KAB Accreditation Advisory (1) : KAB Criteria · ... ISO/IEC 17021-1 or ISO/IEC 17024 ... and the...

KOREA ACCREDITATION BOARD

KAB Accreditation Advisory (1) : KAB Criteria

Document No.: KAB-A-01

Issue No.: 7

Issue Date: April 26, 2016

ISSUE No.7 April, 26, 2016 2 /57

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]

ISSUE No.7 April, 26, 2016 3 /57


Foreword

1. This guide prepared by KAB to supplement requirements for bodies that provide audits and certification services provides details necessary for KAB’s 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 IAF’s 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 organization’s 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

ISSUE No.7 April, 26, 2016 5 /57


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 consultant’s 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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<Table on Consultancy prohibition for CB’s employee and subcontracted auditor>

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



body during the contract

period to be considered as


Sub-contracted person or

body(e.g. sub-contracting of

audit or verification)

Allowed Not allowed

After expiration

of contract for

sub-contracting



body during the contract

period to be considered as


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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.

① Legal status

② Proprietors, directors, and stock holders

③ Significant policy and procedures (including certification fees and audit days)

④ Name or address of a CB

⑤ The changes of ① to ④ 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

⑥ 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)

⑦ 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 CB’s information including changed CB name and

location, suspended, and reduced etc, scope of certification on KAB’s 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.

① Personnel

Certification

Type

② Personnel

Certification

Scheme

The Number of Certified Personnel

⑤ Remarks ③ Number of newly

certified personnel

④ Accumulated

number of certified

personnel

Auditor

QMS

EMS

......

NDT technical

expert N/A

......

③ Number of newly certified personnel: The number of newly certified personnel and the

number of certified personnel by the grade.

④ Accumulated number of certified personnel: The accumulated number of certified personnel

and the number of certified personnel by the grade.

⑤ 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 CB’s information including changed CB

name and location, suspended, and reduced etc, scope of certification on KAB’s

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 body’s mark in addition

to KAB’s, 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.

① The other business which is not accredited

② The fee of transportation, accommodation and other expense related to

transfer paid by their clients.

③ The cost spent for manufacturing name boards supplied to their clients.

④ 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:

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

be paid by the end of June

② 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 doesn’t 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.

①Stop the accreditation process which is on-going

②Accepting the grace period

③Actions 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 moneyⅹrate of arrearsⅹnumber 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

<Figure 1>

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

<Accredited Scheme Abbreviations>

< 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.

<Figure 2>

<Color Rules>

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 one’s 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

ISSUE No.7 April, 26, 2016 17 /57


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.

ISSUE No.7 April, 26, 2016 18 /57


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.

ISSUE No.7 April, 26, 2016 20 /57


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:

① same name as the organization that was withdrawn;

② same CEO;

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

④ 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

① In case of having been accredited or maintaining an accreditation by lying or by other unlawful means else..

Accreditation shall be withdrawn

- - -

②

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

- - -

③

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.

- - -

④

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

- - -

⑤ 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



-

⑥ In case the CB issues a certificate in an area beyond its range of KAB's approval.

⑦ In case when the staff examiner gives an assessment to the company that had sought his/her consultation services.

⑧ In case the CB gives KAB a false report, or whitewashes or fiddles part of the report on its request of explanation.

⑨ In case when an invalid certificate is transferred to the CB in question

⑩

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




⑪

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

④.

⑫

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 ⑦.

⑬

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.


ISSUE No.7 April, 26, 2016 22 /57


For first violation

For second violation

For third violation


⑭ In case the CB organizes an assessment team and executes an examination in violation of the requirements.

Warning shall be issued




⑮

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 ⑤~○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 three months


○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.




-

○21

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



- -

ISSUE No.7 April, 26, 2016 23 /57


(2) Individual Criteria for Sanctions for Person Certification Bodies





①

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

Accreditation shall be

withdrawn - - -

②

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

③

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

④ In case of false writing, maintaining and managing the assessment records of applicants or certified parties.

⑤

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.

⑥ In case the CB fails to guarantee fairness and independency in its organizational structure and management.


suspended for more than one month but less

than three months



than three months


withdrawn -

⑦ In case the CB issues a certificate in an area beyond the range of KAB's approval.

