Appeals, Complaints, and Claims Process

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In all cases, Averum strives to provide services that bring value and insight to our clientele. In cases where Averum’s services are not to a client’s satisfaction, our Clients may decide to file an appeal, complaint or claim against Averum.

In the event litigation is involved between the complainant and the Leading Harvest Certified Program User, the dispute and appeals process shall be suspended pending resolution of the litigation. It shall be restarted following resolution of the litigation if claims of nonconformity issues remain. 

An appeal is a formal notification of disagreement with a certification decision, or a request by the party responsible for providing evidence included in a certification decision to Averum, for reconsideration of an assessment or decision they have made in the certification process.

A complaint is a formal expression of dissatisfaction (as opposed to an appeal) by any person or organization regarding an Averum representative’s behavior during an audit, Averum’s audit methodology, or work done under contractual responsibility by a subcontractor for Averum. Where the dissatisfaction relates to a certification decision of Averum, this must be submitted as an appeal, not a complaint.

A claim is a formal request for financial or legal settlement and not to be considered complaints or appeals. Claims are resolved by financial and / or legal departments. Elements of Averum procedures are mentioned in this section.

A short-notice audit is an unannounced audit of a previously certified client, conducted to investigate appropriately filed complaints. Short-notice audits may also be conducted in response to changes to standard requirements, or as a follow-up action for a client that has been suspended for non-conformances. 

Appeal

Clients wishing to submit an appeal to Averum against a nonconformity or certification decision, or a request to reconsider a nonconformity or certification decision Averum has made, are required to specify the nature of the appeal as specifically as possible, to describe the subject matter clearly, and to provide any applicable objective evidence to support each element of the appeal.

An appeal must be submitted in writing. Averum will document and track filed appeals in a centralized record maintained by Averum management. Averum will only accept appeals in English, unless otherwise agreed to in writing. Appeals must be received by Averum within six (6) weeks after the certification decision was issued. Appeals may be submitted physically to Averum’s mailing address, via the “Contact” form available on Averum’s website (www.averum.co), or directly to Averum personnel. If the Client fails to do so, or if the appeal is insufficiently substantiated or incomplete, Averum may reject the appeal and will not assume responsibility for the appeal. Averum will inform the appeal maker of acceptance or rejection.

Averum will appoint a member of staff to investigate the appeal, as well as a member of Averum management. All personnel engaged in the appeals investigation process, including those in review, approval and decision-making, may not be the same as those who carried out the assessment and made the certification decision. Any member of staff, including those in management, who have provided consulting for the Client filing an appeal, or have been employed by that Client, for two years prior to submission of the appeal shall not be involved in the review or approval of the resolution of the appeal for the Client.

Averum will seek a timely resolution of the appeal and will take any subsequent action needed to resolve the appeal. Averum will give the client formal notice of the outcome and the conclusion of the appeals process and the motivation of the decision in writing within three (3) months after receipt of the appeal. Averum will record the appeal’s outcome and any resolving action, including any established correction and corrective action.

Submission, investigation, and decision on appeals may under no circumstances result in discriminatory actions against the appellant.

Complaint

Clients who wish to submit a complaint to Averum are required to specify the nature of the complaint as specifically as possible, to describe the subject matter clearly, and to provide any applicable objective evidence to support each element of the complaint. Averum will document and track submitted complaints in a centralized record maintained by Averum management. 

To avoid misinterpretation and the appearance of undue influence from Averum, complaints must always be submitted in writing. Only complaints in English will be accepted, unless otherwise agreed to in writing. Complaints must be received by Averum within six (6) weeks after the event causing the complaint physically to Averum’s mailing address, website (www.averum.co), or directly to Averum personnel. If the Client fails to do so, or if the complaint is insufficiently substantiated or incomplete, Averum may reject the complaint and will not assume responsibility for the complaint. Averum will inform the complainant of acceptance or rejection.

Averum will determine the acceptability of the complaint. Averum will appoint a member of staff to investigate the complaint, as well as a member of Averum management. All personnel engaged in the complaint investigation process, including those in review, approval and decision-making, may not be the same as those who carried out the assessment and made the certification decision. Any member of staff, including those in management, who have provided consulting for the Client filing a complaint, or have been employed by that Client, for two years prior to submission of the complaint shall not be involved in the review or approval of the resolution of the complaint for the Client.

