Guide on Application for Accreditation(I) - KAB · Guide on Application for Accreditation(I) I...

KOREA ACCREDITATION BOARD

Guide on Application for Accreditation (II) - Person CBs

Document No.: KAB-G-02

Issue No.: 6

Issue Date: September 3, 2015

ISSUE No. 6 September 3, 2015 2 / 34

Guide on Application for Accreditation (II) KAB-G-02

Contents

1. Scope of Application

2. Terms and Definitions

3. General

4. Information on Accreditation Procedures

4.1 Provision of Accreditation Criteria and Information

4.2 Applying for Accreditation

4.3 Preliminary Visit

4.4 Document Review

4.5 Office Assessment

4.6 Witnessing

4.7 Procedure for Failure to Meet Corrective Action Timeframe

4.8 Re-assessment

4.9 Follow-up Assessment

4.10 Recommendation to Accreditation Review Committee or Approval

4.11 Additional Accreditation of Certification Schemes, Testing Methods, Etc.

4.12 Additional Procedures for Surveillance and Renewal Assessment

4.13 Special Assessments

4.14 Confirmation and Promotion of Registered Information

5. Reporting by CBs

6. Accreditation Fee Payment and Assessment Man Days

7. Use of the Accreditation Mark and Promoting Certification

8. Request for Correction, Suspension and Withdrawal of Accreditation

9. Handling of Complaints and Appeals

10. KAB’s Access to Records of Complaints and Appeals

11. Annexes

(1) Applicant Profile and Business Plan

12. Accreditation Forms



1. Scope of Application This Guide provides information on accreditation services by KAB (Korea Accreditation Board) for applicants and/or accredited CBs performing person certification for person accredited scopes (certification type and scheme). In this regard, this Guide includes the procedures for accreditation procedures (application and assessment registration and maintenance of accreditation, etc.). All applicants and/or accredited CBs shall comply with this Guide in addition to the accreditation criteria and accreditation advisories. Accreditation scope

Certification type Certification scheme

Management system auditor

Certification auditor

Management systems (QMS, EMS, GMS, OHSAS, ISMS, FSMS, EnMS, IT Service MS, etc.)

Internal auditor

Management systems (QMS, EMS, GMS, OHSAS, ISMS, FSMS, EnMS, IT Service MS, etc.)

Consultant QMS Nondestructive testing technician N/A

Weld quality testing technician N/A Condition monitoring diagnostics

of machines technician Vibration, tribology, thermo vision

2. Terms and Definitions This guide applies the terms and definitions of ISO/IEC 17011, IAF MD documents, and the below. 2.1 Initial Assessment Activities related to the initial accreditation of CBs to determine whether they meet all the relevant requirements for accreditation to be newly registered as person CBs.

2.2 Assessment for Addition of Certification Scheme or Testing Method Assessments to extend certification schemes or testing methods



2.3 Surveillance Periodical assessments to determine whether the accredited person CBs continue to comply with accreditation requirements and verify the maintenance status 2.4 Accreditation Renewal Assessment Conformity assessment to verify compliance to accreditation requirements and maintenance status of person CB according to initial accreditation assessment procedures to decide whether or not to extend the effective period of accreditation, upon request from person CBs that intends to extend its accreditation before the expiry date 2.5 Re-assessment Partial or full re-assessment conducted after a certain period of time because it was decided that an assessment was to discontinue due to a significant nonconformity found during the assessment. 2.6 Follow-up Assessment The assessment may be performed by the following reason(s);

(1) to check the effectiveness of corrective actions of nonconformities identified during assessment;

(2) to check any significant changes have been made which could affect the operation of the CBs; (3) to check the additional issues that decision of the accreditation review committee; and (4) to check the validity of the results of corrective action after accreditation sanction.

2.7 Special Follow-up Assessment The assessment may be performed by the following reason;

(1) to confirm the specific complain/appeal that received to KAB;

(2) to check the significant failure or possibility of the CBs to comply with accreditation

requirements; and

(3) to supervise or monitor the CBs

2.8 Document review Assessing the quality system of applicants or accredited CBs by reviewing their documents at their office. 2.9 Office Assessment



Assessing conformity of the quality system and its implementation of applicants or accredited CBs with accreditation criteria conducted at the office of applicants or accredited CBs. 2.10 Witnessing Observation of CBs performing certification service within the scope of application /accreditation NOTE: The witnessing of certification audits is an activity of observation by KAB that does not interrupt or affect the audits performed by the audit team. According to the purpose of the witness, the entire audit of the CB can be observed, or only the appropriate parts of an audit can be observed. The witness can take place on-site at the location of the CB's client, or can be observed remotely through electronic means. 2.11 Accreditation Scope Specific conformity assessment services for which accreditation is sought or has been granted; the accredited scope includes the management system standard, codes, sectors, categories or technical areas, premises where CBs operates its businesses, etc. 2.12 Separate Assessment Assessment to be carried out of each management system such as QMS(including TL 9000), EMS, and OHSMS etc. 2.13 Integrated Assessment When an organization/body has integrated more than two management systems into a single system, and is being assessed against each management system standard by a joint assessment team at the same stage. 2.14 Joint Assessment Two or more accreditation bodies cooperate to assess a management system of a single organization/body at the same types and stages of assessment. 2.15 Transfer Assessment of Accreditation An assessment KAB conducts to recognize a partial or full accreditation of a CB, based on the accreditation certificate issued by another AB, when the CB applied for KAB accreditation.



