Training Manual for CB Area Good Inside Portal

Transcription

1 Training Manual for CB Area Good Inside Portal

2 Table of Contents Module 0: Introduction to the CB Area... 2 Module 1: Introduction to the Requests area... 7 Module 2: Introduction to the Licenses area Module 3: Introduction to the Settings menu item Module 4: How to start a new license process? Module 4.1: How to start a new license process for a new member? Module 4.2: How to start the New License Process for an existing member? Module 4.3: How to make a member transfer of an existing member as a new CB? Module 4.4 How to continue the license process when the inspection does not result in a certificate? Module 4.5: Type of Member & Activities Module 4.6: Questionnaire Module 4.7: Score Compliance Module 4.8: Certificate Settings Module 4.9: Confirmation Questions Module 5: How to modify a request? Module 5.1: How to modify a request which has been saved as draft? Module 5.2: How to modify a request which has been submitted for TP review? Module 5.3: How to modify a request which has been denied by the Traceability Provider? Module 6: How to withdraw a request? Module 7: How to extend a license? Module 8: How to suspend a license? Module 9: How to view a license or a summary report? Module 10: How to add a new user? Module 11: Help Module Help Show Frequently Asked Questions Question Mark (?) Contact Live Support

3 Module 0: Introduction to the CB Area Welcome to the Training Manual of the CB Area of your traceability system. This manual will help guide you through the system, providing step by step details of the various functions and areas available to you as an approved certification body. The areas in the CB Area include: Requests Licenses Help Contact Settings Exit As a certification body, you will use the CB Area of the traceability system to request new licenses, extend and suspend existing licenses, view licenses and related certificates and summary reports. Also, you can monitor those licenses which are about to expire in the near future. Please note that a license gives you the right to access and trade in the system and it is activated after a certificate is awarded by a certification body. A certificate is a prerequisite of a license and no license can be created without a certificate. In the Requests area, you can follow your license and extension requests and you can also find information on previously completed requests. You can request licenses for certified members to use the traceability system and extensions for already existing licenses. These requests must be sent to the traceability provider for approval. 2

4 Please note that an extension can only be granted to members who already have a license in the system. Extensions include time, volume and group extensions. In case of group extension, the number of group members can be modified. In the Licenses area you can request a new license for a certified member and can access detailed information on licenses issued by you in the system. 3

5 If you click on the Help menu the help text for the CB Area will appear in a new window. Here you will find further information on the system. The help text is context-based, which means that it will open the help text related to the screen where you are at that moment. In Contact you can contact your traceability provider by filling in the subject and message field and clicking on Send. In the Settings area you can get an overview on the users who have access to your account. You can also find information on the user activities and on your company settings. The area is only accessible and can only be edited by the primary users of your account. Therefore, this menu item is only available to primary users. If you are a normal user, this menu item is not displayed 4

6 If you would like to exit the CB Area click on Exit. If you are approved to certify more than one core product you can easily switch between core products by selecting the respective core product from the dropdown menu in the top right hand corner. All grids can be customized. By clicking on the dropdown arrow visible in each field of the headline, a small menu will open. You can sort the grid in alphabetical order and you can choose the columns you want to be displayed. 5

7 Please note that you can print or export into excel any table in the Request section and Licenses section. 6

8 Module 1: Introduction to the Requests area In the Requests area, you can follow your license and extension requests and you can also find information on previously completed requests. You can request licenses for certified members to use the traceability system and extensions for already existing licenses. These requests must be sent to the traceability provider for approval. The Requests area consists of 4 tabs, the Inbox, the Outbox, the Request Completed and the Draft tab. In the Inbox you can find your license and extension requests that have been approved or denied by the Traceability Provider. 7

9 The information in the table can be filtered by requestor. This is the user that initiated the communication. The information can also be filtered by request type and status. If you require further information on the request itself, on the member or on the users who have been involved in the request, click on the relevant hyperlink. The additional information such as member name, license information per core product, address and contacts will be shown in a new window. Please note that this option is also available for the Outbox and the Request Completed tab sections. 8

10 You can also perform actions on each request by clicking on one of the link in the Action column. If the certificate and the summary report have been filled in correctly the Traceability Provider will approve your license request. In this case you can click on Acknowledge, View License and View Summary Report. By clicking on Acknowledge you accept the Traceability Provider s decision and the request will move to Request Completed. 9

