JQA Management System Certification/Registration Rules

18th Edition, Revised on March 20, 2024

Effective from April 1, 2024

Management Systems Sector,
Japan Quality Assurance Organization

Introduction
This document of rules defines the details of JQA Management System Certification/Registration Scheme (hereinafter referred
to as “Certification Scheme”) operated by Japan Quality Assurance Organization (hereinafter referred to as “JQA”), which,however, does not preclude, for certain standards, from separately defining exceptions to the rules set forth hereunder.
(Exceptions in the Appendix5 takes priority over the main text, otherwise the main text shall be applied.)

Scope
This document applies to the certification/registration of conformity with the standards listed below, of organizations seeking to
be registered in accordance with the Certification Scheme (hereinafter referred to as “auditee organization”) and oforganizations already registered based upon clause 7 (hereinafter referred to as “registered organization”).
The auditee or registered organization (hereinafter referred to as “auditee/registered organization”) meanwhile undertakes full
responsibility that this rules and the Agreement for Certification/Registration defined in clause 1.1 shall apply to the associatedorganizations and associated firms, which are included in scope of registration.
Accreditation criteria on which this document is based are given under “Reference criteria” on the next page. Each sector
standard has specific rules and therefore, the most current version of accreditation criteria for each shall apply in addition to therules of this document.
Applicable Standards
ISO 9001（JIS Q 9001） NOTE2IATF 16949

Abbrev.

AB

Quality Management System

ISO 9001

JAB UKAS

Quality Management System (Automotive)

IATF 16949

IATF

NOTE1

JIS Q 9100

NOTE2

Quality Management System (Aerospace)

JIS Q 9100

JAB IAQG JRMC

SJAC 9120

NOTE2

Quality Management System (Aerospace)

SJAC 9120－

TL 9000

NOTE2

Quality Management System (Telecommunications)

TL 9000

JAB

NOTE2

Quality Management System (Medical devices)

ISO 13485

JAB

NOTE2

Environmental Management System

ISO 14001

JAB UKAS

ISO 50001（JIS Q 50001）

Energy Management System

ISO 50001－

ISO 45001（JIS Q 45001） NOTE2

Occupational Health And Safety Management System

ISO 45001－

ISO/IEC 27001（JIS Q 27001）

Information Security Management System

ISO/IEC 27001

ISMS-AC UKAS

JIP-ISMS517

ISMS Cloud Security Management System
Privacy Information Management System

ISMS-ACISMS-CLS
ISO/IEC 27701 ISMS-AC

Personal Information Protection Management System

JIS Q 15001－

ISO/IEC 20000-1（JIS Q 20000-1） IT Service Management System

ISO/IEC 20000

ISMS-ACISO 22301（JIS Q 22301）

Business Continuity Management System

ISO 22301

ISMS-ACISO 9001-HACCP

Hazard Analysis and Critical Control Point System

HACCP

－

ISO 22000 NOTE2

Food Safety Management System

ISO 22000

JAB

Food Safety System Certification 22000

FSSC 22000

JAB FSSC

Food Safety Management SystemJFS-C

JAB JFSM

ISO 39001

Road Traffic Safety Management System

ISO 39001－

ISO 29990

Learning Service Management System

ISO 29990－

Educational Organization Management Systems

ISO 21001－

ISO 13485（JIS Q 13485）
ISO 14001（JIS Q 14001）

NOTE3

ISO/IEC 27701

NOTE3

JIS Q 15001 NOTE3FSSC 22000

NOTE2

JFS-C Standard

NOTE2

ISO 21001

NOTE2

NOTE3

CSPM Standard
Chemical Substance in Products Management
CSPM－（NOTE1） Accreditation Bodies (AB), etc. mean bodies listed below that have granted accreditation to JQA and given their approval that JQA
operates the Certification Scheme, and IQNET (International Certification Network) (hereinafter referred to as “Accreditation
Bodies”)（NOTE2） For some of the sectors, JQA are granted accreditation by the Accreditation Bodies, for limited part only.
（NOTE3） Standards applicable to Assessments Combination (Refer to Rules specific for Assessments Combination )JQA Management System Certification/Registration Rules［18th Edition］

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Accreditation Bodies
JAB

Japan Accreditation Board

UKAS

United Kingdom Accreditation Service（UK）

IATF

International Automotive Task Force

ISMS-ACISMS Accreditation Center

IAQG

International Aerospace Quality Group

JRMC

Japan Registration Management Committee

FSSC

Foundation FSSC （NED）

JFSM

Japan Food Safety Management Association

Reference criteria
Standards
ISO 9001

Name of Accreditation Criteria

ISO 14001

Conformity assessment — Requirements for bodies providing audit and certification of management systems — Part
1:Requirements（ISO/IEC17021-1（JIS Q 17021-1）)

IATF 16949

AUTOMOTIVE CERTIFICATION SCHEME FOR IATF16949 Rules for achieving and maintaining IATF recognition

JIS Q 9100

Procedures for Accrediting Management System Certification Bodies (JAB MS200)
Requirements for Aviation, Space, and Defence Quality Management System Certification Programs (SJAC 9104-1)
Quality Management Systems Audit Requirements for Aviation, Space, and Defense Organizations (SJAC 9101)

SJAC 9120
TL 9000

Accreditation Criteria for Bodies Operating Certification/Registration of Quality Management Systems – Telecommunications(JAB MS102)
Requirements Handbook/Measurements Handbook/TL9000 Information Alert

ISO 13485

Application of ISO/IEC 17021-1 in the Field of Medical Device Quality Management Systems (ISO 13485)( IAF MD9)

ISO/IEC 27001

Accreditation Criteria and Guidance for Bodies Operating Certification/Registration of Information Security Management
Systems (JIP-ISAC100)
Information technology -- Security techniques -- Requirements for bodies providing audit and certification of information security
management systems (ISO/IEC 27006-1)
ISMS Accreditation Criteria for Bodies Operating Certification/Registration of Security Controls based on ISO/IEC 27701 forcloud services (JIP-ISAC101)
ISMS-PIMS Accreditation Criteria for Bodies Operating Certification/Registration (JIP-ISAC102)
Requirements for bodies providing audit and certification of information security management systems -- Part 2: Privacy
information management systems (ISO/IEC TS 27006-2)

ISMS-CLS
ISO/IEC 27701

ISO/IEC 20000

Accreditation Criteria and Guidance for Bodies Operating Certification/Registration of IT Service Management Systems (JIPITAC100)
Information Technology – Service management 6th. Requirement for bodies providing audit and certification of IT Service
Management Systems (ISO/IEC 20000-6)

ISO 45001

Application of ISO/IEC 17021-1 for the Certification of Occupational Health and Safety Management Systems (OH&SMS)(IAF MD22)

ISO 22000

Food safety management systems -- Requirements for bodies providing audit and certification of food safety management
systems (ISO 22003-1)

FSSC 22000

Food safety management systems -- Requirements for bodies providing audit and certification of food safety management
systems (ISO 22003-1)
FSSC 22000 Part 3 Requirements for Certification Process
FSSC 22000 Part 4 Requirements for Certification Bodies

JFS-C

JFS-C Certification program documents

ISO 22301

Accreditation Criteria for Bodies Operating Certification/Registration of Business Continuity Management Systems (JIPBCAC100)

CommonProcedures for Accrediting Management System Certification Bodies and others (JAB MS200, JAB203, etc.)

JQA Management System Certification/Registration Rules［18th Edition］

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Contents
1．Application for Certification/Registration……………………………………………………5

2．Contract Review……………………………………………………5

3．Places of Assessment, Assessment Report and Assessment Team, etc.
……………………………………………………5
4．Safety……………………………………………………7

5．Initial Assessment……………………………………………………7

6．Decision on Registration……………………………………………………97．Registration……………………………………………………9

8．Publication of Information on Registration……………………………………………………99．Surveillance/Recertification Assessment……………………………………………………10

10．Change Assessment/Transition Assessment……………………………………………………12

11．Pre-assessment……………………………………………………12

12．Suspension of Registration and Lifting Suspension……………………………………………………13

13．Withdrawal of Registration, Reducing the Scope of Registration and Voluntary Cancellation of Registration……………………………………………………13
14．Non-periodic Assessment……………………………………………………13

15．Special Assessment……………………………………………………13

16．Appeals……………………………………………………14

17．Witnessing Assessment, Assessing Documents and Others by Accreditation Bodies……………………………………………………1418．Request for Investigation and Information from Auditee/Registered Organization……………………14

19．Fees……………………………………………………14

20．Transfer of Registration from Other Bodies……………………………………………………14

21．Revision, etc.

……………………………………………………15

Supplementary Provision 1 Reasons for Not Accepting an Application for Registration…………………..16

Supplementary Provision 2 Reasons for Suspending Registration…………………………………………16

Supplementary Provision 3 Reasons for Withdrawing Registration…………………………………………17

Supplementary Provision 4 ICT-based remote audit…………………………………………17

Supplementary Provision 5 Rules specific for each standard…………………………………………18

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1

Application for Certification/Registration
1.1

1.2
1.3
1.4

1.5

2

Contract Review
2.1

2.2
2.3

3

When applying for a new certification/registration, the auditee organization shall submit designated application
document along with survey sheets (hereinafter referred to as “Application Document”) as well as other agreements
sign an agreement with JQA for management system certification/registration and, when necessary, other agreements(hereinafter referred to as “Agreement for Certification/Registration”).
JQA shall confirm the description of the application by clause 2 prior to acceptance of the application.
Upon acceptance of application, JQA shall notify the auditee organization of the completion of application procedure.
In the event of any of the Supplementary Provision 1, application may be rejected or withdrawn at the discretion of
JQA, application may also be withdrawn even after the acceptance if any of the items defined in Supplementary
Provision 1 be applied.
Clause 1.4 shall be applied mutatis mutandis to an application for changing the registered contents of the auditeeorganization’s Management System.

JQA shall confirm the description of Application Document, when accepting an application for a newcertification/registration or change the registered contents. Main points to be checked are as follows;(1) appropriateness of scope of registration(2) identifying sites to be assessed(3) technical expertise(4) estimating assessment man-days.
Contents of the application are confirmed through application documents etc., phone calls to the auditee organization,and etc. JQA shall make a visit (on-site investigation) to the auditee organization when necessary.
When necessary, JQA may make a visit (on-site investigation) to the auditee organization after acceptance of theapplication.

Places of Assessment, Assessment Report and Assessment Team, etc.
3.1

JQA shall visit the auditee/registered organization, and enter into the facilities needed for the certification/registration,
to verify the status of activities for establishing and maintaining the management system, and to review its
documentation, records, etc.
The auditee/registered organization shall provide conveniences necessary for such activities after discussing with JQA.
3.1.1. The auditee/registered organization shall promptly provide the information necessary for implementing theassessment upon JQA's request. The information to be provided by the auditee/registered organization shallbe latest and accurate.
3.1.2. If the auditee/registered organization could not provide JQA with such information required in the precedingclause 3.1.1, the auditee/registered organization shall disclose its justifiable reason.
NOTE

3.2

3.3

3.4

3.5

The assessment and registration processes may be suspended when the auditee/registered organization does not give consent todisclosure of information necessary for the assessment and entry into facilities necessary for the assessment and when JQA judgesthat it is difficult to continue the audit due to the lack of information, or its inaccuracy or false.

The auditee/registered organization shall keep records of complaints/external communication and the corrective
actions taken against them, in accordance with the standard concerned or other normative documents for the
management system of the auditee/registered organization.
JQA shall prepare an assessment report, and submit the copy of report to the auditee/registered organization.
If any nonconformity (finding for improvement) is detected, a nonconformity report shall be prepared, which shallmake a part of the assessment report.
The copyright and property right to each assessment report shall belong to JQA. The auditee/registered organization
may copy the assessment report and disclose it to their customer. In such case, all pages of the assessment report shallbe disclosed.
JQA auditors are qualified and registered as an auditor by JQA and consist of auditors belonging to companies ororganizations which conclude outsourcing agreement with JQA and personal auditors who conclude outsourcing
agreement with JQA (hereinafter referred to as “External Auditors”), as well as JQA-employed auditors. JQA may
entrust assessment work to External Auditors from necessity.
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3.6

JQA may organize assessment team consisting of the members who have the role and responsibility specified below.
JQA shall notify auditee/registered organization of the information such as names of organized assessment teamincluding observers specified in clause 3.7 and get an acceptance of auditee/registered organization preliminarily.
3.6.1 Team leaders(1) contact to auditee/registered organization regarding assessment(2) prepare audit plan and conduct assessment according to the plan(3) supervise team members(4) describe assessment report(5) report assessment result to JQA
3.6.2 Team members
conduct assessment according to the audit plan
3.6.3 Provisional auditors (UO)
be trained as an auditor according to the supervision and coaching by the team leader
3.6.4 Provisional team leader (TLUO)
be trained as an team leader according to the supervision and coaching by the team leader
3.6.5 Technical experts (SP)provide specific knowledge and specialized technology to assessment team
3.7 JQA may have the following persons accompany the assessment team for the assessment as observers (those who do
not conduct assessment) besides auditors;(1) Witness auditor of accreditation body: conduct witness audit to assess the conformity with the standards of each accreditation(2) Witness auditor of JQA: conduct witness audit to assess whether the assessment team conducts the assessment properly
according to the JQA procedures.
(3) Translator: translate arbitrarily according to the necessity(4) Other persons designated by JQA
NOTE

3.8

NOTE

NOTE

3.9

The persons of paragraph (4) shall be subject to the consent on their presence by the auditee/registered organization.

Any consultants and observers of the auditee/registered organization can be present during the assessment but is notallowed to make remarks. However, JQA may request them to walk out when JQA judges that they are obstacle toproceed the assessment.
In this document, consultant refers to those who provides management system’s consultancy services defined in JIS Q 170211(Conformity assessment –Requirements for bodies providing audit and certification of management systems). Furthermore,
its services are defined to be the following activities related to establishing, implementing and maintenance of management
system.
EXAMPLE 1 Preparing or producing manuals or procedures.
EXAMPLE 2 Giving specific advice, instructions or solutions towards the development and implementation of a management
system.
Note 1 to entry: Arranging training and participating as a trainer is not considered consultancy, provided that, where the course
relates to management systems or auditing, it is confined to the provision of generic information;i.e. the trainer should not provide client-specific solutions.
Note 2 to entry: The provision of generic information, but not client specific solutions for the improvement of processes orsystems, is not considered to be consultancy. Such information may include:— explaining the meaning and intention of certification criteria;— identifying improvement opportunities;— explaining associated theories, methodologies, techniques or tools;— sharing non-confidential information on related best practices;— other management aspects that are not covered by the management system being audited.
In this document, observers of auditee/registered organization refers to those who do not belong to the scope of registration.

