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Broadcasting and communications equipment conformity assessment system 2011. 04. 11. Broadcasting and communications equipment conformity assessment system 2011. 04. 11.

Table of Contents 1 Reform of certification system 2 Main contents of conformity assessment Table of Contents 1 Reform of certification system 2 Main contents of conformity assessment system 3 Market surveillance Ⅲ. 제도 개선을 위한 주요 이슈 laboratories Manage and designate testing 4 -2 1

1 Reform of Certification System(1) Summary Reformation of Certification System requires to introduce equal 1 Reform of Certification System(1) Summary Reformation of Certification System requires to introduce equal level of conformity assessment system for FTA negotiation with major trading partners and responds to the increasing usage of various convergence devices. ü From a system where the government leads certification system to private leading conformity assessment system to make business- friendly environment. ü Related law : Revised Radio Waves Act Article from 58 -2 to 58 -11 ( Announced on 2010. 7. 23, Enforced as of 2011. 1. 24 ) New form of certification Previous condition After reform Conformity certification Type Approval (Wired Device) EMC Registration (IT equipment) Type Registrati on (Wireless Device) Type official Approval (Wireless Device) (Radio interference, Network Hazard, Safety are in onsideration) Conformity registration Test in designated testing labs – Government Certification Test in designated testing labs Registers declaration form ( Equipment used by common users ) Self-test – Register declaration form (Equipment used for purpose of measurement and testing etc) Classification according to purpose Interim certification -3 2 Equipment without technical standards (Government certification)

1 Reform of Certification System(2) Conformity assessment system classification Reclassify certification type graded by 1 Reform of Certification System(2) Conformity assessment system classification Reclassify certification type graded by riskof Broadcasting and Communications Equipment (ex: Radio interference and Life safety) Conformity Certification (Radio Waves Act Article 58 -2. 2) ü As equipment that has a harmful effect on the human body, such as radio interference, life safety, etc. or has an effect on the safety and service of telecommunication networks, certified by the government (Example : marine radar, H/V/UHF transmitter, electronic exchanger) Conformity Registration(Radio Waves Act Article 58 -2. 3) ü As equipment that has a smaller effect on the human body compared to Conformity Certification Equipment, tested by a designated testing labs (Example : Weak radio equipment, Divider, Personal Computer) ü Introducing self-test registration system that authorizes provider with rights to register apparatus ü (Example : Spectrum Analyzer, Industrial computer and etc) Interim Certification(Radio Waves Act Article 58 -2. 7) ü A System considering civil convenience to obtain official certification within a certain period of time before establishing technical standards and to certify new products having no assessment standards within a range of safety guarantee for electromagnetic circumstances -4 3

2 Main Contents of Conformity Assessment System(1) Conformity certification system Conformity certification □ Related 2 Main Contents of Conformity Assessment System(1) Conformity certification system Conformity certification □ Related laws ü Radio Wave Act Article 58 -2 -2, Enforcement Decree of RWA Article 77 -2, Notification No, 5 ~ 7 □ Classification Standard of Subject Equipment ü Broadcasting and communications equipment having bad effect on the electromagnetic circumstances And network. ü Broadcasting and communications equipment having obstacle to electromagnetic waves and be effected to run normal operation by electromagnetic waves ü Other Broadcasting and communications equipment possible to harm human body and life safety. Existing devices of Type Official Approval, Type Registration and Type Approval are relevant. Document for submission : 6 Types ① User Manual ② Test Report ③ Exterior Appearance ④ Parts Layout Or Layout Photo ⑤ Circuit Diagram ⑥ Domestic Representative Designation Letter (In cases when agent has been designated) -5 4

2 Main Contents of Conformity Assessment System(2) Conformity registration system Conformity Registration □ Related 2 Main Contents of Conformity Assessment System(2) Conformity registration system Conformity Registration □ Related law ü Radio Wave Act Article 58 -2 -2, 3, 4, Enforcement Decree of RWA Article 77 -3, Notification No, 8 ~ 10 □ Classification standard ü Equipment of Conformity Registration. Ø Apparatus which is not an object of Conformity Certification and self-test conformity registration. ü Equipment of Self-Test Conformity Registration Ø Broadcasting and communications equipment used for purpose of measurement and testing. Ø Broadcasting and communications equipment used for industrial-scientific purpose. Ø Broadcasting and communications equipment not tested by designated testing labs because of its feature and usage. Document for submission : 2 Types ü ① A declaration form that evidences compliance with Conformity Assessment standards, ü ② Agent Designation Letter (In case when agent has been designated) -6 5

