reprts frm the CFA perfrmance test: - deep knwledge f the reprting tls and templates (A05 8 Temperature exchange equipment Specialist Audit Reprt; A05.2a Reprting template Perfrmance Test C&F step 1; A05.2b Reprting template Perfrmance Test C&F step 2; A05.2c Reprting Template CF Mnitring; A 05.0b Integrated Batch Reprting Template); - gd cmmand f English (written); - gd PC skills with a fcus n use f MS Office r equivalent sftware; - knwledge f hw assess the level f cmpliance against the EN and CLC-TS ; - knwledge f hw t define and describe nn-cnfrmities and recmmendatins fr imprvement in cmpliance with the dcument A04 Auditr manual; - knwledge f hw t describe evidence btained t supprt the auditr s answers r the facts f a cnfrmance r nncnfrmance in cmpliance with the dcument A04 Auditr manual; - knwledge f the Cnfrmity Verificatin prcess, dcuments, and circulatin f reprts based n the dcument B04 WEEELABEX Guidance Dcument. BATCH TEST AND SPECIALIST AUDIT GAS DISCHARGE LAMPS (LAMPS) Ability t cmpile and issue a cmprehensive Audit plan fr LAMPS batch test and specialist audit accrding t the fllwing infrmatin: - review the Declaratin f Intent; - gd understanding f the treatment prcess; - review any previus audit reprts (if available); A02 Auditrs Prfile DEFREV09 1 st January 2017 Page 7 f 9

8 - deep knwledge f the WEEELABEX requirements; - knwledge f the minimum amunt f WEEE that shall be treated during the batch test accrding t the EN Ability t frm the Audit team accrding t the fllwing infrmatin: - identificatin the need fr participatin f specialist auditrs, technical experts, r interpreters; - identificatin f knwledge and skills f audit team members. Ability t lead the n-site LAMPS batch test and audit: - leadership and cmmunicatin skills; - gd cmmand f English (written and ral); - knwledge f the Cnfrmity Verificatin prcess, dcuments, and circulatin f dcuments; - supervising the audit team carrying ut the n-site test, ensuring that all stages f the test are planned and carried ut. Ability t perfrm the n-site LAMPS batch test and audit: - cmmunicatin and auditing skills; - gd cmmand f English (written and ral); - gd cmmand f the lcal language f the Auditee (at least ne f the audit team); - deep knwledge f the WEEELABEX requirements; - knwledge f technical and legal aspects f the WEEE treatment prcess, r delegate this task t a member f the audit team with recgnised skills; - understanding and evaluatin f cmpliance f the treatment prcess; - knwledge f depllutin prcess, depllutin benchmarks, depllutin limit values and targets values defined in the WEEELABEX requirements; - skills and knwledge f sampling methds and prcedures and manual analysis methds and prcedures as defined in the in the WEEELABEX requirements; - knwledge f hw t select a labratry fr the required chemical analysis and hw t specify the required chemical analysis and hw t interpret the results. Ability t create and issue the Audit reprts frm the LAMPS batch test and audit: - deep knwledge f the reprting tls and templates (A 05.0b Integrated Batch Reprting Template; A 05.2d Reprting Template Lamps); - gd cmmand f English (written); - gd PC skills with a fcus n use f MS Office r equivalent sftware; - knwledge f hw assess the level f cmpliance against the WEEELABEX requirements; - knwledge f hw t define and describe nn-cnfrmities and recmmendatins fr imprvement in cmpliance with the dcument A04 Auditr manual; - knwledge f hw t describe evidence btained t supprt the auditr s answers r the facts f a cnfrmance r nncnfrmance in cmpliance with the dcument A04 Auditr manual; - knwledge f the Cnfrmity Verificatin prcess, dcuments, and circulatin f reprts based n the dcument B04 WEEELABEX Guidance Dcument. A02 Auditrs Prfile DEFREV09 1 st January 2017 Page 8 f 9

9 BATCH TEST fr the fllwing streams: - Large appliances; - Mixed equipment; - Display units (televisins and mnitrs cntaining cathde ray tubes); - Display units (televisins and mnitrs cntaining cld cathde flurescent lamps); - Other streams apprved by the WEEELABEX Organisatin. Ability t cmpile and issue a cmprehensive Audit plan fr batch test accrding t the fllwing infrmatin: - review the Declaratin f Intent; - gd understanding f the treatment prcess; - review any previus audit reprts (if available); - deep knwledge f the WEEELABEX requirements; - knwledge f the minimum amunt f WEEE that shall be treated during the batch test accrding t the EN Ability t frm the Audit team accrding t the fllwing infrmatin: - identificatin the need fr participatin f specialist auditrs, technical experts, r interpreters; - identificatin f knwledge and skills f audit team members. Ability t lead the n-site batch test: - leadership and cmmunicatin skills; - gd cmmand f English (written and ral); - knwledge f the Cnfrmity Verificatin prcess, dcuments, and circulatin f dcuments; - supervising the audit team carrying ut the n-site batch test, ensuring that all stages f the batch test are planned and carried ut. Ability t perfrm the n-site batch test: - cmmunicatin and auditing skills; - gd cmmand f English (written and ral); - gd cmmand f the lcal language f the Auditee (at least ne f the audit team); - deep knwledge f the WEEELABEX requirements; - knwledge f technical and legal aspects f the WEEE treatment prcess, r delegate this task t a member f the audit team with recgnised skills; - understanding and evaluatin f cmpliance f the treatment prcess; - knwledge f depllutin prcess, depllutin benchmarks, depllutin limit values and targets values defined in the WEEELABEX requirements; - skills and knwledge f sampling methds and prcedures and manual/handpicking analysis methds and prcedures as defined in the in the WEEELABEX requirements; - knwledge f hw t select a labratry fr the required chemical analysis and hw t specify and interpret the required chemical analysis. Ability t create and issue the batch test reprts: - deep knwledge f the reprting tls and templates (A 05.0b Integrated Batch Reprting Template); - gd cmmand f English (written); - gd PC skills with a fcus n use f MS Office r equivalent sftware; - knwledge f the Cnfrmity Verificatin prcess, dcuments, and circulatin f reprts based n the dcument B04 WEEELABEX Guidance Dcument. Nte: the sign X means that the cmpetency is applicable fr the mentined auditr s level. A02 Auditrs Prfile DEFREV09 1 st January 2017 Page 9 f 9