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KOREA ACCREDITATION BOARD KAB Accreditation Advisory (1) : KAB Criteria Document No.: KAB-A-01 Issue No.: 7 Issue Date: April 26, 2016

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  • KOREA ACCREDITATION BOARD

    KAB Accreditation Advisory (1) : KAB Criteria

    Document No.: KAB-A-01

    Issue No.: 7

    Issue Date: April 26, 2016

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    KAB Accreditation Advisory (1) : KAB Criteria KAB-A-01

    Contents

    1. Impartiality and Prevention of Conflict of Interests between Consulting and Certification

    2. Report of CB

    3. Accreditation fees and Assessment Man days

    4. Use of Accreditation Mark

    5. Sanctions

    [Annex]

    A. Assessment Man days and Accreditation Fee Schedule (for management system CBs)

    B. Assessment Man days and Accreditation Fee Schedule (for Person CBs)

    [Forms]

    1. Certification Body Changes Report (KAB-A-01-01)

    2 Certification Suspension/Reduction Application form (KAB-A-01-02)

    3. Details of Revenue Breakdown for KAB Scheme Certification Business (KAB-A-01-03)

    4. Agreement for Usage of IAF MLA Mark (KAB-A-04)

    5. Annual Performance Indicators for Management System Certification Bodies (KAB-A-01-05)

    [Additional clause]

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    Foreword

    1. This guide prepared by KAB to supplement requirements for bodies that provide audits and certification services provides details necessary for KABs accreditation activities in accordance with ISO/IEC 17011 (Conformity assessment -- General requirements for accreditation bodies accrediting conformity assessment bodies) and IAF documents.

    2. Certification bodies that wish to be accredited by KAB or maintain accreditation shall comply with the following criteria as well as the applicable accreditation criteria based on ISO/IEC 17021(Conformity assessment -- Requirements for bodies providing audit and certification of management systems), ISO/IEC 17021-1 or ISO/IEC 17024 (Conformity assessment -- General requirements for bodies operating certification of persons):

    KAB Accreditation Advisory (1) : KAB Criteria (KAB-A-01)

    KAB Accreditation Advisory (2) : IAF Criteria (KAB-A-02)

    3. The term shall is used throughout this document are mandatory. Although not mandatory, the term should is used to indicate recognized means of meeting the requirements of Mandatory documents set out by IAF.

    4. If a certification body does not follow the criteria developed by KAB or IAF exactly, it may obtain or maintain accreditation only when it can justify its measures satisfy the intention of the criteria. This criterion can be revised anytime as international standards or IAFs criteria are revised.

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    1. Impartiality and Prevention of Conflict of Interests between Consulting and

    Certification

    1.1 Conflict of interests between consulting and certification 1.1.1 The following shall be considered a conflict of interests where the impartiality in certification is undermined or not secured:

    (1) When a CB gives a specific advice or training directly or indirectly toward development and implementation of management system to a potential client or certified organization. Such activities shall be considered as a consulting, regardless of the venues such as premises owned by organization or CB or a third place. Mostly any activity performed upon request or suggestion by organization or was actively marketed by a CB for eventual certification may be perceived as a conflict of interests.

    (2) When a CB in connection with a consulting body gives a certification and consulting directly or indirectly to a potential client or certified organization as follows:

    A CB has contracted with a consulting body for providing an organization

    with a consulting and certification simultaneously

    A CB provides a consulting body with money and gifts or was provided those

    by a consulting body on condition that it recommends or introduces the

    consulting body to an organization.

    A CB suggests to an organization that certification would be simpler, easier

    or less expensive if any specified consulting body was used.

    (3) When a CB exercises an influence on a client to use its certification service while offering other services other than certification, such as mandatory certification scheme to the client, or it exercises an influence on a client to use its other services such as testing or inspection while providing certification service to the client.

    (4) When a CB forces its auditors or consultants to market its certification to a client in return for providing them with unfair advantages or benefits such as money and gifts or increase in assignment of audit days without audit performance evaluation.

    (5) When a CB forces the audit team to reduce number of nonconformities or perform a

    favorable audit to the organization to which it marketed certification.

    1.1.2 Scope of conflict of interests

    Giving a specific advice on development of an organizations management system, regardless of the fields such as ISO 9001, ISO 14001, OHSMS, TL 9000, GMS, ISMS, FSMS etc shall be considered as conflict of interests. Accordingly, consultancy on

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    finance and on KS certification, 100PPM and CE mark including development of management system, and other advice, training and teaching activities toward the development or improvement of management system shall be perceived as a conflict of interests.

    1.2 Employment of and conflict of interests by auditors and consultants

    1.2.1 CB, employees of the CB (including full and part time, permanent and non-permanent)

    and any subcontracted person (or organization) with the CB for certification services

    (audit, administration, verification etc) shall not give any advice or consulting during in

    office or contract period.

    1.2.2 In particular, CB shall require the subcontracted person (or body) to comply with the

    relevant provision on prohibition of consulting and conflict of interests in the accreditation

    criteria and this advisory. Therefore, a consultant who is employed or sub-contracted to a

    certification body for certification services (audit or administrative activities) shall not be

    engaged in consultancy for the contracted period. CB shall have a procedure and

    mechanism to identify the consultants previous, present or future engagement in

    consultancy, and manage to eliminate conflict of interests with certification.

    1.2.3 An auditor contracted to a CB exclusively whose purpose is to obtain or maintain

    accreditation in specific scope(s) by the contract shall not contract with other CB

    seeking for the same purpose. An auditor qualified for two or more management

    systems may contract with one CB of the all management systems. In this case, the

    auditor shall not contract with other CB seeking for obtaining or maintaining

    accreditation of one or more management systems by the contract.

    1.2.4 Employees of, or contracted persons with a CB exclusively may contract with other

    CBs for conducting audit in part-time with the consent of the CB.

    1.2.5 Prohibition of consultancy by auditors and connection/package deal/simultaneous

    advertisement of consulting and certification : Consulting body and auditors acting as

    consultant shall not conduct an audit if they have been involved in any consultancy activities

    towards the organization in question, advertise or recommend a specific CB or related CB,

    and suggest that certification would be easier if any specific consultancy was used. When

    employed or subcontracted auditor or consulting body to which the auditor belongs is

    involved in such activities, CB shall take an appropriate action of the auditor or consulting

    body. If the CB has not taken the action, it shall be considered as nonconformity.

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    Type of contract

    Contract for

    audit in part-

    time with other

    CBs

    Consultancy

    during the

    contract period for

    certification

    activities

    Possible period

    for consultancy Remarks

    Employees

    of CB

    Regular

    employees

    (Permanent

    position)

    Allowed Not allowed After retirement

    Operation of, or involvement

    in the activities of consulting

    body to be considered as

    conflict of interests

    Non-

    regular

    employees

    (Temporary

    position,

    e.g. part-

    timer)

    Allowed Not allowed

    After expiration

    of contract for

    employment

    Operation of, or involvement

    in the activities of consulting

    body during the contract

    period to be considered as

    conflict of interests

    Sub-contracted person or

    body(e.g. sub-contracting of

    audit or verification)

    Allowed Not allowed

    After expiration

    of contract for

    sub-contracting

    Operation of, or involvement

    in the activities of consulting

    body during the contract

    period to be considered as

    conflict of interests

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    2. Report of CB

    2.1. Management Certification Body

    2.1.1 The CB inputs records including initial certifications, surveillances, re-certifications,

    suspensions, withdrawals etc. into the website of ISO Certification Information

    Network (ICIS, http://is.icin.or.kr) built to systematically manage status of CBs

    accredited by KAB in real-time

    2.1.2 In case of following changes, the CB shall report to KAB within 1 month in

    Certification Body Changes Report(KAB-A-01-01). KAB may perform special follow-

    up assessment when it determines that such changes have a significant influence on

    the operation of the CB. If changes are applicable to Procedure for Issuance of

    accreditation certificates of CBs and notification(KAB-P-18), changes announce

    according to procedure concerned.

    Legal status

    Proprietors, directors, and stock holders

    Significant policy and procedures (including certification fees and audit days)

    Name or address of a CB

    The changes of to to sites or critical locations where activities set out in the

    KAB Guide on Application for Accreditation I (KAB-G-01, 4.2.4(2)) are performed

    The country where the fixed office locations performing certification activities are

    located and remote personnel are employed, in accordance with the KAB

    Accreditation Advisory(KAB-A-02, 9)

    When the relationships between a CB and its foreign entities and subsidiaries are

    newly generated or changed as exemplified in the KAB Accreditation

    Advisory(KAB-A-02, Annex D)

    2.1.3 When a CB intends to probate or terminate parts or overall of its certification services

    due to failure to have qualified auditors, it shall request KAB at least within one

    month after the reasons for such suspension or reduction take place. KAB may

    perform special follow-up assessment when it determines that the reported changes

    have a significant influence on the operation of the CB.

