Japan EPD Program by SuMPO

Requirements for Competence ofSystem Certification Auditors

Document ID: JC-02-04
Sustainable Management Promotion Organization
Revision history
Version

Date

Page

Details

04

April 1, 2022-

Modifications due to changes in the program name.

03

January 21, 2022

5, 6

Revised work-related qualification criteria for system
auditors and lead system auditors

02

October 1, 2019-

Modifications due to changes in the program operator.

01

February 26, 2018-

Document created. Newly published following integrationof EcoLeaf Program and CFP Program.

JC-02-04
Table of Contents
Preface ............................................................................................................................................. 3
0.1

Introduction ........................................................................................................................... 3

0.2

Scope ...................................................................................................................................... 4

0.3

Cited Standards ..................................................................................................................... 4

1. System Certification Auditor Qualification Criteria .............................................................. 5
1.1 Types of System Certification Auditors ............................................................................ 5
1.2 Qualification Criteria for System Auditors and Lead System Auditors ........................ 5
2. Registration, Maintenance, and Renewal of System Certification Auditor Qualifications .............. 6
2.1 System Certification Auditor Registration ....................................................................... 6
2.2 Registration, Maintenance, and Renewal of System Certification Auditors ................ 6
3 Lapse of Qualifications .............................................................................................................. 7
4 Suspension and Revocation of Qualifications ........................................................................ 7
Appendix A...................................................................................................................................... 8
A1. General .................................................................................................................................. 8
A2. Knowledge and Skills .......................................................................................................... 8
A3. Education, Work Experience, Auditor Training, and Audit Experience......................... 9
A4. Personal Qualities .............................................................................................................. 10A5. Maintaining and Improving Competence ........................................................................ 11
Appendix B: Examination ............................................................................................................ 12
Appendix C: Training ................................................................................................................... 132

JC-02-04
PrefaceThis document specifies the requirements for individuals or teams conducting certification audits ofsystems built in accordance with the system certification requirements of the Japan EPD Program by
SuMPO (the “Program”) operated and administered by the Sustainable Management Promotion
Organization (“SuMPO”).
The requirements in this document will be revised in a timely and appropriate manner, through theefforts of this Program.

0.1

Introduction

In dissemination of this Program, it is necessary to ensure the reliability and transparency of the
figures and labeling released to consumers. Devising ways to reduce the burden of verification while
maintaining credibility and transparency is important for organizations quantifying, verifying, anddisplaying declarations.
This Program has two verification methods: the “product-by-product verification method,” in which
each product quantified by an organization is verified externally; and the “system certification
method”, which eliminates the external verification process by auditing systems that incorporate
quantification, verification, and publication processes internally and verifying these processes.
This document prescribes the requirements for those conducting audits of systems establishedunder the system certification methods among the two methods.
Figure 1 shows the structure and flow of verification/certification methods in this Program.

Figure 1. Structure and flow of verification/certification methods3JC-02-04
0.2

Scope

These requirements apply to those performing system certification audits for organizations
participating in this Program, to the extent that PCR exists within the Program.
These requirements are not intended to establish standards or criteria based on laws or
regulations.
0.3

Cited Standards

The documents listed below form part of these requirements when cited therein.
a) General Program Instructionsb) Quantification and Declaration Rulesc) Declaration and Registration Publication Rulesd) Certification Body Registration and Evaluation Rulese) Verification Rulesf)

System Certification Rulesg) System Audit Report Formh) Findings and Response (Audit Evaluation)i)

Ethics and Confidentiality Rulesj)

Objection/Complaint/Dispute Resolution Rulesk) System Certification Body Registration and Evaluation Rulesl)

JIS Q 17021:2011
Conformity assessment - Requirements for organizations performing
audits and certification of management systemm) JIS Q 14065 Greenhouse gases - Requirements for organizations performing greenhousegas-related validation tests and verification for use in accreditation or other forms of approval4JC-02-04
1. System Certification Auditor Qualification Criteria
The qualification criteria prescribe the standards that system certification auditors must meet inorder to perform system certification audits effectively and uniformly. These criteria have beendeveloped based on the concepts described in the appendix.
1.1 Types of System Certification Auditors
There are two types of system certification auditors, system auditor and lead system auditor, which
are defined as follows:

1.1.1 System Auditora)A person approved and registered by SuMPO who meets the qualification criteria set forth in
Section 1.2.1.

b)

A system auditor may conduct audits under the direction and guidance of a lead system auditor
approved by SuMPO.

