MultiTrace User Guidance for CB

5.1. Checklists for audit findings

Find the checklists in chapter 1. Introduction - Quick Start at the bottom of the page and see the instructions given in the Quick Start Guide section. 

The ‘audit findings checklist’ is an Excel file that contains all control points included in the Code of Conduct and Chain of Custody Standards (including the commodity modules). 

This checklist must be used to report the audit findings. In this file, a Certification Body provides a score for all the Control Points (Compliance, Non-Compliance or Not Applicable). All Control Points must have a score. 

It is mandatory to enter a comment for each control point that is NC and N/A explaining the score. All fields that are not shaded grey are mandatory. 

When providing the audit findings, the CB must upload this checklist in MultiTrace indicating the expected date of closure if there are any NC.

Once the non-conformities have been solved, the CB must upload the Excel file while submitting the license request (see chapter 6 License Request). At that point, the CB must indicate additional information (e.g. the root cause, correction, corrective action and date of closure) for the control points that had non-conformities. 

Always make sure to use the latest version of the templates (!) 

You can download the templates directly from MultiTrace or find them on the first page of this manual.

5.1.1 How to validate the Group member registry template

• Do not modify or add (names of) rows, columns, or tabs. You will not be able to upload the Excel file. At the top of the section you can see which section is mandatory. Columns with a * are mandatory.

• Please pay attention to the guidance text in the cells. 

• Include all group members in the same file, 1 Excel file

• If information is missing, the system will show an error message while uploading indicating what must be changed in the template. 

• MultiTrace is using the American language settings and therefore accepts dots "." instead of commas "," for decimals. Please make sure you use dots and no commas!

• Make sure that all the rows are filled in (if a name is given, then all cells need to be filled in for that row)

• Check if the volumes and areas are filled in correctly (no commas, max 2 decimals)

• You can copy the format in a different excel file, make corrections, and then paste the values back in the original file

• Be sure that the total farm area and UTZ certified area are filled in correctly. None of the individual values in the UTZ Certified area should be greater than the corresponding value on the same row in Total farm area.  

5.1.2 How to fill in the audit findings for Code of Conduct

Please note that the first section of the template is about the Core Code of Conduct and that the checklist for the Hazelnut Module is added below in the same Excel template.

• Do not modify or add (names of) rows, columns, etc. You will not be able to upload the Excel file. 

• For all control points, you MUST indicate if a control point is “C” (conform), “NC” (non-conform) or “N/A” (not applicable) for the applicable certification year

• Fill in all mandatory comment fields (comment fields for NCs, N/A, and fields that are not grey)

• In case of NC, indicate the expected date of closure in the date format Year/Month/Day. The expected date of closure should not be more than 12 weeks after the last day of the audit.

When the uploaded template is uploaded and filled in correctly, a summary of the data appears on screen.

5.1.3 How to fill in the audit findings for Chain of Custody

• Do not modify or add (names of) rows, columns, etc. You will not be able to upload the Excel file. 

• The column TL "traceability level" indicates for which TL the control point applies.

• For all control points, you MUST indicate if a control point is “C” (conform), “NC” (non-conform) or “N/A” (not applicable) for the applicable certification year

• Fill in all comment fields 

• In case of NC, indicate the expected date of closure in the date format Year/Month/Day

When the uploaded template is uploaded and filled in correctly, a summary of the data appears on screen.