    2.1.4 If a CB wishes to return the whole accreditation, The CB complete and submit

    certification suspension/reduction form (KAB-A-01-02) and shall pay unsettled fee in

    full

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    2.1.5 KAB shall maintain the latest CBs information including changed CB name and

    location, suspended, and reduced etc, scope of certification on KABs Homepage.

    2.1.6 Upon request, a CB shall submit immediately to KAB information and materials

    including documents relevant to certification activities, especially the contents, plans

    to handling, and the results of measures taken of complaints, disputes and appeals it

    received from interested parties.

    2.2. Personnel Certification Body 2.2.1 Personnel certification bodies shall report the following to KAB by the 10th of the following month on a quarterly basis.

    Personnel

    Certification

    Type

    Personnel

    Certification

    Scheme

    The Number of Certified Personnel

    Remarks Number of newly

    certified personnel

    Accumulated

    number of certified

    personnel

    Auditor

    QMS

    EMS

    ......

    NDT technical

    expert N/A

    ......

    Number of newly certified personnel: The number of newly certified personnel and the number of certified personnel by the grade.

    Accumulated number of certified personnel: The accumulated number of certified personnel and the number of certified personnel by the grade.

    Remarks: Any other special points.

    2.2.2 In case of the following changes, the personnel CB shall report to KAB within 1

    month in Certification Body Changes Report (KAB-A-01-01). KAB may perform

    special follow-up assessment when it determines that such changes have a

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    significant influence on the operation of the personnel CB. If changes are applicable

    to Procedure for Issuance of accreditation certificates of CBs and notification(KAB-P-

    18), changes announce according to procedure concerned.

    Legal status

    Proprietors, senior managements and stock holders

    Significant policy and procedures (including certification fee and audit day)

    Name or address of CB

    Extending and reducing business (e.g. national or international branch)

    2.2.3 When a personnel CB intends to probate or terminate parts or overall of its

    certification services due to failure to have qualified auditors, it shall request KAB in

    certification suspension/reduction form (KAB-A-01-02) at least within one month after

    the reasons for such suspension or reduction take place. KAB may perform special

    follow-up assessment when it determines that the reported changes have a

    significant influence on the operation of the CB.

    2.2.4 If a CB wishes to return the whole personnel certification accreditation, it shall

    complete and submit certification suspension/reduction form (KAB-A-01-02) and shall

    pay unsettled fee in full.

    2.2.5 KAB shall maintain the latest personnel CBs information including changed CB

    name and location, suspended, and reduced etc, scope of certification on KABs

    Homepage.

    2.2.6 Upon request, a personnel CB shall submit immediately to KAB information and

    materials including documents relevant to certification activities, especially the

    contents, plans to handling, and the results of measures taken of complaints,

    disputes and appeals it received from interested parties.

    2.3 Forms (1) Certification Body Changes Report (KAB-A-01-01) (2) Certification Suspension/Reduction Form (KAB-A-01-02) (3) Annual Performance Indicator for Management System Certification Bodies (KAB-A-

    01-05)

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    3. Accreditation fees and Assessment Man days

    3.1 CB shall pay the annual maintenance fee and assessment fee within a due date for

    obtaining and maintaining accreditation.

    (1) Accreditation Fees is the Accreditation assessment fee and accreditation fee.

    (2) The due date is as follows:

    Initial accreditation fee and scope extension fee : the time of submitting an

    application form (the application fee is not required in the case of re-

    accreditation for the same management system)

    Assessment fee (including assessment fee, supplementary expenses for an

    assessment and administrative fee), initial & re-newel registration fee and other

    fee: until the last day of the month, following the month when a tax invoice has

    been issued.

    Annual maintenance fee : shall comply with sub-clause (5) of this section

    (3) Estimation criteria of annual maintenance fee of CB.

    Initial accreditation: The bigger one may be chosen between 2.0% of Annual

    Revenue from the accreditation date to 31 December of the year) and the

    lowest maintenance fee counted by allocation of dates from the date of initial

    accreditation to December 31 the same year.

    From the following years: 2.0% of Annual Revenue of the year from 1 January

    to 31 December(but, if counted annual maintenance fee is under 5,000,000

    won, annual maintenance fee may be 5,000,000 won.)

    In case of multi-accreditation used other accreditation bodys mark in addition

    to KABs, the total revenue covers relevant revenue for each accredited

    certification activity.

    The date of issuing the invoice to its client is regarded as the first date of

    making revenue. Although the followings may be excluded from the revenue,

    evidences shall be submitted to KAB upon request.

    The other business which is not accredited

    The fee of transportation, accommodation and other expense related to

    transfer paid by their clients.

    The cost spent for manufacturing name boards supplied to their clients.

    FCL revenues

    Amount receivable shall not be excluded in the total revenue of certification

    activity.

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    (4) A Management System CB shall submit the report of business results and total

    revenue of the year including the copy of the financial statement (draft is available)

    and the declaration of VAT to the CEO of KAB by April 10 of the year.

    (5) The accreditation maintenance fee for a management system CB and a Person CB

    shall be paid as the following:

    50 percent of the levy of the maintenance fee made in the previous year : shall

    be paid by the end of June

    Amount exempted 1 from the levy of the accreditation maintenance fee

    calculated by A.1.3 of Annex A and B.1.3 of Annex B.

    (6) Criteria for Calculation of Accreditation Maintenance Fee for return of full

    certification works

    Management System CBs: 2.0 percent of the total turnover for the period

    between Jan. 1st of the year in question and the date of its return

    Person CBs: The prorated amount of the annual accreditation fee, based on the

    date of the return of its certification work in accordance with the Annex B

    *Note: The date of the return of certification works refers to the date when KAB

    reviews and accepts the applications and supplementary materials submitted by

    a CB in accordance with clause 2.1.4 and 2.2.4

    3.2 In case a certification body is unable to pay accreditation fee in cash within a defined

    timeframe, then it shall specify the reason and future payment date before the current

    due date expires and request the CEO of KAB for a deferment of payment. A grace

    period can be requested up to 3 months and late fees will be additionally charged

    during the grace period. However, deferment of payment is not applicable to

    accreditation fees under 5 million won.

    3.3 If a CB doesnt pay accreditation fee in the due period or requests grace of payment,

    KAB may take one of the following actions after reviewing the reason and the grace

    period.

    Stop the accreditation process which is on-going

    Accepting the grace period

    Actions subject to Section 5 of this document (KAB-A-01), Sanction Guide

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    3.4 In case a CB delays payment of its accreditation fee, the CEO of KAB can charge

    arrears for delayed payment to cover the loss in its operation of accreditation business.

    The estimation method of arrears rate and cots are as follows;

    Rate of overdue: 2.0% per year

    Criteria for calculation of the delayed days (counted by allocation of dates)

    - Maintenance fee: Number of days, from the day that elapsed the due date to the

    date of payment.

    - Assessment fee (including application fee, registration fee, assessment fee,

    business traveling fee, etc.): From the first day of the second month after the tax

    invoice was issued, to the date of payment.

    Estimating method

    - paid moneyrate of arrearsnumber of delayed days/365(D)

    3.5 After KAB receives a request from the CB to postpone the payment, the CEO of KAB

    shall review and notify the relevant CB in writing of whether or not the deferment

    request has been approved and when the final grace period will expire, along with the

    amount of arrears to be paid. If the CB fails to pay in cash all outstanding fees and

    expenses along with the arrears as defined by 3.4 by the final due date, and in so

    doing resulting in a decision by KAB to suspend its accreditation, then the CB shall no

    longer issue any certificates accredited by KAB.

    3.6 Appendix

    (1) Assessment Man days and Accreditation Fee Schedule (For Management System

    CBs)

    (2) Assessment Man days and Accreditation Fee Schedule (For Personnel Certification

    Bodies)

    3.7 Form

    (1) Business Performance and Revenue Report for the Year xxxx (KAB-A-01-03)

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    4. Use of Accreditation Mark

    4.1 Types of the marks

    4.1.1 KAB accreditation mark shall be used in combination with remarks indicating

    accredited scheme abbreviation and number, as shown in Figure 1.

    KAB-XX-OO

    Accredited Scheme Abbreviation

    QMS QC

    TL 9000 TL

    EMS EC

    GMS GC

    FSMS FC

    FSSC 22000 FS

    ISMS IC

    OHSMS OC

    EnMS EN

    RTSMS RC

    FMS FM

    BCMS BC

    Person PC

    < Color Rules >

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    4.1.2 Accreditation mark under the GMS CB Accreditation Criteria (KAB-X-XX), GMS CB is indicated at the

    Figure 2.

    4.2 Use of the mark

    CB shall establish the procedure for, and control the use of the mark and its mark (CB mark

    hereinafter).