1.1.2 Lead System Auditora) A person approved and registered by SuMPO who meets the qualification criteria set forth in
Section 1.2.2 and is deemed competent to lead the audit as an audit team leader.
1.2 Qualification Criteria for System Auditors and Lead System Auditors
1.2.1 System Auditor
System auditors must meet requirements a) to f) shown below. Note that b) is only arecommendation.
a)

Has a high school diploma or higher under the School Education Act, and has an educationequivalent to those listed below or higher:(1) Has graduated technical college, completed an upper secondary school designated by
MEXT at least three years in length, has passed the high school equivalency
examination based on MEXT ordinances, or has completed secondary education or
higher overseas.
(2) Has completed a course of an educational institution within an organization that is equivalent
to a high school or higher.

b)

Has over five years of work experience in a technical, managerial, or expert position.

c)

Has participated in training sessions for system certification auditors provided by SuMPO.

d)Has been recommended for the personal qualities listed in Section 4 of the appendix A by amanager of the organization in which the applicant has been working for over a year.

e)

Has passed the staff examination conducted by SuMPO. (Refer to Appendix A for examinations.)
However, passing an LCA Expert Certificate Examination co-hosted by the Institute of Life Cycle
Assessment, Japan and SuMPO is also acceptable.

f)

Qualification must be completed within a year of fulfillment of c) and e).

1.2.2 Lead System Auditor5JC-02-04
System lead auditors must meet the system auditor qualifications prescribed in Section 1.2.1 andmeet all the following requirements:a)

Has experience conducting a product-by-product verification or conducting a product-by-productverification as part of a system certification audit at least once within the last three years, or has
completed a system certification auditor training course hosted by SuMPO in which the applicant
is deemed competent to conduct verifications independently.

b)

Has experience conducting audits related to management systems such as ISO 9001 and ISO
14001 or conducting system certification audits at least once in the past three years.

c)

Has been recommended for their ability to lead an audit team by a lead system auditor withwhom the applicant has conducted an audit as part of the same audit team, or by someone incharge of an organization that the applicant has audited, or by the manager of the management
system certification body.

d)

Has over five years of work experience in a technical, managerial, or expert position.

2. Registration, Maintenance, and Renewal of System Certification Auditor Qualifications
2.1 System Certification Auditor Registration
2.1.1 System Auditor
A person who meets the qualifications prescribed in Section 1.2.1 can be registered as a system
auditor. System auditors shall complete procedures to extend registration every year and shallcomplete procedures to renew their registration every three years.
2.1.2 Lead System Auditor
A person who meets the qualifications prescribed in Section 1.2.2 can be registered as a leadsystem auditor. Lead system auditors shall complete procedures to extend registration every year
and shall complete procedures to renew their registration every three years.
2.2 Registration, Maintenance, and Renewal of System Certification Auditors
2.2.1 Maintaining System Certification Auditor Registration
If the system auditor or lead system auditor has received any objections or complaints from anorganization they have audited, a record of this must be submitted during annual procedures toextend registration.

2.2.2 Renewing System Auditor Registration
If the system auditor has received any objections or complaints from an organization they haveaudited, a record of this must be submitted during registration renewal procedures performed every
three years. The system auditor should also participate in a training session for system certification
auditors hosted by SuMPO prior to renewing registration.

2.2.3 Renewing Lead System Auditor Registration
When renewing registration every three years, the lead system auditor must fulfill a), b) or c) below
sometime between the initial registration/renewal and the subsequent application for renewal.
a)

Has experience conducting system audits at least twice.

b)

Has experience conducting a product-by-product verification or conducting a product-by-product6JC-02-04
verification as part of a system certification audit at least once, and has experience conducting
audits related to management systems such as ISO 9001 and ISO 14001, or can prove
equivalent experience.
c)

Has completed a system certification auditor training course hosted by SuMPO in which theapplicant is deemed competent to conduct verifications independently.
If the lead system auditor has received any objections or complaints from an organization they

have audited, a record of this must also be submitted.
3 Lapse of Qualifications
The lead system auditor will be demoted to system auditor if they fail to meet the requirements of
2.2.3 during the renewal of registration every three years.
4 Suspension and Revocation of Qualifications
SuMPO may suspend or revoke the registration of system certification auditors who fail to performsystem audits properly or who violate the Program’s Ethics and Confidentiality Rules. In addition,
SuMPO may suspend or revoke registration if it finds that a system certification auditor obtained their
qualifications through dishonest means.

7JC-02-04
Appendix A.
A1. General
A1.1 General Requirements
The credibility and reliability of the system certification audit process within system certification
depend on the competence of those conducting the system audits. Competence is based on thefollowing evidence:◼

Knowledge and skills described in A2, acquired through the education, work experience, system
auditor training, and audit experience described in A3.