In principle, the assessment language shall be Japanese, and the documents provided to JQA for assessment shall be
written in Japanese or English.
NOTE

When the assessment is conducted in a language other than Japanese, the man-days may be increased due to the use of aninterpreter.

3.10 The auditee/registered organization shall not take pictures, video-record, audio-record any documents/activities nor
conduct similar activities during audit unless permitted by JQA in advance.

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4

Safety4.1

4.2

5

The auditee/registered organization shall secure the safety in the area where auditors of JQA and those who accompany
them such as technical experts defined in clause 3 (hereinafter referred to as “Auditors”) may enter in the course of
assessment, and designate restricted area. If Auditors suffer any injury, JQA may demand payment of compensationfrom auditee/registered organization for damages suffering from such injury, except for cases in which injury wascaused solely by negligence of Auditors.
If the auditee/registered organization suffers damage from Auditors intentionally or negligently, the auditee/ registeredorganization may demand payment from JQA of compensation for damages thereof.

Initial Assessment
5.1

Initial assessment shall be performed, based on the audit plan prepared under clause 5.5. The assessment andregistration procedures may be suspended or withdrawn after discussing with the auditee organization, if the auditeeorganization happens to be in, and is not cleared of, or still in a situation that the organization:(1) is legally prosecuted, or under investigation;(2) is notified by the authorities that the designation as a supplier is suspended, or is ordered to suspend
business operation;(3) has not acquired licenses relative to the business included in the scope of registration;(4) is under inability to operate due to a serious accident, or is ordered by the authorities to suspend
operation; or(5) is located in or surrounded by the area which is designated as a restricted area for the purpose of safety
by government offices.
5.2 Assessment Schemes
The scheme of assessment shall be conducted by the two-stage scheme. The stage 1 assessment shall be performed toreview the status and understanding regarding the management system of the auditee organization, and to collectnecessary information for the stage 2 assessment.
The stage 2 assessment shall be performed to assess the implementation and effectiveness of the management
system. In principle, the interval between stage 1 assessment and stage 2 assessment shall be maximum of 6 months.
5.2.1 Stage 1 Assessment
The main items of the stage 1 assessment are, in principle, as follows:(1) To assess the management system documentation.
(2) To identify the organization included in the scope of registration and sites included in the assessment scope.
(3) To review the appropriateness and understanding of key processes and significant aspects andpolicy/objectives of the management system.
(4) To identify applicable statutory, regulatory, and other requirements and review how to address them.
(5) To review the status of implementation and planning of both internal assessment and management review(6) To review implementation status of analysis and evaluation required by standards such as identificationof environmental aspect (ISO 14001), security risk (ISO/IEC 27001), defining energy baseline
performance indicator (ISO 50001) , and business impact analysis (ISO 22301), etc.).
(7) To review the status particular to each standard, such as operation performance, requirements specific tothe customer, customer satisfaction information (IATF 16949), measurement method (TL 9000), security
policy/Statement of Applicability (ISO/IEC 27001／ISMS-CLD), process documents (ISO/IEC 20000)
and operation records (HACCP / ISO 22000 / FSSC 22000), etc.
(8) To collect information necessary for the implementation of the stage 2 assessment.
5.2.1.1 If there are any areas of concern that could be classified as nonconformity in the stage 2 assessment, JQA
shall communicate such concerns to the auditee organization during the stage 1 assessment (unnecessary
to inform JQA of correction and corrective action).
5.2.1.2 Based on the result of the stage 1 assessment, JQA shall re-coordinate the man-days and schedule for thestage 2 assessment by the auditee organization’s consent when necessary.
5.2.1.3 When it is judged based upon the result of stage 1 assessment that the auditee organization is unready forthe stage 2 assessment, the stage 1 assessment shall be conducted again.
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5.2.2 Stage 2 Assessment
The stage 2 assessment shall be performed to evaluate the implementation and effectiveness of the management
system of the auditee organization, and to assess conformity with the standard.
5.3 Request for a Schedule of Initial Assessment
5.3.1 The schedule of initial assessment shall be requested by the “Application Form (for initial assessment)”.
5.3.2 The assessment shall be conducted in accordance with the man-days determined separately.
5.3.3 The schedule of the preceding clause 5.3.1 shall be adjusted and decided on, in principle, one month prior to its
implementation.
5.3.4 The auditee organization may request to change the assessment team members, if justifiable.
5.4 Readiness Review
JQA judges and decides whether assessment could be conducted based upon information on the auditee organization.
The stage 2 assessment shall not be conducted unless the following items are confirmed:(1) internal audits have been implemented and recorded; and(2) management reviews have been implemented and recorded.

5.5

Audit Plan
The assessment team leader shall prepare an audit plan describing the time and places of assessment, allocation of jobs
to each auditor, etc., and send it to the auditee organization.
JQA keeps an audit plan, upon which an audit implementation is based on, as part of assessment report.
5.6 Actions against Nonconformities
5.6.1 Minor Nonconformity (Nonconformity Category B)
If a minor nonconformity is detected, the auditee organization shall submit its corrective action plan or corrective
action report by the time specified in the table below, and obtain JQA’s consent on such corrective action planor corrective action.
Standards
Corrective Action Report Corrective Action Plan
Deadline (days)
ISO 9001●
30
ISO 9001●NOTE160(If carried out together on IATF
16949 audit)

IATF 16949
JIS Q 9100
SJAC 9120
TL 9000
ISO 13485
ISO 14001
ISO 50001
ISO/IEC 27001
ISMS-CLS
ISO/IEC 27701
ISO/IEC 20000
ISO 45001
HACCP
ISO 22000
FSSC 22000
JFS-C

ISO 22301
ISO 39001
CSPM
JIS Q 15001
ISO 29990
ISO 21001●NOTE1

●
●

60
30
90
30
90
30
30

●

30

●
●
●
●
NOTE3
●
●NOTE4
●
●
●
●

30
30
30
30
30
30
30
30
30
30

●

30

●NOTE2●NOTE2●●JQA Management System Certification/Registration Rules［18th Edition］

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(NOTE1)

CAR shall be submitted to JQA within 50 days. However, in case of Major Nonconformity (Nonconformity CategoryA) Cause Analysis and Corrective action plan including correction taken shall be submitted to JQA within 15 days.

(NOTE2)The corrective action plan and corrective action report shall be submitted online in accordance with JIS Q 9100 / SJAC
9120 specific Rules 5-2.3, and the consent of JQA shall be obtained. In addition, If immediate containment actions are
required, the procedures shall be in accordance with JIS Q 9100 / SJAC 9120 Rules specific 5-2.4.

(NOTE3)Evidence of correction, and the corrective action plan or corrective action report shall be submitted within 28 calendar
days and JQA’s consent about the corrective action plan or corrective action implemented shall be gotten.

(NOTE4)

Evidence of correction, and the corrective action plan or corrective action report shall be submitted within 30 calendar
days and JQA’s consent about the corrective action plan or corrective action implemented shall be gotten.

5.6.2 JQA shall review how the corrective action has been implemented in the next surveillance.
5.6.3 Major Nonconformity (Nonconformity Category A)
If a major nonconformity is detected, the auditee organization shall take its corrective action and submit acorrective action report. A partial or full reassessment shall be conducted by JQA, depending upon the judgment
made by the Assessment Certification Committee.
NOTE

The Assessment Certification Committee is an organization established within JQA and is composed of members whoare independent of the assessment concerned.

5.6.4 Examples of major nonconformity (Nonconformity Category A) defined by JQA are as follows:(1) total absence of a management system or procedure;(2) total lack of function of a management system or procedure;(3) existence of a similar nonconformity throughout the management system;(4) repeated violation of related statutory and regulatory requirements;(5) a case where, despite the obvious existence of an environmental impact, no environmental aspect is
identified (in the case of ISO14001);(6) a case where, despite the occurrence of significant and manageable information security risk, any hazard
is not identified in the risk assessment (in the case of ISO/IEC 27001);(7) a case where, despite the occurrence of significant risk of occupational safety and health, any hazard is
not identified in the risk assessment (in the case of ISO 45001);(8) the obvious lack of management system capability to conform with the requirements the organization
subscribes, such as the customer requirements; and(9) the obvious lack of management system capability to achieve the policy and objectives/targets.
6

Decision on Registration
Certification decision is making judgement of acceptability for registration based upon the validity of the conclusionof the assessment team, the appropriateness of the assessment process, etc.

7

Registration
Auditee organization shall be registered when judged as acceptable, and JQA shall issue to the auditee organization acertificate which shall expire , in principle, on the previous day of the corresponding day three years after theregistration date.
The certificate shall consist of the initial registration certificate and its appendices, issued in Japanese and/or in
English.
NOTE

8Regarding the standards listed below, an English certificate must be issued to provide the information to overseas Accreditation
Bodies.
・TL 9000, JIS Q 9100, SJAC 9120, IATF 16949, FSSC 22000

Publication of Information on Registration
8.1

JQA may publicize the registration information of the registered organization (any contents described on theCertificate)and other necessary information (hereinafter referred to as “Registration Information”) on JQA’s Website(https://www.jqa.jp), and submit the information to the bodies listed below, for each body to publicize the information
on its Website.

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BodiesJAB
UKAS
ISMS-AC
FSSC
JFSM
IQNET
IAF
NOTE

8.2

9

Standards
ISO 9001，ISO 14001，ISO 13485，
ISO 22000, ISO 45001
ISO 9001，ISO 14001，ISO/IEC 27001
ISO/IEC 27001，ISMS-CLS，ISO/IEC 27701,
ISO/IEC 20000，ISO 22301
FSSC 22000
JFS-C
ISO 9001，ISO 14001，ISO 13485，ISO 22000，
ISO 45001, FSSC 22000，HACCP，TL 9000
MD28 by IAF

Website URL
http://www.jab.or.jp
https://www.ukas.com
https://isms.jp
https://www.fssc.com
https://www.jfsm.or.jp
https://www.iqnet-certification.com
https://www.iafcertsearch.org

In light of information security, JQA may make whole or part of the Registration Information unpublicized upon request from the registeredorganization.

JQA may provide the information as to audit and the auditee organization to auditors’ registration bodies, which isnecessary for the auditor to register or maintain one’s registration.

Surveillance/Recertification Assessment
9.1

In order to confirm that the management system of the registered organization continues to be in conformity with therequirements of the standard concerned, a surveillance and a recertification assessment shall be carried out inaccordance with the table below according to the man-days determined separately.
During the recertification assessment, the conformity with the standard and the continued effectiveness of the
management system shall be fully assessed.
Standards
Surveillance
Recertification assessment
NOTE1
Once
or
twice
a
year
ISO 9001，ISO/IEC 27001，ISMSTo be determined by mutual
CLS，ISO/IEC 27701，JIS Q
every 3 years
consent
in principle
15001, ISO/IEC 20000，ISO
upon registration or at the22301，HACCP，ISO 22000
completion of an assessment.
TL 9000, ISO 13485, IATF 16949，
JIS Q 9100，SJAC 9120, ISOevery 3 years
14001，ISO 45001，FSSC 22000，
Once a year NOTE1
in principle
JFS-C，ISO 50001, ISO 39001, ISO
29990, ISO 21001(NOTE1)

In principle, “once a year” and “twice a year” refer to surveillance conducted every 12 months and 6 months, respectively.

9.1.1 The surveillance and recertification assessment shall be arranged to be conducted in principle during the period
from two months to one month prior to the expiry date. In principle, the assessment schedule shall be adjusted
one month prior to the assessment.
9.1.2 Before commencing a surveillance and a recertification assessment, the state of readiness shall be reviewed,
including the confirmation if the corrective actions to nonconformities found during the previous assessment,internal audits and management reviews have been carried out as planned. After these confirmations, it shall be
determined whether or not the assessment can be conducted.
9.1.3 JQA may suspend the implementation of the audit under each circumstance in clause 5.1.
9.2 Surveillance
Based on the result of the surveillance, if it is judged that the management system of the registered organization
has been maintained and effective, the registered organization shall continue to be registered.
9.3 Recertification Assessment
9.3.1 When such certification decision that the management system of the registered organization is acceptable for the
renewal is made by the expiry date based on the result of the recertification assessment, the registration shall berenewed and a renewed Certificate shall be issued. In principle, the expiry date of the renewed Certificate shallbe the corresponding date three years after the expiry date of old certificate. （When recertification assessment
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is not conducted or recertification decision is not made by the expiry date due to force majeure such as
convulsion of nature, certification can be restored provided that assessment and certification decision iscompleted within 6 months after the expiry date.）
9.3.2 The registered organization shall take some actions (disposal etc.) not to generate misunderstandings as to theold certificate being still active.
9.4 Actions against Nonconformities
9.4.1 If a minor nonconformity (Nonconformity Category B) is detected, the registered organization shall submit acorrective action plan or a corrective action report within the time frame specified in the table below and obtains
JQA’s consent on the corrective action plan or the corrective action.
Standards
Corrective Action Report
Corrective Action Plan
Time Frame (days)
ISO 9001●
30
ISO 9001（if carried out together●NOTE160
on IQAT16949 audit ）IATF 16949
JIS Q 9100
SJAC 9120
TL 9000
ISO 13485
ISO 14001
ISO 50001
ISO/IEC 27001
ISMS-CLS
ISO/IEC 27701
ISO/IEC 20000
ISO 45001
HACCP
ISO 22000
FSSC 22000
JFS-C
ISO 22301
ISO 39001
CSPM
JIS Q 15001
ISO 29990
ISO 21001(NOTE1)●NOTE1

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30

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30

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NOTE4
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●NOTE5
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30
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NOTE2

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NOTE3

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CAR shall be submitted to JQA within 50 days. However, in case of Major-Nonconformity (Nonconformity CategoryA) Cause Analysis and Corrective action plan including Correction taken shall be submitted to JQA within 15 days.

(NOTE2)The corrective action plan shall be submitted online in accordance with JIS Q 9100 / SJAC 9120 specific Rules 92.3, and the consent of JQA shall be obtained. In addition, if immediate containment actions are required, theprocedures shall be performed based on JIS Q 9100 / SJAC 9120 specific Rules 9-2.4.

(NOTE3)The corrective action report shall be submitted online in accordance with JIS Q 9100 / SJAC 9120 specific Rules 92.3, and the consent of JQA shall be obtained. The renewal audit shall require submission of a corrective action report.

(NOTE4)

Evidence of correction, and the corrective action plan or corrective action report shall be submitted within 28 calendar
days and JQA’s consent about the corrective action plan or corrective action implemented shall be gotten.

(NOTE5)

Evidence of correction, and the corrective action plan or corrective action report shall be submitted within 30 calendar
days and JQA’s consent about the corrective action plan or corrective action implemented shall be gotten.