NOTE 'Partial' applies to the cases below.

- If the application to KAB involves only certain management systems or a portion of certain management systems among several management system accreditation. - If a CAB with KAB accreditation of a particular management system standard applies for accreditation of only a portion of accredited scopes within the same management system but accredited by another accreditation body.

2.16 Areas of Concerns Findings from an office or witness assessment that can be developed into non-conformities or either simple or minor mistakes 2.17 Recommendations for improvements Findings from an assessment, which are deemed to comply with the requirements but to provide opportunities for improvements 3. General Requirements 3.1 The policies and procedures under which KAB operates are non-discriminatory, and

they are administered in a non-discriminatory manner. KAB does not use its procedures to impede or inhibit access by applicant bodies unless otherwise specified.

3.2 KAB does not practice any form of discrimination such as national origin, nationality of

employees, hidden discrimination by speeding up or delaying application. 3.3 KAB makes its services accessible to all applicants whose activities fall within its

declared field of operation. KAB does not require undue financial or other conditions. Access is not conditional upon the size of the applicant body or membership of any association or group, nor is accreditation conditional upon the number of bodies already accredited.

3.4 Under the above 3.3, KAB makes its services available to all applicants. KAB may,

however, limit its services for the following situations, in so far as the KAB policies and the law permit: (1) When the applicant has no intention to comply with accreditation polices and

procedures or to settle different understanding of accreditation criteria.



(2) When KAB has decided to provide its services for the applicant operating in a defined

geographic region or within a particular technical sector.

3.5 KAB will make a decision on granting or expanding accreditation without undue delay based on the information and evidences of assessment performed and other information associated.

3.6 Assessments will be conducted based on annual accreditation schedules that agreed

with CB. In case surveillance or renewal accreditation assessment has not been completed within the defined timeframe or the accreditation period, accreditation shall be suspended or withdrawn.

3.7 The language used in accreditation assessments will be, in principle, Korean, and if any

other language is used, the applicant/accredited CAB shall provide an independent interpreter without any relations of interest for each accreditation assessment, and the needed fees shall be provided by the applicant/accredited CAB.

3.8 The assessment report shall be written in the Korean language, and if there is a request

of an English report, the assessment fee for 1MD will be added to provide the report in English.



4. Information on Accreditation Procedures 4.1 Providing of Accreditation Criteria and Information Applicants shall have the current version of the following relevant documents with clear

understanding of them.

(1) Accreditation Criteria for Person CBs (KAB-R-31) and other related international standards required by person certification type, if applicable.

(2) Accreditation Advisories (KAB-A-01 and KAB-A-02)

4.2 Applying for Accreditation 4.2.1 Accreditation Process



4.2.2 Conditions for applying for initial accreditation or addition of scheme (or testing method)

Before submission of application, applicant shall ensure that it meets the following provisions as well as the accreditation criteria of each management system, and if it fails to do so, application may not be accepted. (1) Applicant shall complete at least one internal audit and one management review

based on at least 3 months of management performance after it has established its management system.

(2) Applicant seeking for persons’ accreditation shall perform at least one trial audit per person certification scheme or testing method to demonstrate the adequacy of certification procedures and ability of operating certification as below before application. The trial audit program shall include the whole process from receipt of application to person certification to issuance of certificate (written test and practical tests if necessary).

(3) Those willing to manage a person certification body shall obtain person certification evaluation personnel per person certification scheme before application.

(4) Information of the applicant may be published to the public through KAB’s website

or other means of notification in order the information on the applicant in terms of impartiality, independence, conflict of interest, etc. can be identified or obtained.

4.2.3 Conditions to applying for renewal accreditation

(1) CBs seeking re-accreditation for person certification shall submit their application to KAB at least four months prior to the accreditation expiry date in order to ensure that all accreditation assessment procedures are completed, including the corrective actions for nonconformities and corrective action plan on areas of concern before a minimum of one month prior to the date the accreditation expires.

(2) Applicants for re-accreditation shall ensure that the regular surveillances within the accreditation period have been conducted, that all nonconformities are closed before application.



4.2.4 Submission of application papers and receipts

(1) Applicant shall submit the following documents in Korean or in English with the application form signed by its representative, and pay the relevant application fees. Also, the CAB shall maintain and manage the up-to-date version of this document in Korean or in English during it is accredited by KAB.