Appointed members of staff will coordinate and review all information resulting in the complaint and propose how to proceed. Procedures may include corrections and corrective actions where applicable. Complaint reviews will include a root cause analysis. Additionally, complaints and subsequent investigations may result in the initiation of a short-notice audit (see short-notice audits section below). 

Averum will seek a timely resolution of the complaint and will take any subsequent action needed to resolve the complaint. If the complaint relates to a Client certified for a management system, the review of the complaint shall also consider the effectiveness of the certified management system.

Averum will seek a timely resolution of the appeal and will take any subsequent action needed to resolve the appeal. Averum will give the complainant formal notice of the outcome and the conclusion of the appeals process and the motivation of the decision in writing within three (3) months after receipt of the appeal. Averum will record the appeal’s outcome and any resolving action, including any established correction and corrective action.

Complaints about a certified Client that have passed through the complaints handling process must be addressed to that certified Client by Averum within an appropriate timeframe. If requested by the complainant, the anonymity of the complainant must be maintained. Together with the certified Client and the complainant, Averum will determine whether and to what extent the subject of the complaint and its resolution will be made public, if necessary.

Submission, investigation, and decision on complaints may under no circumstances result in discriminatory actions against the complainant.

If Averum finds that Averum or any of its employees, officers, agents or subcontractors were not liable to the extent specified in the complaint, all costs and expenses of the complaint review may be charged to the complainant.

Averum will seek to settle any complaint amicably. When no amicable settlement is possible, all disputes which may arise between Averum and the Client shall be brought before the court of jurisdiction agreed to in the Service Agreement between Averum and the Client, which shall have exclusive jurisdiction on the matter.

Claims

The liability Averum holds of any claims for loss, damage or expense of any nature and arising in respect of any breach of contract and/or any failure to exercise due duty by Averum shall in no circumstances exceed a total aggregate sum equal the amount of the service fee for the specific services agreed to in the Service Agreement between Averum and the Client. Averum may not be held liable for any claims for direct or indirect loss including loss of profit and/or loss of future business and/or loss of production and/or cancellation of contracts entered into by the Client.

The Client shall not hold Averum at fault and shall indemnify Averum as a result of damages suffered by Averum due to the Client not observing the applicable standard’s requirements and/or national and international governmental laws and regulations.

Short-Notice Audits

Following receipt of an appropriately registered complaint, significantly impactful revisions to an applicable standard’s requirements, reported resolutions to a suspended client’s non-conformances, or other significant changes to conformance requirements. A short-notice audit may be triggered following an appropriate review and investigation by Averum, or complainants may request a short-notice audit as part of their complaint. Requests for short-notice audits will be reviewed and assessed during the complaint investigation process.  

Short-notice audits will be conducted at an accelerated pace, usually within a few days or weeks of the audit request. The short-notice audit procedure shall include at a minimum:

1. Notification: Averum shall notify the client that a short-notice audit is required. The notification should include the purpose and scope of the audit, the audit team members, and the expected date and time of the audit.
2. Preparation: Clients should prepare for the audit, ensuring that all relevant documentation is up to date and readily accessible. The client under a short-notice audit should also identify and make available any necessary resources, such as personnel or facilities, to support the audit.
3. Audit planning: Averum will plan the audit, including reviewing the scope and objectives of the audit, identifying the areas of focus, and developing the audit plan and checklist.
4. Audit conduct: Averum will conduct the audit, following the planned audit activities and checklist. Averum will communicate with the organization's personnel and management to gather the necessary information and evidence.
5. Audit report: Averum will prepare an audit report that documents the findings, conclusions, and recommendations of the audit. The report will be based on the evidence gathered during the short-notice audit and shall be objective and impartial.
6. Corrective action: The client under a short-notice audit should take corrective action based on the findings and recommendations in the audit report. Averum will review the corrective action taken by the organization and determine whether it is sufficient to address the nonconformities identified in the original complaint or during the audit.
7. Follow-up audit: Averum reserves the right to conduct a follow-up audit to verify that the client has implemented the corrective actions effectively and that the management system continues to meet the requirements of the relevant standard.