    4.2.1 Use of the mark and Restriction of Certification Promotion

    (1) The mark may be magnified or reduced, but the ratio shall be sustained, and the

    minimum width and height shall be larger than 15mm and 10mm.

    (2) The color of the mark shall follow 4.1.1 color rules, but it may be reproduced in

    black and white when inevitable.

    (3) The accreditation mark shall not appear alone and may be used within the

    accredited scopes and the term of validity. Upon withdrawal or reduction of the

    scopes, CB shall cease to display the accreditation mark for the scopes concerned.

    (4) KAB logo shall not be used on a non-accredited certificate (certificate of ones own),

    and it is not allowed to use a wording on such a certificate that may mislead clients

    to believe that the certificate is accredited by KAB.

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    (5) CB shall include the accreditation mark or statements of accreditation on its

    accredited management systems certificates or personnel certificates, in with the

    statement of accreditation shall be as follows:

    [CB name] is accredited by Korea Accreditation Board (KAB) as a [certification

    activity] certification body (Accreditation number: KAB-XX-OO).

    (6) Accreditation mark shall be used with CB mark and Accreditation mark may locate

    on the right or left side of CB but no particular limitations may be placed on the

    location of GMS mark

    Bilateral symmetry type

    CB logo

    KAB-XX-OO

    (MS or Personnel Certification)

    Up-down symmetry type

    CB logo

    KAB-XX-OO

    (MS or Personnel Certification)

    (7) The accreditation and certification mark may be used on promotion materials but

    shall not be displayed on a product or individual package which consumers directly

    contacts. For details are as follows:

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    Possible use of accreditation and certification mark

    - Product packaging : over-package for safety of product or transportation of

    products

    - On advertisement or publicity materials: name plate of certified organization,

    business card, training materials of CBs, stationery, brochure, document,

    invoice, certification certificate and certificate of completion.

    Restrictions on the use of accreditation and certification mark

    - On product or individual package: a minimum item for transportation and

    individual package which cannot be distributed with the product alone such

    as cigarette pack, canned goods or beverages.

    - On samples traded or statement of conformity of products

    - On flags, building or vehicles

    4.2.2 Restriction and Promotion of Certification Mark

    (1) Certified organization may promote its certification by displaying the accreditation

    mark, name of CB, certification standard, certification number on the document,

    invoice, advertisements

    (2) Certified organization shall not use the accreditation mark, name of CB,

    certification standard, certification number on its products, and in a way that may

    confuse the readers about the certification

    (3) CBs may use the accreditation mark on the their quality manual, procedures or

    instruction documents, training materials, certificates of completion to promote

    their accreditation..

    (4) CB shall notify the certified organizations that they can use the accreditation mark

    and promote they have been certified from the date of issuance of the certificate.

    (5) CB shall require the certified organizations to comply with the Guidelines on

    Indication and Advertisement of Awards and Certification according to the Article 3

    of the Law on Monopoly Regulation and Fair Transaction and its Enforcement

    Decree.

    (6) The misuse of the accreditation and certification mark may lead to the withdrawal

    of certification. CB shall take appropriate measures including corrective actions,

    withdrawal of the certificates and notifications for correction when it found that

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    certified organizations misused the accreditation mark on their advertisements,

    catalogue etc.

    (7) When an organization falsely claims certification and uses the accreditation mark,

    it shall be punished subject to the Attachment on the payment of penalty the Law

    on Monopoly Regulation and Fair Transaction and its Enforcement Decree, which

    shall be notified to the KAB. In addition, CB shall register its logos in the relevant

    regulatory authority for protection.

    4.3 Use of MLA Words

    In consistent with the objectives of IAF to facilitate world trade by working to remove

    technical barriers that may flow from demands for specific certification of management

    systems, products service, personnel and other programs of conformity assessment, KAB

    has joined the IAF MLA for QMS. KAB, as a signatory member of IAF MLA, may

    authorize its accredited certification bodies to use IAF MLA mark and MLA words as

    bellows.

    4.3.1 Use of IAF MLA Mark

    4.3.1.1 IAF MLA Mark

    4.3.1.2 The IAF MLA mark shall be used only for accreditation schemes that KAB signed

    for IAF MLA, and only after signing agreement on use of IAF MLA mark with

    KAB.

    4.3.1.3 CBs shall only use the IAF MLA mark in conjunction with KAB accreditation mark

    (hereinafter referred to as combined mark), and under no circumstances shall

    not use IAF MLA mark on its own.

    4.3.1.4 Certified organizations shall not use the combined mark.

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    4.3.1.5 The combined mark may be used on accredited certificates, letterheads,

    quotation for work, advertisements or website, but shall not be used on or in

    conjunction with products.

    4.3.1.6 CB shall not use the combined mark in a manner as to imply that IAF accepts

    responsibility for activities carried out under the scope of accreditation.

    4.3.1.7 When IAF withdraws the right to use the IAF MLA mark from KAB, CBs shall stop

    use of the combined mark.

    4.3.1.8 CB shall only use the combined mark together with accreditation number. (Example)

    KAB-XX-OO

    4.3.1.9 CB shall apply for making an agreement with KAB about using the combined

    mark (Form: KAB-A-01-04)

    4.3.2 IAF MLA Statement

    4.3.2.1 Only those CBs accredited by KAB for accredited schemes that KAB signed IAF

    MLA are allowed to use the IAF MLA statement.

    4.3.2.2 CBs are allowed to use the MLA words in the accredited certificate.

    4.3.2.3 When IAF withdraws the right to use the IAF MLA mark from KAB, CBs shall stop

    use of the combined mark.

    4.4 Form

    (1) Agreement for the use of IAF MLA Mark (KAB-A-01-04)

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    5. Sanctions

    5.1. Type of Sanctions There are three type of sanction on accreditation, which include suspending, withdrawing, and warning, and the criteria for each are as stated in 5.3.2 5.2 Process

    (1) KAB shall bring in the agenda to the Accreditation Review Committee when any particular sanction matters occur to the CB and the authority shall be punished according to the official decision made by the committee.

    (2) KAB shall grant the CB subject to sanction an opportunity to explain its views on the decision with its presence in the Accreditation Review Committee. Without unavoidable circumstances, KAB shall notify the authority of the decision a week before the opening of the committee.

    (3) When the Accreditation Review Committee makes an official decision on sanction, KAB shall announce and notify the result to the certification body in order to permit the authority to have three weeks of appeal period.

    (4) If the CB does not raise any appeal during the specified period, it shall be officially suspended or deprived of its rights after the appeal period is over, and KAB shall inform the facts to the agency.

    (5) When any appeal is raised, it shall be dealt with according to the requirement in the Procedures for Handling Complaints and Appeals(KAB-P-20). (6) When a certification was imposed upon accreditation sanction, KAB shall conduct a follow-up assessment on corrective actions within six months from the sanction.

    5.3 Conditions 5.3.1 General Conditions

    (1) The effect of the disposition to certification bodies are as follows:

    a. Withdrawal of accreditation: The CB shall return its certificate. After losing its accreditation, they shall not use the accreditation mark of KAB and stop quoting it as a KAB accredited authority by any means and doing advertisements, public relations, or promotion activities.

    b. Suspension of accreditation: During the suspended period, the CB shall neither issue any KAB accredited certificate nor provide certification audits except surveillance audit.

    c. Warning: In case the CB has a first warning on the disposition, its scope of accreditation granted by KAB shall remain effective.

    (2) The suspension period shall observe the decision made by the Accreditation Review Committee (ARC) but it shall not exceed three months to the maximum.

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    The period is still valid even after the correction of the nonconformity is completed within the suspension period. If there is no justification of failure to implement appropriate corrective actions or satisfy corrective conditions decided by the ARC within the specified period, it shall lead to the withdrawal of accreditation.

    (3) Sanction to the CB shall be equally applied to all the management systems or accreditation of person certifications, which KAB has accredited.

    (4) In case of more than two of violations, sanction shall be imposed upon each offense.

    (5) The criteria imposed on the number of times of violations shall be applied when the certification body has been disposed with the same regulations in two years. However, regardless of such a condition, if it has been given a suspension of more than one month period more than twice a year, it shall be deprived of its accreditation.

    (6) When the CB comes under the criteria of sanction of the clause 5.3.2 and voluntarily requests for withdrawal, or has been withdrawn its accreditation according to the clause 5.3.2, it shall not apply for an accreditation within one year from the date of the withdrawn, having one of the following conditions:

    same name as the organization that was withdrawn;

    same CEO;

    more than 1/3 of the same members of board of directors;

    more than 1/3 of the same stockholders;

    (7) If certification proves to be fraudulent from the review of QMS and EMS certification status reports made in accordance with the Quality Management and Safety control of Industrial Products Acts, the relevant certification body shall decide as per its documented procedures whether to withdraw the certification in question and/or to conduct a reassessment on the certified client and further report its decision to KAB, and it shall not invoice the certified client for any fees and expenses associated with such reassessment, etc., such as assessment fees.