Application Documents Initial Renewal

Addition of scheme or

testing method

Remarks

Application form for Accreditation of Persons CB (KAB-G-02-01)

Articles of Association Electronic documents acceptable

List of shareholders Applicant profile and Business Plan(See Annex 1) List of person evaluators/person evaluation committee member list and qualifications

List of management system documents Electronic documents acceptable

Person certification criteria per certification type/scheme (or testing method)

Electronic documents acceptable

Cross reference table with accreditation criteria (KAB-G-02-03)

Electronic documents acceptable

Statement of oath to follow person accreditation criteria and procedures (KAB-G-02-02)

(2) CABs shall state and submit the addresses of all sites/locations included in the

accreditation scope on the “Status of Address and Activity Classified by Location (KAB-G-01-01)”, and shall especially describe the relevant business activities for the sites/locations that perform the key activities as described in clause 7.5.7 of ISO/IEC 17011 and IAF/ILAC A5, and the fixed offices as described in IAF MD 12. - Key activities as defined in the Note of 7.5.7 of ISO/IEC 17011: Establishment of policies, development of processes/procedures and as appropriate, contract review, planning of conformity assessment and activities of verification/authorization/decision on the results of the conformity assessment.

- Key activities as defined in IAF/ILAC A5: ① Policy formulation and approval; ② Development and approval of processes and procedures necessary for the

operation of the certification of persons systems, including requirements for



selection and appointment of examiners; ③ Review of applications and of contractual arrangements associated with the

assessment and certification of persons; ④ Development, evaluation and maintenance of the examination(s) and of re-

certification; ⑤ Decision on certification of persons, including signing or authorization of

certificates; ⑥ Development and approval of policies, processes and procedures for the

resolution of appeals and complaints received from applicants, candidates, certified persons and their employers and other parties about the certification process and criteria;

⑦ Final decision on appeals and complaints.

(3) Applicant may submit the application form and the associated documents to KAB in person or by mail.

(4) When KAB determines that the application is complete after reviewing them, it shall

proceed with assessment planning. And if required, KAB requests the applicant to provide further information in support of the application. If the applicant fails to do so within 90 days, the application shall be rejected.

(5) KAB assessment of the applicant will begin from the point of the application being

formally accepted in accordance with the above (3). (6) If part of the schemes (or testing methods) and/or type of the certification type

being applied for does not satisfy the accreditation requirements, the assessment can be conducted excluding the specific schemes (or testing methods) and/or type upon request from the applicant CB. In this case, the application for the schemes (or testing methods) and/or type that have been excluded from the assessment shall be made separate from the ongoing application.

(7) When it is turned out that the application form or associated documents have been

counterfeited, application shall be rejected. (8) When KAB decides to reject the application, it shall request the applicant to provide

the justification to KAB within one week.



(9) When applicant fails to provide the justification within one week after the above notification, its application shall be rejected, and 50% of the application fees and all application documents shall be returned to the applicant by KAB. Also, if the application was accepted and accreditation assessment for the next stage is in process or has already been conducted, the fee for application and completed assessments will not be returned.

4.3 Preliminary Visit (1) The preliminary visit of the applicant by KAB may be performed with the agreement of

the applicant to check that its person certification type has been established and operated in consistent with its policy, and implemented and maintained effectively in order to determine whether to proceed with the next stage of assessment.

(2) The preliminary visit is not considered as part of initial accreditation assessment, and normally spends 1 MD. When the plan of the visit that specifies its purpose and content is notified to the applicant in advance, the applicant shall cooperate for the assessment team to check at least records of internal audit and management review, competence of the applicant, and deficiencies of the system.

4.4 Document Review

(1) In principle, document review is carried out through a visit to the office of the applicant or accredited CB which has applied for initial or re-accreditation assessment. However, it may be also conducted in the surveillance assessment when it is seen that there have been any significant changes of quality systems the applicant or accredited CB.

(2) KAB may decide not to proceed with the next stage of the assessment based on the nonconformities raised during document and record review. When the applicant has not completed corrective actions of nonconformities identified within 90 days after notification of the results of document review without any justification, KAB may reject the application and the assessment fees for document review including application fee will not be returned.



4.5 Office Assessment

(1) After the corrective actions of all nonconformities identified during the document review have been completed, the applicant shall cooperate with KAB to arrange schedule for the office assessment.

(2) The applicant shall document in a verifiable manner that it has adequate competence to comply with each person certification type and/or scheme (or testing method) being applied for, and demonstrate it to the team

(3) For initial accreditation, office assessments shall be conducted for all sites/locations of numbers 1~4 below, and at least 1 for site of number 5 below selectively. ① Head office of the applicant CAB ② Locations/sites that perform key activities as described in clause 7.5.7 of

ISO/IEC 17011 ③ Locations/sites that perform key activities as described in IAF/ILAC A5 ④ All fixed offices (irrelevant of relationship with the CAB) that performs and

manages key activities according to IAF MD 12 or manages and maintain records on remote personnel that perform such activities.

⑤ Fixed offices (irrelevant of relationship with the CAB) that performs other activities according to IAF MD 12 or manages remote personnel that perform such activities

(4) The decision of locations/sites to be subject to office assessments shall be made

before the head office assessment plan defined in number ① of (3) above is established, and 1 MD shall be added per location to the assessment Man-Days defined in KAB-A-01, KAB Accreditation Advisory (1) KAB Criteria. . If applicable, followings are also acceptable: ① If foreign office is accredited by local AB, office assessment can be substituted

by the AB’s assessment report; ② KAB can request assessment cooperation to the local AB.