9.4.2 JQA shall confirm the implementation status of the corrective action during the next assessment.
9.4.3 During a surveillance, if a major nonconformity (Nonconformity Category A) is detected, the registeredorganization shall submit its corrective action report, in principle, within 90 days. JQA shall conduct a special
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11assessment defined in clause 15, and the Assessment Certification Committee shall make a judgment whether
or not the registration should be maintained. Based on the result of the special assessment, the registration may
be suspended in accordance with the provision of clause 12.
9.4.4 During a recertification assessment, if a major nonconformity (Nonconformity Category A) is detected, theregistered organization shall take its corrective action and submit a corrective action report, in principle, within
90 days. Based on the judgment made by the Assessment Certification Committee, a partial or full reassessment
shall be conducted by JQA.
10

Change Assessment/Transition Assessment
10.1 After registration, when there is any change in the contents of registration stated on the Certificate (change of applicablestandards, change in scope of registration, integration of management systems, division of management systems,change in the name/location of the organization, and others), or a significant change in the activities, or a significant
increase/decrease in the number of employees, the registered organization shall submit an “Application for change inregistered contents” without delay, and follow the acceptance procedures based on the provisions of clause 1 mutatis
mutandis.
10.2 If the application is accepted, a change/transition assessment shall be conducted. However, in case of the change in
the name or location etc., of the organization, decision shall be made by document review alone at the discretion of
JQA.
NOTE

Transition assessment means change assessment due to a revision of applicable standard such as change of issue year or version of applicablestandard.

JQA may suspend the implementation of the audits when the registered organization falls under any of situations inclause 5.1.
10.3 A change assessment or transition assessment shall be performed in accordance with the following procedures.
10.3.1 If JQA judges it necessary, due to a substantial change in the management system of the registered organizationand the like, prior to the change assessment, stage 1 assessment may be conducted according to clause 5.2.
10.3.2 A change assessment and transition assessment may be conducted together with a surveillance, recertificationassessment, etc. In addition, when conducted alone, the time schedule shall be adjusted and decided by, inprinciple, one month prior to the assessment. When transition is not completed by the due date designated by
the accreditation body and others, the registration shall be invalid.
10.3.3 The readiness shall be reviewed beforehand, to decide if the assessment can be conducted.
10.3.4 When it is determined that the contents of registration can be changed by document review or certification
decision after assessment, a certificate reflecting the changes shall be issued.
10.3.5 The registered organization shall take some action (disposal etc) not to generate misunderstanding as to theformer Certificate being still active in return of the receipt of the Certificate reflecting the changes.
10.3.6 When a minor nonconformity (Nonconformity Category B) or a major nonconformity (Nonconformity
Category A) is detected, the provisions from clause 5.6 shall be followed mutatis mutandis.
11

Pre-assessment
11.1 Pre-assessment is conducted according to the request from auditee/registered organization to verify management
system.
11.2 Pre-assessment shall not be a part of any other assessment, and it shall not guarantee any result of other assessment.
11.3 Non-binding findings which does not include any recommendation of solution shall be output by pre-assessment.
11.4 Pre-assessment is conducted according to the provisions below.
(1) Pre-assessment shall be conducted only once between any two assessments, or up to twice before initialassessment.
(2) Pre-assessment shall be conducted at the auditee/registered organization according to clause 3.1.
11.5 When auditee/registered organization wishes to have pre-assessment and apply for arranging the schedule of preassessment, application for pre-assessment shall be submitted to JQA by the due date designated by JQA.
11.6 The pre-assessment schedule shall be adjusted and fixed, in principle, by one month prior to pre-assessment.

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12

Suspension of Registration and Lifting Suspension
12.1 In the event that any of the matters described in Supplementary Provision 2 is the case with the registered organization,
the Assessment Certification Committee may suspend the registration for the registered organization setting forth theperiod of suspension. In this case, a non-periodic assessment based upon clause 14 may be implemented as necessary.
In addition, as a principle, such suspension period lasts up to 6 months, but not exceeding the expiry date of theCertificate nor that of the relevant standard.
12.2 When JQA suspends the registration for the registered organization temporarily, JQA shall publicize such information.
The registered organization shall return the Certificate temporarily, and suspend use of JQA Management System
Registration Marks (hereinafter referred to as “JQA Registration Mark”) and Marks of Accreditation Bodies.
12.3 Lifting Suspension of the Registration
If JQA receives a proposal in writing from the registered organization requesting lifting of suspension of theregistration, a special assessment based upon clause 15 shall be conducted as necessary, to confirm if thenonconformity, causing the suspension (hereinafter referred to as “cause of suspension”) has been corrected or not,and the Assessment Certification Committee shall decide whether such lifting is appropriate or not.
12.4 If JQA decides that lifting of such suspension is appropriate, through the Assessment Certification Committee JQA
shall inform the registered organization of such lifting, redeliver the Certificate repossessed and publicize theinformation on its registration status.

13

Withdrawal of Registration, Reducing the Scope of Registration and Voluntary Cancellation ofRegistration
13.1 In the event that any of the matters described in Supplementary Provision 3 is the case with the registered organization,
the Assessment Certification Committee may withdraw the registration or reduce the scope of registration of theregistered organization.
If the registration of the organization is withdrawn, JQA shall publicize its status for a certain period of time.
13.2 The registered organization may voluntarily cancel its registration by notifying JQA at least a month in advance by
the prescribed way.
13.3 If the registration is withdrawn or voluntarily cancelled, the registered organization shall return the Certificate to JQA,
and promptly cease the use of JQA Registration Mark and any marks of the Accreditation Bodies.
13.4 If the scope of registration is reduced, the registered organization shall change the scope if it is publicized.
13.5 When the registered organization transfers the certification to other certification body, JQA can provide the documents
and information specified in 20.2 to the certification concerned.

14

Non-periodic Assessment
14.1 When any one of the matters described below is the case with the registered organization, a non-periodic assessment
shall be conducted as necessary:(1) when no notice of such changes to JQA has been given, despite significant changes in the content of activities
related to the registration, or in the management system of the registered organization due to change of location,etc.;(2) when significant doubts have arisen over the effectiveness of the management system of the registeredorganization or compliance with the legal regulations relevant to the business targeted for assessment throughpress reporting or complaints from third-parties, etc.; or(3) when JQA judges that the situation corresponds to any items of (1) to (8) of the Supplementary Provision 2.

15

Special Assessment
15.1 When any one of the matters described below is the case with the registered organization, a special assessment shallbe conducted as necessary:(1) when the registered organization requested to lift the suspension; or(2) when the result of corrective action against major nonconformity (Nonconformity Category A) identified during
the surveillance is to be reviewed.
15.2 JQA may conduct a special assessment and other assessment (clause 9 or 10) together.
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16

Appeals
16.1 The auditee/registered organization may file an appeal to JQA if the auditee/registered organization has appeals in
respect of a judgment by JQA, including the one on certification/registration.
16.2 Appeal may be filed in writing within 45 days after the date of its cause.
16.3 JQA conducts necessary investigation, and reply with the investigation result in written form to the auditee/registeredorganization within one month in principle from the receipt of the appeal.
16.4 The auditee/registered organization may file a request for a review in case it is dissatisfied with the investigation result
described in 16.3. JQA shall set up a committee to assess the appeal and convey the review result in written form
within 3 months from the receipt of the appeal.

17

Witnessing Assessment and Accessing Documents, and Others by Accreditation Bodies
17.1 If Accreditation Bodies request to witness the assessment of the auditee/registered organization by JQA, or to accessdocuments or records related to certification for the auditee/registered organization for the purpose such as continuationof accreditation for JQA, the auditee/registered organization shall accept such request.
17.2 If Accreditation bodies request to cooperate on other accreditation activities, the auditee/registered organization shallaccept the request except for cases when there is a reason which can be justified by the accreditation bodies.

18

Request for Investigation and Information from Auditee/Registered Organization
18.1 In the case where a third-party brings a complaint, etc. before JQA claiming it concerns the management system of
the auditee/registered organization, JQA can request the auditee/registered organization to conduct an investigation by
the auditee/registered organization.
18.2 The auditee/registered organization shall appropriately reply to JQA’s request by providing the relevant information.
18.3 When the auditee/registered organization has matters which may affect the capacity of management system such as achange in legal status of the organization, falls into the situations specified in clause 5.1 or becomes under Corporate
Reorganization Act or Civil Rehabilitation Act, the auditee/registered organization shall inform JQA immediately.

19

Fees
19.1 JQA shall send bills for the payment of application fees, assessment fees and registration fees, etc. (hereinafter referred
to as “Fees”) based upon the latest version of the JQA Certification/Registration Fee Table (hereinafter referred to as“Fee Table”) to the auditee/registered organization at prescribed times, and the auditee/registered organization shallmake payment of such Fees in accordance with the payment procedures set forth in the relevant bill within 1 monthafter the date of issue. The Fees thus received by JQA are not refundable under any circumstances.
19.2 If any part of the Fee Table is amended, JQA shall promptly inform the auditee/registered organization of such
amendment together with its effective date.
19.3 If the auditee/registered organization fails to make payment of any fee specified in clause 19.1 in accordance with theprescribed procedure by the due date, JQA may refuse to make certification procedure thereafter. In such event, JQA
may withdraw the acceptance of the application for registration, suspend the registration, or withdraw the registrationin accordance with the prescribed procedures.
19.4 If the auditee/registered organization fails to make payment of any fee specified in clause 19.1 in accordance with theprescribed procedure by the due date or becomes under Corporate Reorganization Act or Civil Rehabilitation Act,JQA may request advance payment to the auditee/registered organization.

20

Transfer of Registration from Other Bodies
20.1 When an organization that has been certified of management systems by the original certification body wishes totransfer its registrations to JQA, JQA can proceed with the transfer procedures after having confirmed that all theelements of (1) through (4) below are satisfied, without conducting the initial assessment under clause 5.
(1) The organization seeking to transfer its registration shall be registered by a certification body which satisfies therequirements specified in the table below;(2) The registration to be transferred shall not be under suspension;
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(3) The scope of registration of the organization shall be within the scope of accreditation for which JQA is
accredited; and(4) The organization shall provide the application, and the certificate copy to JQA, which the original certificationbody have issued.
Requirements for Certification Bodies
Standards
ISO 9001
ISO 14001
ISO 45001
Accredited by an IAF or Regional MLA signatory
ISO 22000
ISO 13485
ISO/IEC 27001
FSSC 22000
Recognized by IATF
IATF 16949
Accredited by JAB or other accreditation body recognized by the other sectors (north and south
JIS Q 9100
America, Europe, Asia Pacific) of IAOG （AS, EN,other 91** standards）
SJAC 9120
Accredited by an accreditation body recognized by the TIA QuEST ForumTL 9000
ISMS-CLS
ISO/IEC 27701
Accredited by ISMS-AC
ISO/IEC 20000
ISO 22301
Accredited by an accreditation body which is approved by JFSM
JFS-C
NOTE

It may be restricted according to the status of IAF or other Regional such as EA, PAC or IAAC etc. MLA signatory.

20.2 In addition to the procedures of application specified in clause 1, JQA shall receive the following documents/records
to confirm that the conditions under clause 20.1 are satisfied. JQA shall review these documents;(1) a copy of audit report by the original certification body , which includes the latest initial certification orrecertification report and subsequent surveillance reports.
(2) other documents/records related to the certification process, which demonstrate the perfect condition of thecertification.
20.3 After the review of necessary documents, on-site review shall be implemented to confirm that the management systemof the organization has been maintained.
20.4 If it is confirmed by JQA that the management system of the organization have been maintained, after the judgment
on registration based upon clause 6, the organization shall be registered based upon clause 7. The effective period of
the new certificate issued by JQA shall be the same as the period set by the original certification body. Following theregistration of the organization after the judgment on registration based upon clause 7, JQA informs the original
certification body of the completion of the organization’s registration.
20.5 If it is proved that the conditions of clause 20.1 have not been satisfied, stage 2 assessment based upon clause 5.2.2 inaddition to on-site review specified in clause 20.3 shall be implemented.
21

Revision, etc.
21.1 The rules may be revised at JQA’s discretion, in which case, JQA shall post immediately upon JQA’s website（https://www.jqa.jp）the revisions and effective date, for giving notice to the auditee/registered organization.
21.2 The provisions of the Agreement for Certification/Registration shall supersede in the case where any of the provisionsof these rules differ from any of those on the Agreement for Certification/Registration.

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15Supplementary Provision 1 Reasons for Not Accepting an Application for Registration(1) If there is any misrepresentation or serious untruthfulness in the description in the application for registration;(2) If there is any misrepresentation or serious untruthfulness in information provided by the auditee organization in thecourse of the procedure for the certification;(3) If the application for registration is extremely difficult for JQA to manage in terms of technical reasons;(4) If the application for registration is in an area which may be misused or abused by any party including the auditeeorganization;(5) If the application for registration fall under the application by any organization or association which is or may beengaged in illegal activities, activities in breach of public order or interest, antisocial activities, or other activities which
may interfere with the business of JQA, and JQA judges that the registration may be against the public interest orinterfere the normal business of JQA;
(6) If the auditee organization is a dormant organization or association;(7) If the application for registration does not conform to the rules of this document;(8) If the auditee organization does not make payment of the application fee within the period specified in the Agreement
for Certification/Registration;(9) If the auditee organization is subject to the suspension of business transactions with banks, if the auditee organization is
subject to corporate dissolution under the applicable law or to voluntary liquidation, if a petition for commencement ofbankruptcy proceeding is filed against the auditee organization under the applicable law or the special liquidation is
initiated against the auditee organization, or if the auditee organization is subject to similar proceeding. Furthermore, if
JQA judges that certification for the auditee organization is not feasible or is difficult after discussion with the auditeeorganization when the auditee organization is subject to corporate reorganization, corporate rehabilitation, special
mediation or similar situation under the relevant act;(10) Despite the fact that 1 year has passed since the application for registration was accepted by JQA, the auditeeorganization has not proposed the schedule defined under either clause 2 or clause 5 without a justifiable reason, or
despite the fact that one year has passed since the contract review visit of clause 2 was carried out, the auditeeorganization has not proposed the schedule defined under either clause 2 or clause 5 without a justifiable reason;(11) If JQA judges that the acceptance of application for registration is not appropriate; or(12) If the auditee organization is otherwise in breach of any provision of the Agreement for Certification/Registration or therules of this document.

