Guardian Middle East LLC operates a structured Complaints & Appeals process under ISO/IEC 17021-1 §9.7 (Appeals) and §9.8 (Complaints). Complaints (about audit conduct, service, impartiality, or other matters) and Appeals (against certification decisions) are reviewed by personnel independent of the audit team and certification decision-maker. Acknowledgement within 5 business days; substantive response typically within 30 business days. External recourse is available through accreditation bodies (UAF, IAS, QS) and regulators where applicable.
| Type | Definition + When to Use |
| Complaint |
Definition (ISO/IEC 17021-1 §3.6) – expression of dissatisfaction, other than appeal, by any person or organisation, to a certification body, relating to the activities of that body or of a certified client, where a response is expected.
When to use – concerns about audit conduct, audit-team behaviour, service quality, impartiality, communication, the operation of a certified client (e.g., misuse of marks), or any other matter falling outside the scope of an Appeal. Process – five-stage Complaints process (§13). |
| Appeal |
Definition (ISO/IEC 17021-1 §3.5) – request by the provider of an object of conformity assessment to the certification body for reconsideration of any decision it has made relating to that object.
When to use – challenge to a certification decision (grant, conditional grant, defer, refuse, suspend, withdraw), challenge to a nonconformity classification, or challenge to a scope variation decision. Process – four-stage Appeals process (§14). |
| Feedback |
Definition – comment, observation, or suggestion that does not require a response.
When to use – general observations on Guardian’s service, suggestions for improvement, kind words, or commentary that does not require investigation or formal handling. Process – recorded for management consideration; no formal response process applies. |
An appeal must be filed within a defined timeframe of the decision being appealed:
Appeals filed beyond these windows may not be considered substantively but will be acknowledged and the complainant signposted to alternative routes.
Within 5 business days of appeal receipt, the appellant receives:
The appeal is reviewed by personnel structurally independent of:
The reviewer evaluates the appeal on grounds of:
Appeals on commercial grounds are NOT within scope. ‘We paid for certification, we should get it’ is not a valid appeal ground. Appeals must identify procedural fairness, factual error, or application-of-standard concerns.
ISO/IEC 17021-1 §9.7 (Appeals) and §9.8 (Complaints) require that complaints and appeals be handled by personnel independent of the matter being reviewed. Guardian operates the following independence framework:
Where the matter is sufficiently sensitive or complex, the Impartiality Committee may appoint or oversee the reviewer to ensure independence is fully demonstrated.
Where the complainant or appellant remains dissatisfied with Guardian’s outcome, external recourse routes are available depending on the nature of the matter:
Recourse Route | When to Use |
Accreditation Body — UAF | Where the matter relates to Tier 1, Tier 2 (excluding ISO 22301), or Tier 3 certifications and concerns Guardian’s compliance with UAF accreditation requirements. UAF can investigate the certification body’s conduct against accreditation criteria. |
Accreditation Body — IAS | Where the matter relates to ISO 22301 (Tier 2) issued by the Third-Party CB (IAS-Accredited under MSCB 154) or to other IAS-related matters. |
Accreditation Body — QS | Where the matter relates to QS Recognition (RB066-26) for Tier 1 certifications. |
QFCA / QFCRA | Where the matter concerns Guardian’s QFC licensing compliance, AML/CFT compliance, data protection compliance, or other regulatory matters within the QFC remit. |
Compliance and Data Protection Department (Qatar) | Where the matter concerns Guardian’s compliance with Qatar PDPPL Law 13/2016. |
Qatar Courts | Where the matter constitutes a legal claim under applicable law and is not resolved through other routes. |
Guardian Middle East LLC will cooperate with any external review by an accreditation body, regulator, or court — providing documentation and access as required. Cooperation with external review is part of Guardian’s accreditation and licensing commitments.
Submissions are handled under confidentiality. Specific controls:
Submitting a complaint, appeal, or feedback in good faith does not adversely affect the relationship with Guardian:
This anti-retaliation commitment is monitored by the Impartiality Committee. Suspected retaliation can itself be raised as a complaint and is investigated as a serious matter.
