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Name of Treatment Operator

Location

Date of Audit

Date of report

x

WEEELABEXAudit Summary Report (Certification scheme - Operators EURo B1801)

Aurubis AG

13.-14.11.2018

20. December 2018

Report before corrective actions (Part 1)

Definitive document after corrective actions (Part 1 & 2 - Conclusions)

Type of audit General Audit

Kupferstraße 23, D-44532 Luenen

With the financial support of the LIFE programme of the European Community

Treatment Operator: xxxxxxxx

1,1

Treatment Operator

x

Audit Details

0

0

[email protected]

Audit history First audit of facility

Brief description of the facility:

Contact details of the Lead Auditor

[email protected]

Last audit of facility

The Facility of AURUBIS AG is a copper smelter with a long term history to recover Copper and precious metals out of WEEE - and ELS - Fractions and Components. Since 2005 ARUBIS operates in an specicial Area for mechanical treatment of depolluted WEEE - Appliances and Components with a complex separation equipment for generating differnt kind of metal fractions for their own following process (Preparation, Smelting, Refining) and non pure fractions as Aluminium and Plastics for extternal downstreams. Although AURUBIS limit their input to "depolluted material" they always take care that neither hazardous components could emmitted uncontrolled during opertions nor in the following downstream fraction which leave the "end of waste status" at the end. The process which was audited here covered TYpe 2 and Type 3 Operating. For the future it should be extended through a Typ 4 Audit (final processing). The Audited Area is intergrated into the Area "materialassesment and preparation).

Director RRM Thorsten Pockrandt

Audit team

Contact details of the audit contact person

Christoph Becker, WEEELABEX Lead Auditor

0

Treatment operator

Kupferstraße 23, D-44532 Luenen

Treatment operator representatives

Ullrich Didszun, WEEELABEX Auditor

Location

NA

NA

0

Type of audit

Aurubis AG

+491743991273

Date of audit

German

VP site Astrid Herbers

0

Participants in Audit

Language of Audit

General Audit

13.-14.11.2018

The conformity verification process has been initiated by: (add X or name of member system) Member System

A 05.0a Integrated Auditing Reporting Template_DEFREV_09_version 1 - 28 August 2018A 05.4 WEEELABEX Audit Summary Report-Part 1_DEFREV_09 - 28 August 2018 2/7


1,2

Included in Audit

(Yes/No)

No

No

No

No

No

No

No

Yes

Photovoltaic panels NA NA

Operator provides the full supply chain of processing WEEE Appliances from depolluted appliances until final processing (smelter). The pre processing (Materialvorbereitung) with complex mechanical treatment installation is in scope of the Audit which includes ther preparation of the downstream fraction in a special bunker for the follow up final processing in the smelter. Therefor the Auditor decided in on site to perform a Type2 /Type 3 Audit (Adjustment of the Auditplan) in

type 2/type 3 NA

NA

NA

Mixed equipment

Activities conducted at the site and WEEE Treatment Process included in audit

NA

NA

NA

NA

Treatment Operator Type (Type 1 or 2 or 3 or

combined)

NA

NA

CRT display appliances

Temperature exchange equipment

Gas discharge lamps

NA

Flat panel display equipment NA

WEEE Treatment Process Stream(as per the WEEELABEX document B02 Eligibility of Treatment Operators)

Exclusions / Details(e.g. particular categories or equipment that are not in scope of the audit; or detailed description of the

audited stream)

NA

NA

Large appliances

Other

Further details



2

Photovoltaic panels NA NA

NATemperature exchange equipment

Mixed equipment

Is the CFA performance test performed by a

WEEELABEX CFA Lead Auditor?

(Yes/No/NA)

yes

NA

NA

NA

NA

NA

Batch and performance test results

NA

NA

NA

Is the batch test validated by a

WEEELABEX Auditor? (Yes/No/NA)

NA


Large appliances

Date of the batch test(s)

Temperature exchange equipment

NA

Date of the CFA performance test

Gas discharge lamps

Other

NA

NA

14 November 2018

Flat panel display equipment

WEEE Treatment Process Stream(as per the WEEELABEX document B02 Eligibility of Treatment Operators)

NA



3 Results

3,1

Number of Priority 1 Non Conformances

GeneralLarge

appliances

Temperature exchange

equipment

Mixed equipment


Flat panel display

equipment

Gas discharge

lamps

Photovoltaic panels

Other

Fail 0 NA NA NA NA NA NA NA 0

Pass 10 NA NA NA NA NA NA NA 28

3.1.1

# Question

Clause of relevant

standard(s) *

Non conformance

(NC) / Improvement opportunity

(IO)

Deadline to meet the

requirement and provide evidence**

Corrective action

required(Yes/No)

Non conformance

solved?(Yes/No/NA)

Priority 1 Non Conformances

Priority 1 questions

*Relevant standards are the following: - EN 50625-1:2014 (referred as "EN")- WEEELABEX normative document on Treatment V10.0 (referred as "WX")**of date of reception

The Operator is required to address the above non-conformances and then provide evidence of the implemented corrective action(s) to the Lead Auditor that it has been concluded within the given deadlines. Failure to respond to Priority 1 non-conformances noted within the given timeframe may result in a negative conformity verification.

