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{"sheet":"Checklist","index":0,"n_rows":48,"n_cols":6,"rows_kept":48,"cut":false,"hidden":false,"merged":[]}
["       All"]
["       Coffee / Tea"]
["       Cocoa / Hazelnut: Mass Balance"]
["       Cocoa / Hazelnut: Segregation / Identity Preserved"]
["CHAIN OF CUSTODY - CHECKLIST"]
["CP#","Control Point","TL","Score","Comments"]
["MANAGEMENT"]
[" General documented control system"]
[1,"The SCA has a clearly documented management system, which addresses each applicable UTZ Certified Chain of Custody requirement.\nThe documented control system: \na) specifies the personnel responsible for the various requirements of the Chain of Custody Standard.\nb) specifies the procedures in place for the implementation of the Chain of Custody Standard. Procedures in place:\n    - take into account the traceability program level(s);\n    - specify how records are kept.\nc) provides templates, forms, records, and documents necessary for compliance with the standard. \nIf the SCA has a computerized tracking and traceability system such as an ERP system, it must cover all the traceability elements of the Chain of Custody Standard.\nAll documentation must be legible, dated, and up-to-date.",null,null,null,{"$f":"IF(E9=\"\",IF(OR(D9=\"N/A\",D9=\"N/C\"),\"Please comment!\",\"\"),\"\")","v":""}]
["Self-assessment"]
[2,"The SCA completes a self-assessment to evaluate the compliance with all applicable control points of all sites to be included on the SCAs certificate. The self-assessment is completed annually using the UTZ Certified Chain of Custody Checklist.",null,null,null,{"$f":"IF(E11=\"\",IF(OR(D11=\"N/A\",D11=\"N/C\"),\"Please comment!\",\"\"),\"\")","v":""}]
["Subcontractors"]
[3,"The SCA is responsible for the compliance of the subcontractor(s) with the applicable control points of the UTZ Certified Chain of Custody Standard, and has a system in place to ensure compliance.\nThe SCA must: \na) request from the subcontractor(s) or complete on their behalf (at least annually) a self-assessment of compliance against the UTZ Certified Chain of Custody Standard;\nor\nb) verify that the subcontractor(s) hold a valid UTZ Certified Chain of Custody certificate for the processes performed at the time that the subcontractor(s) provide a service to the SCA.\n",null,null,null,""]
["TRACEABILITY"]
["Record keeping "]
[4,"All records requested in the Chain of Custody Standard are a kept for a minimum of two years.",null,null,null,""]
[5,"The SCA keeps records and sales invoices of all purchases and sales of UTZ certified product and non-UTZ certified product. \nThe records can consist of written documents and procedures and/or an automated system.\nRecords of all GIP transactions are available (documents generated when a transaction is registered, or overview of all transactions registered in the GIP).",null,null,null,""]
[6,"The calculations of conversion rates used within each processing facility are indicated in the documentation relating to the transformation of the product, and kept up-to-date.",null,null,null,""]
["Identification of certified input and output "]
[7,"The SCA operates a system for ensuring, verifying, and monitoring that the product purchased as UTZ certified is indeed UTZ certified. \nThis system includes: \na) Verification of the validity of the supplier's UTZ Certified license. Any supplier must have a valid UTZ Certified license at the moment the product is claimed as UTZ certified. \nb) Verification of invoices and/or documents coming from the supplier. Documentation must include a reference to \"UTZ\" and to the corresponding traceability level to identify which products are traded as “UTZ”.\nc) Verification that inputs received are of equal or “stronger” traceability level than the level the SCA is certified for.\nd) Ensuring a transaction ID is available for all purchases of UTZ certified product traded in the GIP. This ID is generated in the GIP with every transaction of UTZ certified product.\n",null,null,null,""]
[8,"Documentation relating to the sale of UTZ certified product includes a reference to \"UTZ\" and to the corresponding traceability level.\nFor products traded in the GIP, sales invoices issued for UTZ certified product have a corresponding GIP transaction ID. \n",null,null,null,""]
[9,"SCAs who trade multi-certified product have available all purchase and sales documentation of product traded under other certification schemes. When a multi-certified volume is sold under a non-UTZ certification scheme, the volume is “removed” from the SCA’s GIP stock, and cannot be double sold. ",null,null,null,""]
["GIP 1"]
[10,"The SCA manages a trading stock in the GIP for all UTZ certified products and traceability levels required to be traded in the GIP. The SCA must perform all transactions and stock activities applicable to their product and activities*. \n\nTransactions and stock activities include: \n- sales announcement, \n- purchase announcement,\n- buyer confirmation, \n- trace,\n- remove,\n- convert,\n- mix,\n- downgrade.\n\nRetroactive claims are also registered in the GIP.\n",null,null,null,""]
[11,"First buyers who have on-behalf user rights for the GIP account of a producer/producer group inform their supplier of all purchase announcements (including the volume) performed, and provide them with the confirmation of the transaction generated in the GIP within 2 weeks after confirming the transaction.",null,null,null,""]
[12,"SCAs who provide warehouse services to producers/producer groups manage a warehouse stock in the GIP. The warehouse stock is updated at least once every three months.\nSCAs who provide warehouse services to other SCAs clearly record the volume stored for other SCAs on documentation outside of the GIP.\nThe physical stock warehoused by the SCA matches the warehouse stock in the GIP.\n","IP\nSG",null,null,""]