4.6 Witnessing Witnessing for person CBs shall, in principle, be conducted at least once for 1 or more days per person certification scheme, and the accreditation assessment team shall decide the



scheme and scope of the witnessing at the termination of office assessments, considering the scheme per person certification type and complexity of the evaluation process. For person CBs of NDT, the organization to be witnessed shall be decided including the following testing method for subjects of mandatory witnessing. - Testing method for subjects of mandatory witnessing: RT (Radiographic Test) 4.6.2 Conducting Witness Assessments

(1) If nonconformity is found at the office assessment with regard to evaluator competency, certification procedure, accreditation criteria for the type being witnessed, the witness assessment shall be conducted after verification that the corrective action for the NC has been completed.

(2) The applicant CB shall submit to KAB the specific schedule for the client being witnessed at least 10 days prior to the desired witnessing date, and provide the accreditation assessment team with documentation on the person CB's quality system and registration criteria for person evaluation at the witnessing.

(3) The applicant CB shall provide any costs for technical experts if they are included in the assessment team.

(4) If a witness assessment is not conducted or planned within 90 days after office assessment for initial accreditation of the applicant CAB without a justifiable reason, the application is cancelled, and all assessment costs including the application fee will not be refunded.

(5) The witness assessment for initial or scope extension shall, in principle, be conducted after the office assessment, and the witness for renewal or surveillance shall be completed within 3 months before or after office assessment. But the initial surveillance assessment (2nd surveillance for new CABs) shall be completed within 12 months from the initial accreditation date, including witness.

(6) The number of witnesses for CAB surveillance assessments and accreditation renewal shall be decided by the accreditation assessment team leader according to KAB-A-01, KAB Accreditation Advisory.

(7) If the applicant CAB was not able to demonstrate the conformity of its audit through witness assessment, not more than 1 witness can be added.



4.7 Procedure for Failure to Meet Corrective Action Timeframe 4.7.1 The results of corrective actions for all non-conformities issued at the accreditation

assessment process (document review, the office assessment, the witnessing and the follow-up assessment) shall be submitted within 30 days from issue date. In case the plans for corrective actions are submitted within 30 days, however, the results shall be submitted within 90 days. The application of accreditation shall be rejected in case the results of corrective actions are not submitted without any particular reasons within defined timeframe. In case of surveillance, Accreditation Review Committee shall be convened to decide whether to suspend or withdraw the accreditation of CB.

4.7.2 For all areas of concern found through office, witnessing, and surveillance

assessments, the corrective action plan for the relevant stage (office, witness, and verification assessment) shall be submitted within thirty days of the issuance of the concern. If the plan is not submitted within the required timeframe without justifiable reasons, the relevant accreditation or renewal application will be rejected, and the CB will be sent to the Accreditation Review Committee for a decision, whether it will be suspension or withdrawal of accreditation.

4.7.3 The corrective action results for the areas of concern will be confirmed at the next

assessment, and if the corrective action for an area of concern has not been completed, the concern in question will be issued as nonconformity.

4.8 Re-assessment

When it is turned out that it is not possible to proceed with the next stages due to some major nonconformities identified during assessment, the team shall discontinue the assessment and consider proceeding full or partial re-assessment. Costs incurred for the assessment by the time shall be borne by the applicant.

(1) Partial reassessment: If an NC that can affect specific accreditation requirements and scope is issued where the requirements in question is missing or the system in question has not been demonstrated to be valid, the assessment team shall decide to discontinue the assessment and conduct reassessment on the requirements and entire scope for the NC after 1 month has passed from the date the assessment has been discontinued.



(2) Full reassessment: If the NC found involves a significant problem to the

operation of the applicant CAB such as lack of an accreditation requirement that affects the entire system or failure to demonstrate the validation of system, the assessment team shall decide to discontinue the assessment and shall conduct reassessment 3 months from the date of discontinue for all requirements and scope for the assessment stage (document review, office, witness, etc.) at the time the assessment was discontinued.

(3) Reassessment shall be performed within four months for partial reassessment, and six months for full reassessment. Otherwise, the accreditation or application is rejected, and CBs for surveillance shall be reported to the Accreditation Review Committee for decision of suspension or withdrawal.

4.9 Follow-up Assessment (1) An assessment conducted when 2.6 of this guide applies. The assessment mandays

and fees for follow-up assessment are subject to KAB-A-01. (2) Initial visit is required for a person certification body with the following changes as

described below, and additional follow-up assessment may be needed based on the results of the initial visit.

Changes in shareholdings of the certification body that brings a change to the

managerial right

Transfer of goodwill from another CB

Merger with another CB

Spin-off of the CB

Any other changes in the person CB which are deemed to have significant effects

on the certification activity

(3) KAB does not accept changes such as those described below and will propose to the

Accreditation Review Committee a withdrawal of accreditation from the person

certification body concerned should such changes occur.



