Requirements for competence of
CFP system certification bodyunder the CFP Communication Program“Application of requirements in this document”
For the CFP system certification bodies to which the requirements prescribed in this document will
be applied, we limit to solicit only the organizations that had been participated in the CFP pilot
project and will operate them based on the outcomes of the CFP pilot project, and it is not planned
to newly solicit an applicant organization for the immediate future.
You can see announce of our future plans and schedules from the CFP website(http://www.cfp-japan.jp/).

Revised on July 27, 2012
Document ID: C-18-02

Japan Environmental Management Association for Industry

C-18-02

Contents

Preface
0.1 Introduction
0.2 Scope
0.3 Normative reference
0.4 Terms and definitions
1. General rules
1.1 General
1.2 Fairness
1.3 Competence
1.4 Responsibility
1.5 Transparency
1.6 Confidentiality
1.7 Response to complaints
2. General requirements
2.1 Clarification of scope
2.2 Management of fairness
3. Requirements for operational body
3.1 Clarification of organizational structure
3.2 Responsible persons for operation and management
3.3 Constitution of audit team and review team
3.4 Audit team
3.5 Review team
4. Requirements for resources
4.1 General considerations
4.2 Competence of audit team
4.3 Competence of review team
4.4 Management of staff members
4.5 Education and training of staff members
4.6 Outsourcing
5.

Requirements for information
5.1 Information publicly accessible to the public
5.2 Certificate
5.3 Confidentiality1

C-18-02

5.4 Control of document
6. Requirements for process
6.1 General requirements
6.2 Audit plant
6.3 Report on audit
6.4 Registration of certification and judgment of re-audit
6.5 Surveillance and additional audit for an organization to be certified
6.6 Appeals and complaints
7. Requirements for registration
7.1 Audit for registration
7.2 Surveillance of CFP system certification body
7.3 Suspension and revocation of registration2

C-18-02

PrefaceThis document prescribes the requirements for the bodies that conduct certification of a CFP
system established based on the requirements for CFP system certification under the CFP
Communication Program (hereinafter called "the CFP Program").
The requirements prescribed in this document will be revised timely and appropriately
through activities of the CFP Program.

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C-18-02

Requirements for competence of CFP system certification bodyunder the CFP Program
0.1 Introduction
For dissemination of the CFP Program, it is indispensable to ensure reliability andtransparency of the numerical values and displayed information that are released toconsumers. It is also important to make efforts to reduce the burden of verification on
businesses when they conduct quantification, internal verification, and release of CFP
ensuring its reliability and transparency.
In the CFP Program, there are two methods of verification: "product-by-product verification
method" by which each product quantified by a business is verified externally; and "CFPsystem certification method" by which a CFP system internally established within an
organization, incorporating the processes of quantification, verification, and release of CFP,
will be audited and certified by an external certification body, i.e. this method achieves theomission of external verification steps (Figure 1 shows the structure and flow ofverification/certification method in the CFP Program).
CFP system
certification method

Quantification, internal verification,and release system of CFP

Internal CFP
system audit

Product-by-productverification method

Business
Every 3 years

Creation of application for
CFP verification

Internal CFP verification

Creation of application for
CFP registration

Verification

Applicationfor verification

CFP system
audit
Application
for audit

Certification

Verifier

Report on
results
RequestRegistration
and releaseof CFPdeclaration,

Certification

Registration andrelease of CFP
declaration,
Application/approval of
CFP mark license

CFP system
certification body

Application/
approval of
CFP mark
licenseRegistration

Report on
results

Confirm
results

Review panel

Program operator
Figure 1: Structure and flow of verification/certification method4C-18-02

This document prescribes the requirements for competence of body which conducts
certification of a CFP system by using the CFP system certification method.

0.2 Scope
The requirements prescribed in this document applies to the organizations that conduct thecertification of a CFP system established based on the requirements for CFP system
certification under the CFP Program.
The requirements in this document do not intend to prescribe specifications or standards inaccordance with laws and regulations.