    5.3.2 Individual Sanction Process

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    (1) Individual Criteria for Sanctions for Management System Certification Bodies

    Types of Violations Sanctions Criteria

    For first violation For second

    violation For third violation

    For fourth violation

    In case of having been accredited or maintaining an accreditation by lying or by other unlawful means else..

    Accreditation shall be withdrawn

    - - -

    In case the CB fails to implement corrective measures during the suspended period without a valid excuse.

    - - -

    In case the CB continually carries out the primary, follow-up, or re assessments for certification or issues certificates marked with KAB logos and accreditation marks.

    - - -

    In case the CB falsely records, maintains and manages documentation as if an actual evaluation has been done.

    - - -

    In case the CB fails to guarantee fairness and independency of the organization and the management.

    Accreditation shall be suspended for more than one month but less than three months

    Accreditation shall be suspended for more than one month but less than three months

    Accreditation shall be withdrawn

    -

    In case the CB issues a certificate in an area beyond its range of KAB's approval.

    In case when the staff examiner gives an assessment to the company that had sought his/her consultation services.

    In case the CB gives KAB a false report, or whitewashes or fiddles part of the report on its request of explanation.

    In case when an invalid certificate is transferred to the CB in question

    In case when the CB grants a certificate when the applicant is unfit for the certification criteria in its implementation of organization, management and performance.

    Accreditation shall be suspended for less than one month

    Accreditation shall be suspended for more than one month but less than three months

    Accreditation shall be suspended for more than one month but less than three months

    Accreditation shall be withdrawn

    In the case of false writing, maintaining and managing documentation other than the condition specified in the part

    .

    In the case of violation of the regulation on prohibiting consulting of examiners and staffs of the certification body except for the condition specified in the

    part .

    In case the CB refuses or interrupts the AB's instruction or supervision, or the special examination of Korean Agency for Technology and Standards (KATS) without a valid reason.

    Types of Violations Sanctions Criteria

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    For first violation

    For second violation

    For third violation

    For fourth violation

    In case the CB organizes an assessment team and executes an examination in violation of the requirements.

    Warning shall be issued

    Accreditation shall be suspended for less than one month

    Accreditation shall be suspended for more than one month but less than three months

    Accreditation shall be withdrawn

    In case the CB fails to complete the corrective measures within the time limit after having been requested by KAB, other than the conditions specified in

    the parts ~14 .

    16 In case the CB fails to perform the financial duties for KAB.

    17

    In case the CB fails to feed all of the information on its certification records in conformity with the KAB Application Guide for Accreditation - Reports of certification bodies (KAB-A-04).

    18

    Even after 4 , 5 , 6 , 7 , 9 , 11 , and

    12 , if CB sincerely controlled in order not to happen these violations, and also if violations are not intentional.

    19

    Post-certification status report, if the number of proven cases of fraudulent certification multiplied by the number of auditors used is less than 3.

    Accreditation shall be suspended for less than one month

    Accreditation shall be suspended for more than one month but less than three months

    Accreditation shall be suspended for three months

    Accreditation shall be withdrawn

    20

    Post-certification status report, if the number of proven cases of fraudulent certification multiplied by the number of auditors used is between 4 and 6.

    Accreditation shall be suspended for more than one month but less than three months

    Accreditation shall be suspended for three months

    Accreditation shall be withdrawn

    -

    21

    Post-certification status report, if the number of proven cases of fraudulent certification multiplied by the number of auditors used more than 7.

    Accreditation shall be suspended for three months

    Accreditation shall be withdrawn

    - -

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    (2) Individual Criteria for Sanctions for Person Certification Bodies

    Types of Violations Sanctions Criteria

    For first violation For second

    violation For third violation

    For fourth violation

    In case of having been accredited or maintaining an accreditation by lying or by other unlawful means else.

    Accreditation shall be

    withdrawn - - -

    In the case of failure to implement corrective measures within the suspended period without a valid excuse.

    In case of continually carrying out the initial, follow-up, or reassessments for certification or issuing certificates marked with KAB logos and accreditation marks.

    In case of false writing, maintaining and managing the assessment records of applicants or certified parties.

    In case the CB perceives the examiner who has been certified by it has falsely done an assessment of a management system accreditation, and fails to deal with the same.

    In case the CB fails to guarantee fairness and independency in its organizational structure and management.

    Accreditation shall be

    suspended for more than one month but less

    than three months

    Accreditation shall be

    suspended for more than one month but less

    than three months

    Accreditation shall be

    withdrawn -

    In case the CB issues a certificate in an area beyond the range of KAB's approval.

    In case the certification body gives KAB a false report, or whitewashes or fiddles part of the report on its request of explanation.

    In case the certification body gives a certificate when the examinee is unfit for the relevant qualification criteria for assessment.

    Accreditation shall be

    suspended for less than one

    month

    Accreditation shall be

    suspended for more than one month but less

    than three months

    Accreditation shall be

    suspended for more than one month

    but less than three months

    Accreditation shall be

    withdrawn

    In the case of false writing, maintaining and managing documentation other than

    the condition specified in the part

    In case the certification body perceives the examiner who has been certified by it has violated the disposition criteria and fails to deal with the same.

    In case the CB refuses or interrupts the KAB's instruction or supervision, or the special surveillance of Korean Agency for Technology and Standards (KATS) without a valid reason.

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    Types of Violations Sanctions Criteria

    For first violation For second

    violation For third violation

    For fourth violation

    In case the certification body fails to perform its financial duties to KAB.

    Warning shall be issued

    Accreditation shall be

    suspended for less than one

    month

    Accreditation shall be

    suspended for more than one month

    but less than three months

    Accreditation shall be withdrawn

    In case the CB fails to complete the

    corrective measures within the time limit

    after having been requested by KAB

    other than the conditions specified in the

    parts ~

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    [Annex A]

    Assessment Man days and Accreditation Fee Schedule

    (For management system CBs)

    A.1 Accreditation assessment fee and fee structure

    A.1.1 Initial Accreditation, Surveillance, Reaccreditation & Other assessment

    (1) Application fee (limited to initial assessment)

    - 3,000,000 Won for each MS (excluding 10% VAT)

    For newly adopted certification schemes, application fee and initial registration fee

    for applying certification bodies are exempt.

    (2) Assessment fee: 800,000 won per 1 Man day/person (excluding 10% VAT)

    The assessment fee for the first office assessment conducted within 6 months after

    initial accreditation is exempt.

    (3) Supplementary expenses for assessment (transportation, accommodation and other

    expense related to transfer): subject to the regulation of the KAB for business

    traveling

    (4) Administrative fee: 10 % of total assessment fee (excluding 10% VAT)

    A.1.2 Extension to Scope

    (1) Application fee: 700,000 won for each scope (excluding 10% VAT)

    If the sum of application fee exceeds the initial application fee, the maximum

    3,000,000 KRW (excluding 10% VAT) will be charged.

    For office extension, application fee is exempt.

    If a CB applies for extension of the same scope for more than one food safety

    related schemes, application fee is charged only for one of them.

    (2) Assessment fee: 800,000 won per Man day/person) (excluding 10% VAT)

    (3) Supplementary expenses for assessment (transportation, accommodation and other

    expense related to transfer) : comply with the regulation of the KAB for business

    traveling

    (4) Administrative fee: 10 % of total assessment fee (excluding 10% VAT)

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    A.1.3 Registration and Maintenance fee

    (1) Registration fee for initial/re-accreditation: 4,000,000 won for each Management

    System (excluding 10% VAT)

    When re-accreditation of a sector-scheme such as TL 9000 and etc is carried out within 4

    years for the adjustment with that of ISO 9001, the fee for the sector-scheme will be

    calculated based on the period (month) of being accredited.

    ex) When TL 9000 re-accreditation is performed in 15 months after initial accreditation

    the fee is: 4,000,000 won x 15/48months + 10% VAT

    When the renewal of some management systems takes place earlier than the original

    cycle in order to unify the CBs renewal registration dates of each management system,

    the fee for the renewal registration fee for those management systems will be calculated

    based on the period (month) of being accredited.

    ex) When EMS re-accreditation is performed in 13 months after initial accreditation, the

    fee is: 4,000,000 won x 15/48months + 10% VAT

    When KAB accredited body applies for accreditation transfer of scopes of which

    management system KAB already accredited, initial registration fee is exempt.

    (2) Annual Accreditation Maintenance Fee of CBs: 2.0% of Annual Revenue (Minimum

    fee: 5,000,000 won)

    A.1.4 Method of Payment

    (1) Application fee must be fully paid at the time of submitting an application form.

    (2) All fees for accreditation, re-accreditation, surveillance and extension to scope,

    supplementary expenses and administrative expenses must be paid in total sum to the

    demand of KAB.