Change in the key nature of KAB-accredited person certification body, as a result

of its merger with another CB accredited by a different AB

Establishment of a new business entity as a result of merging with another CB

The person CB being merged into another CB (An exemption will apply in case

the person CB is merged into a mother company with no significant changes

being made to its certification activity)

Transfer of partial business activities from another CB excluding any payment

liabilities

4.10 Recommendation to Accreditation Review Committee (ARC)

(1) After all assessments are completed, and related accreditation fees are paid before due dates (if the due date is after the ARC date, the fee shall be paid before the ARC date), KAB recommends to the ARC.

(2) In principle, the Accreditation Review Committee convenes once a month, but this may change according to KAB-P-10. The decision of accreditation can be notified to the applicant normally within 30 days after the verification of corrective actions taken, unless otherwise specified.

(3) The suspension of some certification schemes on person CBs or on testing methods shall be applied only when the general criteria for the management of a CB is being satisfied but with the exception of a specific certification scheme or testing method, and if this is the case, the person CB, the certification scheme or testing method being suspended, and the period of suspension will be notified without approval by the KAB Accreditation Review Committee. Normally, the period of suspension shall be up to the expiry date of accreditation period, and the CB shall not carry out initial person certification evaluation during this period, and if the specific certification schemes or testing methods does not satisfy the accreditation criteria until the effective accreditation date, they shall be excluded from the accredited scopes by the decision of the Accreditation Review Committee.

(4) The decision of the Accreditation Review Committee is valid on the date KAB publishes the decision. For initial accreditation (or renewal accreditation), accreditation certificate in Korean and English will not be issued until the registration



fee is paid. When and how to grant the Accreditation Certificate may be agreed between KAB and the applicant.

4.11 Additional Accreditation of Certification Schemes, Testing Methods, Etc.

(1) For the additional accreditation of certification schemes or testing methods, document review can be conducted if there is a significant change in the quality system, and the witness assessment may be excluded if the ability to perform person certification for the relevant scheme or testing method being applied for is objectively demonstrated.

(2) At accreditation scope extension, office assessments shall be conducted for all locations/sites of ① to ③ of the applicant CAB, and witness assessments shall be conducted following Annex 2 of this Guide. ①. Head office of the applicant CAB: 0.5MD ②. Locations/sites related to the scope being applied for among the locations/sites

that perform the key activities as described in clause 7.5.7 of ISO/IEC 17011: 1MD per relevant location

③. Locations/sites related to the scope being applied for among the locations/sites that perform the key activities of IAF/ILAC A5: 1MD per relevant location

4.12 Additional Procedures for Surveillance and Renewal Assessment 4.12.1 Regular Surveillance

(1) In principle, following initial accreditation of a CB, KAB shall conduct office surveillance every six months for the first one year and thereafter, once 12 month. The date of first surveillance shall be programmed from the completion of initial assessment.

(2) Regular surveillance shall be conducted in accordance with the same procedure with

that for initial assessment but document review will be done only when there are significant changes in the system that can significantly affect the management of the person CB.



(3) Person CBs shall complete office and witness assessments within the defined

regular surveillance cycle, and if the accreditation assessment is not finished within the timeframe, or if there is no justification for the delay in assessment, the issue can be raised to the Accreditation Review Panel for appropriate measures to be taken.

(4) At surveillance, office assessments shall be conducted every year for locations of ① of the applicant CB, and at least 1 office assessment (1/4 of the locations for every surveillance assessment) shall be conducted for all locations/sites of ② to ④ within the accreditation cycle. ①. Head office of the applicant CB ②. Locations/sites that perform key activities according to clause 7.5.7 of ISO/IEC

17011 ③. Locations/sites that are critical locations as defined in IAF/ILAC A5 ④. All fixed offices (irrelevant of relationship with the CAB) that performs and


4.12.2 Accreditation Renewal Assessment

(1) KAB shall conduct the re-accreditation assessment of accredited CBs every four years in accordance with the same procedure with that for initial assessment.

(2) At the renewal assessment, office assessment shall be conducted as below.

Location/site subject to renewal office assessment: 1 + (1/4 of locations of ②~④) +

(at least 1 office of ⑤)

①. Head office of the applicant CAB ②. Locations/sites that perform key activities according to clause 7.5.7 of ISO/IEC

17011 ③. Locations/sites that are critical locations as defined in IAF/ILAC A5 ④. All fixed offices (irrelevant of relationship with the CAB) that performs and


⑤. Fixed offices (irrelevant of relationship with the CAB) that performs other



activities according to IAF MD 12 or manages remote personnel that perform such activities.

(3) When combined assessment is conducted for re-accreditation of two or more person

certification types whose expiry dates are different, KAB shall review and decide whether to accept or not taking account of cycle of surveillance. In this case, the accreditation period’s year will be subject to that of management system having the expiry date ahead, and the date will be subject to that of management system having assessment date ahead.

(4) A CB shall make sure all assessments including witness are completed before the accreditation expiry date, shall complete corrective actions against all nonconformities found, and shall submit a corrective action plan for all areas of concern. If accreditation renewal decision cannot be made before the accreditation expiry date because of the CB, the Accreditation Review Committee may discuss the withdrawal of accreditation.