0.3 Normative reference
These documents listed below constitute part of this document by being referenced in thisdocument as normative reference.
a) Program instructionsb) Rules on registration and release of CFP declarationc) Rules on CFP verificationd) Requirements for CFP system certificatione) Rules for the handling of ethical and confidential matterf) Rules on appeals, complaints, and dispute resolutiong) Requirements for competence of CFP system auditorh) JIS Q 17021:2011: Conformity assessment - Requirements for bodies providing audit
and certification of management systemsi) JIS Q 14065: Greenhouse gases - Requirements for bodies that verify and validate
greenhouse gases for accreditation or other forms of approval

0.4 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
[Terms related LCA (life cycle assessment)]- LCA (life cycle assessment)
The method to quantify environmental burdens through an entire life cycle of a product,from raw material acquisition stage to disposal and recycling stage.
- CFP-PCR (Carbon Footprint of Products - Product Category Rule)
Common criteria on CFP quantification applied in each product category.

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C-18-02- Primary data
Data collected by a business that quantify CFP on its own responsibility.
- Secondary data
Data only collected by referring to common data and literature data, and by excerptingfrom case studies of LCA, to be used when it is difficult to collect primary data
- Product
Any goods or services[Terms related to the CFP Program]- The CFP Communication Program
A system to display CO2 equivalent emissions on applicable product in an easy andunderstandable way, by converting from GHG (greenhouse gas) emissions emitted froman entire life cycle of a product, from raw material acquisition stage to disposal andrecycling stage, using GWP (global warming potential) of each GHG.
- CFP quantification
Collecting data in accordance with CFP-PCR, multiplying activity data collected byemission factor, then totaling the results.
- CFP verification
Confirmation whether or not a CFP quantified conforms to CFP-PCR, independently
from CFP quantification, and confirmation of data basis used for the quantification.
Confirmation of conformity to the requirements of CFP-PCR and the conformity to therules related to the CFP Program, which are related to display of CFP.
- CFP declaration
CFP mark, CFP value in the CFP mark, additional information, and registration
information released on the CFP website, disclosed based on quantification results.
- CFP system
A system established based on the “Requirements for the CFP system certification.”- Product-by-product verification method
A verification method that a third party verifies an application for each product6

C-18-02- CFP system certification method
A certification method that an organization establishes a CFP system within theorganization and a third party certifies the CFP system, by following the “Requirements
for the CFP system certification.”- CFP system audit
To make an audit whether or not an applicant conforms to the requirements for CFP
system certification- Certification
As a result of a CFP system audit, when a CFP system established by an applicant
conforms to the requirements for CFP system certification, the effectiveness of the CFP
system is approved.
- CFP system auditor
A person who conducts an audit for the applicant in the CFP system audit. There are two
types of registration of CFP system auditor: CFP system auditor and CFP system lead
auditor. Both types of auditors shall meet the requirements for registration which areseparately prescribed in the "Registration requirements for competence of CFP system
auditor under the CFP Program."- Audit team
A team that conducts an audit of the CFP system established by the applicant. An audit
team consists of CFP system auditors.
- Review team
A team that reviews the audit conclusion made by the audit team. The review describedin this document is different to the CFP-PCR review conducted by a licensed reviewer.
[Terms related to management system]- CFP manual
Document which prescribes basic matters of a CFP system established based on therequirements related to a CFP system.

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C-18-02- Competence <JIS Q 9000>
Demonstrated ability to apply knowledge and skills- Corrective action <JIS Q 9000>
Action to eliminate the cause of a detected nonconformity- Nonconformity <JIS Q 14001>
A failure to comply with requirements- Applicant
An applicant that apply for CFP system audit to gain certification of quantification,internal verification, and release system of CFP”
- Organization to be certified <JIS Q 17021: 2008>
An organization whose CFP system is certified- Appeals
A request from an applicant or an organization to be certified to reconsider a negativedecision made by a CFP system certification body, for certification which the applicant
wishes to gain
- Complaint
An expression of dissatisfaction with an applicant or an organization to be certified, for a
product or a process of responding to a complaint, and better response or resolution tosuch complaint is expected explicitly or implicitly.

