Japan EPD Program by SuMPO

Requirements for Competence ofSystem Certification Bodies

Document ID: JC-01-03
Sustainable Management Promotion Organization
Revision history
Version

Date

Page

03

April 1, 2022-

Modifications due to changes in the program name.

02

October 1, 2019-

Modifications due to changes in the program operator.

01

February 26, 2018-

Document created. Newly published following integration of
EcoLeaf Program and CFP Program.

DetailsJC-01-03
Table of Contents
Preface ............................................................................................................................................. 4

1.

0.1

Introduction ........................................................................................................................ 4

0.2

Scope................................................................................................................................... 5

0.3

Cited Standards.................................................................................................................. 5

Principles .................................................................................................................................. 6
1.1

General ................................................................................................................................ 6

1.1.1 .......................................................................................................................................... 6

2.

3.

4.

5.

6.

1.2

Fairness .............................................................................................................................. 6

1.3

Competence........................................................................................................................ 6

1.4

Responsibility..................................................................................................................... 6

1.5

Transparency...................................................................................................................... 7

1.6

Confidentiality .................................................................................................................... 7

1.7

Handling of Complaints..................................................................................................... 7

General Requirements .......................................................................................................... 7
2.1

Clarification of Scope ........................................................................................................ 7

2.2

Fairness Management ....................................................................................................... 8

Requirements for Operating Organizations........................................................................ 8
3.1

Clarification of Organizational Structure ........................................................................ 8

3.2

Administrative Manager .................................................................................................... 8

3.3

Structure of Audit and Review Teams ............................................................................. 8

3.4

Audit team........................................................................................................................... 8

3.5

Review Team ...................................................................................................................... 9

Requirements for Resources................................................................................................ 9
4.1

General Considerations .................................................................................................... 9

4.2

Competence of the Audit Team ........................................................................................ 9

4.3

Competence of Review Team ......................................................................................... 10

4.4Management of Personnel .............................................................................................. 10

4.5

Education and Training of Personnel ............................................................................ 10

4.6

Outsourcing ...................................................................................................................... 10

Requirements for Information ............................................................................................ 10
5.1

Publicly Accessible Information .................................................................................... 10

5.2

Certificates........................................................................................................................ 10

5.3

Confidentiality .................................................................................................................. 11

5.4Management of Documents ............................................................................................ 11

Requirements for Process .................................................................................................. 11
6.1

General Requirements..................................................................................................... 11

6.2

Audit Planning .................................................................................................................. 12

6.3

Audit Report ..................................................................................................................... 12

6.4

Decision of Approval of Certification or Re-audit by Certification Body .................. 132

JC-01-03

7.

6.5

Maintenance Audits and Additional Audits of Certified Organizations ..................... 13

6.6

Objections and Complaints ............................................................................................ 13

Requirements for Registration ........................................................................................... 14
7.1

Auditing for the Purpose of Registration ...................................................................... 143

JC-01-03

PrefaceThis document lists the requirements for organizations that certify systems built based on therequirements for system certification under the Japan EPD Program by SuMPO (the “Program”)
operated and administered by 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 declaration users. It is also important to reduce the burden placedon businesses by the verification process as they conduct quantification, verification, andpublication while maintaining reliability and transparency.
This program uses two methods for verification: the “product-by-product verification method”
that each product an organization quantifies is then externally verified; and the “system
certification method” that the organization’s internal system, incorporating quantification,verification, and publication, is then audited and certified by an external certification body, thereby
cutting out the external verification stage (Figure 1 shows the structure and flow of verification andcertification in this Program).

Figure 1. Structure and flow of verification/certification methods
This document lists the requirements concerning the competence of a body conducting
certification with the system certification method.

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0.2

Scope

The requirements in this document apply to bodies certifying systems that were built based on
the requirements for system certification under this 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.
General Program Instructions
Quantification and Declaration Rules
Declaration and Registration Publication Rules
Verification Rules
System Certification Rules
Ethics and Confidentiality Rules
Objection/Complaint/Dispute Resolution Rules
System Certification Body Registration and Evaluation Rules
JIS Q 17021:2011
Conformity assessment - Requirements for organizations performing
audits and certification of management system
JIS Q 14065 Greenhouse gases - Requirements for organizations performing greenhousegas-related validation tests and verification for use in accreditation or other forms
of approval5JC-01-03
1.