Supplementary Provision 2 Reasons for Suspending Registration(1) If a corrective action plan or corrective action report for nonconformity is not submitted to JQA within the period
specified without due cause;(2) If a corrective action of the registered organization for nonconformity agreed by JQA fails to be implemented without
due cause;(3) If surveillance or recertification assessment is not conducted within the prescribed period without due cause.
(4) If the use of the Certificate, JQA Registration Mark or any Accreditation Body’s mark is intentionally in breach of therelevant rules;(5) If the registered organization’s Management System has been failing, or is believed to be failing, wholly or partially tofunction for 2 months or more due to any serious accident or suspension order of business issued by a competentadministrative agency;(6) If the registered organization is in breach of applicable law or regulation in its business;(7) If a crucial question arises to effectiveness of the registered organization’s Management System.
(8) If the registered organization is in breach of the rules of this document;(9) If the registered organization does not make the payment of the Fees defined in clause 19, in spite of the duly followed
payment procedure;(10) If the registered organization proposes in writing to suspend the registration temporarily; or(11) If JQA otherwise judges appropriate to suspend the registration temporarily.

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16Supplementary Provision 3 Reasons for Withdrawing Registration(1) If the cause of suspension of the registration of registered organization is not solved within the period prescribed by JQA;
(2) If there is any misrepresentation or serious untruthfulness in the description in the application for registration;(3) If there is any misrepresentation or serious untruthfulness in information provided to JQA by the auditee/registeredorganization;(4) If JQA judges that the withdrawal of the registration is appropriate when a result of the registration is or may be misused,abused or in breach of public interest against the purpose of the Certification Scheme in the business or action of theregistered organization, or when registered organization engages or may engage in illegal activities, activities in breachof public order or interest, antisocial activities, or other activities which may interfere with the business of JQA;
(5) If the registered organization is subject to the suspension of business transactions with banks, if the registered organization
is subject to corporate dissolution under the applicable law or to voluntary liquidation, if a petition for commencement ofbankruptcy proceeding is filed against the registered organization under the applicable law or the special liquidation is
initiated against the registered organization;(6) If the registered organization is in breach of the Agreement for Certification/Registration; or(7) If JQA otherwise judges that the withdrawal of the registration is appropriate.
NOTE

If the registered organization provide the false information or explanation, JQA judges the necessity of withdrawal of certification upon the consideration
whether it will affect the certification decision significantly.

Supplementary Provision 4 ICT-based remote audit
This provision stipulates the operating procedure for an audit by using ICTs (Information and Communication Technologies)(hereinafter referred to as “Remote Audit”). JQA and the auditee/registered organization will determine whether or not the audit
can be conducted in a Remote Audit by negotiation in good faith.
4.1 Remote Audit(1) JQA carries out the Remote Audit by remotely accessing to the auditee/registered organization's information via
including but not limited to audio, video and data sharing during the whole or a part of the audit.
(2) JQA and the auditee/registered organization shall prepare an environment sufficient to carry out the Remote
Audit by using their own equipment and communication lines, etc.
(3) If the auditee/registered organization wishes to use its own ICTs for the Remote Audit, and if it could be used by
JQA, the auditee/registered organization shall instruct Auditors how to use that ICTs, and prepare it for the
Remote Audit as necessary. If the auditee/registered organization's own ICTs cannot be used by JQA, JQA andthe auditee/registered organization shall determine the appropriate ICTs which can be used by JQA and theauditee/registered organization by negotiation in good faith.
(4) During the Remote Audit, the auditee/registered organization shall place the personnel on standby who arenecessary for having the Remote Audit without delay, and shall give appropriate explanations to Auditors. The
auditee/registered organization shall make best efforts to cooperate with Auditors when checking the items
necessary for the audit such as documents, facilities, operations, etc.
(5) During the Remote Audit, JQA and the auditee/registered organization shall not electrically/electronically record
the information provided through ICTs.
(6) JQA and the auditee/registered organization shall not be liable for any damage caused to the other party or a third
party due to reasons that are not attributable thereto, such as malfunctions in ICTs or communication environment,etc.
(7) If JQA judges that it is difficult to carry out the Remote Audit during its preparation period or in the Remote
Audit due to the deterioration of communication conditions, equipment malfunctions, etc., JQA may suspend
the subsequent certification/registration relating processes, change the schedule of the Remote Audit, and/or
carry out an on-site audit instead at a later date.
(8) If the schedule change or the implementation of on-site audit specified in the paragraph above occurs due to thereasons that are not attributable to JQA, JQA may charge the auditee/registered organization a fee for changing
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17the schedule or its cancellation.
4.2 Information Control(1) JQA and the auditee/registered organization shall take appropriate information security measures such as
installing anti-virus software, and timely updating their own operation system software and other applications.
(2) JQA and the auditee/registered organization shall comply with the terms and conditions of their own softwareand hardware to be used for the Remote Audit.
(3) JQA shall conduct the Remote Audit in closed rooms (JQA offices, rental conference rooms, Auditors' home,etc.) where no one else can see and hear the information of the auditee/registered organization.
4.3 Others(1) JQA and the auditee/registered organization shall not be liable for any damages to the other party caused by
security accidents that are not attributable thereto such as an unauthorized access, hacking etc.

Supplementary Provision 5 Rules specific for each standard
This provision specifies the rules specific for each standard.
【Numbering in the rules specific for each standard】
As a number of clause in this provision, numeric suffix ‘–x’ is appended to the number of corresponding clause in main body.
When there is no corresponding clause in main body of this Rules, the clause number 50-X and the consecutive numbers are
assigned.
＜Rules specific for IATF 16949＞
1-1 Exclusions
1-1.1 The only exclusion approved for IATF 16949 is limited to “Product Design and Development” IATF 16949
Clause 7.3) when the organization has no responsibility for product design and development.
1-1.2 Manufacturing process design is not included in the approved exclusions.
1-1.3 The site which supplies customer-specified production parts and/or service parts to only automotive customers
not requiring 3rd party certification to IATF 16949 may be excluded from the scope of certification.
1-1.4 For a site requiring 3rd party certification to IATF 16949, all production parts and/or service parts manufactured
and supplied to every customers shall be included in the scope.
3-1 The presence of IATF representatives or delegates
3-1.1 The auditee/registered organization cannot refuse the presence of representatives or their delegates of IATF thatrecognizes JQA (hereinafter referred to as “IATF Representatives”) and shall not interfere an IATF witness audit.
3-1.2 Once a witness audit is selected and announced, the audit schedule and designated auditors shall not be changed
in principle.
3-1.3 The auditee/registered organization shall secure the safety in the area where IATF Representatives and observers
defined in clause 3.7 of this Rules may enter in the course of assessment, and designate restricted area.
3-1.4 The auditee/registered organization cannot refuse the request from JQA to provide the audit report to IATF,
either.
3-2 Participation of Consultant in the audit
3-2.1 Consultants to the auditee organization cannot be physically present at the auditee’s site during the audit orparticipate in the audit in any ways.
5-1 Initial Certification Audit
5-1.1 Readiness review is conducted in the stage 1 audit. The records of implementation of internal audit andmanagement review shall be reviewed in the stage 1 audit.
5-1.2 Stage 2 audit is commenced within 90 days after the stage 1 audit.
5-1.3 Site audit of the stage 2 audit is conducted after auditing the remote supporting functions.
5-1.4 In the audit, the implementation status and effectiveness of the auditee organization’s management system areevaluated. The system’s conformance with the standard requirements and (if applicable) customer specific
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＜Rules specific for IATF 16949＞
requirements is also audited.
NOTE

Customer specific requirements are positioned as interpretations or supplementary NOTEs of the standard specified bycustomers, issuing in the forms of e.g. specific requirements, contract terms, service level agreements, and supplierquality assurance procedures.

5-1.5 In case that a nonconformity is raised, the nonconformity shall be handled in line with the clause 5-2.
5-1.6 Recommendation of certification shall be suspended if nonconformity is raised during the initial certification
audit.
5-1.7 In case of the preceding clause, unless the corrective actions are implemented effectively within 90 days, theorganization shall no longer be recommended for certification and shall restart from the stage 1 of initial audit.
5-2 Actions against Nonconformities
5-2.1 The definitions of a major nonconformity in IATF 16949 are as below:(1) Nonconformity Category A① The absence of or total breakdown of a management system to meet IATF 16949 requirement. A numberof minor nonconformities (category B) against one requirement can represent a total breakdown of thesystem thus be considered a major nonconformity.
② Any nonconformity that would result in a shipment of nonconforming product. A condition that would
result in the failure or materially reduce the usability of the products or the services for their intended use.
③ Nonconformity, by which judgement and experience indicate is likely either to result in the failure of thequality management system or to reduce its ability to ensure controlled process and products.
(2) Nonconformity Category B
A failure to comply with IATF 16949 that, based on judgement and experience, is not likely to result in the
failure of the quality management system or reduce its ability to ensure controlled process or products. It
may be one of the following.
① A failure in some part of the auditee/registered organization’s quality management system relative to IATF
16949.
② A single lapse in following one item of a company’s quality management system.
5-2.2 In case that a major nonconformity (Nonconformity Category A) is raised, the registered organization shallsubmit a corrective action plan to JQA, including root cause analysis and corrective action plan including
correction, principally within 15 days from the last day of the audit. (Clause 8.1 applied “Initiation of thedecertification process” )5-2.3 Whether corrective action to major nonconformity (Nonconformity Category A) is implemented effectively
shall be verified on-site, in principle, within 90 days after the completion of the audit. (Refer to Rules specificfor IATF 16949 clause 15-1. “Special Audit”.) Also, even for minor nonconformity (Nonconformity CategoryB), an on-site verification may be conducted at the discretion of JQA.
9-1 Surveillance/ Recertification Audit
9-1.1 In principle, at least one auditor of the initial audit team should participate in all audits of the three year audit
cycle starting from the completion date of the initial certification audit. Different auditors should be used for eachsubsequent three-year audit cycle starting from the completion date of the recertification audit. For thissubsequent cycle, at least one of the auditors who participated in the recertification audit shall conduct all theaudits.
9-1.2 Surveillance audit shall be scheduled as the last day shall not exceed 12 or 24 months (-3 months, +1 month)from the last day of the initial audit or the previous recertification audit. Recertification audit shall be scheduled
as the last day shall not exceed three years (-3 months, +0 days) from the last day of the initial audit or theprevious recertification audit. Audit schedule shall be fixed by three months before the implementation inprinciple.
9-1.3 In case that a nonconformity is raised, the nonconformity shall be handled in line with the clause 5-2.
9-1.4 In case major nonconformity (Nonconformity Category A) is detected, or the situations where the surveillance
audit timing is to be exceeded, JQA suspends the registration.
10-1 Notice of changes and Change Assessment
Registered organization shall submit “Application for changes in registered contents”, without delay, when they has any
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＜Rules specific for IATF 16949＞
of management-system-related changes described below in addition to clause 10.1 of this Rules. When it is not
submitted within 90 days after the changes, it may result in major nonconformity (Nonconformity Category A).
(1) legal status(2) commercial status (e.g., joint venture, sub-contracting with other organizations)(3) ownership status (e.g., mergers, and acquisitions)(4) organization and key management (e.g., key managerial, decision-making, technical staff or head of site)(5) contact address or location(6) scope of operation under the certified management system(7) IATF OEM customer special status
When registered organization receives special notice from IATF OEM customer, they shall notify JQA
within 10 days from the receipt or the period specified by the customer(8) Transfer to a new IATF-recognized certification body
11-1 Pre-audit
11-1.1 Pre-audits as below are performed before initiating the initial certification audit, by the request from the auditeeorganization. Pre-audit is neither for judging the registration nor to guarantee the results of the initial certification
audit.
(1) Identify the status of the development of the auditee organization’s management system in light of thestandard, and report to the auditee organization.
(2) Pre-audit is an audit prior to the stage 1 audit, conducted only once for the life of the same organization.
(3) Pre-audit is conducted at the site of the auditee organization.
11-1.2 Arrangement of pre-audit schedule shall be applied for by the deadline specified by JQA by use of the “JQA
management System Assessment Schedule Application Form (for use in pre-audit)”.
11-1.3 The pre-audit schedule shall be adjusted and fixed, in principle, by one month prior to pre-audit.
11-1.4 On-site Investigation defined in clause 2.2 and clause 2.3 of this Rules shall not be applied.
12.1 Suspension of Registration
12-1.1 JQA shall register into IATF Database immediately when JQA suspended the registration of an organization.
12-1.2 Decision and actions for suspension of the registration are to be implemented according to clause 8.0 “Certificate
decertification process” of “Rules for achieving IATF recognition”. The registered organization may use JQARegistration Mark even during the period of suspension. The organization does not need to temporarily returnthe certificate, and the certificate remains valid during the suspension period.
12-1.3 The suspension period shall be a maximum of 120 days and end in either lifting of the suspension or withdrawalof the certificate.
13.1 Withdrawal of Registration
JQA promptly register into IATF Database when the certification of a registered organization is withdrawn.
15.1 Special Audit
JQA conducts special audit for the following purposes(1) Investigate on complaint against registered organization’s performance which JQA received from IATFOEM member, its relevant IATF oversight office, or any automotive customer of registered organization(2) Confirm in response to registered organization’s change in quality management system and/or significant
change at its site(3) As a result of a suspended certification (within maximum 90 calendar days from the start of decertification
process)(4) Verify the effective implementation of identified corrective actions for major nonconformities (within 90
calendar days after the completion of audit)(5) Verify the effective implementation of the identified open but 100% resolved corrective actions of theauditee/registered organization. (after 90 days since the completion of audit and before the next audit)(6) Investigate on re-certification after a certificate is withdrawn.
(7) In case an auditee/registered organization receives the information of special status by IATF OEM.
(8) Verify the implemented corrective actions are showing improvement in the achievement of the customer
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performance indicator.
17.1 Provision of Audit-related Information to IATF
17-1.1 JQA may enter the audit result to IATF Database according to IATF requirement.
17-1.2 JQA shall respond to Annex 3 of the Data Transmission Agreement (hereinafter referred to as "Annex 3") inaccordance with the requirements of IATF as follows:(1) JQA shall distribute Annex 3 to the auditee/registered organization.
(2) The auditee/registered organization shall make Annex 3 known to its employees and liaison officers whowill be audited.
(3)When there is any change in the contents of Annex 3, JQA shall communicate it to the auditee/registeredorganization without delay, and the auditee/registered organization shall promptly inform its employees andliaison personnel to be audited.
NOTE

Annex 3 refers to the documents specified by the IATF regarding the protection of personal data of employees and contact persons of the auditee/registeredorganization that are provided to the IATF via the various systems used to manage IATF 16949 certification.