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C-18-02

1. General rules
1.1 General
1.1.1
General rules described in this chapter are basis for the specific requirements for
performance and the descriptive requirements prescribed in Chapter 2 and onward. These
general rules should be applied as guidelines, not as requirements, in the case of making adecision in unexpected circumstances.
1.1.2
The ultimate objective of the certification is to confirm whether a CFP system establishedwithin an organization to be certified meets the prescribed requirements, and to give
reliability to the CFP quantified and verified by the organization. The value of thiscertification is society’s confidence established by an audit which is fairly conducted by athird party with ensured competence.
1.1.3
General rules for establishing reliability shall include the following items.
- Fairness- Competence- Responsibility- Transparency- Confidentiality- Appropriate response to complaints

1.2 Fairness
In order that the CFP system certification body ensures reliability of certification, the CFP
certification body is need to be fair and be recognized as fair. Unless otherwise specificallyprescribed in this requirements, procedure to ensure such fairness shall not be used toprevent or inhibit applicants from using services of the CFP system certification body,
including inquiring or making an application.

1.3 Competence
The competence of the staff members is necessary for ensuring reliability of the certification.

1.4 Responsibility
1.4.1

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C-18-02

The responsibility for conforming to the requirements for CFP system certification shall beborne by the applicant, not by the CFP system certification body.
1.4.2
The CFP system certification body shall be responsible for the assessment of sufficient
objective evidence which is basis for the decision of certification. Based on the results of theaudit, the CFP system certification body decides to grant certification if the evidence forconformance is sufficient, or decides not to grant certification if the evidence forconformance is not sufficient.
1.4.3
As all audits are conducted based on the sampling from the CFP system of the applicant,they do not ensure that the CFP system conforms to 100% of the requirements.

1.5 Transparency
1.5.1
To gain confidence in completeness and reliability of the certification, the CFP system
certification body is required to make available by or disclose to the public the timely andappropriately information related to the audit/certification processes conducted by the CFP
system certification body, and related to the certification status of all organizations to becertified. “Transparency” means a general rule that appropriate information shall be madeavailable or disclosed.
1.5.2
To gain or maintain confidence in the certification, the CFP system certification body should
provide a specific interested party in a way to access non-confidential information or should
disclose such information, for the results of a specific audit (e.g. an audit conducted in
response to a complaint).

1.6 Confidentiality
It is essential for the CFP system certification body to keep all proprietary information of theapplicant as confidentiality, in order to obtain necessary information under privilege forproperly conducting an audit on conformance to the requirements for CFP system
certification.

1.7 Response to complaints

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C-18-02

Anyone who relies on the certification should expect that a complaint will be examined, andif the complaint is found valid, he/she should have confidence that the complaint will beappropriately resolved and adequate efforts will be made to resolve the complaint. Effective
response to complaints in an appropriate manner is a significant method to protect the CFP
system certification body, applicant, and other user of the certification, from faults,
negligence, and inappropriate actions. Confidence in the certification will be maintained
when complaints are properly resolved.

2. General requirements
2.1 Clarification of scope
The CFP system certification body shall establish, implement, and maintain a certification
system within the organization by following the requirements prescribed in this document. In
addition, the CFP system certification body shall clarify the scope of the establishedcertification system.
The CFP system certification body which conducts activities of CFP system certification
under the CFP Program shall register its structure and scope of activities in the secretariat of
the CFP Program in JEMAI (Japan Environmental Management Association for Industry).
The CFP system certification body should have acquired the certification of ISO17021 [JISQ 17021], ISO17025 [JIS Q 17025], ISO14065 [JIS Q 14065], or Guide65 [JIS Q 0065].

2.2 Management of fairness
2.2.1
The CFP system certification body shall ensure that all applicants conducting activities
within the ranges of business operation relating to a CFP project, announced by the CFP
system certification body, can receive the services of the certification body. The CFP system
certification body shall not impose any unfair financial condition or other condition on
applicants. Provision of services shall not be conditional on the size of a supplier or themembership of JEMAI or other group. Furthermore, it shall not be conditional on the numberof certificates that have already been issued.
2.2.2
The CFP system certification body or any division of the same legal body shall not offer to or
provide consulting on a CFP system or an internal CFP system audit, to any applicant
conducting certification and any organization to be certified. When providing consulting orinternal CFP system audit, the CFP system certification body or any division of the samelegal body shall not engage in any certification activity for such applicant or organization for11

C-18-02

2 years after completing its consulting or internal system audit.

3. Requirements for operational body
3.1 Clarification of organizational structure
The CFP system certification body shall clarify the obligation, responsibility, and authority ofstaff members involved in the certification.