⑧

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

⑨

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


suspended for less than one

month



than three months


suspended for more than one month

but less than three months


withdrawn

⑩ In the case of false writing, maintaining and managing documentation other than

the condition specified in the part ④

⑪

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.

⑫

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.

ISSUE No.7 April, 26, 2016 24 /57






⑬ In case the certification body fails to perform its financial duties to KAB.

Warning shall be issued


suspended for less than one

month


suspended for more than one month

but less than three months


⑭

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 ⑥~⑫

ISSUE No.7 April, 26, 2016 25 /57


[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


ISSUE No.7 April, 26, 2016 26 /57


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 CB’s 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

ISSUE No.7 April, 26, 2016 27 /57


(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

ISSUE No.7 April, 26, 2016 28 /57


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 CB’s audit team conducting

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

taking account of the CB’s 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 CB’s 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 5∼15 16∼25 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

101∼250 3[6] 1 or more 3[6] 1 or more 4[7] 1 or more 4[7] 1 or more


ISSUE No.7 April, 26, 2016 29 /57





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)

ISSUE No.7 April, 26, 2016 30 /57


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, <Note 1> and <Note 2> described in A.2.2.2 shall

be applied the same.


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,

ISSUE No.7 April, 26, 2016 31 /57


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 →


FSSC 22000

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

FSSC 22000 man days (3MD)

FSMS →


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, <Note 1> and <Note 2> described in A.2.2.2 shall be

applied the same.



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

ISSUE No.7 April, 26, 2016 32 /57


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)

ISSUE No.7 April, 26, 2016 33 /57


A.2.5.2 Addition of Assessment man-days

Followings are additive factors on KAB’s assessment man-days for its accredited CBs for

effective conduct of assessments.

(1) CB’s 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:

① Criteria for Calculation of Auditor time for certification audit

② Requirement for Audit team composition

③ Procedure for certification audit

④ Procedure for reporting the audit results

⑤ Other procedures as necessary

ISSUE No.7 April, 26, 2016 34 /57


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]

①70% of total amount of

time required for office

assessment of each basic

management system

(Round off to the whole

number by 0.5)

②For 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

①Witnessing of

each management

system

②KAB

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 -

<Note> 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

ISSUE No.7 April, 26, 2016 35 /57


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 Committee’s 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 CB’s 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

ISSUE No.7 April, 26, 2016 36 /57


[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


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


ISSUE No.7 April, 26, 2016 37 /57


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

<Basis amount per interval and 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


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 +


scheme applied for)

4 +


scheme applied for)

Over 0.5MD

NDT Technician

0.5 +

(0.5 No. of inspection

method applied for)

4 +


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 +


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 +


scheme applied for)

2 +


scheme applied for)

Over 0.5md

Consultant

0.5 +


scheme applied for)

2 +


scheme applied for)

Over 0.5md

NDT Technician

0.5 +


method applied for)

2 +


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


2 +


scheme applied for)

Over 0.5MD

ISSUE No.7 April, 26, 2016 39 /57


applied for)


70% of total MD shall be

applied

(minimum 2md)


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 -


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 -


scheme applied for

Witnessing shall be

performed when

required

ISSUE No.7 April, 26, 2016 40 /57



-

70% of total MD shall

be applied

(minimum 2md)

Witnessing shall be

performed when

required


※ 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


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


applied

Three types

of

qualification


applied


※ 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


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

Previously accredited sector Document Review

(Pers. Md)

Office Assessment


Management system auditor 0.5 No. of


accredited

1+ No. of certification

scheme accredited Over 0.5md

Consultant 0.5 No. of


accredited

1+ No. of certification

scheme accredited Over 0.5md

NDT Technician 0.25 No. of


accredited

1+


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


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


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


(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 Committee’s

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 CB’s office without assessment fees

charged

ISSUE No.7 April, 26, 2016 43 /57


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

ISSUE No.7 April, 26, 2016 44 /57


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


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


☐ 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


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 CAB’s 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 Member’s 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


IAF MLA Member’s accreditation symbol and the accredited CAB’s 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 IAF’s 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;

(c) immediately in the event accreditation is withdrawn from the accredited CAB by the licensed

IAF MLA Member;

(d) immediately in the event of the termination of the licensed IAF MLA Member’s membership of

the IAF MLA or IAF membership;

(e) immediately in the event of the termination of the Agreement for the use of the IAF MLA Mark

between IAF and the Licensed IAF MLA Member;

(f) by the licensed IAF MLA Member duly advising the accredited CAB; or

(g) by the IAF duly advising the accredited CAB.