◼

Personal qualities described in A4.
System certification auditors must develop, maintain, and improve their competence throughcontinuous development of their professional skills and regular participation in system certification
audits (refer to A5).
A1.2 Types of System Certification Auditors
There are two types of system certification auditors:･ System auditor･ Lead System Auditor
A2. Knowledge and Skills
A2.1 Common knowledge and skills related to management systems
System certification auditors must have knowledge and skills in the following fields:a) Knowledge of business management practicesb) Knowledge of general principles, practices, and techniques for audits and inspectionsc) Knowledge of specifications/standard documents for specific management systemd) Knowledge of certification processese) Knowledge of the client’s area of businessf) Knowledge of the client’s products, processes, and organizationg) Adequate language skills for all levels of hierarchy within the client organizationh) Note taking and report writing skillsi) Presentation skillsj) Interview skillsk) Audit management skills
A2.2 Knowledge and Skills Related to Products and Services, Knowledge and Skills Related toEnvironmental Science and Technology, and the Technical and Environmental Aspects ofOperation
System certification auditors should have knowledge and skills in the following fields:a) Knowledge and skills regarding quality management tools and their application- Quality terms, general principles for quality management and their applicationb) Knowledge and skills for products, including processes and services
8JC-02-04- Industry-specific terms, technical characteristics of products, and industry-specific processes
and practicesc) Methods and applications of environmental management- Environmental terms, general principles for environmental management and their applicationd) Knowledge and skills regarding environmental science and technology- Human impact on the environment, interaction with ecological systems, environmental
medium, management of natural resources, and general conservation methodse) Technological and environmental aspects of operation- Industry-specific terms, environmental aspects and impact, important characteristics ofoperational processes and products, monitoring and measuring methods, and pollution
prevention techniquesA2.3 Specific knowledge and skills required for verification
System certification auditors must have knowledge and skills in the following fields:a) Knowledge of LCA/this Program･ Knowledge related to the rules of LCA and this Program- Knowledge of basic documents, PCR, and various regulations･ Expertise in LCA and LCA work procedures (general knowledge on LCA)
- Allocation methods, etc.
･ Knowledge of GHG emissions calculation methods- Knowledge of GHG emission sources- Knowledge of GHS calculation methods related to sites and transportation･ Knowledge related to environmental declarations- Knowledge related to ISO 14025 and ISO 14020, etc.
b) Verification skills･ The ability to perform verifications in accordance with evaluation criteria for procedures･ Communication skills･ Report writing and reporting skills･ The ability to respond appropriately to issues indicated during the review process･ The ability to make an expert judgment
A3. Education, Work Experience, Auditor Training, and Audit Experience
A3.1 General
System certification auditors should have the following education, work experience, system
certification auditor training, and audit experience.
a)

Has attained a level of education sufficient to acquire the knowledge and skills described in A2.

b)

Has work experience that contributes to the development of the knowledge and skills listed in
A2.1, A2.2, and A2.3. This work experience should be in a technical, managerial, or expert
capacity, including judgment, problem solving, and communicating with other managers, experts,
colleagues, customers, and/or other interested parties.

c)

Has completed system auditor training that contributes to the development of knowledge andskills listed in A2.1, and A2.2. This training may be provided either by an organization to which9JC-02-04
the applicant belongs or by an external organization.
d)Has completed training that contributes to the development of knowledge and skills listed in A2.3.

e)

Has experience in product-by-product verification for environmental labeling programs.

f)

Has experience in auditing environmental labeling programs. This experience should be under
the instruction and guidance of a system certification auditor who possesses competence as anaudit team leader in the same field.

A3.2 Level of Education, Work Experience, Auditor Training, and Audit Experience
System auditors and lead system auditors must meet the following criteria for level of
education, work experience, auditor training, and audit experience.
Table 1. Level of Education, Work Experience, Auditor Training, and Audit Experience for
Auditors
Parameters
EducationWork
Experience
Knowledge andSkills
LCA-RelatedWork
Experience
Quality or

System auditor

Lead System Auditor

Has a high school diploma or higher under the School Education Act
or equivalent level of education
Work experience in a technical, managerial, or expert position
The knowledge and skills described in A2.1 and A2.3
Practical verification work
experience related to this Program―