    (3) All fees must be transferred through bank or paid directly to the KAB, in cash or check,

    with the sender or the sending body clearly stated.

    A.2 Criteria for Assessment Man days Calculation and Application Principles

    A.2.1 Common facts

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    (1) In the case of the first surveillance assessment performed within 6 months from the

    initial accreditation, office assessment man days are 2MD irrespective of the number

    of management systems and witnessing will not be conducted.

    (2) Accreditation assessment man day calculation criteria for the following management

    systems are the same as EMS accreditation assessment man day calculation criteria.

    However, if applicable, assessment man day can be adjusted according to the gap

    analysis result between accreditation criteria.

    - OHSMS CBs, ISMS CBs, EnMS CBs, RTSMS CBs, FMS CBs, BCMS CBs

    (3) If assessment is conducted using foreign languages, about 10% of the total man-days

    is added to the office assessment man-days.

    A.2.2 QMS CB

    A.2.2.1 Criteria for Calculation of Man Day for Initial Accreditation Assessment

    Classification

    Document

    review

    (Pers. MD)

    Office

    assessment

    (Pers. MD)

    Witness assessment

    Principle for

    estimation of man

    days for

    Office assessment

    0(none) ISO

    9001 1 9

    Determine assessment

    man days based on

    Clause 4.6 of Guide on

    Application for

    Accreditation(KAB-G-01)

    -

    0(none) ISO

    9001 +

    1 sector-scheme

    1.5 12

    ISO 9001 assessment

    man days (9MD) +

    sector scheme

    assessment man days

    (3MD)

    0(none) ISO

    9001 +

    2 or more sector-

    schemes

    2

    9 + (Add 2 MD per

    each sector

    scheme)

    ISO 9001 assessment

    man days (9MD) +

    2MD per

    each sector scheme

    ISO 9001

    1 sector scheme 0.5 3

    sector scheme

    assessment man days

    (3MD)

    ISO 9001

    2 or more sector

    schemes

    1

    Add 2 MD per

    each sector

    scheme

    Add 2MD per

    each sector scheme

    [Note] Quality Management sector : QMS(ISO 9001) + Sector schemes such as TL 9000

    A.2.2.2 Criteria for Calculation of Man days for Extension to Accreditation Scopes

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    Document

    review (MD)

    Office

    assessment (MD) Witness assessment

    Basis for estimation

    of man days for

    office assessment

    Assessment of

    extension to

    scope

    in ISO 9000

    - 1 to 2 Minimum 1

    See [Note 2] See [Note 1]

    [Note 1]

    1MD: Number of applied scopes is 1

    1.5MD: Number of applied scopes is 2 to 4

    2MD: Number of applied scopes is 5 or more.

    [Note 2] In principle, witness assessment shall be done of the CBs audit team conducting

    an audit of an organization. Assessment team shall be composed by the team leader

    taking account of the CBs audit plan, in a way to achieve the objectives of witnessing.

    Witness assessment fee shall be charged 1MD for 5 or more hours per day, and 0.5MD for

    less than 5 hours, on the basis of the CBs audit plan.

    [Note 3] Witness assessment for non-critical code extension of accredited CB shall

    consider the Note of Annex 2 3(3), Guide for Accreditation Application I.

    A.2.2.3 Criteria for Calculation of Man day for Surveillance and Re-accreditation

    assessment

    [ ]: Re-accreditation assessment

    Number of Accredited Scopes

    No. of

    certified

    clients

    maintaining

    certification

    less than 5 515 1625 More than 25

    Office

    (MD)

    Witness

    (No. of times)

    Office

    (MD)

    Witness

    (No. of times) Office

    Witness

    (No. of times) Office

    Witness

    (No. of times)

    Below 100 3[6] 1 or more 3[6] 1 or more 3[6] 1 or more 3[6] 1 or more

    101250 3[6] 1 or more 3[6] 1 or more 4[7] 1 or more 4[7] 1 or more

    251500 4[7] 1 or more 4[7] 1 or more 4[7] 1 or more 4[7] 1 or more

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    5011000 4[7] 1 or more 4[7] 1 or more 5[8] 2 or more 5[8] 2 or more

    10011500 4[7] 1 or more 5[8] 2 or more 5[8] 2 or more 6[9] 2 or more

    15012500 5[8] 2 or more 5[8] 2 or more 6[9] 2 or more 6[9] 2 or more

    Over 2501 5[8] 2 or more 6[9] 3 or more 6[9] 3 or more 7[9] 3 or more

    [Note 1] For office assessment of sector schemes, 1MD shall be added to the above manday(s).

    For witness assessments, minimum one witnessing shall be performed for 6-month surveillance

    frequency, and surveillance assessment or re-certification assessment shall be conducted as per

    the table described below.

    No. of certificates

    issued in the

    previous year

    1 30 31 100 101 250 251

    Witnessing

    (No of times) 1 2 3 4

    [Note 2] If witness assessments for sector schemes include QMS requirements, then the required

    number of QMS witness assessments may be offset by the number of witness assessments

    conducted for the sector scheme.

    [Note 3] Document review man days for renewal assessment shall be equivalent to that of initial

    assessment.

    A.2.3 EMS CB

    A.2.3.1 Criteria for Calculation of Man day for Initial accreditation assessment

    Document

    review

    (MD)

    Office

    assessment

    (MD)

    Witness

    assessment

    Basis for estimation of

    man- days for

    Office assessment

    EMS

    Initial accreditation 1 9 Minimum 1 -

    EMS not recognized

    Initial accreditation for

    GMS

    2 12 Minimum 1

    EMS man days (9MD) +

    Green management system

    man days (3MD)

    EMS

    GMS 1 3 Minimum 1 GMS man days (3MD)

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    A.2.3.2 Criteria for Calculation of Man day for Extension to Scope

    Document

    review(MD)

    Office

    assessment (MD)

    Witness

    assessment

    Basis for estimation of man-

    days for office assessment

    EMS

    Scope extension - 1 to 2 Min 1 -

    Scope extension for

    GMS - 1 to 2 Min 1 -

    * For office and witness assessments, and described in A.2.2.2 shall

    be applied the same.

    A.2.3.3 Criteria for Calculation of Man day for Surveillance and Re-accreditation

    assessment

    [ ]: Re-accreditation assessment

    No. of certified clients maintaining

    Certification Office assessment(MD)

    Witness assessment

    (No. of times)

    Less than 75 3[6] 1

    76 to 150 4[6] 1

    151 to 300 4[7] 1

    301or more 5[8] 2

    [Note 1] For office assessment for green management system, extra 1 MD for the

    surveillance and 2 MDs for the recertification assessment will be added to the above man

    days. For witness assessments, minimum one witnessing shall be performed for 6-month

    surveillance frequency, and surveillance assessment or re-certification assessment shall

    be conducted as per the table described below.

    No. of

    certificates

    issued in the

    previous year

    1-30 31-100 101-250 251 or more

    Witness

    assessments 1 2 3 4

    [Note 2] If witness assessments for green management system include EMS requirements,

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    KAB Accreditation Advisory (1) : KAB Criteria KAB-A-01

    then the required number of EMS witness assessments may be offset by the number of

    witness assessments conducted for green management system.

    [Note 3] Document review man days for renewal assessment shall be equivalent to that of

    initial assessment.

    A.2.4 FSMS CB

    A.2.4.1 Criteria for Calculation of Man day for Initial accreditation assessment

    Classification

    Document

    review

    (MD)

    Office

    assessment

    (MD)

    Witness

    assessment

    Basis for estimation of

    man- days for

    Office assessment

    FSMS

    Initial accreditation 1 9 Minimum 1 -

    FSMS not accredited

    Initial accreditation for

    FSSC 22000

    2 12 Minimum 1 FSMS man days (9MD) +

    FSSC 22000 man days (3MD)

    FSMS

    Initial accreditation for

    FSSC 22000

    1 3 Minimum 1 FSSC 22000 man days (3MD)

    A.2.4.2 Criteria for Calculation of Man day for Extension to Scope

    Classification Document

    review(MD)

    Office

    assessment (MD)

    Witness

    assessment

    Basis for estimation of man-

    days for office assessment

    FSMS

    Scope extension - 1 to 2 Min 1 -

    Scope extension

    for FSSC 22000 - 1 to 2 Min 1 -

    * For office and witness assessments, and described in A.2.2.2 shall be

    applied the same.

    A.2.4.3 Criteria for Calculation of Man day for Surveillance and Re-accreditation

    [ ]: Re-accreditation assessment

    No. of certified clients

    maintaining Certification Office assessment(MD)

    Witness assessment

    (No. of times)

    Less than 75 3[5] 1

    76 to 150 4[6] 1

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    151 to 300 4[7] 1

    301 or more 5[8] 2

    [Note 1] For office assessment for FSSC 22000, extra 1 MD for the surveillance and 2 MDs for

    the recertification assessment will be added to the above man days. For witness assessments,

    minimum one witnessing shall be performed for 6-month surveillance frequency, and surveillance

    assessment for 1-year interval or re-certification assessment shall be conducted as per the table

    described below.