(5) Following expiration of accreditation, KAB can restore accreditation through ARC’s approval within 6 months provided that the uncompleted reaccreditation activities are completed. In this case, the effective date on the accreditation certificate shall be on or after the reaccreditation decision and the expiry date shall be based on prior accreditation cycle.

4.12.3 Those nonconformities identified during surveillance or renewal assessment,

which may lead to the suspension or withdrawal of accreditation shall be reported to the Accreditation Review Committee, and actions shall be taken according to the decision of the Accreditation Review Committee based on KAB-A-01.

4.13 Special Assessments If required as guidance or oversight for accredited person CBs, or if a significant violation to the below accreditation requirements or any related information has been found, the CEO of KAB can, when judged to be necessary, conduct a special assessment, partially or fully, of the person CB’s management status and relevant person certification process, without previous notification to the CB. Yet the costs of special assessments are not directed to the CB. - If the qualification evaluation is being made for fields besides the relevant accredited



scope. - If the qualification is granted to those who are deemed nonconforming to the person

certification criteria. - If KAB has requested a self-clarification for 2 or more times for the most recent year

related to person certification activity - If an appeal has been made by an external entity (government, related international

organization, etc.) on the person certification activity of a certain CB or if information on any such aspect has been obtained.

- If any other accreditation criteria has been violated and has been judged that there is significant disruption to the operation of the entire certification scheme.

- 4.14 Confirmation and Promotion of Registered Information KAB periodically renews accredited certification statistics and status of CB/training institutes, and can make such information public through KAB’s official webpage. 5. Reporting by CBs Person CBs shall report their certification activities to KAB in accordance with KAB-A-01. 6. Accreditation Fee Payment and Assessment Man Days Person CBs shall undergo accreditation evaluation according to KAB Accreditation Advisory (KAB-A-01), and pay the relevant accreditation fee. 7. Use of the Accreditation Mark and Promoting Certification Details on use of the accreditation mark and ways to promote certification are subject to KAB Accreditation Advisory (KAB-A-01). 8. Request for Correction, Suspension and Withdrawal of Accreditation When an accredited person CB is not in conformity with accreditation requirements or does not follow the KAB procedures in performing certification activities, KAB shall determine request for sanction (suspension or withdrawal) of accreditation on the CB in accordance



with KAB-A-01. 9. Handling of Complaints and Appeals 9.1 When CBs intend to raise complaints and appeals with regard to the accreditation

schemes of person accreditation work, it shall provide KAB with relevant information and evidences in writing including the subject and details of the complaints or appeals, name of compliant or appellant, contact information.

9.2 Details on procedures or methods to deal with complaints, disputes and appeals are

described in KAB-P-20. 9.3 Handling process



Procedures for Handling Complaints and Apeals

Application Review

Organizing Panel

Investigation

Establishing Countermeasrue

Handling and Resolution

Notification and Conclusion

10. KAB’s Access to Records of Complaints and Appeals Applicant and accredited person CBs shall make available to the KAB, when requested, the records of actions taken in response to all complaints and appeals raised by stakeholders including certified organizations. 11. Annexes

(1) Applicant’s Status and Business Plan



12. Forms

(1) Application Form for Accreditation by Person Certification Body (KAB-G-02-01) (2) Statement of Oath to Comply with Person Accreditation Criteria and Procedures

(KAB-G-02-02) (3) Cross Reference Table with Accreditation Criteria (KAB-G-02-03)



[Annex 1] Applicant Profile and Business Plan

1. Overview of applicant A. Outline of company B. History C. Motives for foundation and expectations of the

business (not for renewals) D. Directions of development of business and future

plan (not for renewals)

2. Organization and Personnel. A. Organizational chart B. Representative and current Management

(including a list of Directors, Certification Scheme Committee members, and list of members preparing examinations, including their affiliations)

C. Current shareholders (including organizations each member belongs to)

D. Status of employees (including person certification auditors) and plan for future recruitment

E. Subcontractor organization/person (including what the subcontracted work is)

F. Records and plans for training (not for renewals) G. List of related body H. Name and duties of the department which has no

direct relationship with department involved in person certification.

3. Schedule for certification activities A. Status of establishment of person certification

type being applied for B. Status of internal audits including

- date, auditors, major findings, etc. C. Status of management review including

- date, participants, review items etc. D. Status of trial person evaluations (not for

renewals) - date, name of company audited, certification scope(s)

E. Schedule (plan) for written examinations and preparing members (for renewals, the performance record for the past 4 years and plan for the next 1 year)

F. (If a committee is in operation for review of qualification,) operation schedule of the committee for the next 1 year

4. Person Certification Plan (person certification performance for renewals) A. Status of certifications in the person certification

type being applied for B. Annual plan for certifications (for renewals, the

performance from initial accreditation until the year of application)

5. Financial plan A. Current state of finance

- Main financial state of recent settlement of accounts - Current state of bank loan - Annual plan for capital increase and loaning

B. Presumption of finance Plan for supply of capital presumed balance sheet presumed statement of profit and loss

C. Future prospect for profit Profit and loss analysis Prospect of profit for the next five years



Application form for Person Certification Body (form A)

Clas

sifica

tion

Initial accreditation Renewal accreditation Scope extension

MS auditor

Weld Quality Technician

Consultant

Technician for Condition monitoring

diagnostics of machines

NDT Technician

Appl

ican

t 1. Corporate Name 2. Business Reg. No.