Principles

1.1

General1.1.1
The principles listed here are the foundation for the specific requirements for performance andnotation stipulated from section 2 onwards. These principles are not requirements, but should
rather be applied as guidelines for decision-making necessitated by unforeseen circumstances.
1.1.2
The ultimate goal of certification is to confirm that a system has been built to satisfy rules andrequirements, and to give credibility to declarations quantified and verified by organizations
seeking certification. The certification only has value so far as the public trusts that it has been
established by a third party through an audit that fairness and competence have been ensured.
1.1.3
Principles for establishing credibility include the following:◼ Fairness◼ Competence◼ Responsibility◼ Transparency◼ Confidentiality◼ Appropriate handling of complaints

1.2

Fairness

In order for a certification body to provide credible certifications, it must be impartial and also
perceived as such. Unless specifically stipulated in these requirements, these procedures mustnot be used to prevent or prohibit inquiries, applications, or other access to the bodies in question
by applicant organizations.
1.3

Competence

Competent personnel are required in order to provide credible certifications.
1.4

Responsibility

1.4.1
The organization applying for certification, and not the certification body, is responsible for
ensuring conformity to system certification requirements.
1.4.2
The certification body is responsible for assessing sufficient objective evidence in order to givefoundation to its decision on certification. The certification body is to award certification if theresults of the audit indicate there is sufficient evidence of conformity. Otherwise, it is to withhold
certification if there is insufficient evidence of conformity.
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1.4.3
All audits are based on sampling from the applicant organization’s system, and are therefore notguaranteed to conform perfectly to requirements.
1.5

Transparency

1.5.1
For a certification body to provide assurance of the completeness and credibility of its
certifications, its auditing and certification processes along with timely and appropriate information
concerning the certification status of all certified organizations must be disclosed and madepublicly accessible. Transparency is the principle of ensuring that appropriate information is madeaccessible and disclosed.
1.5.2
To provide or maintain credibility in their certifications, the certification body should provide
specified interested parties with the means to obtain non-confidential information regarding theresults of a specific audit (for example, an audit conducted in response to a complaint), or
disclose the information to them.
1.6

Confidentiality

In order for the certification body to have privileged access to the information they need toproperly audit the conformance to system certification requirements, it is vital that they treat all
proprietary information relating to applicant organizations as confidential.
1.7

Handling of Complaints

Those relying on certification should expect that their complaints will be investigated, and theyshould trust that when a complaint is found to be valid it will be managed appropriately and havesuitable effort applied to its resolution. Handling complaints appropriately and effectively is an
important aspect of protecting certification bodies, applicant organizations, and other certification
users from mistakes, negligence, and other improper conduct. When complaints are properly
managed, credibility is maintained in the certification process.
2.

General Requirements

2.1

Clarification of Scope

The certification body must build, implement, and maintain an internal certification system inaccordance with these requirements. In addition, the system certification body shall clarify thescope of the certification system that has been built.
Certification bodies carrying out system certification activities under this Program must register
their structure and scope of activities with SuMPO.
The certification body should acquire the certifications ISO 17021 [JIS Q 17021], ISO 17025[JIS Q 17025], ISO 14065 [JIS Q 14065], or Guide65 [JIS Q 0065].

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2.2

Fairness Management

2.2.1
The certification body must make sure its services are available to all applicant organizations
whose activities fall within the scope of business operations for their public initiatives under thisProgram. It must not impose any unfair financial or other conditions. Service must be provided
equally regardless of the size of the provider, or membership to SuMPO or said body’s group. In
addition, certification applications must not be favored or disfavored based on the number ofcertificates previously issued.
2.2.2
Neither the certification body nor any department of the same corporation may offer or provide
system consulting or internal system auditing to organizations applying for certification, or certified
organizations. After providing consulting or an internal system audit, neither the system
certification body nor any department of that organization may engage in any certification activity
for the organizations involved for a period of 2 years.
3.

Requirements for Operating Organizations

3.1

Clarification of Organizational Structure

The certification body must make clear the obligations, responsibilities, and authority of personnel
involved in certification.
3.2

Administrative Manager

The certification body must appoint an administrative manager with responsibility and authority
to carry out the following activities related to the Program:
a)
b)
c)
d)
e)
f)
g)

Supervision of operational policy
Supervision of finance
Development of certification services and schemes
Performance of audit and certification, and appropriate response to complaints
Decisions regarding certification
Entry into contractual agreements
Provision of appropriate resources for certification activities

3.3

Structure of Audit and Review Teams

The certification body must form an audit team and a review team. A person shall not serve asa member of both the audit team and the review team for a single certification case.
3.4

Audit team

3.4.1
The audit team shall be made up of one or several persons, and audit the system constructedby the applicant organization. Each case must have an audit team leader assigned from the audit
team. The audit team leader must be a lead system auditor. The audit team must use the stage 1
audit to judge readiness for stage 2.

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If they judge that the stage 2 audit may proceed, that audit must confirm the points listed below.
It must also clearly describe the audit process.
a)
b)
c)

Suitability of the System Scope
Compliance with System Requirements
Validity of the Declaration, based on verification of the declaration’s quantification results
and what is displayed therein.