3.2 Responsible persons for operation and management
The CFP system certification body shall identify persons responsible for operation andmanagement, having authority and responsibility for the following works under the CFP
Program:a) Supervising of operational policyb) Supervising of financial mattersc) Development of certification services and schemesd) Performance of audit and certification, and appropriate response to complaintse) Making decisions on certificationf) Making contractual agreementsg) Provision of appropriate resources for certification works

3.3 Constitution of audit team and review team
The CFP system certification body shall set up an audit team and a review team. In thesame CFP system certification, the same person shall not serve as a member of both anaudit team and a review team.

3.4 Audit team
3.4.1
An audit team shall consist of a few persons or one person, and shall conduct an audit of a
CFP system established by the applicant. The audit team shall have an audit team leader foreach case of certification. A CFP system lead auditor should serves as an audit team leader.
The audit team shall judge the preparation status for the stage 2 audit through the stage 1
audit. As a result, if it is judged that the stage 2 audit can be conducted, the following items
shall be checked through the audit. In addition, the auditing process of the audit shall beclarified.
a) Appropriateness of the range of CFP systemb) Compliance with the requirements for CFP system certificationc) Validity of CFP declaration by verifying the CFP quantification results and released12

C-18-02

contents
The audit team shall prepare reports on the audit conclusion, each time after completing thestage 1 audit and stage 2 audit.
3.4.2
The audit team leader shall communicate with the person in charge of the application prior
to conducting an audit. The communication should include the following:a) Confirmation of the date of the auditb) Confirmation of the place where the audit will be conductedc) Explanation of the audit team that will conduct the auditd) Confirmation of the documents necessary for the audite) Judgment result on the possibility of conducting the audit

3.5 Review team
A review team should consist of about three persons. The review team shall conduct a
review of the audit conducted by the audit team. The review team shall check the following
items through the review, and also clarify the review process in the review.
a) Validity of the audit process conducted by the audit teamb) Validity of the audit results concluded by the audit teamAfter completing the review, the review team shall prepare a report on the audit review
results.

4. Requirements for resources
4.1 General considerations
The CFP system certification body shall have a process to ensure that staff members withcompetence. The CFP system certification body shall define the competence necessary ineach field of expertise and for each function of the certification works. In addition, the CFP
system certification body shall have a process to assess the competence.

4.2 Competence of audit team
The members of the audit team shall have the competence that meets the separately
prescribed in the "Requirements for competence of CFP system auditor under the CFP
Program."13

C-18-02

4.3 Competence of review teamThe review team shall have the competence as a team as shown below:a) Knowledge of the CFP Programb) Knowledge of the LCA including ISO14040 and ISO14044c) Knowledge of the management system of ISO9001 or ISO14001d) Knowledge of the act of certification

4.4 Management of staff members
The CFP system certification body shall manage all the staff members involved in the CFP
Program to make sure what kind of qualifications, educations/trainings, experiences,affiliation, position as an expert, and competence they have. The CFP system certificationbody shall confirm the competence of the staff members and appoint the right roles for themfor each case of audit.

4.5 Education and training of staff members
The CFP system certification body shall conduct one or more educational or training
sessions a year for staff members about knowledge in relation to the CFP Program ornecessary for the audit.

4.6 Outsourcing
The CFP system certification body shall have a process to clarify the conditions to allow
outsourcing (which means subcontracting to other organization(s) to provide part of thecertification activities instead of the CFP system certification body). In that case, the CFP
system certification body shall make a legally binding agreement that sets forth provisions
including confidentiality and conflict of interests, with each organization that provides an
outsourced service.

5. Requirements for information
5.1 Information publicly accessible to the public
The CFP system certification body shall make the information relating to the provision ofaudit publicly accessible to the public, or provide such information upon request from anapplicant. The information relating to the provision of audit shall include validity period,
scope of certification, and information on approved CFP-PCR.

5.2 Certificate
The CFP system certification body shall provide a certificate to an organization to be14

C-18-02

certified. The certificate shall include the following information:a) Name of the CFP system certification bodyb) Address of the CFP system certification bodyc) Date of release of the certificated) Validity period of the certificatione) Scope of the certification of the CFP system

5.3 Confidentiality
By a legally binding agreement, the CFP system certification body shall have a policy and an
arrangement to protect confidential information which have been obtained or generated
during certification, at all levels of administrative organization (including externalorganizations or individuals that are engaged in the certification instead of committees andthe CFP system certification body).