2 Main Contents of Conformity Assessment System(2 -1) Conformity registration system Testing Laboratory & 2 Main Contents of Conformity Assessment System(2 -1) Conformity registration system Testing Laboratory & self-test suppliers’ documents ü Declaration form which evidences compliance with Conformity Assessment Standards ü Agent Designation Letter (In cases when agent has been designated) ü User Manual, Test Report, Exterior Appearance, Parts Layout or Layout Photo, Circuit Diagram ü Submit related documents in registering derivative model with Conformity Registration ü Submit related document in modification Certification process of multi-functional equipment [exception] Certification procedure Conformity Certification Conformity Registration -7 6 In case where radio transmitter, receiver Conformity Certification are combine to the equipment subject to Conformity Registration, Conformity Registration processing procedures shall apply and ‘Conformity Assessment information’ shall be marked on end product.

2 Main Contents of Conformity Assessment System(3) Interim certification system Summary □ Related Laws 2 Main Contents of Conformity Assessment System(3) Interim certification system Summary □ Related Laws ü Radio Waves Act Article 58 -2. 7 ü Enforcement Decree of RWA Article 77 -5 Notification No, 11 ~ 14 □ Operation of Interim Certification System Subject Equipment Certification Criteria Apparatus without Conformity Assessment Standards applicable according to utilization of new technology Apply minimum technical requirements (Antenna Power, Unwanted emissions, Frequency etc) Certification Condition Limit on Expiration Date, Area of Installation Official Certification Apply obligations to control formal certification within designated period after Establishing certification standards Required Documents ü ① Technical documents ② Explanations of test results ③ User Manual ④ Exterior Appearance ⑤ Parts Layout or Layout Photo ⑥ Circuit Diagram ⑦ Agent Designation Letter(In cases when agent has been designated) -8 7

2 Main Contents of Conformity Assessment System(4) Conformity assessment procedure Present After Reform Assessment 2 Main Contents of Conformity Assessment System(4) Conformity assessment procedure Present After Reform Assessment Procedure Test by Application Certification Designated for Evaluation Institution Certification Test by Application Production Certificate Designated for /Import Evaluation Issue Institution Certification Production /Import /Sales Registered Test by Registration Certification Designated (Notification) Issue Institution In-house testing Type Official Approval Documents for Submission Type Approval/ Type Registration EMC Registration • Manual • General Schematic • Exterior Appearance (Photo) • Circuit Diagram • Parts Layout(Photo) • Key component specification • Test Report • Agent Designation Letter • Derivative model material Conformity Certification • Manual • General Schematic • Exterior Appearance (Photo) • Circuit Diagram • Parts Layout (Photo) • Parts Layout(Photo) • Test Report • Key component • Agent Designation specification Letter • Test Report • Derivative model • Equipment specification material • Agent Designation Letter • Derivative model material • User Manual Sales Registered Registration Certification (Notification) Issue Conformity Registration (Designation) • Test Report • Exterior Appearance • Certificate demonstrating • Circuit Diagram Conformance to • Parts Layout or Exterior Appearance Assessment criteria Standards (Photo) • Agent Designation Letter -9 8 Certificate Issue Self test conformity registration • Certificate demonstrating Conformance to Assessment criteria Standards • User Manual • Test Report • Exterior Appearance • Circuit Diagram • Parts Layout or Photo