20.1 Transfer of Registration from Other Certification Bodies
20-1.1 If the certified organization seeking to transfer its registration has transferred from another certification bodywithin the previous three-year period, its registration shall not be transferred to JQA.
20-1.2 JQA shall conduct the review of key indicators of Quality Management System performance in addition to
the contents defined in clause 20 of this Rules.
20-1.3 The certified organization shall provide JQA with the audit reports issued by the existing certification bodyduring the previous three years.
20-1.4 The registered organization shall provide JQA with the evidence that all nonconformities issued by theexisting certification body for the site and any remote support locations are closed. 100% resolution is not
acceptable.
20-1.5 The on-site audit shall be conducted equivalent to re-certification audit. The new certificate issued by JQA
shall expire on the previous day of the corresponding day three years after the registration date.
20-1.6 The certified organization should keep the certification of the existing certification body until all the transfer
activities complete.
20-1.7 JQA does not complete the transfer process until the existing certification body has conducted at least one onsite audit to verify the effective implementation of the identified corrective actions.
(1) The auditee organization is in any IATF OEM special status condition.
(2) When the certificate was suspended within the previous 12 months and the suspension was initiated due
to any of the following reasons.
－The existing certification body received a performance complaint against the auditee organization froman IATF OEM member, its relevant IATF Oversight Office, or any automotive customer of the auditeeorganization.
－The auditee organization advised the existing certification body of a special status condition from IATF
OEM within 10 calendar days from receipt of the special status condition.
－The existing certification body issued nonconformities in surveillance or recertification assessment.
20-1.8 Failure to complete all the required activities shall result in an initial certification audit.
20-1.9 The auditee organization shall inform the existing certification body of the intent of transfer.
50-1 Others
50-1.1 Auditee/Registered organization shall understand the requirements and ANNEX described in Rules forachieving and maintaining IATF recognition.
50-1.2 In case that a registered organization will transfer the certificate to a new certification body, JQA shall maintainthe registration until the transfer will be completed. The registered organization shall immediately notify JQAof the transfer as soon as a new certificate will be issued by a new certification body. JQA will cancel thecertificate within 7 days of the notification that a new certificate has been issued.
Supplementary Provision 2-1 Reasons for Suspending Registration
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Additional reasons for suspension of registration are as below:(1) If the registered organization voluntarily requests suspension due to a significant change of ownership or
production discontinuation of the product within the scope of registration,(2) If a nonconformity is observed during the audit,(3) If the surveillance audit timing is likely to be exceeded,(4) If the registered organization receives a special status notification from an IATF OEM customer,(5) If a claim is received from other customers of the registered organization,(6) If the required information to undertake effective audit planning is not supplied to JQA, and(7) If JQA judges reasonable to suspend the registration, according to information from the field.
Supplementary Provision 3-1 Reasons for Withdrawing Registration
Additional reason for withdrawal of registration is as below:(1) If the registered organization no longer has products or services that meet the applicability for a period of morethan 12 months.
(2) If it is identified that the certified organization has not notified JQA regarding Rules specific for IATF 16949
clause 10-1.
(3) If the corrective actions have not been accepted by JQA within 90 calendar days.
(4) If it is recognized that the corrective actions against major nonconformity are not implemented effectively.
Supplementary Provision 4-1 Standard Operating Procedure for Remote Audit
Upon conducting an audit by using ICTs (Information and Communication Technologies) based on IATF GLOBAL
WAIVERS AND MEASURES IN RESPONSE TO THE CORONAVIRUS PANDEMIC (COVID-19), theauditee/registered organization must sign the “Remote Audit Consent Form (IATF 16949)” so that it is deemed tohave agreed with all the terms and conditions set forth in such consent form.
＜Rules specific for JIS Q 9100 / SAJC 9120＞ Each number in the parenthesis indicates corresponding clause in SJAC 91041 and / or SJAC 9101
1-1 Application for Certification/Registration
1-1.1 When applying for a new certification/registration, the auditee organization shall submit designated application
documents as well as the data of the organization’s internal audit program and the organization’s performance(On-time Delivery, Conformity of Delivered Product or Service, Customer Satisfaction) for risk analysis.(SJAC
9104-1 8.2.1.a, 8.2.1.b, 8.5.1.5, 9.1.10）
1-1.2 The auditee organization shall permit JQA to publish the JIS Q 9100 / SJAC 9120 audit results and registration
information, etc. in the Online Aerospace Supplier Information System (hereinafter referred to as "OASIS
database") in accordance with clause 8-1 of the specific rules. (SJAC 9104-1 8.1.6, 8.2.1.a, 9.1.4)
1-1.3 The auditee organization shall identify the Online Aerospace Supplier Information System ( hereinafter referred
to as “OASIS database” ) administrator for each business site (hereinafter referred to as “site”) subject tocertification and notify JQA of it. (SJAC 9104-1 8.2.1.a, 9.1.6)
3-1 Audit reports, etc. on the OASIS database.
3-1.1 JQA prepares audit reports in the OASIS database and makes them available for auditee/registered organizations
for reference. If nonconformities are detected, a nonconformity report shall be created as part of the audit reportin the OASIS database and made available to the auditee/registered organization. (SJAC 9104-1 8.1.6, 8.5.7.1)
3-1.2 The auditee/registered organization will notify JQA if confidential or restricted information needs to be removed
from the audit report on the OASIS database.(SJAC 9104-1 8.2.1.a, 9.1.5)
3-1.3 Auditees/registrants shall make their audit reports available in the OASIS database upon request to aerospaceand defense industry customers and regulatory authorities, unless they can show justifiable reasons (competition,
confidentiality, conflict of interest, etc.)(SJAC 9104-1 8.2.1.a, 9.1.8)
5-1 Registration assessment
5-1.1 The following shall be added to the items (Refer to Clause 5.1 of this Rules) by which the assessment andJQA Management System Certification/Registration Rules［18th Edition］

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registration procedure may be suspended or withdrawn, after discussing with the auditee organization.
(1) the auditee organization does not maintain an OASIS database administrator for each site;（SJAC 91041 8.2.1.a, 9.1.6）
5-1.2 Stage 1 and Stage 2 audits shall not be performed on the same day or on consecutive days. (SJAC 9104-1 8.5.5.3)
5-1.3 The Stage 1 audit will be conducted on-site by visiting the site of central function identified. In addition, if theauditee organization has multiple sites, conducting site visits representing different technologies and dissimilar
activities shall be made. (SJAC 9104-1 8.5.5.1, 8.5.5.2)
5-1.4 The Stage 1 audit shall review the records of internal audits and management reviews, requirements forconfidential information and import/export restrictions, and the use of additional aerospace industry standards(hereinafter referred to as the "IAQG Standards Matrix"). (SJAC 9104-1 8.5.1.3, SJAC 9101 6.3.2.1.g, 6.3.3.1.e)
5-2Actions against nonconformities in Registration assessment
5-2.1 The definition of major nonconformity and minor nonconformity in assessment to JIS Q 9100 / SJAC 9120
shall be the same as that of SJAC 9101. (SJAC 9101 3.3, 3.4)
NOTE

Multiple minor nonconformities to the same requirement (e.g. similar nonconformities encountered in the different sites or in the different
sections/divisions/processes in the same site) may possibly indicate the entire collapse of system and result in major nonconformity.

5-2.2 If a major nonconformity or minor nonconformity is detected in the JIS Q 9100 / SJAC 9120 audit, the auditeeorganization shall proceed according to Clause 5.6.1 of this Rules. (SJAC 9101 5.5)
5-2.3 The procedure in the preceding paragraph shall be performed through direct entry into the nonconformity reportin the OASIS database, and JQA's consent shall be obtained online. (SJAC 9104-1 8.1.6, 8.2.1.a, 9.1.7)
5-2.4 If prompt containment is needed due to the nature of nonconformity, The auditee organization shall report to
JQA via direct entry into the nonconformity report in the OASIS database the containment action, including
corrections, within 7 days after conducting the audit and obtain JQA's consent online within the next 14 days.
(SJAC 9104-1 8.1.6, 8.2.1.a, 9.1.7, SJAC 9101 5.5)
6-1 Decision on Registration
6-1.1 In addition to the contents of Clause 6 of this Rules, JQA shall determine whether registration is granted ordenied based on the following items.
(1) Completion of response to nonconformities and effectiveness of related corrective actions in Clause 5-2of this specific rules (SJAC 9104-1 8.5.8.1)(2) Consistency between the scope of registration and the applicable scope of JIS Q 9100 / SJAC 9120
standard (SJAC 9104-1 8.5.1.3, 8.5.8.2)(3) Maintenance status of OASIS database administrators for each site (SJAC 9104-1 8.2.1.a, 9.1.6)
NOTE

7-1

If any of the above items cannot be confirmed at the Certification decision, JQA does not judge the renewal as acceptable.（SJAC 91041 8.2.2, 9.1.1）

Registration

7-1.1 JQA shall issue certificate of JIS Q 9100 / SJAC 9120 upon the accreditation by an accreditation body. (SJAC
9104-1 8.1.2, 8.2.4.6）
8-1 Issuance of registration information, etc. in the OASIS database8-1.1 JQA publishes JIS Q 9100 / SJAC 9120 registration information, etc. on its own website (Refer to Clause 8.1 ofthis Rules), and share the following data with IAQG and The Society of Japanese Aerospace Companies Japan
Aerospace Quality Group (hereinafter referred to JAQG) by publishing it in the OASIS database. (SJAC 91041 8.1.6, 8.2.1.a, 9.1.4)(1) public data: JIS Q 9100/SJAC 9120 registration certificate of the auditee/registered organization and its
certification status.
(2)
non-public data: Information on JIS Q 9100/SJAC 9120 audit results, evaluation results,
nonconformities, corrective action, and scoring of auditee/registered organizations.
9-1 Surveillance and recertification assessment
9-1.1 The following shall be added to the items (Refer to Clause 5.1 of this Rules) by which the surveillance andrecertification assessment be suspended after discussing with the auditee organization.
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(1) the auditee organization does not maintain an OASIS database administrator for each site;（SJAC 91041 8.2.1.a, 9.1.6）
9-1.2 In principle, the recertification assessment shall be set at least 3 months before the expiry date. (SJAC 9104-1
8.5.5.8)
9-1.3 In case of recertification assessment, JQA shall issue a renewed JIS Q 9100 / SJAC 9120 registration certificate
to the registered organization whose assessment judgment indicates that renewal is acceptable by the expiration
date, based on this Rules 9.3.1 and the following items.
(1) Completion of response to nonconformities and effectiveness of related corrective actions in Clause 5-2of this rules specific (SJAC 9104-1 8.5.8.1)(2) Consistency between the scope of registration and the Applicable scope of JIS Q 9100 / SJAC 9120
standard (SJAC 9104-1 8.5.1.3, 8.5.8.2)(3) Maintenance status of OASIS database administrators for each site (SJAC 9104-1 8.2.1.a, 9.1.6)
NOTE
NOTE

9-2

If any of the above items cannot be confirmed at the Certification decision, JQA does not judge the renewal as acceptable.（SJAC 9104-1 8.2.2,
9.1.1）
If the certification decision is not completed by the expiry date, the certificate will expire and become invalid. However, if a recertification assessment
have started by the expiry date, the certification can be restored if the assessment decision is completed (including uploading and posting to the
OASIS database) within six months of the expiry date of the certificate. (SJAC 9104-1 8.5.11.2)

Actions against nonconformities in surveillance and recertification assessment
9-2.1 The definition of major nonconformity and minor nonconformity in assessment to JIS Q 9100 / SJAC 9120
shall be the same as that of SJAC 9101. (SJAC 9101 3.3, 3.4)
NOTE

Multiple minor nonconformities with the same requirement (e.g. similar nonconformities encountered in the different sites or in the
different sections/divisions/processes in the same site) may possibly indicate the entire collapse of system and result in major
nonconformity.

9-2.2 When major nonconformity or minor nonconformity is detected in the assessment to JIS Q 9100 / SJAC 9120,
registered organization shall take the procedure based upon clause 9.4.1 in this Rules.
9-2.3 The procedure in the preceding paragraph shall be performed through direct entry into the nonconformity reportin the OASIS database, and JQA's consent shall be obtained online. (SJAC 9104-1 8.1.6, 8.2.1.a, 9.1.7)
9-2.4 If prompt containment is needed due to the nature of nonconformity, The auditee organization shall report to
JQA via direct entry the containment actions into the nonconformity report in the OASIS database, including
corrections within 7 days after conducting the audit, and obtain JQA's consent online within the next 14 days.
(SJAC 9104-1 8.1.6, 8.2.1.a, 9.1.7, SJAC 9101 5.5)
10-1 Change assessment
10-1.1 When there is a change in the number of employees at each site and a change that corresponds to clause 10.1 ofthis Rules, registered organization shall submit to JQA immediately “Application for change in registeredcontents”, IAQG Standards Matrix and data necessary for risk analysis (refer to Clause 1-1.1 of this specific
Rules). (SJAC 9104-1 8.2.1, 8.5.1.3, 8.5.1.5, 9.1.6, 9.1.10)
10-1.2 When JQA receives an application for change regarding the following by a registered organization, JQA shallconduct a change assessment in accordance with clause 10.2 and clause 10.3 of this Rules. In addition, thechange assessment for (1) and/or (2) below shall be conducted onsite by visiting the site. (SJAC 9104-1 8.5.10.1,
8.5.10.3)(1) Expansion of existing registration scope(2) Revise certification structure, including increase the number of sites and/or change in site locations(3) Reduction of existing registration scope(4) Revise certification structure, including reduce of sites
10-1.3 The following shall be added to the items (Refer to Clause 10.2 of this Rules) by which the implementation ofchange assessment may be suspended after discussing between JQA and the registered organization.
(1) the auditee organization does not maintain an OASIS database administrator for each site. (SJAC 9104-1
8.2.1.a, 9.1.6)
10-1.4 JQA shall issue a modified JIS Q 9100 / SJAC 9120 certificate of registration to the registered organization thatjudges the modification of registration contents to be acceptable based on the contents of clause 10.3 of thisRules and the following items.
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＜Rules specific for JIS Q 9100 / SAJC 9120＞ Each number in the parenthesis indicates corresponding clause in SJAC 91041 and / or SJAC 9101
(1) Completion of response to nonconformities and effectiveness of related corrective actions in Clause 5-2of this specific rules(SJAC 9104-1 8.5.8.1)(2) Consistency between the scope of registration and the Applicable scope of JIS Q 9100 / SJAC 9120
standard (SJAC 9104-1 8.5.1.3, 8.5.8.2)(3) Maintenance status of OASIS database administrators for each site (SJAC 9104-1 8.2.1.a, 9.1.6)
NOTE

If any of the above items cannot be confirmed at the Certification decision, JQA does not judge the renewal as acceptable.（SJAC 91041 8.2.2, 9.1.1）