    No. of

    certificates

    issued in the

    previous year

    1-30 31-100 101-250 251 or more

    Witness

    assessments 1 2 3 4

    [Note 2] FSSC 22000 witnesses can be conducted for less than 50% times of FSMS

    witness assessments for the same criteria. In this case, FSSC 22000 witness can

    substitute FSMS witness.

    [Note 3] Document review man days for renewal assessment shall be equivalent to that of

    initial assessment.

    A.2.5 Adjustment of assessment man-days

    A.2.5.1 Reduction of Assessment man-days

    If a KAB accredited CB is considered to have maintained a systematic and stable

    management system and continued to comply with accreditation and procedures, KAB

    may apply reduction of assessment man-days as follows:

    (1) When a CB accredited of one or more management system(s) is seeking for

    accreditation in a new field, maximum 30% of office assessment man days may be

    reduced. (Round off to the whole number by 0.5)

    (2) When a CB accredited of 2 or more management system is seeking for surveillance or

    re-accreditation assessment of each management system, maximum 30% of

    document review and office assessment man days may be reduced. (Round off to the

    whole number by 0.5)

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    A.2.5.2 Addition of Assessment man-days

    Followings are additive factors on KABs assessment man-days for its accredited CBs for

    effective conduct of assessments.

    (1) CBs branch or local office(s) are located in overseas or other provinces. (For multi

    sites, A.2.9 shall be applied.)

    (2) Interpreter is required or documents and records are written in foreign language.

    (3) Documents and records are maintained in a format of electronic media, not

    hardcopy.

    (4) Operating processes of CB, including auditor training and registration programs are

    unique or complicated

    (5) Other reasons having an influence on effective maintenance of management

    system including frequent change of organizational structure, staff, etc.

    A.2.6 Combined Assessment

    A.2.6.1 Combined assessment shall reflect the minimum man days required by the

    corresponding management system, taking account of the effectiveness of the assessment

    of each management system, and be performed at the same level.

    A.2.6.2 Conditions for combined assessment

    1) Quality system of each management system shall have been combined.

    2) Based on the Accreditation criteria, CB shall have established the procedure for

    combined certification audit including:

    Criteria for Calculation of Auditor time for certification audit

    Requirement for Audit team composition

    Procedure for certification audit

    Procedure for reporting the audit results

    Other procedures as necessary

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    A.2.6.3 Assessment man-days for combined assessment

    Type of

    Assessment

    Document

    review

    (MD)

    Office

    assessment (MD)

    Witness assessment

    No. of

    Witnessing Remarks

    Initial 2 or more

    See [Note]

    70% of total amount of

    time required for office

    assessment of each basic

    management system

    (Round off to the whole

    number by 0.5)

    For integrated

    assessment, at least 5MD

    is required, but in case of

    extension to scope,

    1.5MD applies

    In case sector scheme

    is included, 1MD is added

    to the MD above per

    management system.

    Determine

    assessment man

    days based on

    witnessing criteria

    of each

    management

    system

    Witnessing of

    each management

    system

    KAB

    assessment team:

    2 or more

    assessors

    required

    1-year cycle

    Surveillance -

    4-year cycle

    re-accreditation

    assessment

    2 or more

    See [Note]

    Addition of

    certification scope -

    A document review for a basic management system requires 1man day per each

    management system.

    When a document review is conducted in conjunction with a sector scheme, an

    additional 0.5MD applies per each scheme.

    A.2.7 Joint Assessment

    Joint assessment is subject to the agreement with relevant organization(s).

    A.2.8 Assessment man-days for Follow-up assessment

    A.2.8.1 Follow-up assessment to verify results of corrective actions

    (1) Follow-up assessment at the KAB office: Fee is not charged

    (2) Follow-up assessment at the CB office: Normally 0.5 to 1 MD shall be applied but to

    be decided by the team leader taking account of the significance of nonconformities

    (3) Follow-up assessment at the certified organization: Subject to the audit plan of CB

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    A.2.8.2 Follow-up assessment to confirm changes to CB

    (1) Review on documents: Fee is not charged

    (2) Initial visit: 0.5MD

    (3) Additional review: 1 2 MD (to be decided through the initial visit)

    A.2.8.3 Follow-up assessment following the Accreditation Review Committees decision

    (1) Office follow-up assessment: 1 2 MD

    (2) Witness assessment: Minimum one time but subject to the audit plan of CB

    A.2.8.4 Follow-up assessment following accreditation sanction

    (1) Assessment by visiting CB: Normally 0.5 to 1 MD but to be decided by the

    department manager of accreditation plan, taking account of the significance of

    nonconformities and the level of the sanction

    (2) Assessment by visiting certified organization: subject to the audit plan of CB

    A.2.8.5 Special assessment

    Conducted for not more than 1MD at the CBs office or the relevant certified organization

    without assessment fees charged

    A.2.8.6

    When an application for accreditation is made to KAB by a CB accredited by another AB, a

    signatory to IAF MLA, KAB shall conduct an assessment of transfer of accreditation

    regardless of the number of management systems applied, and a witness assessment

    shall be omitted. However, man days may be extended, taking into consideration of the

    type and number of the MS applied, if necessary.

    (1) Document review : 1MD

    (2) Office assessment : 2MD

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    [Annex B] Assessment Man days and Accreditation Fee Schedule

    (For Person CBs)

    B.1 Accreditation assessment fee and fee structure

    B.1.1 Initial, Surveillance, Reaccreditation assessment and other assessment

    (1) Application fee for person certification scheme (The application fee is not required

    in the case of surveillance and re-accreditation) : 3,000,000 Won for each Person

    Certification Scheme (excluding 10% VAT)

    Applicable only for the initial assessment

    (2) Assessment fee: 800,000 won per 1 Man day/person (excluding 10% VAT)

    The assessment fee for the first surveillance office assessment conducted

    during six month cycle after initial accreditation is exempt.

    (3) Supplementary expenses for assessment (transportation, accommodation and

    other expense related to transfer): Comply with the regulation of the KAB for

    business traveling

    (4) Administrative fee: 10 % of total assessment fee (excluding 10% VAT)

    B.1.2 Extension to Scope of Accreditation or Inspection Methods

    (1) Application fee: 700,000 won for person certification scheme or inspection method

    (Excluding 10% VAT)

    (2) Assessment fee: 800,000 won per Man day/person) (excluding 10% VAT)

    (3) Supplementary expenses for assessment (transportation, accommodation and

    other expense related to transfer) : Comply with the regulation of the KAB for

    business traveling

    (4) Administrative fee: 10 % of total assessment fee (excluding 10% VAT)

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    KAB Accreditation Advisory (1) : KAB Criteria KAB-A-01

    B.1.3 Registration and Maintenance fee

    (1) Registration fee for initial/re-accreditation: 4,000,000 won for person certification

    scheme (excluding 10% VAT)

    (2) Annual Accreditation Maintenance Fee of CBs: basis amount per interval +

    accreditation mark license

    # of certified

    persons

    0 to 200 201 to

    400

    401 to

    800

    801 to

    1600

    1601 to

    3200

    3201 to

    6400

    More

    than 6401

    Basis

    amount

    (million

    KRW)

    4 5 6 7 8 9 10

    Accreditation

    mark license

    5,000 KRW x # of certified persons

    B.1.4. Method of Payment

    (1) Application fee must full paid at the time of submitting an application form.

    (2) All fees for accreditation, re-accreditation, surveillance and scope extension,

    supplementary expenses and administrative expenses must be paid in total sum to

    the demand of KAB

    (3) All fees must be transferred through bank or paid directly to the KAB, in cash or

    check, with the sender or the sending body clearly stated.

    B.2 Criteria for Assessment Man days Calculation and Application Principles

    B.2.1 General

    (1) For the first surveillance conducted before 6 months following initial accreditation,

    office assessment man-day is 2 MD regardless accreditation areas, and there is

    no witness.

    (2) If assessment is conducted using foreign languages, about 10% of the total man-

    days is added to the office assessment man-days.