Experience auditing management

Environmental
Management

systems such as ISO 9001 and―ISO 14001, or system certification

Work

auditsExperience

Training on verification
Staff Training

Training for this Program/LCA
verification+
Training on management systems

A4. Personal Qualities
System certification auditors should have personal qualities that enable them to act in accordancewith auditing principles shown in A1 in Requirements for Competence of System Certification Bodies.
System certification auditors should have the following qualities:a) Ethical: They are fair, credible, faithful, honest, and sensible.
b) Broad-minded: They are willing to take different opinions and views into consideration.
c) Diplomatic: They communicate tactfully with others to achieve objectives.
d) Cooperative: They interact effectively with others.
e) Observant: They are actively aware of their physical surroundings and activities happeningaround them.
10JC-02-04f) Perceptive: They intuitively recognize and understand the situation.
g) Responsive: They readily adapt to changing situations.
h) Persistent: They are perseverant and focus on achieving objectives.
i) Decisive: They reach timely conclusions based on logical reasoning and analysis.
j) Autonomous: They act independently and fulfill their roles.
k) Professional: They are courteous, honest, and can generally adapt to their duties in theworkplace.
l) Mentally Strong: They are willing to take responsibility and act ethically even if their actions are
sometimes not accepted or lead to disagreement or conflict.
m)

Systematic: They demonstrate effective time management, prioritization, planning, andefficiency.

A5. Maintaining and Improving Competence
A5.1 Continuing Professional Development
Continuing professional development is connected to the maintenance and improvement ofknowledge, skills, and personal qualities. This can be achieved through a variety of means, including
additional work experience, training, self-study, mentoring, participation in meetings, seminars,
conferences, or other related activities. System certification auditors should demonstrate continuing
professional development.
A5.2 Maintaining Audit Skills
System certification auditors should maintain and demonstrate their audit skills by regularly
participating in system audits.

11JC-02-04
Appendix B: Examination(Examination Overview)
The purpose of the test is to confirm whether the examinee has the ability to implement the LCA
method, and tests not only foundational knowledge on basic concepts, method frameworks, basic
rules, and procedures for LCA, but also measures practical calculation skills that can be applied toactual work, such as creating, correcting, and calculating LCI data.
The question format, number of questions per session, question structure, and duration of the LCA
examination are as follows:(1) Question format: A written test that includes calculation questions.
(2) Number and structure of questions: 10 descriptive questions and 2 calculation questions
per session for a total of 12 questions; composition of questions is shown in the “Numberof Questions” column on the table.
(3) Examination Time:

120 minutes; students who have finished may leave the room 60

minutes after the examination starts.
(Examination Day Guidelines)
Guidelines for examination day are as follows:(1) Answers are written on the question sheet, which will be collected from all examinees.
Examinees may not take questions home.
(2) Examinees may bring up to two reference books to the test.
(3) Candidates must bring their own calculators and writing tools.
LCA Examination Question Criteria
No.

Subject

Question Content

1

Overview andsignificance 1) Questions on basic concepts in LCA: concepts, application/validity,
limitations/precautionsof LCA2) Questions on the ISO 14040 standard series: key terms and(descriptive
standard structure
questions)

2

LCA
Methodology(descriptive
questions)

3

Applications of
LCA(descriptive 1) Questions on the applications of environmental labelingquestions)4

Calculationquestions

1)
2)
3)
4)
5)

Questions on “The Purpose and Scope of LCA Assessment”
Questions on “LCI Analysis”
Questions on “LCIA”
Questions on “Life Cycle Interpretation”
Questions on “Critical Review”

1) LCI calculation: Allocation-focused calculation (weight-based/valuebased, etc.) and data processing calculation questions
2) LCIA calculation: characterization factor calculation question

Total

Number of
Questions

2

6

2

2

12
12

JC-02-04
Appendix C: Training(Training Overview)
The purpose of the training is to instruct and teach prospective auditors detailed information on the
Program’s system, requirements for system certification, calculation, and declaration, verification
methods and procedures, system certification methods and procedures, and the knowledge and skills
needed to perform the tasks expected of them.
The training format, number of trainees per session, time, schedule, and number of instructors is asfollows.
(1) Training Format: A combination of classroom lectures and exercises.
(2) Number of participants: 3 to 18 participants per training course.
(Evaluation of Training Results)
 Only trainees who have met the following requirements will pass the course.
(1) At least 90% attendance of the total training time.
(2) Performance during exercises will be evaluated as to whether the trainee is competent as
an auditor.
 The training instructor will evaluate the performance of each trainee during exercises using theprescribed checklist to determine whether the training will pass.
 SuMPO will send a notification of training session results to inform applicants who qualify asverifiers that they have passed the training course, and will send trainees who did not qualify thereason that they did not pass as well as information on the next training session.

End of document.

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