Rev. No.

12

RULES FOR CERTIFICATION OF
MANAGEMENT SYSTEMS

Date of Establish: October 12, 2007

RULES FOR CERTIFICATION OF MANAGEMENT SYSTEMSCONTENTS
CHAPTER 1
1.1

CHAPTER 2

GENERAL RULES
GENERAL

CERTIFICATION OF MANAGEMENT SYSTEMS

2.1

GENERAL

2.2

REGISTER BOOK

2.3

CERTIFICATE

2.4

USE OF CERTIFICATION MARK AND REFERENCE TO
CERTIFICATION

2.5

MAINTAINING CERTIFICATION

2.6

CONTINUING CERTIFICATION

2.7

REFUSING, WITHDRAWING, SUSPENDING, RESTORINGFOLLOWING SUSPENSION, EXPANDING OR REDUCING THE
SCOPE OF CERTIFICATION

2.8

CHAPTER 3

TRANSFER OF CERTIFICATIONCERTIFICATION

3.1

GENERAL

3.2

INITIAL AUDIT

3.3

RENEWAL AUDIT

3.4

ANNUAL AUDIT (SURVEILLANCE AUDIT)

3.5

OCCASIONAL AUDIT

3.6

PREPARATIONS FOR AUDIT

CHAPTER 4

FEES AND EXPENSES

4.1

FEES

4.2

EXPENSESCHAPTER 5

MISCELLANEOUS

5.1

PROVISION OF INFORMATION

5.2

CONFIDENTIALITY

5.3

MAINTENANCE OF OWNERSHIP

5.4

APPEALS AND COMPLAINTSRULES FOR CERTIFICATION OF MANAGEMENT SYSTEMSCHAPTER 1

1.1

GENERAL RULES

GeneralNIPPON KAIJI KYOKAI (hereinafter referred to as “the Society”) audits and registers(hereinafter referred to as “certification”) quality, environmental, occupational health and safety,
road traffic safety, and energy management systems (hereinafter referred to as “the management
systems”) of the organizations which are manufacturing and/or supplying products, including
ships, steel structure, machinery, material, etc., and servicing for them (hereinafter referred to as“Organizations”) under the provisions of the Rules for Certification of Management Systems of
the Society (hereinafter referred to as “the Rules”).

CHAPTER 2

2.1

CERTIFICATION OF MANAGEMENT SYSTEMSGeneral-1 The Society carries out initial audits for certification of management systems of organizations by
the auditors of the Society in accordance with the provisions of Chapter 3, and registers the
management systems of the relevant organizations in the Management System Register Books
respectively when the management systems of the organizations are found to conform to therequirements of the management systems standards.
-2 The organization is to specify the applicable standards, scopes of the products to be applied andmanufacturing works in the application.
The Society, however, declines the application when the Society considers that the objects of theapplication do not fall under the scope of the certification specified in the Rules.
-3 The Society shall have a legally enforceable agreement for the provision of certification activities
with the organization. In addition, where there are multiple sites of the organization, theagreement shall cover all the sites within the scope of the certification.

2.2

Register Book

-1

The Society registers the certification number and date, the name and address of theorganization and/or the manufacturing works that have been allowed to be registered, theorganization’s activities, and the applicable standards.

-2

The Society describes the registered items as indicated above -1 in the Register Book and makes
it public.

-3

In case the items described in the Register Book are changed, the organization of which
management systems are registered (hereinafter referred to as “certified organization”) shallnotify the changes to the Society without delay.

-4

In case changes are made to the registered items, the Society revises the relevant parts of theRegister Book accordingly.

2.3

Certificate-1

The Society issues an appropriate Management System Certificate (hereinafter referred to as a
“Certificate”) to the certified organization.

-2

The validity of the Certificate to be issued on the basis of an initial audit is 3 years counting
from the date of certification decision (hereinafter referred to as the “registration date”). The
validity of the Certificate to be issued after recertification on the basis of a renewal audit is 3
years.

-3

When the certification is withdrawn under the provisions of 2.7, the certified organization is topromptly discard the invalidated Certificate.
In addition, the certified organization is to discontinue use of all advertising matter that contains
any reference to the certification.

-4

The certified organization shall request the Society to reissue the Certificate, without delay,
when the Certificate is lost or damaged.

-5

The certified organization shall request the Society to rewrite the Certificate, without delay,
when the particulars described on the Certificate are changed.