5.4 Control of document
The CFP system certification body shall maintain the documents related to the certificationof an applicant or an organization to be certified in either form of paper or electronic media,
for at least 5 years after the date of issue of the certificate.

6. Requirements for process
6.1 General requirements
The CFP system certification body shall assess the application submitted by the applicant
and judge whether it is possible to conduct an audit of the application. In the assessment,
the following requirements shall be taken into account:a) Scope of application (target product group and organization) shall be clear.
b) The applicant shall have experience on CFP verification by a third party in the
product-by-product verification, and one or more products of the applicant shall havebeen already approved.
c) Prior to the stage 1 audit, the applicant shall have already been conducted CFP
quantification and verification for at least one product using the established CFP system,
and completed an internal audit and management review.
If it is judged that an audit can be conducted, the CFP system certification body shallconduct a CFP system audit in two stages; stage 1 audit and stage 2 audit.
In the stage 1 audit, the CFP system certification body shall conduct in advance a document
audit to check the CFP manual and other documents created by the applicant, and shall15

C-18-02

conduct a face-to-face audit to check the configuration of the CFP system including
checking the CFP manual, etc.
In the stage 2 audit, the CFP system certification body shall make sure that the applicant is
operating its CFP system in accordance with the CFP manual. The CFP system certificationbody shall also conduct a system operation audit to check the validity of the internalverification of the CFP quantified using the CFP system, and conduct a site audit in the sitewhose primary data are collected. In checking the validity of the internal verification, aproduct-by-product verification of one or more products shall be conducted based on the
judgment criteria for CFP verification and on the CFP verification procedures. As for a site
audit, according to circumstances, it may be conducted prior to the system operation audit
or omitted.
A site audit may be omitted in the following cases:- The site is located overseas- The site consists of various multiple sites, and thereby the audit of all these sites is difficult- The data collected from the site is not relevant to any major data or has a small impact- The site is prohibited to disclose information, even to auditors, for reasons of security or
trade secret- Manufacturing is entrusted to an external organization, for example, in OEM
In addition, during or after the stage 2 audit, if the CFP system certification body judges that
it is necessary to conduct the stage 1 audit once again, it can do so.

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C-18-02

Establishment of a CFP systemby the business
Operation of the CFP systemby the business
Application to the CFP Programby the business
Document audit(Stage 1 audit of documents)

Stage 1
Audit

Face-to-face audit(Stage 1 audit on the site)

Audit team
System operation audit
Stage 2
Audit
Site audit

Review team

Review

Review by certifying body

Audit panel

Confirmation by panel

Certification of the CFP system
Figure 2 Audit flow of CFP system audit

6.2 Audit plan
When starting an audit, the CFP system certification body shall make an audit plan toprovide the basis for agreement on the conduct and scheduling of the audit. The audit plan
shall include the goal and scope of the audit, scheduled date of each audit, place where theaudit will be conducted, and the member names of the audit team. In the case a site audit
will be conducted, the audit plan shall include the scheduled date of the site audit and theapplicable site.

6.3 Report on audit
The CFP system certification body shall prepare a report on audit after the audit teamcompleted the audit. After the review team completed its review, the report on audit and thereport on CFP-PCR review result shall be submitted to JEMAI included in the opinion of the17

C-18-02

conformance/nonconformance judgment, and then the validity of the audit shall be checked.
The CFP system certification body shall control the reports on audit and the reports onreview results within the CFP system certification body.

6.4 Registration of certification and judgment of re-audit
The CFP system certification body shall judge whether the certification of application may beregistered or conducted re-audit, based on the report on audit and the report on review
results. For the time being, it shall judge by taking into account the results confirmed by thereview panel established by JEMAI.

6.5 Surveillance and additional audit for an organization to be certified
6.5.1
The CFP system certification body shall develop surveillance works, to judge theeffectiveness of a set of applications for CFP approval, which has been created and verified
using the CFP system that had been certified by the CFP system certification body.
6.5.2
The CFP system certification body shall identify the right timing for the surveillance, andconduct it.
6.5.3
If the CFP system certification body judges that an additional audit is required, such as due
to expansion of the CFP system, it can conduct the additional audit regardless of the validity
period of the certification. In the case of conducting an additional audit, an audit should be
conducted for the part to be changed.