2 Main Contents of Conformity Assessment System(5) Modification of conformity assessment device system Modification 2 Main Contents of Conformity Assessment System(5) Modification of conformity assessment device system Modification of conformity assessment device □ Related law ü Radio Wave Act Article 58 -2. 5, Enforcement Decree of RWA Article 77 - 4, Notification No, 15~17 Document for submission □ Changes pertaining to Conformity Assessment Standard ü Attach Test report ü Attach Documents Evidencing such modifications Ø Submit relevant documents of Exterior Appearance, Circuit Diagram, Parts Layout and pictures □ Changes for maintenance and management of apparatus tested by Conformity Assessment ü In changing Derivative model number, manufacturer and country : submit only alteration form ü In changing company name, name and address : Attach relevant documentary evidence Ø Transfer, affiliation, partitioning of inheritance or corporation (Including business transfer) Ø In case of changing company name or switching from individual business to corporation -10 9

2 Main Contents of Conformity Assessment System(6) Conformity assessment exemption system Conformity assessment exemption 2 Main Contents of Conformity Assessment System(6) Conformity assessment exemption system Conformity assessment exemption □ Related Laws ü Radio Waves Act Article 58 -3 ü Enforcement Decree of RWA Article 77 -6 Notification No, 18 ~ 20 □ Application Procedure for Conformity Assessment Exemption Applicant Radio Research Agency Filing up application Receipt Review Internal processing Exemption certificate receipt Exemption certificate Issue - 11 10

2 Main Contents of Conformity Assessment System(6 -1) Conformity assessment exemption system Full conformity 2 Main Contents of Conformity Assessment System(6 -1) Conformity assessment exemption system Full conformity assessment exemption ü Cases of production or import for testing, research, technical development, exhibitions or International competitions Ø equipment with purpose of testing, researching or technical development of product and broadcast telecommunication service: under 100 units ü Cases of producing not for domestic market, but exclusively for exports Partial conformity assessment exemption ü Cases when the party has submitted test results of EMC from a designated testing labs for the corresponding equipment based on the other Korean regulations waivered by Radio Waves Act Ø Items that have been certified according to [Industrial Standardization Act] Article 15 Ø Electrical appliances that have been received safety certification, safety inspection and voluntary safety confirmation report according to [Electrical Appliances Safety Control Act] Ø Industrial products that have been safety certified according to the [Quality management and the industrial safety Act] Ø Automobiles that have been self certified according to the [Automobile Management Act] Ø Fire equipment that have been type approved according to [Installation Maintenance and Safety Control of Fire-Fighting Systems Act] Ø Medical equipment that have received licenses according to [Medical Device Act] - 12 11

2 Main Contents of Conformity Assessment System(7) Conformity assessment cancellation Related laws ü Radio 2 Main Contents of Conformity Assessment System(7) Conformity assessment cancellation Related laws ü Radio Waves Act the 4 th clause of article 58 ü Enforcement Decree of RWA the 7 th clause of article 77 Conformity assessment cancellation □ Measures such as cancellation, revision, removal, elimination of conformity assessment, or measures as discontinuation of production, import, sales, and use. ü Cases of non-compliance with conformity assessment ü Cases where conformity assessment has not been done or is done falsely ü Conformity Assessment Alteration is not reported ü Cases where party of conformity registration has not stored related documents □ Conformity Assessment Cancelation ü In case when Conformity Assessment is taken through illegal and feigned methods ü In case when orders of penalty and corection are not carried out Parties of conformity assessment cancellation cannot receive a conformity assessment for the subject equipment for 1 year from the date of cancellation - 13 12

2 Main Contents of Conformity Assessment System(8) Conformity assessment marking Related laws ü Radio 2 Main Contents of Conformity Assessment System(8) Conformity assessment marking Related laws ü Radio Waves Act Article 58 -2. 6 Notification No, 23 Use of national integrative KC mark ü Apply from January 24. 2011. (Apply to apparatus which is the first release after notification) ü Possible to use certification mark which is confirmed by previous regulations until June 30. 2011. ü Print on both product and package of equipment Conformity Assessment Marking Method of Broadcasting and communications equipment etc [Revised Design] [Current Design] [Basic Design] [Display Method] KCC-CRM-ABC-XXXXXXX - 14 13