2.4

Use of Certification Mark and Reference to Certification

2.4.1 Use of Certification MarkThe certified organization may use the certification mark in their stationary and publicity
materials in accordance with the Society’s criteria for use of the certification mark.

2.4.2 Reference to Certification
The certified organization may make reference to its certification status in their stationary andpublicity materials in accordance with the Society’s requirements.

2.5

Maintaining Certification-1

The certified organization is to be subjected to annual audits and occasional audits in accordancewith the provisions of Chapter 3 for maintaining Certification.

-2

In case major changes are made to the certified management systems, the certified organization
is to notify them to the Society, and is to be subjected to the occasional audit as deemednecessary by the Society according to the nature and extent of the changes, in accordance withthe provisions of Chapter 3.

-3

The Society requests the certified organization to undergo an occasional audit, where theSociety finds the non-conformities to the requirements of the applicable standards in thecertified management systems as a result of analysis of the complaints and/or other information.

-4

The Society is to refer to the certified organization, and require it an occasional audit of auditorsof the Society as necessary, when the Society leans that a case has occurred in seriously
affecting the management system of it.

-5 In cases a certified organization wish to restore its suspended certification, the organization shallundergo an occasional audit by the Society.

2.6

Continuing Certification-1

In order to keep the certification at its expiration, the certified organization is to be subjected toa renewal audit in accordance with the provisions of Chapter 3.

-2

Where the renewal audit are successfully completed prior to the expiry date of the existingcertificate, the new certificate shall be issued based on the expiry date of the existingcertification.

-3

Where the renewal audit has not been completed prior to the expiry date of the existingcertificate, the certification shall be withdrawn.

-4

Following expiration of certification, where the outstanding renewal audit activities arecompleted within 6 months, the validity of the certification can be restored. In this case, theexpiry date of the new certificate shall be based on prior certification cycle.

2.7

Refusing, Withdrawing, Suspending, Restoring following Suspension, Expanding
or Reducing the Scope of Certification

2.7.1 Refusing Certification
The Society refuses the certification and notifies the relevant client organization of it in case of
one of the following cases:(1) A certification agreement cannot be made with the client organization(2) A relationship with the client organization poses an unacceptable threat to impartiality(3) Business activities not acceptable socially, such as serious illegal business activities, arefound to be made by the client organization;(4) At initial audits, intentional false statements are found to be made by the client organization(5) The initial audit cannot be completed.

2.7.2 Withdrawing Certification-1

The Society withdraws the certification and notifies the relevant certified organization of it incase of one of the following cases:(1) The certified organization is not subjected to the annual audit and/or occasional audit as
defined in 2.5;
(2) At annual audits and/or renewal audits as defined in 2.5, persistent or serious
nonconformities are found, and thereupon, the Society considers that the certification of therelevant organization shall be withdrawn;(3) At audits as defined in 2.5 and/or renewal audits, intentional false statements are found to bemade by the certified organization;(4) the requirements of the Rules are changed and the certified organization has no intention tocomply with the changed requirements or is unable to conform thereto;(5) the certified organization improperly uses the certification system, the certificate and audit
report by the way to bring about misunderstanding, and the certified organization dose notconform to the criteria for use of the Certification Mark specified by the Society;(6) the activities with respect to the certification have been suspended for a long time;(7) business activities not acceptable socially, such as serious illegal business activities, arefound to be made by the certified organization; and(8) audit fees are not paid.

-2

Where the cancellation of the certification is requested by the certified organization itself, theSociety withdraws the certification and notifies the relevant certified organization of it.

2.7.3 Suspending and Restoring following Suspension-1

The Society suspends the validity of the Certificate, and notify that to the relevant certifiedorganization if correspond to any of the followings.
(1) the Society deems it appropriate to give a grace period for withdrawal of the certification,
when the case comes under 2.7.2 -1 in above; and(2) the certified organization requests suspension of the certification.
-2

The certification shall be restored if the issue that has resulted in the suspension has been
resolved within the specified period by the Society.