No Priority 1 NCs

Description of Non Conformance / Improvement Opportunity (including description of the implemented corrective action in case of NC)



3,2

Average score in priority 2 questions

Large appliances


equipment

Mixed equipment


Flat panel display

equipment

Gas discharge

lamps

Photovoltaic panels

Other

SCORE NA NA NA NA NA NA NA 98%

3.2.1

# Question

Clause of relevant

standard(s) *

Non conformance

(NC) / Improvement opportunity

(IO)

Non conformance

solved?(Yes/No/NA)

20 EN 5.4. IO NA

33 EN 5.5. IO NA

Priority 2 Non Conformances

Priority 2 Questions

Description of Non Conformance / Improvement Opportunity (including description of the implemented corrective action in case of NC)

Protection Activities First Treatment Area should be more visible (Spillage Kits, Decanters, Cleanser degreaser) The Labelling of collection bins for Components with hazardous contents shoud be more clear and should be improved

Failure to obtain more than 75% of the score on Priority 2 questions (see 3.2) within THREE MONTHS AFTER DATE OF RECEPTION shall result in a negative conformity verification. The Operator is required to address as many as the above non-conformances and then provide evidence of the corrective action to the Lead Auditor that it has been concluded within the given deadlines.

*Relevant standards are the following: - EN 50625-1:2014 (referred as "EN")- WEEELABEX normative document on Treatment V10.0 (referred as "WX")



3,3

Large appliances


equipment

Mixed equipment


Flat panel display

equipment

Gas discharge

lamps

Photovoltaic panels

Other

Fail NA NA NA NA NA NA NA NA

Pass NA NA NA NA NA NA NA Pass

4

Notes:

This assessment was conducted on a limited sampling and therefore non conformities may exist that have not been identified. Other areas of concern may become apparentwhen any necessary research is concluded (e.g. for specific information / operations assessed during the audit) or when the missing documentation (if any) is received. Theresults of the audit are based on sampling and the observations done by the audit team during the audit, therefore the audit report may not identify the totality of the(potential) non conformances incurred by the auditee. That the conformity verification performed by the auditor does not exempt the auditee from the responsibility toobserve and know the legislation applicable to all its activities.

The Operator shall not disclose or reproduce this document in any format without the written confirmation of the Lead Auditor or the WEEELABEX Organisation.

20. December 2018

Name of WEEELABEX Lead Auditor

Signature:

The Operator has 2 days on reception of this document to communicate the Lead Auditor spelling mistakes,permit numbers or similar errors detected on review.

Audit Communication

Audit communications

Date of Summary Report:

The audit has been carried out on behalf of the client (party mandating and financing the audit) for the purposes of assisting them in their analysis of the services providedto them by the Operator (the subject of this Audit). No party shall pass the Report to any other third party without the express written permission of the WEEELABEXOrganisation and the Lead Auditor named in this document. No duty, responsibility or liability to any party, other than to the WEEELABEX Organisation is accepted. A copy ofthis summary report will be provided to the Operator.

The audit was carried out in accordance to the "WEEELABEX requirements" (as defined in the B04 WEEELABEX Guidance Document) to audit the Operator’s services, licensesand permits and the plant and equipment at the facility. The scope of our work in preparing this Report was limited solely to those procedures and to the audited treatmentstreams. Accordingly, the Lead Auditor does not express any opinion or overall conclusion that may affect any services contract. The client is responsible for determiningwhether the scope of the work specified is sufficient for its’ purposes and the Lead Auditor makes no representation regarding the sufficiency of these procedures for theirpurposes. The procedures performed were not designed to and are not likely to reveal fraud. The Report should not be taken to supplant any other enquiries andprocedures that may be necessary to satisfy the requirements of the Report.

No

NA

The Treatment Operator has submitted comments to the Lead Auditor regarding the audit report.

The comments expressed by the Treatment Operator have been taken into consideration in this summary document, or have been noted.

[email protected] details of the Lead Auditor

Christoph Becker (Lead Auditor), Ullrich Didszun (Lead Auditor Trainee)

Audit Results


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