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Rules For Certification

Y1CQ is a versatile ISO Certification Body

with various industrial expertise and strong exposure in the field of Quality Health, Safety, Environment and Food Safety and HACCP

Suspending, Withdrawing or Reducing The Scope Of Certification

1.0 Transfer Of Certification
Y1CQ has established this procedure is to assure the maintenance of the integrity of accredited management system certification issued by one certification body if subsequently transferred to Y1CQ.


Minimum Requirements

1.1.1  Eligibility of a Certification for Transfer

I. Organizations holding certification that is not covered by such accreditations shall be treated as new clients.

II. Only valid accredited certification shall be transferred. Certification which is known to be suspended shall not be accepted for transfer.

III. In cases where certification has been granted by a certification body which has ceased trading or whose accreditation has expired, been suspended or withdrawn, the transfer shall be completed within 6 months or on expiration of the certification whichever is sooner. In such cases, Y1CQ will inform the ASCB LLC prior to the transfer.

1.1.2  Pre-Transfer Review

I. Y1CQ has a process for obtaining sufficient information in order to take a decision on certification and inform the transferring client of the process. This information shall as a minimum include arrangements regarding the certification cycle.

II. The transferring client must provide the NOC or No Objection Certificate from previous certification body and recent External Audit Report.

III. Y1CQ will carry out a review of the certification of the transferring client. This review will be conducted by means of a documentation review and where identified as needed by this review, for example there are outstanding major nonconformities, will include a pre-transfer visit to the transferring client to confirm the validity of the certification.

Note: The pre-transfer visit is not an audit.

IV. Y1CQ will determine the competence criteria for personnel involved in pre-transfer review. The review may be conducted by one or more persons. The individual or group conducting the pre-transfer visit should have the same competence that is required by Y1CQ for an audit team appropriate for the scope of certification being reviewed.

Y1CQ shall not issue certification to the transferring client until:

V. it has verified the implementation of corrections and corrective actions in respect of all outstanding major nonconformities; and

VI. it has accepted the transferring client’s plans for correction and corrective action for all outstanding minor nonconformities.

Where the pre-transfer review (document review and/or pre-transfer visit) identifies issues that prevent the completion of transfer, Y1CQ will treat the transferring client as a new client.

The justification for this action shall be explained to the transferring client.

If no problems are identified by the pre-transfer review, the certification cycle shall be based on the previous certification cycle and Y1CQ will establish the audit programme for the remainder of the certification cycle.

Where Y1CQ has had to treat the client as a new client as a result of the pre-transfer review, the certification cycle shall begin with the certification decision. Y1CQ will take the decision on certification before any surveillance or recertification audits are initiated.

1.1.3  Cooperation Between the previous certification body and Y1CQ

I. The cooperation between the issuing and Y1CQ is essential for the effective process for transfer and the integrity of certification. When requested, the issuing certification body shall provide to the Y1CQ all the documents and information required. Where it has not been possible to communicate with the issuing certification body, Y1CQ shall record the reasons and make every effort to obtain necessary information from other sources.

II. The transferring client shall authorize that the issuing certification body provides the information sought by the Y1CQ. The issuing certification body shall not suspend or withdraw the organization’s certification following the notification that the organization is transferring to the Y1CQ if the client continues to satisfy the requirements of certification.

Once the Y1CQ has issued the certification it shall inform the issuing CB.


Suspension Of Certification

The certification is typically suspended in the following situations:

I. The client’s certified management system has persistently or seriously failed to meet certification requirements, including requirements for the effectiveness of the management system.

II. The client organization is found to be misusing marks & logos of certification.

III. Complaints from the customers of certified client organization.

IV. The certified client does not allow surveillance or recertification audits to be conducted at the required frequencies, or

V. The certified client has voluntarily requested a suspension.

Under the status of suspension, the client’s management system certification is temporarily invalid. During suspension, the client shall refrain from further promotion of its certification & that of using Y1CQ certification mark & symbol. In the event of non-compliance, Y1CQ shall take an appropriate action, including legal action, against the client organization to ensure compliance.

The status of suspended certificates is made public & displayed on Y1CQ website –

Y1CQ may also inform the client’s customers and other stake-holders of the client organization on the suspended status of certification.
The certification shall be restored, if the issues, based on which it was suspended, has been effectively addressed by the client organization. However, if the issues are left unaddressed for a pre-determined time frame, the certification shall be withdrawn.

3.0 Withdrawal Of Certification

The certification is typically withdrawn by Y1CQ in the following situations:

I. The client organization has failed to address the issues of suspension of the certificate.

II. The client organization has voluntarily surrendered its certificate.

III. The client organization has failed to get the renewal/recertification done as per stipulated timeframe.

After withdrawal, the client organization shall stop completely the use of certification marks & logos. It shall also have to remove all references to certification, wherever the client organization had done so, including website, stationery, etc.

The status of withdrawn certificates is made public & displayed on Y1CQ website –

Y1CQ may also inform the client’s customers and other stake-holders of the client organization on withdrawn status of the certificate.

4.0  Special Audits

4.1  Expanding Scope

Y1CQ shall, in response to an application for expanding the scope of a certification already granted, undertake a review of the application and determine any audit activities necessary to decide whether or not the extension may be granted. This may be conducted in conjunction with a surveillance audit.

4.2  Reducing Scope

Upon the request of the client or during the surveillance audit as identified/verified by the audit team, the scope of certification can be reduced after the verifications conducted as per the Y1CQ certification process.

Examples of reductions can be deletion of the site/unit, product line or business line. This can be done by conducting the extra man-days of the audits as per the complexity/risk of the reductions requested.

4.3  Short-Notice Audits

It may be necessary for Y1CQ to conduct audits of certified clients at short notice or unannounced to investigate complaints, or in response to changes, or as follow up on suspended clients.

Y1CQ shall take due care that the –

I. Information is given to the client in advance regarding the visit with details.
II. To select the auditor to Safeguard Lack of Reason to client for objection to the auditor.