2.7.4 Expanding and Reducing the Scope of Certification-1 When receiving the application for extension to the scope of a certification from an organization,
the Society shall conduct an occasional audit necessary to decide whether or not the extension
may be granted, and if the requirements are fulfilled, extend the scope of certification and issue
a new Certificate to the organization.
-2

The Society reduces the scope of the certification and notifies it to the certified organization, if
correspond to any of the followings:(1) At annual audits and/or renewal audits as defined in 2.5, persistent or serious
nonconformities are found, and thereupon, and the Society deems it appropriate to reduce
the scope of certification; and(2) the certified organization requests reduce of the scope of the certification.

2.8

Transfer of Certification
When receiving the application for transfer of certification from an organization, the Society
shall review the situation against the specified requirements, and if the requirements are fulfilled,transfer the certification and issue a new Certificate to the organization.

CHAPTER 3

CERTIFICATION

3.1

General-1

Application for an initial audit, a renewal audit, an annual audit or an occasional audit is to bemade by the organization or the certified organization.

-2

The renewal audit is to be conducted by the date of expiry of the Certificate.

-3

Annual audits shall be conducted in the first and second years following initial certification or
re-certification decisions.

-4

Occasional audit under the provisions of 2.5 -2 is to be made, if correspond to any of thefollowings:(1) major changes to the certified management system have been made; and(2) the requirements of the applicable standards have been changed.

-5

The Society notifies the organization in advance the plan of audit including the schedule andinformation of audit team.
However, the Society may change the plan on the way of audit when the Society deems it
necessary to change the plan for audit on relevant non-conforming matters.

-6

The Society notifies the organization or the certified organization of any result of the audit after
completion of it.

-7

The certified organization shall maintain the management system in compliance with therequirements of the applicable standards.
In case non-conformities with the applicable standards are found in the management system, thecertified organization is required to take appropriate corrective action immediately.

3.2

Initial Audit

3.2.1 General
In advance, the Society reviews the documents submitted relating to the relevant management
systems according to 3.2.2 (hereinafter referred to as “stage 1 audit (document)”, and confirms
the systems in compliance with the requirements of the applicable standards. Thereafter, theSociety carries out the stage 1 audit (visit) and Stage 2 audit as defined in 3.2.3-2 and 3.2.4
respectively, and verifies the performance of the management systems conforms to therequirements of the applicable standards.
3.2.2 Documents To Be Submitted-1

The organization who applies for certification of the Quality Management Systems is required
to submit the documents mentioned below to the Society.
(1) Quality management system documents,(2) List of documented information such as procedures and/or work instructions related to thequality management system,(3) List of the products applied to the quality management system,(4) Outline of the organization (general features of the organization, including significant
aspects of its process and operations, and any relevant legal obligations),(5) Outline of the business (general information, relevant for the field of certification applied for,concerning the organization, such as its activities, human and technical resources, functions
and relationship in a larger corporation, if any), and(6) Other reference materials explaining the quality management system (information
concerning all outsourced processes used by the organization that will affect conformity torequirements.).

-2

The organization who applies for certification of the Environmental Management System isrequired to submit the documents mentioned below to the Society.
(1) Environmental management system,(2) Evaluation of environmental aspects,(3) Environmental management programs,(4) Outlines of legal and other requirement,(5) Outline of the organization (general features of the organization, including significant
aspects of its process and operations, and any relevant legal obligations),(6) Outline of the business (general information, relevant for the field of certification applied for,concerning the organization, such as its activities, human and technical resources, functions
and relationship in a larger corporation, if any), and(7) Other reference materials explaining the environmental management system (information
concerning all outsourced processes used by the organization that will affect conformity torequirements.).

-3

The organization who applies for certification of the Occupational Health and Safety
Management System is required to submit the documents mentioned below to the Society.
(1) Occupational health and safety management system,

(2) Hazards, occupational health and safety risks and hazardous materials,(3) Objectives and programme(s),(4) Outlines of legal and other requirement applicable,(5) Outline of the organization (general features of the organization, including significant
aspects of its process and operations, and any relevant legal obligations),(6) Outline of the business (general information, relevant for the field of certification applied for,concerning the organization, such as its activities, human and technical resources, functions
and relationship in a larger corporation, if any), and(7) Other reference materials explaining the occupational health and safety management system(information concerning all outsourced processes used by the organization that will affectconformity to requirements.).
-4

The organization who applies for certification of the Road Traffic Safety Management System isrequired to submit the documents mentioned below to the Society.
(1) Road Traffic Safety Management System,(2) Documents for Performance factors, and for risks and opportunities to be addressed,(3) Management program (Road traffic safety objectives and detailed objectives established,
and the action plan for achieving them),(4) Outlines of legal and other requirement applicable,(5) Outline of the organization (general features of the organization, including its process andany important aspects relevant its operations),(6) Outline of the business (general information, relevant for the field of certification applied for,concerning the organization, such as its activities, human and technical resources, functions
and relationship in a larger corporation, if any), and(7) Other reference materials explaining the management system (information concerning all
outsourced processes used by the organization that will affect conformity to requirements.).