10-1.5 When nonconformities are detected during a change assessment (refer to Clause 10.3.6 of this Rules), Clause 52 of this specific rule shall apply mutatis mutandis. (SJAC 9101 3.3, 3.4, 5.5)
12-1 Suspension of Registration
12-1.1 JQA shall share with IAQG and JAQG the suspension and termination of registration under the clause 12 of thisRules by publishing such information and notifying the registered organization and updating such informationin the OASIS database in accordance with clause 8-1 of this Specific Rules. (SJAC 9104-1 8.2.1.a, 8.5.11.3,
9.1.4)
12-1.2 Registered organizations shall notify their aerospace and defense industry customers when their registration issuspended within 15 days of the date the suspension begins. (SJAC 9104-1 8.2.1.a, 9.1.2)
13-1 Withdrawal of registration/Voluntary Cancellation of registration
13-1.1 JQA shall publicize such information and notify the registered organization of the withdrawal of registration andregistration under clause 13 of this Rules, and share such information with IAQG and JAQG by updating suchinformation in the OASIS database in accordance with clause 8-1 of this specific rule. (SJAC 9104-1 8.2.1.a,
8.5.11.3, 9.1.4)
13-1.2 When a registered organization switches its registration to another certification body, JQA shall use the feedback
process in the OASIS database to communicate information pertaining to certification to the new certificationbody with the consent of the registered organization. (SJAC 9104-1 8.5.9.3)
13-1.3 If registered organization lose their certification by withdrawal or voluntary cancellation, they shall provide
notification to their aviation, space and defense customers. (SJAC 9104-1 8.2.1.a, 9.1.2)
14-1 Non-periodic Assessment
14-1.1 Add the following to the pertinent items to be reviewed on the Non-periodic Assessment. (SJAC 9104-1
8.5.10.1)(1) JQA receives a complaint of an ethical nature regarding the code of conduct, etc. of a registeredorganization, accompanied by sufficient objective evidence through the feedback process of the OASIS
database, etc.
(2) JQA receives a complaint or notice of a major management system nonconformity from a registeredorganization with sufficient objective evidence through the feedback process of the OASIS database, etc.
(3) JQA assesses the concerns of the registered organization's customers or other relevant stakeholders at its
own discretion, regardless of objective evidence.
(4) JQA investigates issues related to the JIS Q 9100 / SJAC 9120 certification of the registered organization
at its own discretion, regardless of objective evidence.
14-1.2 Non-periodic Assessment concerning the case of clause 14-1.1 (1) and/or (2) of this specific Rules shall be
conducted within 30 days from the receipt of the complaint or notification by JQA. (SJAC 9104-1 8.5.10.2)
14-1.3 Non-periodic Assessment concerning the case of clause 14-1.1 (3) and/or (4) of this Specific Rules, whenrequested through the OASIS database feedback process, shall be conducted within 90 days after JQA receives
the feedback. (SJAC 9104-1 8.5.12.1)
15-1 Special Assessment
15-1.1 Add the following to the pertinent items to be reviewed on the Special Assessment. (SJAC 9104-1 8.5.10.1,
SJAC 9101 5.5.6)(1) When verifying the effectiveness of corrective actions in the auditee/registered organization agreed in thenonconformity report.
(2) When the implementation of correction and/or corrective actions in the auditee/registered organization, as
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＜Rules specific for JIS Q 9100 / SAJC 9120＞ Each number in the parenthesis indicates corresponding clause in SJAC 91041 and / or SJAC 9101
agreed in the nonconformity report, is verified by onsite visit to the site, etc., separately from otherassessments (clause 5, 9 and 10 of this Rules).
17-1 Witness by accreditation body and its access to the documents
17-1.1 Auditee/registered organizations shall agree with the witness audit by accreditation body, OP assessors, therepresentatives of customer, regulatory authorities or IAQG（International Aerospace Quality Group）members
upon their request. (SJAC 9104-1 8.2.1.a, 9.1.3)
17-1.2 Auditee/registered organizations shall agree that IAQG members, accreditation bodies and regulatory authorities
have access to its facilities and records, as requested. (SJAC 9104-1 8.2.1.d, 8.2.3)
17-1.3 Information listed in the OASIS database (e.g., audit reports, nonconformity reports, checklists or other company
specific information) may be subject to an audit or review, at any time, by accreditation bodies, JRMC,
regulatory authorities and IAQG members,. (SJAC 9104-1 5.3)
19-1 FeesJQA charges the fees of registration to OASAS database established by JAQG at any given time and Auditee/registeredorganizations shall pay the fees within one month of the issuing date through the specified payment method. JQA does
not return the fees once received.
NOTE

OASIS database registration fee is charged according to membership levels (member, supporter, non-member) that JQA assessor
confirms.

20-1 Transfer of Registration from Other Bodies
20-1.1 If JQA recognizes unresolved nonconformity of the organization certified by certification body or has a suspicion
regarding the certification of the organization, JQA may suspend or cancel the transfer of registration orprocedure of initial assessment. (SJAC 9104-1 8.5.9.1, 8.5.9.2)
20-1.2 JQA obtains information pertaining to certification from the old certification body by using the feedback process
in the OASIS database, based on the consent of the organization concerned in clause 20 of this Rules. (SJAC
9104-1 8.5.9.2, 8.5.9.3).
Supplementary Provision 1-1 Reasons for Not Accepting an Application for Registration
The following are added to the reasons for not accepting an application for registration. (SJAC 9104-1 8.2.1, 8.2.2, 9.1)
(1) When the application for registration does not comply with the requirements of SJAC 9104-1.
(2) When determination of the scope of registration, certification structure, and data necessary for risk analysis (see Clause1-1.1 of this specific Rules) has not been provided to JQA without justifiable reason.
(3) When the OASIS database administrator (refer to Clause 1-1.3 of this specific Rules) for each site has not been
identified without justifiable reason.
Supplementary Provision 2-1 Reasons for Suspending Registration
The followings are added to the reasons for suspending registration. (SJAC 9104-1 8.2.1, 8.5.11.1, 9.1, SJAC 9101 5.4.5,
5.5)(1) When the registered organization violates the requirements of SJAC 9104-1.
(2) When registered organization do not maintain OASIS database administrator appropriately for each site.
(3) When registered organization cannot demonstrate effective corrective action to repeated nonconformity. SJAC 9101
(4) When When the registered organization does not follow the timeframe for managing nonconformity report (see SJAC
9101 Table 5) and/or is unable to establish conformity within 90 days of the issuance of the nonconformity report.
(5) When complaints of an ethical nature or ethically-related nonconformity with respect to the code of conduct or otherstandards of conduct of the registered organization are substantiated by supporting objective evidence.
Supplementary Provision 3-1 Reasons for Withdrawing Registration
The followings are added to the reasons for Withdrawing Registration. (SJAC 9104-1 8.2.1, 8.2.2, 9.1)
(1) When the registered organization violates the requirements of SJAC 9104-1 and fails to resolve the violation within
the period specified by JQA.

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＜Rules specific for TL 9000＞
5-1 Readiness Review
Following relevant document “Requirements Handbook Appendix A”, auditee organization shall completed the“request for profile registration” and have “products category determined and authorized by TIA QuEST Forum”.
5-2 Actions against Nonconformities
5-2.1 Corrective action plan to minor nonconformity (Nonconformity Category B) shall include the correction, root
causes and action plan, and shall identify the time limit for completion (within 90 days in principle).
5-2.2 Examples of minor nonconformities (Nonconformity Category B)(1) Deficiencies from process, procedure or management system, which result in the product risk in aminimum way from the auditing or empirical judgment.
(2) Nonconformities against the requirements of TL 9000 or Measurement Handbook, which are noteffectively implemented, and that are not identified as major nonconformity.
5-2.3 Corrective action plan against major nonconformity (Nonconformity Category A) shall be provided within 30
days, which shall include the correction, root causes and completion date (within 90 days in principle).
5-2.4 Examples of major nonconformities (Nonconformity Category A)(1) All the items of particular requirement lacking in the Requirements Handbook or Measurements
Handbook.
(2) Internal audit and management review do not effectively implemented and maintained due to the systemic
failure of organization.
(3) Basic elements of management system is not achieved, e.g. as for the calibration, measurement devices
are ensured to comply with the requirement engaging in the intended use.
(4) Products or services do not comply with the statutory and regulatory requirements.
(5) More than one minor nonconformity (Nonconformity Category B) are found in an element of therequirements, processes or management system, and the management system is evaluated as ineffective
as a whole.
(6) It is evaluated due to the uncontrollable process or management system deficiency in a rational or
empirical way that nonconforming products should be delivered or nonconforming services should be
provided.
(7) Correction is not implemented intentionally that has been identified as minor nonconformity(Nonconformity Category B) in the previous assessment. NOTE1(8) Inconsistent data is always given against the calculation rule specified in the Measurements Handbook or
the correct data is not resubmitted notwithstanding the previous incorrect data already identified. NOTE1(NOTE1)(7) and (8) may correspond to the reasons for suspending registration in the supplementary provision 2 or the reasons
for withdrawing registration in the supplementary provision 3, depending upon the substance.

8-1

Disclosure of registration information etc
JQA shall provide the necessary information to TIA QuEST Forum in addition to the clause 8.1 of the Rule and TIA
QuEST Forum shall publicize them on the Website and IAF database.
9-1 Surveillance and recertification assessment
9-1.1 Corrective action plan to minor nonconformity (Nonconformity Category B) shall include the correction, root
causes and action plan, and shall identify the time limit for completion (within 90 days in principle).
9-1.2 Corrective action plan against major nonconformity (Nonconformity Category A) shall be provided within 30
days, which shall include the correction, root causes and completion date (within 90 days in principle).
50-1 Organizational responsibility of measurements
Auditee/registered organization shall comply with the clauses below in the 3.5.2 of Measurements Hand book.
(1) Utilize documented processes to capture and validate applicable measurement data such that source data
records are available,(2) Collect, validate, and submit data per the defined measurement definitions to the TL 9000 Administrator
using the provided tool(s),(3) Submit data on measurements that are within its scope of registration,(4) Submit a minimum of three consecutive months of data to the TL 9000 Administrator and receive TL
9000 Data Submission Receipts acknowledging valid submissions to obtain TL 9000 registration.
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＜Rules specific for TL 9000＞(5) Submit monthly data every calendar month after becoming registered no later than seven weeks after theend of the month,(6) Provide measurement data for new updates, releases, or versions of existing products under registration
starting at General Availability of the new update, release, or version (see 4.2.6),(7) Provide measurement data for new products that are within the organization’s TL 9000 scope and fallwithin an existing reported product category no later than six months after General Availability of the
product(see 4.2.6),(8) Provide at least consecutive three months of measurement data for products that expand the organization’s
TL 9000 scope into new product categories, receiving TL 9000 Data Submission Receipts acknowledging
valid submissions prior to scope expansion,
Note: Scope changes can be made only in conjunction with assessment by the registrar.
(9) Compare internal measurements to the available industry performance data reports and take steps toimprove products and processes as appropriate,(10) Provide regular TL 9000 Quality Management System Measurements reports to its responsible
management,(11) Correct any data discrepancies, and re-submit corrected data for any erroneous data submitted within theprevious two years,
Note: Organizations will have the options of re-submitting the data using the current tools, requirementsof the current handbook, and current effective product category tables or using the tools, requirements, andproduct category tables in effect at the time the data was originally submitted.
(12) Provide its suppliers all necessary information it possesses to allow that organization to generate their TL
9000 measurements, and(13) Use the available standardized data templates available through the TL 9000 website (tl9000.org) when
the organization has the responsibility to provide that the data to its suppliers.
（from the 3.5.2 of Measurements Handbook）＜Rules specific for ISO 13485＞
3-1 Record keeping
Record keeping of the clause 3.2 of this Rules includes the record of communication to the authorities as required by law.
3-2 Assessment Report etc.
When regulatory authority requires JQA to have access to the assessment reports or other related documents prepared by
JQA, auditee/registration organization shall have all the pages of assessment reports and the related documents accessible
to them.
NOTE

Regulatory authority above means the government agency or other legal entity which under the jurisdiction exercises legal rights
to control usage or sales of medical devices as defined in IAF MD9.

14-1 Non-periodic assessment
As applicable to the items below, short notice assessment or unannounced assessment may be conducted as necessary.
(1) In case of outside elements, for example;a) Due to the available after market surveillance data of the medical device, question arises about the
management system of the auditee/registered organization.
b) Serious information about the device safety is known to JQA.
(2) When serious changes are informed to JQA by the auditee/registered organization or by regulation, thesechanges have an influence upon JQA’s judgement of conformity in terms of regulatory requirements of
the auditee/registered organization.
＜Rules specific for ISO 45001＞
18-1 Request for Investigation and Information from Auditee/Registered Organization
The legally enforceable arrangements shall also require that the certified client informs the Certification Body, without
delay, of occurrence of a serious incident or breach of regulation necessitating the involvement of the competent
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＜Rules specific for ISO 45001＞
regulatory authority.
18-2 Closure of the facilities and work areas
If the facilities and work areas are subject to closure by serious incident and/or so on, it shall be verified by the
Certification Body without delay that the management system continues to meet the OH&SMS standard and to beeffectively implemented in respect of the closed facilities and work areas, and if not, the certificate shall be suspended
accordingly.
＜Rules specific for HACCP／ISO 22000＞
1-1 Application for Certification/Registration (this clause is applied to ISO 22000/JFS-C)
1-1.1 Scope of registration shall not exclude the activities or processes having an influence upon the food safety of end
products or services, which means that all the activities or processes of each stages of food chain (e.g. primary
production, food processing, lapping, storage, transport, sales and so on) shall be included into the scope under
the responsibility of the auditee/registered organization.
NOTE

ISO 22003-1 9.1.1
The certification body shall use Annex A to define the relevant scope for the organization applying for certification.
The certification body shall not exclude activities, processes, products or services from the scope of certification whenthose activities, processes, products or services can have an influence on the food safety of the end products as definedin the scope of certification.

5-1

Initial assessment
5-1.1 JQA is in a position to confirm legal compliance against food related laws and regulations and occurrences offood related accidents during the top management interview as a part of assessment.
5-1.2 The previous clause shall be applied mutatis mutandis to surveillance, recertification, change and transitionassessment.
14-1 Non-periodic assessment
The clause 14.1 (2) of this Rules includes the cases of serious food related accidents or product recall on a broad scale.
＜Rules specific for JFS-C＞
1-1 Application for Registration Assessment
1-1.1 Any activities/process which may affect food safety of end products/services included in the scope of
certification shall not be excluded. This means all the activities/process in every step (e.g, primary production,
food processing, storage, transfer, sales etc.) within a food-chain for which the auditee organization is responsible
for shall be included in the registration scope.
NOTE

ISO 22003-1 9.1.1
The certification body shall use Annex A to define the relevant scope for the organization applying for certification. The certification bodyshall not exclude activities, processes, products or services from the scope of certification when those activities, processes, products orservices can have an influence on the food safety of the end products as defined in the scope of certification.