The audit team must create separate audit results reports after completing the stage 1 and thestage 2 audits respectively.
3.4.2
The audit team leader must communicate with the person in charge of the application prior to
conducting an audit. Their communication should cover the following:
a)
b)
c)
d)
e)

Confirmation of the audit date
Confirmation of the audit location
Explanation the team conducting the audit
Confirmation of necessary documents for the audit
Judgement on whether the audit can proceed

3.5

Review TeamThe review team should consist of around three members. They must review the audit team’s
results. Their review must confirm the points listed below. It must also clearly describe the review
process.
a)b)

Validity of the audit team’s process
Validity of the audit team’s results

After completing the review, the review team must create a report on the audit review results.
4.

Requirements for Resources

4.1

General Considerations

The certification body must have processes to ensure competence of all personnel. The
certification body must specify the competencies required for each area of expertise, and theirrespective functions in the certification process. There must also be a process in place to assess
competency.
4.2

Competence of the Audit Team

Members of the audit team must all be sufficiently competent to satisfy “JC-02 Requirements
for Competence of System Certification Auditors”, specified separately.

4.3

Competence of Review TeamThe review team must possess the following capabilities:a) Knowledge of this Programb) Knowledge of LCA including ISO 14040 and ISO 14044
9JC-01-03c)d)Knowledge of management systems including ISO 9001 or ISO 14001
Knowledge of certification procedure

4.4

Management of Personnel

The certification body must keep track of the qualifications, education and training, experience,
affiliations, professional status and competence of all personnel involved in the Program. For
each audit, the certification body must confirm the competence of all personnel and assign theirroles.
4.5

Education and Training of Personnel

The certification body must hold at least one education and training session a year on
knowledge of the Program required for auditing.
4.6

Outsourcing

The certification body must have a process that clearly defines conditions for when outsourcing(subcontracting another organization to provide part of the certification process on behalf of thecertification body) may be used. The certification body must enter into a legally binding
agreement covering various arrangements including confidentiality and conflicts of interest witheach of its outsourced service providers.
5.

Requirements for Information

5.1

Publicly Accessible Information

The certification body must make information relevant to the provision of the audit publicly
accessible, or else provide it when requested to do so by the applicant organization. This
information must include the period of validity, scope of certification, and information on certified
PCRs.
5.2

Certificates

The certification body must provide certification documentation to the certified organization.
This documentation must contain the following information:

f)
g)
h)

Name of the certification body
Address of the certification body
Date of certification
Validity period of the certification
Information on the system’s scope for certification (target product groups andorganizations)
Kinds of declarations covered
In the case of an extended scheme certification, a statement to that effect
System certification number

5.3

Confidentiality

a)
b)
c)
d)
e)

By a legally binding agreement, the certification body shall have policies and arrangements toprotect confidential information obtained or generated during certification process at all levels of
operations (including subcontracted individuals and organizations carrying out certification on
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behalf of the committees and the certification body).
5.4

Management of Documents

The certification body must retain documents concerning the certification of an applicant or acertified organization in either physical or electronic form for a minimum of 5 years after issuanceof certification documentation.
6.

Requirements for Process

6.1

General Requirements

The certification body must assess and determine whether the application from an applicant
organization is ready for audit. The assessment must consider the following conditions:
a)
b)

c)

Clarity of the scope (target product groups and organizations)
In the individual product verification for the relevant declaration type (EcoLeaf or CFP), theapplicant has experience with verification by a third-party verifier, and has passed at least
one product verification
Prior to the stage 1 audit, at least one product has been quantified and verified with thebuilt system, and an internal auditing and management review have been completed

If it is judged based on the above that the audit can proceed, the certification body must thenconduct a two-stage system certification audit (stage 1 audit and stage 2 audit).
In the stage 1 audit, the certification body must conduct a preliminary document audit ofmanuals and other documents created by the applicant organization. They must also conduct anin-person audit to check the construction of the system, including checking manuals.
In the stage 2 audit, the certification body must make sure that the applicant is operating theirsystem according to the manual. They must also conduct a main audit to check the validity ofinternal verification of declarations that were quantified using the system, and a site audit for sites
where primary data was collected.
Depending on circumstances the site audit can either be conducted prior to the main audit oromitted.
A site audit may be omitted in the following cases:･ The site is located overseas･ There is a range of different sites, making it unfeasible to audit all of them･ The data collected at the site is not relevant to the core data, or has a low impact on the data
･ The information from the site is unable to be disclosed, even to auditors, because it relates tosecurity or trade secrets, etc.
･ Production capabilities have been outsourced to a third party, such as with OEM.
Additionally, if during or after the completion of the stage 2 audit the certification body judges it
necessary, they may repeat the stage 1 audit.