-5

The organization who applies for certification of the Energy Management System is required tosubmit the documents mentioned below to the Society.
(1) Energy Management System,(2) Documents for Energy performance (Energy resources, energy consumption, energy
efficiency and so on),(3) Management program (Objectives established for the improvement of energy performance,
and the action plan for achieving them),(4) Outlines of legal and other requirement applicable,(5) Outline of the organization (general features of the organization, including its process andany important aspects relevant its operations),(6) Outline of the business (general information, relevant for the field of certification applied for,concerning the organization, such as its activities, human and technical resources, functions
and relationship in a larger corporation, if any), and(7) Other reference materials explaining the management system (information concerning all
outsourced processes used by the organization that will affect conformity to requirements.).

-6

In addition to those mentioned in -1, -2 , -3, -4 and -5 above, the Society may require theorganization to submit the additional materials with respect to the relevant management systems
if deemed necessary the Society.

3.2.3 Stage 1 Audit

-1

Where the non-conformities with the requirements of the applicable standards are found in the
documents submitted as mentioned above 3.2.2 at the stage 1 audit (document), the Society
requires the organization to correct the related documents accordingly.

-2

The auditors visit the organization and carry out the stage 1 audit (visit) in advance of the stage
2 audit in order to understand the structure, details of business, etc., to evaluate the preparedness
for the stage 2 audit, and thereupon to draw up the plan for the stage 2 audit.

3.2.4 Stage 2 Audit-1

In the stage 2 audit, the Society audits conformance of the management systems with therequirements of the applicable standards referring to the management system documents andrecords, and the results of the Stage 2 audit are to be notified to the organization.

-2

As a rule, the stage 2 audit is to be carried out by an audit team consisting of two or more
auditors. When the number of employee in the organization is less than 50 persons, the audit
can be carried out by one auditor.

-3

The Society requires the organization to take corrective actions where non-conformities with therequirements of the applicable standards are found in the stage 2 audit.

-4

The Society confirms effectiveness of the corrective actions taken by the organization for nonconformities pointed out in the stage 2 audit at the follow-up audit.

-5

The completion of the corrective actions to all nonconformities is the condition for certification.
The initial audit is completed by sending the follow-up audit report to the organization.

3.3

Renewal Audit

3.3.1 Items, Scope and Extent of Renewal Audit
In the renewal audit, the Society shall confirm the overall continuing conformity andeffectiveness of the management systems in their entity, and their continuing relevance andapplicability for the scope of certification.
3.3.2 Planning and Conducting Audit-1

The renewal audit shall be planned to be completed by the date of expiry of the Certificate
together with related recertification activities. The recertification activities shall include all theactivities from planning and conducting of the audit and dealing with nonconformities torecertification decision.

-2

In compliance with -1 above, the renewal audit shall be conducted within the range of period
between 6 months and 1 months, both prior to the expiry of the Certificate.

3.3.3 Actions for Non-conformities
When nonconformity(s) are identified during a renewal audit, correction and corrective actions
shall be implemented within the time limit defined by the Society. For any major nonconformity,
these actions shall be implemented immediately by the organization and verified by the Society
prior to the expiration of certification. For any minor nonconformity, the organization shallmake plans for correction and corrective actions and obtain the Society’s confirmation prior to
the expiration of certification.

3.4

Annual audit (surveillance audit)

3.4.1 Items, Scope, and Extent of Surveillance-1

In the annual audit, the Society confirms that the management systems of the certified
organization are effectively maintained in compliance with the requirements of the applicablestandards through the review of the records and other materials.
-2

Certified organizations can choose to undergo annual audits twice a calendar year. In this case,the annual audit will be planned and conducted so as to achieve objectives through the twotimes audits in a calendar year.

