Which Process Fits Your Situation
The two processes cover different ground. Use this table to find your route.
| Your situation | Process | What it reviews |
|---|---|---|
| You disagree with a written certification decision, such as refusal, suspension, withdrawal, non-renewal, scope reduction, or a major nonconformity classification. | Appeal | Whether the certification decision was correct |
| You have a concern about audit quality, responsiveness, OASIS record accuracy, impartiality, confidentiality, or auditor conduct. | Complaint | KSQA's service, conduct, or records |
| You are not satisfied with how a complaint was resolved. | Appeal | The complaint finding and how it was reached |
What You Can Expect From Either Process
Both paths follow the same core commitments under ISO/IEC 17021-1.
⚖️ Independent review
Your case goes to a reviewer with no involvement in the original activity or decision, consistent with ISO/IEC 17021-1 Clauses 9.7.2 and 9.8.1.
🧭 Written acknowledgment
You receive a reference number and a written acknowledgment within 2 business days, naming the assigned reviewer and expected response date.
🔍 Written outcome
Every case closes with a written finding stating the evidence reviewed, the standard clauses applied, and the action taken.
🤝 No cost
Filing is free, and so is escalating to IAS, OASIS, or IAF.
🛡 No effect on your standing
Filing has no bearing on your audit outcome, certificate status, or working relationship with KSQA, whether the case is upheld or not.
📈 Confidentiality
Case records are kept confidential and retained for at least 7 years and shared only with IAS, IAQG, Probitas Authentication, or as required by law.
👤 Your choice on timing
You can escalate externally at any point. Completing KSQA's internal process first is not required.
What You Can Raise a Complaint About
Audit quality
Findings not supported by evidence, missed scope areas, nonconformity classification concerns
OASIS record accuracy
Incorrect modality, dates, scope, or nonconformity records in the AS9100 scheme database
Notification
An accreditation or certificate status change that was not communicated to you
Responsiveness
Delayed OASIS uploads, slow document turnaround, unanswered inquiries
Impartiality
A relationship or interest you believe affected an audit or certification decision
Confidentiality
Your audit information shared with a party you did not authorize
Certificate transfer
Delay in providing the OASIS documentation needed to transfer certification
Auditor conduct or credentials
Professional conduct concerns, or a question about an auditor's credential status
How to Submit a Complaint
Send your complaint to contact@ksqa.org, or submit it through the client portal at audit-care2.com. Include:
- Your name, organization, and contact details
- Your KSQA certificate number, if the complaint relates to a certified client
- The complaint category and a description of the concern
- Any supporting documents, audit report references, or nonconformity reference numbers
- The urgency level, so KSQA applies the correct response track
⚖️ How KSQA Handles a Complaint
Appeal Status Tracking
| Urgency | Typical examples | First response | Written outcome | Corrective action |
|---|---|---|---|---|
| 🔵 Critical | Certificate status blocking a live aerospace contract | 24 hours | 5 business days | Interim action immediately, final within 10 business days |
| 🔵 High | Certificate validity, audit accuracy, or notification concern | 2 business days | 10 business days | Within 15 business days |
| ⏱ Medium | OASIS record accuracy, upload delay, audit quality concern | 2 business days | 20 business days | Within 30 business days |
| 🔵 Low | Administrative delay, communication quality, general feedback | 2 business days | 30 business days | As appropriate |
An appeal is a formal request for KSQA to reconsider a certification decision. A person independent of the original decision maker reviews it on its merits under ISO/IEC 17021-1, Clause 9.7.