4. Corporate registration No.

4. Representative 5. BOD of Representative

6. Location 7. Telephone

8. Grounds for Establishment

9. Establishment Objective

10. Establishment year and date

11. Desired scheme or testing

method per accreditation type

Certification type Scheme or testing method

This, as above, is to apply for accreditation as the above certification body accordin to clause 4.2 of KAB Guide on Application for Accreditation 1(KAB-G-02).

Year Month Date

Applicant (Seal or Signature)

To the CEO of Korea Accreditation Board

Required Documents

1. Articles of Association (Initial /Renewal Accreditation)* 2. Applicant profiles and Business Plan (Initial /Renewal) 3. List of auditors and technical experts and related evidence per each management system applied (all) 4. List of management system documents (Quality Manual, procedures and guidance) (Initial/Renewal)* 5. Person certification criteria for each certification type/scheme (or testing method) (initial/renewal) 6. Statement of oath to observe KAB Accreditation Criteria and Procedures (Initial /Renewal)* 7. Cross reference table with accreditation criteria (Initial /Renewal Accreditation)* 8. Other Documents required for accreditation of a certification body (See 4.2.4 of KAB-G-02) Based on the information applied, KAB will read/issue the corporation register The document marked with the * sign can be submitted in electronic form.

KAB-G-02-01 Rev. 2



Address by Location and Work Status (form B)

(page number/ total number of pages) This, as below, is application/assessment document with status of location.

Year Month Date Applicant (Seal or Signature)

Location 1

①Corporate Name ②Business Reg. No. ③Representative ④Resident Reg. No. ⑤Address ⑥Phone ⑦Date Established ⑧Website ⑨Activities ⑩Accreditation MS auditor


Consultant Technician for Condition monitoring diagnostics of machines

NDT technician

⑪Applied Scope(s) of Accreditation

Location 2

①Corporate Name ②Business Reg. No. ③Representative ④Resident Reg. No. ⑤Address ⑥Phone ⑦Date Established ⑧Webpage ⑨Activities ⑩Accreditation MS auditor



NDT technician


Location 3

①Corporate Name ②Business Reg. No ③Representative ④Resident Reg. No ⑤Address ⑥Phone ⑦Date Established ⑧Webpage ⑨Activities

⑩accreditation

MS auditor Weld Quality Technician


NDT technician


[Note] 1. If CB has more than three locations, use another copy. 2. All locations, except the main site(shall be filled out in the form A) included in the scope shall be

complete in this form 3. Especially, the contents of work at locations and fixed offices performing key activities as defined

in 4.2.4(2) of the body of this Guide shall be indicated.

KAB-G-02-01 Rev. 2



Name of certification body:

We hereby pledge to observe the following conditions on KAB accreditation criteria and procedures while we maintain accreditation granted by the Korea Accreditation Board (hereinafter referred to as the “KAB”) located in Seoul, Republic of Korea which performs accreditation functions designated by the Ministry of Commerce, Industry and Energy according to the Article 7 of Quality Management and Industrial Products Safety Control Act, and Article 16 of Environmental Friendly Industrial Structure Promotion Act. We also pledge to willingly accept any measures taken by the KAB in case we violate the following conditions.

1. Conformance with KAB’s Accreditation Criteria and Procedures 1.1 We will observe requirements for Certification bodies defined in Quality Managem

ent and Industrial Products Safety Control Law and Environmental Friendly Industrial Structure Promotion Act. We will observe the accreditation procedures and criteria set by the KAB in accordance with ISO/IEC 17024 as well as regulations by relevant international organizations(IAF, PAC, etc.).

1.2 We agree to require both certified organizations and our management and staff to do their work by complying with the CB’s certification requirements and procedures, as applicable.

2. Provision of Materials, Information and Facilities We agree to provide correct data of certifications on a monthly basis and all information and facilities required by the KAB in operating accreditation programs.

3. Agreement on KAB Accreditation Assessments and Cooperation 3.1 We agree to complete all preparations for accreditation assessments, surveillance,

Statement of Oath to Comply with Accreditation Criteria and Procedures



renewal assessments, and resolution of complaints and allow KAB assessment team to access our documents, records (including internal audit report) and all sites, and interview with our employees, where applicable.

3.2 We agree to accept initial accreditation assessment, surveillance assessment and re-

accreditation assessment to be conducted by KAB, and to cooperate fully as required by KAB. In addition, we agree to accept special surveillance assessment when KAB deems that we have significantly failed to comply with accreditation requirements.

3.3 We agree to allow KAB assessors to access our documents, records and all sites and

have interviews with our employees during special assessment of our organization with the purpose of investigating complaints/appeals raised upon us.

3.4 If we outsource our certification audit process, we agree for KAB to confirm the

competence of individuals and bodies performing outsourced work. In this case, we will ask the outsourced individual or group in advance for their understanding.