3.4.2 Conducting audit
The date of the first annual audit following initial certification shall not be more than 12 months
from the certification decision date. The subsequent annual audits shall be conducted at least
once a calendar year, except in renewal (recertification) years.
3.4.3 Actions for Non-conformities
When nonconformity(s) are identified during an annual audit, correction and corrective actions
shall be implemented by the organization. For any major nonconformity, these actions shall be
implemented immediately by the organization and verified by the Society within the time limit
defined by the Society. For any minor nonconformity, the organization shall make plans forcorrection and corrective actions and obtain the Society’s confirmation within the time limit
defined by the Society.

3.5

Occasional Audit-1

In the occasional audit under 2.5 -2, the Society carries out an audit on the necessary items
according to the respective changes specified in 3.1-4, and verifies that the management systems
conform to the requirements of the applicable standards and to be maintained effectively.

-2

In the occasional audit under 2.5 -3, the Society carries out an audit on the necessary items
against the non-conformities, and verifies that the corrective actions taken conform to therequirements of the applicable standards.

-3

In the occasional audit under 2.5-4, the Society carries out an audit to investigate into the matter,and verifies that the necessary corrective actions are taken for the matter and conform to therequirements of the applicable standards.

-4

In the occasional audit under 2.5-5, the Society carries out an audit to confirm settlement of thecause of the suspension by the deadline set by the Society.

-5 An occasional audit of a certified organization shall in principle be carried out at the request of
the organization and in accordance with the agreement of the organization after due notice.
When the Society however does not consider it appropriate to give such notice in advance, theorganization shall accept the occasional audit without having advance notice.

3.6

Preparations for Audits

3.6.1 Preparations for Audit-1

The organization which undergoes an audit of the Society shall make the necessary preparations
according to the audit plan notified by the Society.

-2

The organization which undergoes an audit of the Society shall assign the personnel who are
fully conversant with the items of the audit and have the ability to assist the audit, and makethem attend at the audit.
And the organization shall ensure that the auditors are able to access all documents and records
related to the management systems.

-3

The organization or the certified organization is to make all necessary arrangements for the
conduct of the audits, including provision for examining documentation and the access to allprocesses and areas, records and personnel for the purposes of initial certification, surveillance,recertification and resolution of complaints.
-4

The organization or the certified organization is to make provisions, where applicable, toaccommodate the presence of observers (e.g. personnel of accreditation organizations or trainee
auditors of the Society).

3.6.2 Suspension of Audit
Where the organization does not make the necessary preparations including personnel to assist
the audit, or the auditor judges that the audit is unsafe, the audit may be suspended.

CHAPTER 4

FEES AND EXPENSES

4.1

Fees

-1

Fees will be charged in accordance with the separate provisions at each case of the followings:(1) Audit is performed in accordance with the Rules;(2) A Certificate is issued, reissued or rewritten in accordance with the Rules; and(3) Audit specified above (1) is performed, and management system of certified organization iscertified in accreditation bodies or maintained its certification.

-2

The Society charges fees according to the standards separately established in addition to -1
above to the certified organization having the certificate with the symbols or symbol marks ofaccreditation organizations.

4.2

Expenses
When an audit is performed in accordance with the Rules, traveling and other expenses will becharged in accordance with the separate provisions.

CHAPTER 5

MISCELLANEOUS

5.1

Provision of Information-1

The certified organization is to furnish the Society with complete and correct information
deemed necessary by the Society for maintaining certification.

-2

The certified organization shall ensure that the Society is able to access the records of allcommunications and actions taken in accordance with the applicable standards or other criteria.

-3

The Society is to maintain and make public the information in accordance with the requirements
for the certification bodies.

-4

On the requirements for certification, the Society is to provide the information and update thecertified organizations

5.2

Confidentiality
The Society is responsible for not disclosing any confidential information for a particularorganization obtained or created during the performance of certification to third parties without

the written consent of the relevant organization excluding the disclosure of the following.
(1) Information that is made public in accordance with the requirements for the certification
bodies(2) Information that is made publicly accessible by the relevant organization
When the Society is required by law to release confidential information, the relevantorganization shall, unless prohibited by law, be notified of the information provided.
5.3

Maintenance of Ownership
The Society is to maintain the ownership of the audit reports issued after the audits.

5.4

Appeals and Complaints
Where the organization has any appeals or complaints regarding the audit performed inaccordance with this Rule, the organization can appeal to the Society within the period
otherwise specified.

Supplements
1. The Rules become effective on 1 September 2022.