5-1

Initial Assessment
5-1.1 JQA is in a position to confirm legal compliance against food-related laws and regulations and occurrences offood-related accidents within registration scope during the top management interview as a part of assessment.
5-1.2 The previous clause shall be applied mutatis mutandis to surveillance, recertification, change and transitionassessment.
5-2 Nonconformity
5-2.1 When major nonconformity (Nonconformity Category A) is detected, the auditee organization shall submit
corrections and corrective actions to JQA within 30 calendar days after completion of assessment and get approval.
JQA shall conduct full or limited audit for checking thereafter according to determination of judgement
committee.
5-2.2 When minor nonconformity (Nonconformity Category B) is detected, the auditee organization shall implement
corrections within 30 calendar days after completion of assessment in principle and provide the corrective action
plan with relevant evidence to JQA to acquire approval on them from JQA.
5-2.3 When critical nonconformity is detected in initial assessment, JQA discontinue the assessment. After the auditeeorganization resolve the critical nonconformity, JQA shall conduct initial assessment again.
5-2.4 Examples of critical nonconformity defined by JQA are as follows:
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＜Rules specific for JFS-C＞(1) when food safety is directly impacted(2) when noncompliance to law is in present
9-1 Surveillance/recertification assessment
9-1.1 When major nonconformity (Nonconformity Category A) is detected, the registered organization shall submit
corrections and corrective actions to JQA within 30 calendar days after completion of assessment and get approval.
JQA shall conduct a partial or full reassessment for checking thereafter according to determination of judgement
committee.
9-1.2 When minor nonconformity (Nonconformity Category B) is detected, the registered organization shall
implement corrections within 30 calendar days after completion of assessment in principle and provide thecorrective action plan with relevant evidence to JQA to acquire approval on them from JQA.
9-1.3 When critical nonconformity is detected during surveillance/recertification audit, JQA request auditee organization
to complete corrective actions within 6 months and suspend the registration. In case JQA does not accept theauditee organization’s corrective actions within 6 months, JQA withdraws the certification.
9-2 Unannounced Assessment
9-2.1 JQA shall conduct at least one unannounced assessment within two surveillance assessments of each 3-year
cycle.
9-2.2 JQA sets the date of the unannounced assessment, and the registered organization shall not be notified in advanceof the date of the unannounced assessment. When there are legitimate business reasons, blackout days may be
agreed in advance between the registered organization and JQA to avoid periods of extreme inconvenienceduring which it is difficult to participate fully and/or there is no production.
9-2.3 JQA shall conduct follow-up assessment in case JQA cannot conduct assessment on some part of production orservices process in operation during unannounced audit.
14-1 Non-periodic assessment
Serious food related accidents and product recall shall be included in the cases specified in 14.1 (2) of main body of thisRules.
17-1 Providing information such as audit report to JFSM
Auditee organization shall agree in advance to disclose the documents such as audit report to JFSM and GFSI.
NOTEGFSI（Global Food Safety Initiative）
JFS-C certification program is recognized as one of GFSI benchmarking requirements.

18-1 Notification of information that affects an organization’s certification status
If auditee organization found out that legal proceedings, prosecutions or product recall associated with food safety orlegality concerning products within certification scope, it shall inform JQA and JFSM of the matter upon completing
the initial response to these matters at the latest.
Supplementary Provision3.1 Reason for withdrawing certification
The following is added to reasons for withdrawing registration.
・If JQA judges that food safety of the product within the scope of registration is at stake.
＜Rules specific for FSSC 22000＞
1-1 Application for Certification/Registration
1-1.1 The auditee organization shall apply for one certification/registration by each manufacturing or processing plant(site) and shall not include multiple sites except the cases below;(1) when a head office is separate to the site ,(2) when different operations are located on one site (as far as part of the same legal entity and subject to one
assessment appropriate to the combined scope)(3) when a single manufacturing process is split between different sites that may be part of the same legal
entity1-1.2 Off-site transport and storage outside shall only be added to the manufacturing scope in cases when there are;(1) dedicated to the company’s own production and(2) included within the audited food safety management system
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＜Rules specific for FSSC 22000＞
NOTE

ISO 22003-1 9.1.1
The certification body shall use Annex A to define the relevant scope for the organization applying for certification. The certification bodyshall not exclude activities, processes, products or services from the scope of certification when those activities, processes, products orservices can have an influence on the food safety of the end products as defined in the scope of certification.

5-1

Initial Assessment
5-1.1 JQA is in a position to confirm legal compliance against food related laws and regulations and occurrences offood related accidents during the top management interview as a part of assessment.
5-1.2 The preceding clause shall be applied mutatis mutandis to surveillance, recertification, change and transitionassessment.
5-2 Actions against Nonconformities
5-2.1 When a minor nonconformity (Nonconformity Category B) is detected, the auditee organization shall submit
objective evidence of correction, evidence of root cause investigation, risks identified, and a corrective action
plan or corrective action report, and obtain JQA's consent for such corrective action plan or corrective action
within 28 calendar days from the last day of the audit. If JQA's consent is not obtained by the due date, JQA shallconduct another registration assessment starting from the second stage assessment within six months from thelast day of the audit.
5-2.2 Add the following to the cases judged by JQA as major nonconformities (Nonconformity Category A).
・When legal noncompliance related to quality is found during an audit.
5-2.3 When a major nonconformity (Nonconformity Category A) is detected, the auditee organization shall submit
objective evidence of root cause investigation, risks identified, and corrective action plan, and implement
corrective actions and submit the objective evidence of such corrective actions to JQA. JQA shall review thecorrective action plan, evidence of corrective action implementation, etc. submitted by the auditee organization,and conduct on-site partial or full reassessment to confirm the effectiveness of the corrective actions. However,if the JQA judges that the documents are sufficient to confirm the effectiveness of the corrective actions, the JQA
may substitute a document audit. These shall be conducted within 28 calendar days from the last day of the audit.
5-2.4 If, due to special circumstances, it takes time to complete corrective actions for major nonconformities(Nonconformity Category A), instead of submitting objective evidence of corrective action implementation, theauditee organization shall include temporary actions until such corrective actions (permanent corrective actions)are completed in its corrective action plan, submit supporting evidence for the temporary actions, and obtain
JQA's consent within 28 calendar days from the last day of the audit. JQA shall conduct a partial or fullreassessment within six months from the last day of the audit to confirm the effectiveness of the permanent
corrective actions.
5-2.5 When a critical nonconformity is detected, the auditee organization shall submit to JQA objective evidence ofroot cause investigation, risks identified, and corrective action plan within 14 calendar days after the last of theaudit, and after the nonconformity is effectively resolved, JQA shall conduct another registration assessment
starting from the first stage assessment.
5-2.6 Cases judged by JQA as critical nonconformities are as follows (The same applies to surveillance and renewal
assessment):(1) When an audit finds that food safety is directly affected but appropriate action is not taken by the auditeeorganization.
(2) The legality and/or integrity of the certification with respect to food safety is in jeopardy.
(3) When it is found that the approved corrective actions for major nonconformities have not been completed.
8-1 Provision of Information such as Assessment Report to FSSC etc.
Registered organization shall accept the followings:(1) Provide FSSC with assessment reports of auditee/registered organization and other documents or records
regarding assessment and registration of the auditee/registered organization which are defined by FSSC as
requirement to be provided by way of registering into database;(2) Share information concerning the registered organization with governmental authorities and GFSI whenappropriate; andJQA Management System Certification/Registration Rules［18th Edition］

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＜Rules specific for FSSC 22000＞(3) Display information with regards to the certified status on the website of FSSC.
NOTEGFSI（Global Food Safety Initiative）
FSSC 22000 program is recognized as one of GFSI benchmarking requirements.

9-1

Surveillance/Recertification Assessment
9-1.1 When a minor nonconformity (Nonconformity Category B) is detected, the registered organization shall submit
a corrective action plan or corrective action report with the details and implementation date of the corrective
action and retrospective survey within 28 calendar days from the last day of the audit, and obtain JQA's consent
for such corrective action plan or corrective action.
9-1.2 When a major nonconformity (Nonconformity Category A) is detected, the registered organization shall submit
objective evidence of root cause investigation, risks identified, and corrective action plan, and implement
corrective actions and submit the objective evidence to JQA. If, due to special circumstances, the completion ofcorrective action for a major nonconformity (Nonconformity Category A) will take longer than expected, theregistered organization shall, instead of submitting objective evidence of corrective action implementation,
include temporary actions in its corrective action plan until the completion of such corrective action (permanent
corrective action) and submit supporting evidence for the temporary actions. JQA shall review the corrective
action plan, evidence of corrective action implementation, etc. submitted by the registered organization, andconduct on-site special audit/re-audit to confirm the effectiveness of the corrective actions. However, if the JQAjudges that the documents are sufficient to confirm the effectiveness of the corrective actions, the JQA may
substitute a document audit. These shall be conducted within 28 calendar days from the last day of the audit.
9-1.3 When critical nonconformity is detected, the certificate shall be suspended for a maximum of six months within
3 business days. The registered organization shall provide JQA with objective evidence of an investigation into
causative factors, exposed risks and the proposed corrective action plan within 14 days after the assessment. JQAshall conduct special or full or limited assessment within six weeks to six months after the assessment to verify
the closure of the critical nonconformity. The certificate shall be withdrawn when JQA cannot confirm that thecritical nonconformity is effectively solved within the six months timeframe.
9-2 Unannounced Assessment
9-2.1 JQA shall conduct at least one unannounced assessment within two surveillance assessments of each 3-year
cycle. The registered organization can voluntarily choose to replace all surveillance audit and recertification audit
by unannounced surveillance assessments.
9-2.2 JQA sets the date of the unannounced assessment, and the registered organization shall not be notified in advanceof the date of the unannounced assessment. When there are legitimate business reasons, blackout days may be
agreed in advance between the registered organization and JQA to avoid periods of extreme inconvenienceduring which it is difficult to participate fully and/or there is no production.
9-2.3 In case that JQA can’t conduct manufacture or services in operation, JQA shall conduct follow-up assessment
to the relevant processes or tasks within 4 weeks after the unannounced assessment.
10-1 Change Assessment/Transition Assessment
The registered organization shall notify JQA within 3 working days when there is any significant changes which may
affect the conformity to the certification requirements as follows:(1) legal, commercial, organizational status or ownership,(2) change of the management, including decision makers, technical staff and other senior managers(3) organization name, contact address and site details,(4) scope of operations and product categories,(5) any other changes that renders the information on the certificate inaccurate.
14-1 Non-periodic Assessment
Serious food related accidents and product recall NOTE1 shall be included in the cases specified in 14.1 (2) of main bodyof this Rules.
（NOTE1）

It means removal by a supplier of product from the supply chain that has been sold to the end consumer, or is with retailers or caterers and isavailable for sale excluding when it has not been placed on the market for purchase by the end customer.

15-1 Special Assessment
When any one of the matters described below is the case with the registered organization, a special assessment shall be
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＜Rules specific for FSSC 22000＞
conducted :(1) when the registered organization requested to lift the suspension;(2)
when JQA verify the implementation of corrective actions against the major nonconformity(Nonconformity Category A);(3) when JQA confirm that the critical nonconformity has been solved by corrective actions; or(4) when not all objectives are fulfilled during the unannounced assessment.
18-1 Notification to JQA
The registered organization shall notify JQA of the following matters within 3 business days of the occurrence:(1) Significant changes affecting conformity with scheme requirements,(2) Serious events affecting the legality/integrity of the certification, including natural or man-made disasters(war, strikes, terrorism, crime, floods, earthquakes, malicious computer hacking, etc.),(3) Social events related to food safety (e.g., product recalls NOTE1, outbreaks of foodborne illnesses, actions byregulatory authorities, illegal and negligent acts, fraudulent behavior),(4) Changes to the organization's name, contact address, and site details,(5) Changes in organization (legal, commercial, etc.) and layers of management,(6) Changes in the scope of management system activities and product categories (including new products, newprocessing lines, etc.), or(7) Any other changes that would render the information in the certificate of registration inaccurate.
（NOTE1）

It means removal by a supplier of product from the supply chain that has been sold to the end consumer, or is with retailers or caterers andis available for sale excluding when it has not been placed on the market for purchase by the end customer.

Supplementary Provision 2-1 Reasons for Suspending Registration
The followings are added to reasons for suspending registration. The suspension will be implemented within 3 businessdays of the occurrence:(1) If critical nonconformity is detected;(2) If the registered organization refuses to participate in the unannounced assessment without good reason.
Supplementary Provision 3-1 Reasons for Withdrawing Registration
The followings are added to reasons for suspending registration:(1) If JQA judges that food safety of the product within the scope of registration is at stake;(2) If JQA cannot confirm that the critical nonconformity has been solved effectively within 6 months after theassessment;(3) If unannounced assessment has not been conducted within 6 months after refusal by the registeredorganization to participate in.
X

Supplementary Provision 4-1 Procedure for conducting full remote audit
Upon conducting an audit by using ICTs (Information and Communication Technologies), the auditee/registeredorganization shall sign the “Agreement for Conducting Full-Remote Audit FSSC 22000” so that it is deemed to haveagreed with all the terms and conditions set forth in such agreement. A full remote audit may be conducted only in theevent of a serious incident.
＜Rules specific for Assessments Combination＞
1-1 Definition of Assessments Combination
Assessment to core standard (ISO 9001, ISO 14001 or ISO/IEC 27001) combined with assessment to additional
standard (standard or guideline which supports or is compatible with core standard).
5-1 Initial Assessment to Additional Standard
5-1.1 Initial assessment to additional standard shall be conducted in combination with initial assessment, surveillanceor recertification assessment to core standard.
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＜Rules specific for Assessments Combination＞
5-1.2 When auditee organization has the registration of core standard, only stage 2 assessment is necessary in initialassessment to additional standard.
7-1 Registration of Additional Standard
The expiry date of registration of additional standard shall be the same as that of core standard.
9-1 Surveillance/Recertification Assessment to Additional Standard
9-1.1 Surveillance/Recertification assessment to additional standard shall be conducted combined withsurveillance/recertification assessment to core standard.
9-1.2 How to address the nonconformity, such as due date, depends on the rules of core standard.
12-1 Suspension of Registration and Lifting Suspension
12-1.1 When the registration of core standard or additional standard is suspended, the registration of both standards
shall be suspended.
12-1.2 When the suspension is lifted, the suspension of registration of both standards shall be lifted.
13-1 Withdrawal of Registration/Voluntary Cancellation of Registration
13-1.1 When the registration of additional standard only is withdrawn by JQA, that of core standard can be kept.
However, the registration of core standard is withdrawn by JQA, that of additional standard shall be withdrawn
at the same time.
13-1.2 When the registration of additional standard only is cancelled by registered organization, that of core standard
can be kept. However, the registration of core standard is cancelled by registered organization, that of additional
standard shall be cancelled at the same time.