[13,"The SCA’s trading stock is updated at least once every three months. The objective is that the volume available in the trading stock of the SCA in the GIP matches the physical stock of UTZ certified product in their facilities.","IP\nSG",null,null,""]
[14,"The SCA’s trading stock is updated at least once every three months. ","MB",null,null,""]
[15,"All GIP sales or purchase announcements and buyer confirmations must represent one or multiple physical deliveries. The information registered in the GIP transaction which corresponds to the product (volume, quality, etc.) is the same as the information reflected in the documentation accompanying the physical delivery. ",null,null,null,""]
["UTZ premium 2"]
[16," The producer/producer group and first buyer agree upon a procedure for payment (covering amount and timing) of the UTZ premium on all product claimed (or retroactively claimed) as UTZ certified. The UTZ premium is net of any deductions for repayment of pre-financed goods or services\n\nProof of payment and of acknowledgement from the producer/producer group of the reception of the UTZ premium is available.\n",null,null,null,""]
[17,"The UTZ premium is indicated in the sales or purchase announcement in the GIP.",null,null,null,""]
["Annual overview of volumes and credit account"]
[18,"The SCA makes an overview of the total annual volume purchased and sold of UTZ certified product. The overview includes: \n-  stock remaining from the previous year;\n-  inputs received;\n-  inputs still in stock;\n-  outputs still in stock;\n-  outputs sold.\n\nIf all products traded by the SCA are purchased and sold in the GIP (the SCA trades only pure products), the annual overview can be extracted from the GIP. \n\nThe volume sold does not exceed the volume purchased.\n","IP\nSG",null,null,""]
[19,"The SCA makes an overview of the total annual volume purchased and sold of UTZ certified product. The overview includes:\n-  stock remaining from the previous year;\n-  inputs received;\n-  outputs sold.\n\nIf all products traded by the SCA are purchased and sold in the GIP (the SCA trades only pure products), the annual overview can be extracted from the GIP. \n\nIf the SCA purchases and/or sells non-pure UTZ certified product, the annual overview is reflected in a credit account. The credit account must provide sufficient information to calculate and verify the UTZ credit balance (UTZ product purchased minus UTZ product sold) of UTZ products used for processing, taking into account the rules regarding MB credit exchange*. The SCA has a functioning system to monitor and update the credit balance.\n\nThe credit account must include:\n- balance remaining from the previous year;\n- volume of UTZ product purchased;\n- pure product content (% and/or kg or MT) in UTZ product purchased;\n- quantity of UTZ product sold;\n- pure product content in UTZ product sold (% and/or kg or MT);\n- « recipe » (volume of UTZ product used per unit of UTZ product sold).\n\nTo facilitate verification, the credit account can also include:\n- purchase/delivery dates, sales dates;\n- shipment references (order number, invoice number, etc.);\n- GIP transaction IDs corresponding to each purchase of pure UTZ certified product;\n- GIP unique traceability number corresponding to product traced;\n- conversion rates.\n\nSCAs do not need to maintain a credit account if they purchase only UTZ certified product for their entire production, and are able to provide proof of this.\n\nMB rules and limitations regarding mixing, 100% volume coverage, and credit exchange are respected.*","MB",null,null,""]
[20,"If volumes of UTZ product have been over claimed (i.e. the SCA has sold more UTZ product than they have purchased), there is proof (i.e. a purchase order) with an expected delivery within two months of UTZ certified product which fully compensates for the negative credit balance. ","MB",null,null,""]
["PRODUCT SEPARATION AND IDENTIFICATION"]
[21,"The SCA operates a system which ensures that UTZ certified product is not mixed with non-UTZ certified product (including during transportation and storage), unless otherwise specified in the product annexes.","IP\nSG",null,null,""]
[22,"The supply chain actor enables visible identification of UTZ certified product. This can be done (with or without the UTZ certified logo) by making references on signs, or with tags/labels on bags/pallets.","IP\nSG",null,null,""]
["PRODUCT CLAIMS"]
["UTZ certified claims 3"]
[23,"The SCA maintains an updated list of all consumer-end products sold with the UTZ certified logo, which can be indicated either by name, SKU, or grouping of products and SKUs.",null,null,null,""]
[24,"The SCA operates a system which ensures that each lot of consumer-end product to be sold with the UTZ certified claim complies with the latest version of the UTZ Certified Labeling and Trademark Policy.",null,null,null,""]
[25,"Prior to print, the SCA has a valid label approval for all consumer-end products sold with the UTZ Certified logo. ",null,null,null,""]
["Number of Control Points Complied With",null,null,{"$f":"COUNTIF(D9:D44,\"C\")","v":0}]
["Number of Control Points Not Complied With",null,null,{"$f":"COUNTIF(D9:D44,\"N/C\")","v":0}]
["Number of Control Points Not Applicable",null,null,{"$f":"COUNTIF(D9:D44,\"N/A\")","v":0}]
["Other comments:"]

{"sheet":"Notes","index":1,"n_rows":5,"n_cols":3,"rows_kept":5,"cut":false,"hidden":false,"merged":[]}
["GIP 1","CP# 10-15 are not yet applicable to SCAs who have never had a license, as transactions and stock activities can only be performed once the first license is granted. These CPs are also only applicable to pure products as non-pure products or half-finished products are not registered in the GIP.","Back"]
[]
["UTZ premium 2","CP# 16 & 17 only apply to first buyers.","Back"]
[]
["UTZ certified claims 3","CP# 23-25 apply only to consumer-end manufacturers.","Back"]