| Decision | What it is | Common appeal grounds |
|---|---|---|
| Refusal of initial certification | Stage 2 result where the certificate was not issued | Requirements misinterpreted, a major nonconformity not supported by evidence, corrective action evidence rejected without justification, and the audit scope differed from what was agreed. |
| Certificate suspension | Certificate placed under suspension | The stated reason is factually incorrect; closure evidence was provided but not reviewed, and a scheduling dispute was recorded as a refusal of access. |
| Certificate withdrawal | Certificate permanently removed | The correct notice period was not applied, the underlying suspension was itself incorrect, and the verified corrective action was not acknowledged. |
| Recertification refusal | Renewal audit where the certificate was not renewed | Findings do not justify non-renewal, findings carried over from a prior cycle without fresh evidence, and nonconformities were accepted for closure before the decision. |
| Scope reduction | The certified scope narrowed without agreement | The scope element was audited and found conforming |
| Major nonconformity classification | A finding classified as major, affecting certification status or timing | The finding does not meet the standard's definition of a major nonconformity. |
Grounds That Support an Appeal
- New evidence emerged that was not available during the original audit or decision
- The process was not followed correctly, such as a reviewer who was not independent
- The finding is not consistent with the documented evidence
- A relevant clause under ISO/IEC 17021-1, AS9104/1, or the IAQG ICOP scheme was misapplied
- The required corrective action does not address the substance of the finding
- A conflict of interest in the decision process has been identified
Grounds That Do Not Support an Appeal
- General dissatisfaction with the outcome, without a specific procedural or evidential error
- New arguments about evidence already considered in the original decision
- A preference for a different reviewer, without a specific conflict of interest
- Commercial impact alone, since financial consequence does not change whether a finding is correct
- The view that another certification body might have reached a different conclusion
- Prior certification history, since a past certificate does not guarantee renewal when a current audit finds genuine nonconformities
What to Include in Your Appeal
- The specific standard clauses you believe were misapplied, with clause numbers
- The nonconformity reference numbers you are disputing and why you believe the evidence was misread
- Corrective action evidence you submitted, along with the rejection rationale you received
- Any new evidence not available at the time of the original decisiont
- A copy of the written certification decision you are appealing
- Audit report page references that support your position
- Any published IAF or IAQG guidance that supports your interpretation
How KSQA Handles an Appeal
Registration
The appeal enters the Appeal Register within 24 hours with a reference number formatted KSQA-AP-YYYY-NNN.
Acknowledgment
You receive written acknowledgment within 2 business days, confirming the reference number, reviewer, and expected decision date.
Independence confirmation
Before review begins, the assigned reviewer signs a written declaration confirming they were not the original auditor, have no close personal relationship with either party, and hold no financial interest in the outcome.
Complete file review
The reviewer re-examines the full audit file, including the report, nonconformity records and classification, cited evidence, corrective action records, and OASIS entries, against your stated grounds.
Standard interpretation
Where a clause interpretation is disputed, KSQA references published IAF mandatory documents and IAQG ICOP scheme documents, which take precedence over KSQA's own reading, and may request a formal interpretation from IAS.
Draft finding and second review
The reviewer prepares a draft finding covering the grounds, evidence, clause interpretation, and conclusion. A second qualified person reviews it before it is finalized.
Written decision
KSQA issues the decision in writing, stating the finding, the evidence basis, the action taken, and your right to escalate externally.
| Day | Milestone | Applies to |
|---|---|---|
| 0 | Appeal received, clock starts | All appeals |
| 1 | Logged with a reference number | All appeals |
| 2 | Written acknowledgment sent | All appeals |
| 3 | The independence declaration signed, review begins, original auditor given a 5-business-day response window | All appeals |
| 8 | The auditor response window closes; review proceeds on file evidence if no response arrives | All appeals |
| 12 | Draft finding passed to the second reviewer | Internal target |
| 15 | Written decision issued | Standard appeals |
| 15 | Progress update sent | Complex appeals |
| 30 | Written decision issued | Complex appeals requiring outside evidence or IAS input |
Appeal Outcomes
| Finding | What it means | What happens next? |
|---|---|---|
| Upheld | The original decision is reversed. | Certificate reinstated, nonconformity reclassified or removed, or scope restored. OASIS updated within 5 business days, with a root cause review to prevent recurrence |
| Partially upheld | Correct elements stand; incorrect elements are reversed. | Each element's outcome is explained in writing, and OASIS is updated. |
| Not upheld | The original decision is confirmed. | Each ground is addressed in writing with the evidence basis, and your external escalation rights are confirmed. |
| Referred externally | The matter involves a scheme-owner interpretation question. | The file and a recommendation go to IAS or IAQG. Your certificate status stays unchanged until they decide, and KSQA follows their outcome. |
Reviewer Independence Standards
Every appeal reviewer meets these requirements before a review begins, each tied to a documented control.