6.6 Appeals and complaints
6.6.1
The CFP system certification body shall have a process to receive appeals and complaints,
examine and resolve them. An overview of resolution processes of appeals and complaints
shall be publicly accessible to the public.
6.6.2
The CFP system certification body shall ensure that the persons involved in the resolution
process of appeals are different persons who conducted the CFP system audit and who
judged on the certification of the CFP system.

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C-18-02

6.6.3
When receiving a complaint, the CFP system certification body shall check the relevance ofthe complaint to the certification where the CFP system certification body is responsible for.
If it is relevant, it shall resolve the complaint. If such complaint is relevant to the organization
to be certified, the CFP system certification body shall take into account the validity of thecertified CFP system in the examination of the complaint.
6.6.4
The CFP system certification body shall have responsibility of all the decisions made at allstages of the resolution processes of appeals and complaints.
6.6.5
The resolution processes of appeals and complaints shall at least include the following
factors and methods:a) The process of deciding measures to be taken against the present appeal/complaint, by
taking into account the process of receiving appeal/complaint, the process of checking
and examining the validity of such appeal/complaint, and the process of deciding theaction to be taken against such appeal/complaint similar cases in the past.
b) Tracking of progress and tracking its records for resolution of appeal/complaint, including
actions taken to resolve themc) Ensuring that appropriate corrections and corrective actions are performed
6.6.6
The CFP system certification body shall notify the receipt of appeal/complaint to theapplicant and the program operator, and shall provide them with a report on the progress of
the appeal/complaint and the matters that have been decided so far. The decisions to becommunicated to the applicant shall be made, or be reviewed and approved by parties who
were not involved in such appeal or complaint at all.
The CFP system certification body shall formally notify the completion of the resolution
process of the appeal or complaint to the applicant and the program operator.

7. Requirements for registration
7.1 Audit for registration
The CFP system certification body shall be registered in JEMAI as a CFP system19

C-18-02

certification body, when conducting a CFP system audit under the CFP Program. At the timeof registration, the body shall undergo an audit to confirm its conformance to therequirements prescribed herein. In the case of that it is decided that the body can beregistered as a result of the audit, the period of registration shall be 3 years. Afterwards, if
the CFP system certification body wishes to extend its registration period, it shall undergo
an audit for re-registration within the half year prior to the expired day of the current
registration period.

7.2 Surveillance of CFP system certification body
JEMAI can check the result of certification conducted by the CFP system certification body,
if JEMAI judges that it is necessary. The check shall include checking of the documents
relating to the audit conclusion and the presence of the review panel.

7.3 Suspension and revocation of registration
7.3.1
If JEMAI founds that a CFP system certification body fails to conform to the requirements
herein on a continual basis, JEMAI can suspend or revoke the registration of such CFP
system certification body. When the registration is revoked, JEMAI can release the fact of
revocation to the public.
7.3.2
If JEMAI finds that a CFP system certification body does not conform to the requirements
herein, JEMAI can request such CFP system certification body to take corrective action. If
the body cannot correct such nonconformance within 3 months after requested forcorrective action, JEMAI can suspend the registration of the CFP system certification body.
7.3.3
JEMAI can revoke the registration of the CFP system certification body suspended its
registration in the following cases: if the CFP system certification body fails to make correct
action for its nonconformity within 1 year after the date of the suspension of the registration;or if the registration period which specified in the written agreement with JEMAI will comewithin a year, but the CFP system certification body fails to complete the corrective action
before the expired date of the registration.
7.3.4
If the CFP system certification body completed the corrective action within the specified20

C-18-02

period after the suspension of its registration, the registration of the CFP system certificationbody can become valid again. If the period for re-registration expires within the period forcorrective action, the CFP system certification body undergoes an audit for re-registration
immediately after completing the corrective action, and then can extend the registration
period of retroactively.

Supplementary provisionThis document shall come into effect on July 2, 2012.
Date of release: July 2, 2012 (C-18-01)
Date of revision: July 27, 2012 (C-18-02)

21