    B.2.2 Criteria for Calculation of Man day for Initial Accreditation Assessment

    Previously

    accredited

    Scope of

    Accreditation

    Document Review

    (Pers.& MD)

    Office Assessment

    (Pers. & MD)

    Witness

    Assessment

  • ISSUE No.7 April, 26, 2016 38 /57

    KAB Accreditation Advisory (1) : KAB Criteria KAB-A-01

    sector applied for

    Non-

    accreditation

    Management system

    auditor

    0.5 +

    (0.5 No. of certification

    scheme applied for)

    4 +

    (1 No. of certification

    scheme applied for)

    Over 0.5MD

    Consultant

    0.5 +

    (0.5 No. of certification

    scheme applied for)

    4 +

    (1 No. of certification

    scheme applied for)

    Over 0.5MD

    NDT Technician

    0.5 +

    (0.5 No. of inspection

    method applied for)

    4 +

    (0.5 No. of inspection

    method applied for)

    Over 0.5MD

    Welding inspector 0.5 +

    (0.25 No. of levels)

    4 +

    (0.5 No. of levels) Over 0.5MD

    Machine diagnostic

    technician

    0.5 +

    (0.25 No. of

    certification scheme

    applied for)

    4 +

    (0.5 No. of certification

    scheme applied for)

    Over 0.5MD

    In case of combination

    Applying 70% of total

    MD

    (minimum 2md)

    Applying 70% of total

    MD

    Over 0.5MD

    (Verification of

    each type of

    qualification(scop

    e) shall be

    available)

    Previously

    accredited

    Person CB

    Management system

    auditor

    0.5 +

    (0.5 No. of certification

    scheme applied for)

    2 +

    (1 No. of certification

    scheme applied for)

    Over 0.5md

    Consultant

    0.5 +

    (0.5 No. of certification

    scheme applied for)

    2 +

    (1 No. of certification

    scheme applied for)

    Over 0.5md

    NDT Technician

    0.5 +

    (0.5 No. of inspection

    method applied for)

    2 +

    (0.5 No. of inspection

    method applied for)

    Over 0.5md

    Welding inspector 0.5 +

    (0.25 No. of levels)

    2 +

    (0.5 No. of levels) Over 0.5MD

    Machine diagnostic

    technician

    0.5 +

    (0.25 No. of

    certification scheme

    2 +

    (0.5 No. of certification

    scheme applied for)

    Over 0.5MD

  • ISSUE No.7 April, 26, 2016 39 /57

    KAB Accreditation Advisory (1) : KAB Criteria KAB-A-01

    applied for)

    In case of combination

    70% of total MD shall be

    applied

    (minimum 2md)

    70% of total MD shall be

    applied

    Over 0.5md

    (Verification of

    each type of

    qualification(scop

    e) shall be

    available)

    Round off to the whole number by 0.5. e.g.) 2.2 2MD, 2.3 2.5MD

    Witness assessment MD shall be decided by the team leader by taking accounts of the stage

    and complexity of evaluation process

    B.2.3 Criteria for Calculation of Man day for Extension of certification scheme or

    inspection method

    Previously

    accredited sector

    Scope of

    Accreditation

    applied for

    Document Review

    (Pers. Md)

    Office Assessment

    (Pers. Md) Witness Assessment

    Management

    system auditor Addition of

    scheme -

    1 No. of certification

    scheme applied for

    Witnessing shall be

    performed when

    required

    Consultant

    Addition of

    scheme -

    1 No. of certification

    scheme applied for

    Witnessing shall be

    performed when

    required

    NDT Technician Addition of

    inspection

    method

    - 1 No. of certification

    scheme applied for

    Witnessing shall be

    performed when

    required

    Welding

    inspector Addition of

    levels - 1No. of levels

    Witnessing shall be

    performed when

    required

    Machine

    diagnostic

    technician

    Addition of

    scheme -

    1 No. of certification

    scheme applied for

    Witnessing shall be

    performed when

    required

  • ISSUE No.7 April, 26, 2016 40 /57

    KAB Accreditation Advisory (1) : KAB Criteria KAB-A-01

    In case of combination

    -

    70% of total MD shall

    be applied

    (minimum 2md)

    Witnessing shall be

    performed when

    required

    Round off to the whole number by 0.5. e.g.) 2.2 2MD, 2.3 2.5MD

    In principle, the MD for the witness assessment is omitted, but it can be added by the team

    leader taking into consideration of complexity evaluation process when necessary.

    B.2.4 Criteria for Calculation of Man day for Surveillance assessment

    Classification Office Assessment

    (Pers. Md) Witness Assessment

    Management system auditor 0.5 No. of certification

    scheme applied for

    Consultant 0.5 No. of certification

    scheme applied for

    NDT Technician 0.5 No. of certification

    scheme applied for

    NDT Technician

    0.5 No. of levels accredited

    Welding inspector 0.5 No. of certification

    scheme applied for

    In case of

    combination

    Two types of

    qualification

    80% of total MD shall be

    applied

    Three types

    of

    qualification

    70% of total MD shall be

    applied

    Round off to the whole number by 0.5. e.g.) 2.2 2MD, 2.3 2.5MD

    In case of surveillance, the MD for the witness assessment is skipped, but when considered

    necessary by taking into consideration of complexity of evaluation process, it can be added by

    the team leader taking into consideration complexity of the evaluation process when necessary

    The assessment fee for the first surveillance office assessment conducted during six month

    cycle after initial accreditation shall not exceed 2md

  • ISSUE No.7 April, 26, 2016 41 /57

    KAB Accreditation Advisory (1) : KAB Criteria KAB-A-01

    B.2.5 Criteria for Calculation of Man day for Re-accreditation assessment

    Previously accredited sector Document Review

    (Pers. Md)

    Office Assessment

    (Pers. Md) Witness Assessment

    Management system auditor 0.5 No. of

    certification scheme

    accredited

    1+ No. of certification

    scheme accredited Over 0.5md

    Consultant 0.5 No. of

    certification scheme

    accredited

    1+ No. of certification

    scheme accredited Over 0.5md

    NDT Technician 0.25 No. of

    certification scheme

    accredited

    1+

    (0.5 No. of inspection

    method accredited)

    Over 0.5md

    Welding inspector

    0.5 No. of levels

    accredited

    1+ No. of levels

    accredited Over 0.5md

    Machine diagnostic technician 0.5 No. of

    inspection methods

    accredited

    1+ No. of inspection

    methods accredited Over 0.5md

    In case of

    combination

    80% of total MD

    shall be applied

    80% of total MD

    shall be applied

    80% of total MD shall

    be applied

    Over 0.5md

    (Verification of each type

    of qualification(scope)

    shall be available)

    70% of total MD

    shall be applied

    70% of total MD

    shall be applied

    70% of total MD shall

    be applied

    Over 0.5md

    (Verification of each type

    of qualification(scope)

    shall be available)

    Document review for re-accreditation is conducted more than 1MD.

    B.2.6 Criteria for Calculation of Man day for Follow-up and special assessment

    B.2.6.1 Follow-up assessment to verify results of corrective actions

    (1) Follow-up assessment at the KAB office : Fee is not charged

  • ISSUE No.7 April, 26, 2016 42 /57

    KAB Accreditation Advisory (1) : KAB Criteria KAB-A-01

    (2) Follow-up assessment by visiting CB office : Normally 0.5 to 1 MD shall be applied

    but it is decided by the team leader taking account of the significance of

    nonconformities

    B.2.6.2 Follow-up assessment to confirm changes to CB

    (1) Review on documents : Fee is not charged

    (2) Initial visit : 0.5 MD

    (3) Additional review : 1~2 MD (to be decided through the initial visit)

    B.2.6.3 Follow-up assessment following the Accreditation Review Committees

    decision

    (1) Office /Witness follow-up assessment : 1~2 MD

    B.2.6.4 Follow-up assessment following accreditation sanction

    (1) Follow-up assessment by visiting CB: Normally 0.5 to 1 MD shall be applied but to

    be decided by the manager of accreditation plan department, taking account of the

    significance of nonconformities and the level of the sanction

    B.2.6.5 Special Assessment

    Conducted for not more than 1MD at the Person CBs office without assessment fees

    charged

  • ISSUE No.7 April, 26, 2016 43 /57

    KAB Accreditation Advisory (1) : KAB Criteria KAB-A-01

    Certification Body Changes Report

    The name of CB

    Changes

    Legal entity

    Name of representative

    Significant policy

    and procedures

    Critical locations and

    changes to these locations

    Name

    Director

    Address

    Shareholders

    Before changed

    In Korean

    In English

    After changed

    In Korean

    In English

    Reasons for changes

    Attachment

    We report changes in accordance with KAB Accreditation Advisory (1) (KAB-A-01) 2.1.2, or 2.2.2 as above.

    . . (Date)

    The President of CB (signature)

    TO: The CEO of KAB

    Note

    1. If there is any change to president, name and address, describe into Korean

    and English.

    2. If there is any change to legal entity, president, director, name and address,

    attach The Register of 1 copy of Jurisdictional Person

    3. If there is any change to president or director, attach a curriculum vitae of a

    new president or director and the organization where they work for

    4. If there is any change to shareholders, attach a copy of the list of shareholders

    and possession of portion.

    5. If there is any change to Significant policy and procedures. Attach 1 copy of

    document concerned.