- Not the auditor who conducted the audit under appeal, per ISO/IEC 17021-1 Clause 9.7.2
- No family, partner, or close personal relationship with the original auditor or the appellant
- No financial interest in the appeal outcome, confirmed through an annual impartiality declaration
- A written independence declaration on file and available to IAS at annual surveillance
- A second-person review of every draft finding before it is issued
- Impartiality Committee oversight when an appeal concerns a lead auditor's decision or KSQA management
External Escalation
You can contact any of these bodies at any point, with or without a KSQA case open. Reference KSQA's accreditation numbers MSCB-207 for ISO 9001 or ASA-101 for AS9100.
| Body | Scope | How to reach them |
|---|---|---|
| International Accreditation Service (IAS) | Reviews of KSQA's compliance with ISO/IEC 17021-1 and ISO/IEC 17011 can require corrective action and can conduct unannounced assessments. | iasonline.org, phone (562) 364-8201 |
| OASIS, the IAQG AS9100 scheme database | AS9100 scheme matters: record accuracy, modality data, auditor conduct, and ICOP scheme compliance, independent of KSQA | oasis.sae.org (login required) |
| Probitas Authentication | IAQG auditor credentialing for the AS9100 scheme | probitas-auth.com |
| International Accreditation Forum (IAF) | Oversight of accreditation bodies through the IAF Multilateral Recognition Arrangement, including peer evaluation | iaf.nu, and IAF CertSearch for certificate verification |
Where to Start by Issue Type
| Start here. | Start here. | If unresolved | Final escalation |
|---|---|---|---|
| Audit quality, nonconformity classification, report accuracy | KSQA complaint | IAS | IAF |
| OASIS record accuracy | KSQA complaint and OASIS | IAS | IAF |
| Certification decision you believe is incorrect | KSQA appeal | IAS | IAF |
| AS9100 auditor credentials or conduct | OASIS and Probitas Authentication | IAS | IAF |
| Certificate transfer documentation | KSQA written request, 10-business-day upload commitment | IAS | IAF |
| Confidentiality or data rights | KSQA complaint | IAS and the applicable data protection authority | IAF |
| AS9100 auditor credentials or conduct | OASIS and Probitas Authentication | IAS | IAF |
| Certificate status affecting a live contract | Call 775-372-8348 for a 24-hour response. | IAS, phone (562) 364-8201 | OASIS |
Frequently Asked Questions
What is the difference between a complaint and an appeal?
A complaint concerns KSQA's conduct, service, or records. An appeal concerns a specific certification decision and asks for that decision to be reviewed and potentially changed.
Who reviews my case?
Someone with no involvement in the activity or decision under review. For appeals, that reviewer signs a written independence declaration first, and a second person reviews the draft finding before it is issued.
How long do I have to file an appeal?
30 business days from the date you receive the written certification decision.
Does filing cost anything?
No. Complaints and appeals are free, and so is escalating to IAS, OASIS, or IAF.
Can I contact IAS directly instead of going through KSQA first?
Yes. You can contact IAS, OASIS, or Probitas Authentication at the same time you file with KSQA or instead of filing with KSQA first.
Does filing affect my certificate?
No. Your certificate status, audit outcomes, and relationship with KSQA stay the same, whether the case is upheld or not, and whether or not you escalate externally.
Can I track my case?
Yes. Email contact@ksqa.org with your reference number for a status update. Your acknowledgment email states the expected response date.
What happens if my complaint is upheld?
KSQA implements corrective action matched to the finding, which may include OASIS corrections, process changes, policy updates, or client remedies. The plan is shared with you in the written outcome and tracked to closure.
What happens if my appeal is upheld?
KSQA implements the certificate action within 5 business days: reinstatement, reclassification, removal of the nonconformity, or scope restoration. OASIS is updated in the same window.
How long are case records kept?
At least 7 years, in the Complaint Register and Appeal Register, available to IAS.
Is a certificate issue affecting a live shipment handled differently?
Yes. Call 775-372-8348 for a 24-hour response, a reviewer assigned within one day, and a written outcome within 5 business days.
Case Handling Roles
| Role | Responsibility |
|---|---|
| Compliance Manager | Owns every complaint and appeal from receipt to closure and serves as the second reviewer on appeal findings. |
| Appeals Coordinator | Manages communication with appellants, gathers evidence, and tracks case progress |
| Technical Review Committee | Provides subject matter expertise and confirms audit findings against standard requirements |
| Impartiality Committee | Confirms reviewer independence and provides oversight where a case concerns KSQA management or a lead auditor's decision |
KSQA, K&S Quality Assessments LLC
5760 Hwy 32, Water Valley, MS 38965