2 Main Contents of Conformity Assessment System(8 -1) Conformity assessment marking Conformity Assessment Number 2 Main Contents of Conformity Assessment System(8 -1) Conformity assessment marking Conformity Assessment Number Marking Method K C C ① Identification of Broadcasting and communication s equipment - C R M ② ③ ④ Identification of basic certification information - A B C - X X X X ⑤ ⑥ Identification of applicant’s information Product Identification ü In ①, write the identification code “KCC” that indicates it is a broadcasting and communications equipment ü In ②, write the “certification sector’ identification code Ø Conformity Certification : C(Certification), Conformity Registration : R(Rigistration), lnterim Certification : I(Interim Certification) ü In ③, write the “test sector” identification code Ø Wireless sector : R(Radio), Wired sector : T(Telecommunication), electromagnetic waves sector : E(Eletromagnetic Wave), Wired, Wireless, electromagnetic waves sector multifunction : M(Multi Function) ü In ④, write the “application device category” identification code Ø Manufacturing device : M(Manufacturer), Importing device : I(Importer), Sale device : S(Seller) ü In ⑤, write the “Applicant’ identification code” ü In ⑥, write “Product identification code (Combined use of English, Numbers is possible) of applicant - 15 14

2 Main Contents of Conformity Assessment System(9) Reinforcement of conformity assessment standards Related law 2 Main Contents of Conformity Assessment System(9) Reinforcement of conformity assessment standards Related law ü Radio Wave Act Article 58 -2 -1, Notification no, 4 Reinforcement of Conformity Assessment Standards ü Increasing concerns of product user’s safety and electromagnetic waves problems. ü To improve local manufacture company’s product quality and competitiveness and protest consumers, Strengthening of electromagnetic waves related regulation is necessary. ü Equivalent improvements of conformity assessment system with various nations according to expanded FTA/MRA international cooperation between Korea and America, Korea and EU Reinforcement of Conformity Assessment Standards Field ü Apply Conformity Assessment Standards EMC and electrical safety to IT equipment and Wireless Device Reinforcement of Conformity Assessment Standards Promotion Plan ü Reviewing grace period in consideration of economic and technical burden of manufacturer - 16 15

2 Main Contents of Conformity Assessment System(10) Conformity assessment fee Related laws √ Enforcement 2 Main Contents of Conformity Assessment System(10) Conformity assessment fee Related laws √ Enforcement Decree of RWA the 2 nd clause of article 97. (Attached table 14 -2) Conformity assessment fee Conformity Assessment Type Fee Conformity Certification and Interim Certification 165, 000 won Conformity Registration 55, 000 won Conformity assessment alteration fee Conformity Assessment Type Changes of matter pertaining to Conformity Assessment Standard Changes of matter having no relations to Conformity Assessment Standards Fee Conformity Certification Division 165, 000 won Conformity Registration 55, 000 won Conformity Certification 5, 000 won Conformity Registration 2, 000 won - 17 16

3 Market Surveillance system(1) Investigation and action Related laws ü Radio Wave Act Article 3 Market Surveillance system(1) Investigation and action Related laws ü Radio Wave Act Article 58 -11, 71 -2 ü Enforcement of Decree of RWA Article 117 - 2, 118 ü Notification No, 21 ~ 22 What is market surveillance? ü All actions related to investigating, confirming, testing and implementing surveillance actions according to results for Broadcasting and communications equipments which received conformity assessment, checking whether such equipments are being sold and distributed with proper Conformity Assessment mark & Conformity Assessment standards. Incongruity report ü When discovering that an equipment has a critical defect or does not comply with Conformity Assessment standards, the party reports such truths, corrects the defect or takes other necessary actions. - 18 17

3 Market Surveillance system(1 -1) Investigation and action Market Surveillance procedure Collect at a 3 Market Surveillance system(1 -1) Investigation and action Market Surveillance procedure Collect at a cost / free of charge Ø Select and Collect object of Market Surveillance Ø Select and Collect object of follow up service Suitability Judgment Ø Test Ø Verify suitability of technical standards and certification mark - 19 18 Administrative Penalty Ø Verify suitability of technical standards and certification mark 1 st : Correction Order 2 nd : Order of Manufacturing, Importing, Sales suspend rd : Cancel Certification 3