6. The accredited CAB shall indemnify and save IAF, its directors, officers, employees and

authorized representatives, including the licensed IAF MLA Member, from and against any and all

claims, liabilities, demands, proceedings, causes of action, costs and expenses (including legal

ISSUE No.7 April, 26, 2016 49 /57


fees as incurred) arising from the breach or default of the accredited CAB under this agreement.

End of Agreement for Use of the IAF MLA Mark between a Licensed IAF MLA Member

and an Accredited Conformity Assessment Body

…………………………………………………

Signed on behalf of

(NAME OF ACCREDITED CAB)

(Signature)

(Name of signatory)

(Title/position)

Date

Korea Accreditation Board…

Signed on behalf of

(NAME OF LICENSED IAF MLA MEMBER)

(Signature)

(Name of signatory)

(Title/position)

Date

Licensed to use the IAF MLA Mark in conjunction with the Licensed IAF MLA Member’s

accreditation symbol for the main scopes and sub scopes of the IAF MLA for which the CAB has

been accredited by the KAB.

ISSUE No.7 April, 26, 2016 50 /57


Annual Performance Indicators of Management System Certification Bodies

A. Number of accredited certificates valid (as of December 31)

QMS EMS TL OHSMS FSMS ISMS EnMS GMS FSSC RTSMS …

B. Number of auditors


Full

time

Part

time

C. Number of transfers accepted


D. Number of overdue audits


E. Audit man-days conducted


F. Certification activities conducted abroad

- For every accredited certificates published, their economy and serial numbers

- Economies with fixed office where certification activities are conducted

- Economies with remote personnel conducting certification activities and employed by the CB

- Fixed offices managing/conducting key activities, or managing remote personnel conducting key

activities of IAF/ILAC A5

- Fixed offices with other activities

ISSUE No.7 April, 26, 2016 51 /57


NOTE 1) Number of valid certificates shall be reported as follows:

• If a client holds a valid certificate which covers one site, this has to be counted as one certificate

(single-site certificate).

• If a client holds one certificate, which covers more than one site, it is still counted as one

certificate as only one certificate was issued (multiple-site certificate). If, however, the multiple sites

are certified individually, then each granted certificate has to be counted (as for single-site

certificates).

• Whether a client holds several single-site certificates (with each site holding its own individual

certificate) or a single multiple-site certificates (with one valid certificate covering a number of sites),

Certification Bodies shall report the total number of certificates.

• If a client is certified to more than one management system, and a Certification Body has issued

only one certificate to cover both scopes, this should be counted with as many certificates as

management systems are covered by the certification, i.e. one per management systems standard.

Note: A valid certificate refers to a certification that is currently under the validity of a certification

contract, either with an active or suspended status. Withdrawn certificates, as well as applications,

are not to be counted for this purpose.

NOTE 2) If there is fixed office or remote personnel abroad, CB shall also submit documented

procedures for managing them.

ISSUE No.7 April, 26, 2016 52 /57


Additional clause

1. This guide shall take effect from the day of official announcement

Additional clause <Notification- no.2014-63, dated Nov. 6, 2014>

1. This guide shall come into effect from November 6, 2014

Additional clause <Notification- no.2014-81, dated Dec. 29, 2014>

1. This guide shall come into effect from January 1, 2015

2. The change to accreditation cycle shall be applied, starting with CBs which are granted

initial or renewal of accreditation

Additional clause <Notification- no.2015-28, dated Apr. 15, 2015>

1. This guide shall come into effect from April 15, 2015

Additional clause <Notification- no.2016-16, dated Apr. 28, 2016>

1. This guide shall come into effect from April 26, 2016, with exception of registration and

maintenance fee stated in Annex B which come into effect from January 2, 2017.

KAB Accreditation Advisory (1) : KAB Criteria · ... ISO/IEC 17021-1 or ISO/IEC 17024 ... and the...

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