    KAB-A-01-01 Rev.1

    javascript:flink(%22a%22);javascript:flink(%22curriculum%20vitae%22);

  • ISSUE No.7 April, 26, 2016 44 /57

    KAB Accreditation Advisory (1) : KAB Criteria KAB-A-01

    Certification Suspension/Reduction Application form

    The name of

    CB

    Application

    partial

    suspension

    partial

    reduction

    return of the entire

    certification

    Reasons for

    Application

    The scope of

    suspension/

    reduction

    QMS (the scope of suspension/reduction: )

    - TL 9000 (the scope of suspension/reduction: )

    EMS (the scope of suspension/reduction: )

    GMS (the scope of suspension/reduction: )

    EnMS (the scope of suspension/reduction: )

    OHSMS (the scope of suspension/reduction : )

    FSMS (the scope of suspension/reduction : )

    ISMS (the scope of suspension/reduction : )

    FSSC (the scope of suspension/reduction : )

    Personnel certification body(the scope of suspension/reduction: )

    Attachment

    We apply for in accordance with KAB Accreditation Advisory (1) (KAB-A-01) 2.1.3, 2.1.4,

    2.2.3, and 2.2.4 as above.

    .

    . . (Date)

    The President of CB (signature)

    TO: The CEO of KAB

    Note

    1. If the entire certification is returned, attach original copy of certificate and

    the result of actions taken to transfer certified organizations

    2. If any sites are reduced, state the status of all sites on Status of address

    and activities classified by location (KAB-G-01-02) included in Guide on

    Application for Accreditation (I) and attach it.

    KAB-A-01-02 Rev.1

  • ISSUE No.7 April, 26, 2016 45 /57

    KAB Accreditation Advisory (1) : KAB Criteria KAB-A-01

    Business Performance and Turnover Report for the Year XXXX

    Turnover for the Year XXXX

    Breakdown of Turnover Amount (KRW) Remarks

    1. Total Turnover Fills out total turnover from

    revenue statement

    2. Turnover net of the following items

    (Subtotal)

    1) Revenue not related to certification

    business

    2) Business travel fee revenue from clients

    for certification assessments

    3) Revenue from providing plaques to

    certified clients

    4) Revenue from certification business for

    overseas schemes

    3. Turnover from certification business for

    KAB schemes (Turnover based on

    maintaining accreditation)

    Deduct no. 2 turnover from no1.

    Total turnover

    Certification Performance

    Description Management System

    Initia

    l

    Su

    rve

    illan

    ce

    Ren

    ew

    al

    To

    tal

    Initia

    l

    Su

    rve

    illan

    ce

    Ren

    ew

    al

    To

    tal

    Initia

    l

    Su

    rve

    illan

    ce

    Ren

    ew

    al

    To

    tal

    Initia

    l

    Su

    rve

    illan

    ce

    Ren

    ew

    al

    To

    tal

    No. of

    Certifications

    No. of Man

    days

    * Itemize by each management system accredited by KAB

    KAB-A-01-03 Rev.0

  • ISSUE No.7 April, 26, 2016 46 /57

    KAB Accreditation Advisory (1) : KAB Criteria KAB-A-01

    Details of Turnover Breakdown for KAB Scheme Certification Business

    (Unit: KRW)

    Description Management

    System*

    Total

    Application Fee

    Assessment Fee

    Registration Fee

    Total

    Unit Price Per Certification

    Per Man day

    * Itemize by each management system accredited by KAB

    Formula for unit price calculation (Per certification = total number of certification, Per man day = total

    number of man days )

    Turnover Breakdown for KAB Scheme Certification Business for the YEAR XXXX

    Date when

    sales were

    generated

    Certified Client Management

    System

    Fees Amount Remarks

    For example,

    Jan 2

    Jan 5

    Jan 31

    (Month total)

    Feb 1

    Dec 1

    Dec 20

    Dec 24

    (Month total)

    Client A

    Client B

    Client C

    Client D

    Client F

    Client Z

    QMS

    EMs

    TL

    QMS

    TL

    EMS

    Application

    Assessment

    Registration

    Assessment

    Application

    Assessment

    500,000

    600,000

    500,000

    1,600,000

    600,000

    700,000

    600,000

    1,900,000

    Total

    KAB-A-01-03 Rev.0

  • ISSUE No.7 April, 26, 2016 47 /57

    KAB Accreditation Advisory (1) : KAB Criteria KAB-A-01

    AGREEMENT FOR USE OF THE IAF MLA MARK BETWEEN A LICENSED IAF MLA MEMBER

    AND ANACCREDITED CONFORMITY ASSESSMENT BODY (CAB)

    1. The International Accreditation Forum Inc. (IAF) is the owner of the trade-mark known as the

    IAF Multilateral Recognition Arrangement Mark or IAF MLA Mark.

    2. Korea Accreditation Board(hereafter called KAB), 93, Isu-ro, Maengdong-myeon, Eumseong-

    gun Chungcheongbuk-do, has a non-exclusive and non-transferable license to use the IAF MLA

    Mark, subject to its maintenance of its IAF MLA Membership and IAF Accreditation Body (AB)

    membership and observance of conditions and restrictions set out in its agreement with the IAF

    MLA Member.

    Note: The IAF Logo is not to be used by any IAF Member or accredited CAB on any

    documentation under any circumstances without permission. The IAF Logo is for use only by the

    IAF Board and Secretary to denote official IAF documents.

    3. (Accredited CABs full company name), the full post office address of whose principal office or

    place of business is (full business address), applies for permission to use the IAF MLA Mark, only

    in conjunction with the licensed IAF MLA Members accreditation symbol, subject to the terms and

    conditions set out below.

    4. KAB grants to (accredited Conformity Assessment Body the CAB) permission to use the IAF

    MLA Mark for main scopes and sub scopes of the IAF MLA for which the CAB has been accredited

    by the (Licensed IAF MLA Member)., from the date of this Agreement, subject to the conditions

    and restrictions as follows:

    (a) The accredited CAB shall only use the IAF MLA Mark together with their accreditation body

    symbol in the manner set out in IAF ML 2 General Principles on Use of the IAF MLA Mark and in

    accordance with the main scopes and sub scopes of the IAF MLA of which the licensed IAF MLA

    Member is a Signatory, and for which the CAB has been accredited.;

    (b) The IAF MLA Mark shall be reproduced using an authorized copy obtained from the licensed

    IAF MLA Member and shall be reprinted according to the following specifications:

    i) in black and white or in the colours Pantone 2747 (dark blue) and Pantone 299 (light blue),

    ii) on a clearly contrasting background,

    iii) in a size which makes all the words of the IAF MLA Mark clearly distinguishable, with the width

    of the IAF MLA Mark no less than 20 millimetres;

    (c) The proposed permitted use is non-exclusive;

    (d) The permission granted to the accredited CAB to use the said IAF MLA Mark is non-

    transferable;

    (e) The accredited CAB shall not use the IAF MLA Mark on any documentation unless the licensed

  • ISSUE No.7 April, 26, 2016 48 /57

    KAB Accreditation Advisory (1) : KAB Criteria KAB-A-01

    IAF MLA Members accreditation symbol and the accredited CABs name or logo are included on

    the same displayed page and all are of approximately the same size;

    Note: The documentation can be in any form or type of medium.

    (f) The accredited CAB shall use the IAF MLA Mark in strict accordance with the instructions,

    conditions, standards of quality and IAF MLA Mark specifications supplied by the licensed IAF MLA

    Member or the IAF at anytime and from time to time;

    (g) The accredited CAB shall supply specimens of its usage of the IAF MLA Mark to the licensed

    IAF MLA Member or IAF, if requested by the licensed IAF MLA Member or IAF;

    (h) The accredited CAB shall not use the IAF MLA Mark on a product, or in a way that may be

    interpreted as denoting product conformity, or permit its certified organizations to do so;

    (i) The accredited CAB shall not use IAF MLA Mark in any way which implies that IAF has

    approved a certified or registered product, service or system registered by the accredited CAB;

    (j) The accredited CAB shall monitor and take suitable action to control its use of the IAF MLA

    Mark and to prevent any incorrect references or misleading use by itself or its certified

    organizations;

    (k) The accredited CAB acknowledges and agrees that it has no proprietary right, title or interest in

    the IAF MLA Mark;

    (l) The accredited CAB agrees to co-operate fully and in good faith with the licensed IAF MLA

    Member and/or IAF for the purpose of securing or protecting IAF's right in the IAF MLA Mark;

    (m) The accredited CAB further agrees not to challenge directly or indirectly IAFs right, title or

    interest in the IAF MLA Mark.

    5. The Agreement to use the IAF MLA Mark may be terminated as follows:

    (a) at any time by agreement of the parties;

    (b) at any time by the licensed IAF MLA Member in the event that the conditions in this Agreement

    are not satisfied;