4. Scope of Activities 4.1 We agree not to publish unaccredited certificates within the accredited scopes, and will

not misuse or lead to misunderstanding in a way that may damage the reputation of KAB.

4.2 Upon suspension of accreditation, we will never issue, add or re-issue certificates that

use the KAB accreditation mark or include any statements implying that we are accredited by KAB and including initial certification, renewal, addition of certification scheme or testing method, re-issuance of certificates following change of representative or location during the period of suspension.

4.3 Upon withdrawal of accreditation, we agree to stop using accreditation mark of K

AB and all words on accreditation granted by KAB in all documents and advertisements at the time of marketing and certification activities, to delete immediately all words on accreditation granted by KAB from all related materials, publications, books, marketing materials and periodicals, and to return to KAB, when requested, all accreditation documents including accreditation certificates. We also agree to provide information on accreditation withdrawal and its result to the clients.



4.4 We agree not to misuse or mislead the use of accreditation documents, mark, report or

any related part of them. 4.5 We agree to observe KAB requirements when we mention accreditation status in our

documents, advertising materials, publications, etc. 5. Reporting by CB

We agree to diligently report to KAB of the items needed to be reported as defined in KAB Accreditation Advisory (1) KAB Criteria (KAB-A-01) within the defined timeframe.

6. Payment of Accreditation Fees

We agree to pay all accreditation fees by the deadlines, as required by the KAB, according to the KAB-A-01 regardless of the result of accreditation assessment. We also agree that KAB reviews, every two years, our documents and/or records made or maintained by us in order for KAB to verify the correctness of amount of the accreditation fees of us.

7. Report of Complaints and Appeals

We agree to record the measures we took for all future disputes, complaints, and appeals including the complaints already made by interested parties on our certification work, and to submit yearly records to KAB at the end of every year.

8. Confidentiality We agree to keep confidentiality to all information related to certification that we can acquire from applicants for qualification or registered persons..

9. Limitations of Responsibilities 9.1 We agree to maintain adequate arrangements, such as insurance, to cover liabilities

arising from our operations and/or activities for the indemnification or compensation for the interested parties including KAB or certified organizations.

9.2 We will not be responsible for the expenditures on any losses or damages of KAB

occurred in the process of our activities that have been carried out in accordance with our provisions under the approval of KAB. Exception to this remains in the case where the loss, damages or other causes are due to our deliberations.



9.3 We agree that we will not require KAB of any responsibility for the expenditure on any

losses or damages of our body occurred by KAB in the process of the accreditation activities that have been carried out in accordance with related rules and laws. Exception to this remains in the case where the losses, damages or other causes are due to deliberations of KAB.

10. Recognition of Rights

We recognize that we are granted the following rights by KAB during the period for which accreditation is valid by being accredited and signing this Statement of Oath.

10.1 Right to operate person certification within the scope(s) accredited by KAB according

to KAB’s accreditation criteria. 10.2 Right to raise complaints, disputes and appeals if we have different views against the

decisions, procedures, or general administrative works done by KAB for accreditation, according to applicable KAB procedure, i.e. “Complaints, Disputes and Appeals (KAB-P-20)”.

10.3 Right to use the accreditation certificate and accreditation mark within accredited

scopes in accordance with applicable KAB Accreditation Advisory, KAB-A-01 10.4 Right to request KAB to provide information on accreditation and certification within the

extent not to infringe interested parties’ interests. 10.5 Right to be protected by KAB against our right within the extent not to infringe

interested parties’ interests.

Year Month Date :

Name of the Representative : Signature : Address:



To the CEO of KAB KAB-G-01-03 Rev.3



Cross Reference Table with Accreditation Criteria

Initial accreditation Re-accreditation Others ( )

MS Auditor


Consultant

Technician for Condition monitoring

diagnostics of machines

NDT technician

Accreditation criteria

Document No. of the applicant

Main Findings/Follow-up Findings Results Actions taken

1st 2nd

Notes Results: C=Compliance, N=Nonconformity, R=Recommendations for

Improvements( rooms for improvement), PD=Pending, NA=Not Applicable KAB-G-02-03 Rev. 3



Additional Clause

1. This guide enters into force from the date Korea Accreditation Board (KAB) is designated by Korean Agency for Technology and standards (KATS)

Additional Clause

1. This guide enters into force from the official announcement date.

Additional Clause <Notice No. 2014-64, November 6, 2014>

1. This document enters into force from November 6, 2014.

Additional Clause <Notice No. 2014-82, December 29, 2014> 1. This document enters into force from January 1, 2015. 2. The change in accreditation cycle applies to CBs approved for initial or renewal accreditation after the implementation of this document.

Additional Clause <Notice No. 2015-30, April 15, 2015> 1. This document enters into force from April 15, 2015.

Additional Clause <Notice No. 2015-59, September 3, 2015> 1. This document enters into force from September 3, 2015.

Additional Clause <Notice No. 2016-18, April 28, 2016>

1. This guide enters into effect beginning from April 28, 2016.

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