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Records of Revisions
Rev.Date
Effective Date

Description of Revision5

2012/6/1
2012/6/20

62013/1/15
2013/2/1

7

2013/9/1
2013/9/15

8

2014/3/15
2014/4/1

9

2015/3/20
2015/4/1

・The addition of the new standard（scope）
・The role and responsibility newly added.（subsequent clauses renumbered）（3.5）
・The detail of observers accompanying assessment is added.（3.6）
・Condition to suspend or withdraw initial assessment is added.（5.1.(5)）
・Clarification of the contents of stage 1 assessment（5.2.1）
・Definition of major nonconformity of OHSAS18001 is added.（moved from Exceptions）（5.6.4）
・The procedure to cancel the registration and its publication added.（12.3）
・How to inform IATF of ISO/TS16949 assessment result was changed.（ISO/TS16949 Exceptions,16-1）
・The definition of nonconformity regarding JIS Q 9100 added.（JIS Q 9100 Exceptions, 5-2）
・Notice regarding factors affecting certification of FSSC 22000 is added.（HACCP／ISO 22000／FSSC 22000 Exceptions, 17-1）
・Assessments Combination Exceptions newly added.
・New standard services added.（scope）
・Accreditation bodies relevant to JIS Q 9100 added. (e.g., Accreditation bodies)
・Description that special audit can be accompanied by other audit added. (14.2)
・Approval by EU or Health Canada added to the requirement of ISO134585 registration transfer.
(19.1)
・Requirement for OHSAS registration transfer newly added. (19.1)
・Description of change notice followed clause 3.2 of Rules for achieving IATF recognition 3rd Edition.
(ISO/TS16949 Exceptions 10-1.1)
・According to issuance of a new accreditation standard, requirements added or changed. (including
clarification of existing requirements) (JIS Q 9100 Exceptions : clause 3-1, 7-1, 8-1, 10-1, 12-1,
16-1, and supplementary provisions 2-1)
・Addition of a new certification service (Scope)
・Deletion according to the voluntary withdrawal of ANAB accreditation. (Scope)・Addition of other provisions regarding accreditation activities. (Reference criteria, 16.2)
・Clarification of reasons for withdrawing registration.（Reference criteria, Supplementary provision3）・Addition of notification regarding legal change of the registered organization. （10.4）
・Change of the time limit for notification of lawsuit/recall（HACCP／ISO 22000／FSSC 22000
Exceptions : clause 17-1.1）
・Addition of a new certification service (Scope)
・Change of terms according to the change of auditor qualification（3.5.4）
・Conformance to Rules for achieving and maintaining IATF recognition 4th edition（5.6.1, 9.4.1,
ISO/TS16949 Exceptions：clause 1-1，3-1，5-2.4, 19-1.3, 19-1.5, supplementary provisions 21(3), and supplementary provisions 2-2(2)(3)(4)）
・Extension of applying pre-audit to other standards (ISO/IEC 27001／OHSAS18001／ISO/IEC
20000／ISO 22301／JIS Q 15001／ISO 39001／ISO 29900／Criteria for Certification of CSMS
Exceptions）
・Change of scope. (deletion of RvA, addition of JIPDEC and deletion of BS25999)
・Clarification of the language used in documents to be submitted to JQA for assessment. (3.8)
・Conformance to Rules for achieving and maintaining IATF recognition 4th edition (5.6.1, 9.4.1 and
ISO/TS16949 Exceptions)・ Change the key function of decision on initial assessment, recertification assessment andchange/transition assessment from assessment certification committee to certification decision. (6.1,
7.1, 9.3.2 and 10.3.4)
・Change the cycle of surveillance of JIS Q 9100 to only once a year. (9.1)
・Addition of the period within which surveillance and recertification assessment schedule shall be
adjusted. (9.1.1)
・Clarification how to deal with incompletion of transition by due date. (10.3.2)
・Change of the term of Pre-audit to Pre-assessment and extension of application to other standards.
(11, JIS Q 9100 Exceptions 11-1)
・Change of requirement for transfer of registration of ISO/IEC 27001, ISO/IEC 20000 and ISO 22301.
(20.1)
・Addition of reason for suspension. (supplementary provisions 2 (3) )Rev.NoJQA Management System Certification/Registration Rules［18th Edition］

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Rev.No

Rev.Date
Effective Date

Description of Revision
・Addition of provisions for accepting transfer of registration of JIS Q 9100 and information transfer
to new certification body (JIS Q 9100 Exceptions 20-1, 20-2)
・Addition of provision of assessment report and other information to FSSC. (HACCP／ISO 22000／FSSC 22000 Exceptions 17-1)

10

2016/3/20
2016/4/1

・Clarification of definition on auditors and organizing assessment team. (Clause 3.5, Clause 3.6)
・Changes due to revision of JISQ17021-1 (Clause 3.8, Clause 9.3.1)
・IQNet added to the bodies to which registration information is submitted. (Clause 8.1)
・Deletion of description regarding notification upon withdrawal. (Clause 13.2)
・Conformance to Rules for achieving and maintaining IATF recognition 4th edition (Rules specific to
ISO/TS16949）
・Appending description that restoration of registration shall not be applied to JIS Q 9100. (Rules
specific for JIS Q 9100 Clause 9-3)・Addition of handling of nonconformity and reason for withdrawing registration to FSSC 22000(Rules specific for HACCP／ISO 22000／FSSC 22000 clause 5-2, Supplementary Provision 31)
・Consistency of terms (ISO/TS16949, scope of registration, original certification body, Rules specificto , recertification, etc.)11

2017/1/1
2017/1/1

・Addition of a new certification service (Scope)・Conformance to Rules for achieving and maintaining IATF recognition 5th edition (Rules specific to
IATF 16949）＜Rules specific for ISO/TS16949＞
・ Prohibition of change after a witness audit confirmed (Clause 3-1.2)
・ Corrective action against nonconformity at an initial certification audit. (Clause 5-1.5)
・ Summarize the explanation of “corrective action against nonconformity” from other clauses
and some editorial changes. (Clause 5-2)・ Add “transfer to a new IATF-recognized certification body” to the Notice of changes. (Clause10-1 (8))
・ Add “investigation on re-certification” and “information of special status” to the Special audit
purposes. (Clause 15-1 (5)(6))
・ Restriction in transferring the registration. (Clause 20-1.6)
・ Add “conducting initial certification audit” when failing the transfer process. (Clause 20-1.8)
・ Obligation of notifying the existing certification body of the intent of transfer. (Clause 20-1.9)
・ Add “obligation of notifying” to JQA after the transfer. (Clause 50-1.2)

12

2018/3/20
2018/4/1

・Addition of new certification services （JFS-C, ISO 45001）
・Changes of accreditation bodies（JIPDEC⇒ISMS-AC, itSMF⇒deleted）
・Changes of accreditation standards（ISO 9001, ISO 14001, ISO 13485, ISO/IEC 20000, ISO
45001, ISO 22000, FSSC 22000, JFS-C）
・Change of expression on expiry date definition (Clause 7, Clause 20-1.5 in Rules specific for
ISO/TS16969)
・Change of surveillance cycle of ISO/TS16949 and FSSC 22000 limiting to once a year only
(Clause 9.1)
・Description of reducing the scope of registration by JQA in case of meeting any of reasons in
Supplementary Provision 3. (Clause 13)
・Addition of matters that may affect the capacity of management system such as a change in legal
status to the information JQA from the auditee/registered organization to JQA, which was specified
in Clause 10.4 in 11th edition and moved to Clause 18.3.
・Clarification of conditions when JQA may request advance payment. (Clause 19.4)
・Changes of conditions regarding accreditation bodies to transfer registration from other certification
body. (Clause 20.1)
・Addition of stage 2 assessment to on-site review when conditions specified in clause 20.1 are notsatisfied. (Clause 20.5)
・Addition of reviewing records of implementation of internal audit and management review during
stage 1 audit of ISO/TS16949. (Clause 5-1.1 in Rules specific for ISO/TS16949)
・Clarification of surveillance interval and conditions to set assessment schedule of ISO/TS16949.
JQA Management System Certification/Registration Rules［18th Edition］

36

Rev.No

Rev.Date
Effective Date

Description of Revision(Clause 9-1.2 in Rules specific for ISO/TS16949)
・Addition of reviewing records of implementation of internal audit and management review during
stage 1 audit of JIS Q 9100 (Clause 5-1.2 in Rules specific for JIS Q 9100)
・Addition of rules specific to JFS-C to Rules specific for HACCP/ISO 22000. (Rules specific for
HACCP/ISO 22000/JFS-C)※”JQA Management System Certification/Registration Rules edition 11.1 – Rules specific for JFS-C –“ was modified andmerged. (Actions against nonconformities are added into Clause 5-2.1, 5-2.2 9-2.1 and 9-2.2)

・Addition of Rules specific for FSSC22000 separated from Rules specific for HACCP/ISO
22000/FSSC22000)※”JQA Management System Certification/Registration Rules edition 11.2 – Rules specific for FSSC 22000 Ver4.1 – “ wasmodified and merged. (Notes regarding product recall are added into Clause 14-1 and 18-1)

13

2019/ 3/20
2020/4/1

・Change of name (ISO/TS16949 → IATF 16949)
・Voluntary withdrawal of APMG registration
・Addition of ISO/IEC 27006 as an accreditation standard for ISO/IEC 27001
・Addition of ISO/IEC 20000-6 as an accreditation standard for ISO/IEC 20000-1
・Property right of assessment report is clearly stated.
[Specific rule for ISO 13485]
・Addition of non-periodic assessment[Specific rule for ISO 45001]
・Addition of non-periodic assessment Request for Investigation and Information from

Auditee/Registered Organization14

2020/3/20
2020/4/1

15

2021/3/20
2021/4/1[Specific rule for ISO 22000/JFS-C]
・Amendment of the responsibility of the auditee/registered organization[Specific rule for JIS Q 9100]
・Changes with regards to the issuance of IAOG Resolution Log No.150
・ Addition of ISO 21001 services
・ Name change of scheme owner (QuEST Forum → TIA-BPC)・ Add condition of the certification transfers
・ Delete English version certificate of JFS-C standard[Specific rule for ISO 45001]
・ Integrate the contents of the version 13-1 of this rule
[Specific rule for JFS-C]
・ Provision of information to the accreditation body and scheme owner[Specific rule for FSSC 22000]
・ Some revisions in line with FSSC2200 Ver.5 with regards to critical nonconformity, unannounced
assessment and other issues[Specific rule for IATF 16949]
・ Corrective action plan provided in case of major nonconformity
・Addition of ISO/IEC 27701 services
・Name change of scheme owner (TIA-BPC → TIA QuEST Forum)
・Add requirement for provision of information with regards to conducting assessment
・Add Supplementary Procedure 4; Procedure for conducting remote audit[Specific rule for TL 9000]
・Update requirement for confirmation of readiness in advance[Specific rule for JFS-C]
・Add JFS-C specific rule (separated from HACCP/ISO 22000 specific rule)[Specific rule for FSSC 22000]
・Correspond to the FSSC 22000 Ver5.1
・Add procedure for conducting remote audit[Specific rule for IATF 16949]
・Update clause with regard to nonconformity
・Update clause with regard to special audit
・Add procedure for conducting remote audit

JQA Management System Certification/Registration Rules［18th Edition］

37

Rev.Date
Effective Date

Description of Revision

16

2022/3/20
2022/4/1

17

2023/3/20
2023/4/1

18

2024/3/20
2024/4/1

・Deletion of OHSAS18001 standard according to abolition
・Deletion of CSMS standard according to withdrawal from the certification services.
・Addition of JPI-ISAC102-2.0 to reference standards
・Addition of clause concerning prohibitions of audio-/video-recording during audit
・Addition of UKAS to which registration information is to be publicly disclosed
・Clarification of an audit plan as a part of assessment report by JQA・Add procedure for informing to the original certification body of completion of registration to theorganization by JQA after successful transfer.
[Specific rule for IATF 16949]
・Clarification of the scope of registration to be included[Specific rule for JFS-C]
・Update clause with regard to non-conformity handling・ Add SJAC 9120 audit service (Scope, etc.)
・ Change Name (IQNet ⇒ IQNET, FSSC 22000 ⇒ FSSC) (Scope, etc.)
・ Add ISMS-AC as accreditation body for ISO/IEC 27701. (Scope)・ Add JIS standard names to ISO 50001, ISO/IEC 20000-1, ISO 45001, and ISO 22301 (scope)・ Change JIS Q 9100 and JFS-C accreditation criteria (Reference criteria).
・ Change the notes for non-conformity handling in JIS Q 9100 and SJAC 9120 (Clause 5.6.1, 9.4.1).
・ Change surveillance cycle of TL 9000, ISO 13485, ISO 39001, ISO 29990 and ISO 21001 limiting
to once a year (Clause 9.1)
・ Add due date for cancel the registration (Clause 13.2)
・ Change requirements for transfer registration of ISO/IEC 27001, ISMS-CLS, and ISO/IEC 27701
from other Bodies (Clause 20.1).
・ Change due to publication of SJAC 9104-1A:2022 (Rules specific for JIS Q 9100 / SJAC 9120)
・ Change reference standards (ISO/IEC 27006⇒ISO/IEC 27006-1, ISO /TS 22003⇒ISO 22003-1,
JAB NS551⇒JAB203)
・ FSSC homepage URL has been revised (Clause 8.1).
・ IAF is added to the list of organizations providing registration information (Clause 8.1).
・ Undisclosed registration information is clearly stated in the notes (Clause 8.1).
・ Change the note for handling of nonconformities in JIS Q 9100 and SJAC 9120 (Clause 9.4.1).
・ Requirements for registration bodies for FSSC 22000 changed (Clause 20.1).
・ Harmonization with IATF Rule 5 (Rules specific for IATF 16949 9-1)
・ Compliance with IATF Personal Data Protection (Rules specific for IATF 16949 17-1.2)
・ Changes in accord with ISO 22003-1:2022 and FSSC 22000 Ver. 6 (Rules specific for FSSC
22000)

Rev.NoJQA Management System Certification/Registration Rules［18th Edition］

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Issued by Management Systems Sector, Japan Quality Assurance Organization© Copyright JQA –All rights reserved(SH-QM01-E13-P)