Records of complaints, appeals, and feedback are retained for the periods stated:
Records are retained securely with access limited to personnel authorized under Guardian’s procedures. Personal data within these records is handled per the Privacy Notice and may be subject to data subject rights.
A complaint is an expression of dissatisfaction about the activities of Guardian or a certified client, where a response is expected. An appeal is a formal request for reconsideration of a specific decision (typically a certification decision, suspension, withdrawal, or nonconformity classification). The two have different processes — complaints follow the 5-stage process; appeals follow the 4-stage process. Guardian's Compliance Function determines the applicable process based on the substance of the matter.
Anyone — clients, former clients, auditors, suppliers, members of the public, regulators, or any other interested party. Guardian's complaints process is open and not restricted to clients. Anonymous complaints are accepted but are more difficult to investigate effectively without a route to clarify or follow up. Where the matter is suitable for investigation, Guardian will proceed regardless of source.
Appeals are submitted by the provider of the object of conformity assessment — typically the client whose certification decision is being challenged. Specific grounds: certification decisions (grant, conditional grant, defer, refuse), suspension or withdrawal, nonconformity classification disputes, scope variation decisions. Appeals must be filed within the timeframes stated in §14 — typically 21 calendar days of decision communication.
No. Appeals on commercial grounds — for example, 'we paid for certification, we should get it', 'this decision will damage our business', 'we need certification urgently for a tender' — are not within scope of the Appeals process. Appeals must identify procedural fairness concerns, factual errors, application-of-standard concerns, or procedural breach. Commercial considerations are not relevant to the certification framework.
Acknowledgement within 5 business days of submission. Complaints: substantive response typically within 30 business days. Appeals: substantive response typically within 60 business days, given the deeper review required. Complex matters may take longer; where this is anticipated, the submitter is informed of the extended timeline. External recourse routes have their own timelines independent of Guardian's process.
Reviewers are structurally independent of the matter being reviewed. For complaints: independent of the audit team or personnel whose conduct is the subject. For appeals: independent of the audit team that conducted the underlying audit AND the original certification decision-maker. Reviewers sign Conflict of Interest declarations before commencing the review. Where independence cannot be established within Guardian, external reviewers may be appointed.
Yes. Submissions are handled under confidentiality. Identity is disclosed only to personnel necessary for the investigation. Where disclosure to a third party is required, the submitter is informed where practicable. Records are retained securely under access controls. Personal data is handled per the Privacy Notice and Qatar PDPPL Law 13/2016.
No. Submitting a complaint, appeal, or feedback in good faith does not adversely affect the relationship with Guardian. Active clients raising concerns will not see retaliatory effects on certification engagements. Personnel raising concerns are protected under Guardian's whistleblowing framework. Members of the public raising concerns are not subject to any adverse action. Suspected retaliation can itself be raised as a complaint and is investigated as a serious matter.
External recourse routes are available depending on the matter: accreditation bodies (UAF, IAS, QS — for accreditation-related concerns); QFCA / QFCRA (for QFC regulatory matters including AML/CFT or licensing); Compliance and Data Protection Department of Qatar (for PDPPL data-protection matters); Qatari courts (for legal claims). The full external-recourse map is in §16. Guardian cooperates with any external review by an accreditation body, regulator, or court.
No. The underlying decision is not affected by the existence of the appeal. A refused certification remains refused during the appeal review. A suspended certificate remains suspended. A nonconformity remains classified as raised. If the appeal is upheld, the decision is revised and any consequent actions (e.g., IAF CertSearch entry update) are implemented promptly. Interim status is preserved to maintain the integrity of the certification framework.
Yes. Audit findings can be challenged during the audit closing meeting against objective evidence — the audit team will reconsider findings. This in-audit challenge is not a complaint or appeal — it is part of the standard audit conduct. Disagreements that cannot be resolved at audit level can subsequently be raised through the Complaints process (for conduct issues) or Appeals process (for nonconformity classification, once finalised in the audit report).
Complaints and appeals records are retained for 9 years from closure, per Guardian's records framework aligned with audit-record retention requirements. External-recourse correspondence is retained for 9 years from closure per accreditation requirements. Personal data within these records is handled per the Privacy Notice and may be subject to data subject rights, with retention obligations potentially overriding deletion requests.