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Figure 2. Flow of auditing for system certification
6.2

Audit Planning

When initiating an audit, the certification body must create an audit plan so as to provide thefoundation for agreement on the implementation and scheduling of the audit. The audit plan must
include the objective, scope, the scheduled date, location, and team members of the audit. In thecase that a site audit is conducted, the site and scheduled date must be included in the audit plan.
6.3

Audit Report

The certification body must prepare an audit report after the audit team has completed the audit.
After the review team have completed their review, they must submit to SuMPO the audit report,
review results report, and system certification criteria conformity checklist, accompanied by any
comments on conformity or nonconformity, and also confirm the validity of the audit. The
certification body must manage the documents listed above internally.

6.4

Decision of Approval of Certification or Re-audit by Certification Body

The certification body must determine, based on the audit report and the review results report,
whether to certify or to re-audit. In the short term, determination must be made by considering theresults confirmed by the review panel set up by SuMPO.
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6.5

Maintenance Audits and Additional Audits of Certified Organizations

6.5.1
The certification body must develop an audit maintenance process in order to determine
whether application documents created and verified using a certified system are valid.
6.5.2
The certification body must specify when a maintenance audit is to be conducted, and carry it out.
6.5.3
If the certification body judges that an additional audit is required, such as for an expansion ofsystem scope, the additional audit can be conducted at any time regardless of the certification
validity period. The scope of the additional audit should be limited to areas that have beenchanged.
6.6

Objections and Complaints

6.6.1
The certification body must have a process for receiving, assessing, and deciding on objections
and complaints. An overview of the resolution processes for objections and complaints must be
publicly accessible.
6.6.2
The certification body must ensure that the persons handling the process for managing
objections and complaints are not the same as those conducting the system audit or deciding on
certification.
6.6.3
Upon receipt of a complaint, the certification body must check to see if the complaint is relevantto the activities for which the certification body is responsible, and if so, it must manage thecomplaint. If a complaint is relevant to a certified organization, the validity of the certified system
must be considered in the investigation into the complaint.
6.6.4
The certification body must take responsibility for all decisions at all stages of the resolution
processes for objections and complaints.

6.6.5
The resolution processes for objections and complaints must include at a minimum thefollowing elements and methods:a)Processes for receipt of objections and complaints, confirmation of validity, andinvestigation; decision process for appropriate resolution of the objections and complaints
by considering the prior similar objections and complaints
13JC-01-03b)c)Progress tracking and recording thereof for objections and complaints, including measurestaken for their resolution
Reliable implementation of appropriate corrections and corrective actions

6.6.6
The certification body must notify the applicant organization and SuMPO when an objection orcomplaint is received, and submit progress reports as well as any matters that have been decided
thus far. The decisions communicated to the applicant organization shall be made by parties who
had no involvement in the objection or complaint, or, if performed by a party involved in theobjection or complaint, undergo approval by review.
The certification body must formally notify the applicant organization and SuMPO of theconclusion of resolution processes for objections and complaints.
7.

Requirements for Registration

7.1

Auditing for the Purpose of Registration

Certification bodies carrying out system certification audits under this Program must register to
SuMPO as a certification body. When registering, they shall undergo an audit to confirm
fulfillment of these requirements. If the audit results determine that registration is possible, theregistration period will be three years. Registration maintenance procedures will be carried out
every year during the registration period.
Afterwards, if the system certification body wishes to extend its registration period, it must
undergo an audit for re-registration within six months of the final day of the registration period.
7.2

Surveillance of Certification Bodies

SuMPO may, if judged necessary, check any results certified by a certification body. This
includes verifying documents related to audit results, observation by the organization’s review
panel, and observation of audits.
7.3

Suspension and Revocation of Registration

7.3.1
If a certification body continually fails to satisfy these requirements, SuMPO can suspend or
revoke its registration. SuMPO can make public the fact that registration has been revoked.
7.3.2
If SuMPO confirms that a certification body does not satisfy these requirements, it can requestthat the certification body take corrective actions. If the certification body is unable to make these
corrections within three months, SuMPO can suspend its registration.
7.3.3
SuMPO can revoke the registration of a certification body if the certification body‘s registration
has been suspended and corrections have not been made within one year of the suspension; or if
the registration period stipulated in the contract at the time of registration with SuMPO willterminate in less than one year, and if corrective actions have not completed by the termination
date.
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7.3.4
The certification body can re-validate its registration if corrective actions are completed on timeafter suspension of registration. If the certification body reaches the re-registration date during thecorrective action period, a re-registration audit can be conducted immediately after corrective
actions have been completed, and the registration period will be extended by the originaltermination date.

End of document.

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