3 Market Surveillance system(2) Administrative penalty standards Administrative Penalty Standards for individuals have received 3 Market Surveillance system(2) Administrative penalty standards Administrative Penalty Standards for individuals have received conformity assessment (Enforcement Decree of RWA relative to article 118 -1, Attached table 23) Administrative Penalty Standards Violations Legal Basis 1 st 2 nd 3 rd Article 58 -4. 1. 1 Suspending order of Correction order manufacturing, importing and sales(2 month) Cancel Cases where Conformity Assessment is not marked Article 58 -4. 1. 2 Suspending order of Correction order manufacturing, importing and sales(1 month) Suspending order of manufacturing, importing and sales(2 month) Cases of using Conformity Assessment mark suspiciously Article 58 -4. 1. 2 Cases when Broadcasting and communications equipment is not in compliance with Conformity Assessment standards Cases when Conformity Assessment Alteration is not Conformity Assessment standard is not reported B. Correction order decelerated of changes. documents Cases of when received conformity assessment falsely or in some illegal method Cases of not enforcing the measures for improvement according Article 58 -4. 1 - Cancel Article 58 -4. 1. 3 Cases when the except matter of case A is not Cases of violating Article 58 -2. 1 of not preparing the proper - Suspending order of Correction order manufacturing, importing and sales(2 month) reported. A. Cases when the alternation matter of pertaining to Cancel Article 58 -4. 1. 4 Correction order Suspending order of Correction order manufacturing, importing and sales(2 month) Correction order Suspending order of manufacturing, importing and sales(4 month) Article 58 -4. 2. 4 Cancel - - Article 58 -4. 1. 2 Cancel - - - 20 19

3 Market Surveillance system(2) Correctional fine The criteria of Correctional Fine for Broadcasting and 3 Market Surveillance system(2) Correctional fine The criteria of Correctional Fine for Broadcasting and Communications equipment violation (Enforcement Decree of RWA relative to article 124 -1, Attached table 28) (Unit: 10, 000 won) Correctional Fine Violations Legal Basis registration in violation of Article 58 -2. 4 Cases not reporting changes in violation of Article 58 -2. 5 2 nd 3 rd Article 90 -5. 2 100 200 300 Article 92 -4 Cases not preparing related documents after conformity 1 st 50 70 100 Article 90 -5. 3 100 200 300 Article 92 -5 50 70 100 Article 90 -5. 4 100 200 300 Article 90 -5. 5 100 200 300 Cases selling or renting without showing that they have received conformity assessment in violation of Article 58 -2. 6, or individuals displaying, storage or transporting for purposes of selling or renting or installing into radio or broadcast station networks Cases not enforcing conditions of provisional certification in violation of Article 58 -2. 7 Cases having refused or interfered with requests for document submission in violation of Article 58 -6. 1 Cases having refused or interfered with request for submission or equipment in accordance of Act 58 -6. 1 and 71 -2. 2 (including applied cases of Act 47 -3. 4) - 21 20

4 Testing Laboratory Designation and Management(1) Testing laboratory designation and management Testing Laboratory Designation 4 Testing Laboratory Designation and Management(1) Testing laboratory designation and management Testing Laboratory Designation and Management □ Related laws ü Radio Waves Act from the 5 th Clause to 7 th Clause of Article 58 ü Enforcement Decree of RWA from the 8 th Clause to 11 th Clause of Article 77 ※ Consign certification test duty to private testing laboratory for a prompt test and utilizing civil professionalism Designation Field: 5 Field ü Wired Field ü Wireless Field ü EMC Field ü Electrical Safety Field ü Specific Absorption Rate Field - 22 21

4 Testing Laboratory Designation and Management(2) Testing laboratory designation and management Introduction of accreditation 4 Testing Laboratory Designation and Management(2) Testing laboratory designation and management Introduction of accreditation organization (Enforcement Decree of RWA related to Article 77 - 9) □ Purpose of introduction ü Managing accreditation organization evaluating and operating capability in accordance with International standards ü Promoting international recognition for accreditation organization in field of broadcasting and communications □ Managing accreditation organization ü When evaluating a Broadcasting communication testing lab (new, change), accreditation organization evaluates the test performance capability. ü Determining whether the designation of testing labs is available according to the board of accreditation’s ü reviewing based on evaluation result by accreditation organization. □ Structure of accreditation organization ü The board of accreditation, The board of operation. The board of Technology, The board of Education, proficiency operation Agency. □ After designating accreditation testing labs (new, change), KCC performs periodical and non-scheduled audit directly in order to satisfy accreditation requirement. - 23 22

4 Testing Laboratory Designation and Management(3) Testing laboratory designation and management Observance matter of 4 Testing Laboratory Designation and Management(3) Testing laboratory designation and management Observance matter of Recognized Test Agency. (Enforcement Decree of RWA related to Article 77 -11 □ Matters related to Testing Measurement ü Shall maintain conditions for exact test result in accordance with conformity assessment criteria □ Matters related Education ü Shall establish education to improve the quality management testing capacities of employees □ Matters related test related document ü Test related document (Test result, RAW Data, Program etc) related with conformity assessment shall be stored for 5 years □ Matters related quality management regulation ü Shall revise and maintain quality management of test work in accordance with ISO/IEC 17025 □ Matters of sample test ü At least 3 among 1000 of conformity registration equipments shall be managed by extracting samples according to test report as issued by Testing Laboratory, the test results of which shall be reported to the Korea Communication Commission. - 24 23

4 Testing Laboratory Designation and Management(4) Testing laboratory designation and management Standards for duty 4 Testing Laboratory Designation and Management(4) Testing laboratory designation and management Standards for duty termination and cancellation of Recognized Test Agency (Enforcement Decree of RWA related to Article 118 -2, Attached table 28) Violations Regulations Administrative Penalty Standards 1 st Cases of performing testing operations inaccurately either intentionally or by grave error Article 58 -7. 2. 1 Cases of refusing, interfering, or evading requests for document submission or testing without proper cause in Article 58 -7. 2. 2 violation of Article 58 -6. 1 Cases of insufficiency of designated conditions in violation of Article 58 -5. 1 Cases of not faithfully performing testing activities without proper cause Cases of not implementing corrective measures in violation of Article 58 -7. 1 Cases of having received designation through falsities or other illegal method Cases of performing testing activities within a time period of cease and desist order Article 58 -7. 2. 3 Article 58 -7. 2. 4 Article 58 -7. 3. 1 2 nd Partial suspension (6 months) Partial suspension (3 months) (6 months) Partial suspension (6 months) (1 year) Partial suspension (1 Partial suspension months) (3 months) Partial suspension (6 months) (1 year) Article 58 -7. 3. 1 Designation Cancel Article 58 -7. 3. 2 Designation Cancel Article 58 -7. 3. 3 Designation Cancel - Cases in which a recognized test agency has already received two (2) cease and desist orders in violation of Article 58 -7. 2 yet again receives a cease and desist order for the same violation - 25 24 -

4 Testing Laboratory Designation and Management(5) Accreditation test lab fee Related laws ü Radio 4 Testing Laboratory Designation and Management(5) Accreditation test lab fee Related laws ü Radio Waves Act 2 nd Clause of Article 97 -2 (Attached table 14 -2) Recognized Test Agency Fee Type of Conformity Assessment 1, 990, 000 won Wireless Sector 1, 990, 000 won Microwave Conformity 5, 440, 000 won Electronic Safety 1, 990, 000 won Specific Absorption Rate Apply for Modification Fee Wired Sector New and Additional Application Designated Sector 2, 050, 000 won Applies by sector 990, 000 won ü Accreditation applying Fee = Sum of relevant sector Fee – {( number of applying sector -1)*580, 000 ü Change-applying is applied to sub sector change - 26 25

Maximizing Value Leading Broadcast Communication Standards Service to Satisfying Customers Thank you 27 Maximizing Value Leading Broadcast Communication Standards Service to Satisfying Customers Thank you 27

RADIO RESEARCH AGENCY Contact Point Radio Research Agency Keun-cheul, Hwang ☎ +82 -02 -710 RADIO RESEARCH AGENCY Contact Point Radio Research Agency Keun-cheul, Hwang ☎ +82 -02 -710 -6612 e-mail : rrlhkc@kcc. go. kr 28