11 If a request has been denied by the Traceability Provider or if there are questions on unclear or lacking information, you can either click on Acknowledge or Modify & Resubmit. For further details on how to perform these actions, please see the modules How to start a new license process? and How to modify a request? If you would like to look for a specific request you can also use the Search box above the table. This search option is also available for the Outbox, the Request Completed and the Draft sections. 10

12 In the Outbox you can find all your requests which have been submitted for Traceability Provider review. 11

13 In the Outbox there are two actions which you can perform on a submitted request. In case a request has not yet been reviewed by the Traceability Provider, you can modify the request by clicking on Recall & Modify. You can also withdraw a request which hasn t been reviewed by clicking on Withdraw. Detailed information on how to perform these actions can be found in the modules How to modify a request? and the How to withdraw a request?. In case the Traceability Provider has started reviewing the request the request status will show Review in Progress and you won t be able to perform any activities on it. The Request Completed tab contains requests which have been completed and acknowledged. Therefore, you can find requests which have been approved or denied by the Traceability Provider and have been acknowledged by you. Also, requests which have been withdrawn or did not result in a certificate appear here. 12

14 In case of approved requests you can click on View License and View Summary Report. For other requests, you can click on View Request in order to retrieve more information on that particular request. In the Draft you can find requests which have been saved as draft and have not yet been submitted for Traceability Provider review. 13

15 These requests can be modified or withdrawn by clicking on the corresponding link in the Action column. 14

16 Module 2: Introduction to the Licenses area In the Licenses area you can have access to detailed information on licenses issued by you in the system. The area is divided into 3 blocks; Action, Expiration and Licenses. A license is the right to access and trade in the system and it is activated after a certificate is awarded by a certification body. A certificate is a prerequisite of a license and no license can be created without a certificate. In the Action block you can request a new license for a certified member by clicking on Start New License Process. For detailed information on how to start a new license process please see the How to Start a New License Process module. 15

17 In the Expiration block you can find the list of licenses which have expired or about to expire in the near future. By clicking on the numbers you will get the list of licenses that will expire within the timeframe indicated. The Licenses block contains information on all the licenses issued by you. Here you can find the licenses which are currently active, licenses which have already expired and licenses which are suspended. 16

18 The licenses can be filtered by country, status and expiration. The expiration filter shows within how many days a license will expire. 17

19 Also, you can perform actions, for instance extend, suspend, etc., on these licenses by clicking on the links in the Action column. If you would like to look for a specific license you can also use the Search box above the table. 18

20 Module 3: Introduction to the Settings menu item In the Settings area you will have an overview of the users who have access to your account. You can also find information on the user activities and on your company settings. There are two types of users in the system. The primary user is the principle user of the account who is provided with special privileges concerning the management of the account. This means that the Settings area is only accessible to and can only be edited by the primary users of your account. The other user type is the normal user who can perform activities in the system according to his or her rights and does not have access to the Settings Area. The Settings area is divided into the following 5 parts: User Management, Company Address, Company Information, User Management Log and Password Settings. Under User Management you can find detailed information on the users. If you are the primary user you can also modify user details and rights or add a new user. For further information on how to add a new user please see the module How to add a new user. 19

21 Under Company Address you can find the address details of your company. If you are a primary user you can update the information kept here. The Company Information area provides you with information on your accreditation and details regarding the products you are allowed to certify and countries you can operate in. This information is managed by the Traceability Provider. 20

22 The User Management Log provides an overview on the activities of all the users of the account. The Password Settings will show the password policy set by your traceability provider. If you would like to look for a specific detail you can also use the Search box above the table. 21

23 Module 4: How to start a new license process? Module 4.1: How to start a new license process for a new member? (1) In order to create a new license, click on Licenses. (2) If you would like to start a completely new license process click on the Start New License Process in the Action box. Alternately, for members who have already been licensed in the system, you can copy the information from the past license into the New License Request. Please refer to the How to start the New License Process for an existing member section for more information 22

24 (3) The new license process form will appear in a new window. (4) In the 'Information about the member' block enter the Member ID of the member you would like to issue the license for. This Member ID is provided to the member upon registration. Once the member receives the Member ID, it will pass on the ID to you outside of the system. 23

25 When you click OK, the member information is prompted automatically and the 'Audit is scheduled on' block appears. (5) In the 'Audit is scheduled on' block enter the Audit date which should be the first day of the audit. If the audit took place over several days you can indicate the additional dates later. 24

26 (5a) Then please indicate if the audit has been performed or not. In case the audit has not yet been performed select No and save the form as draft by clicking on Save as Draft. You can continue filling in the form once the audit results are available. In addition, you can save each block of the form as draft and continue it at a later date. If the audit has already been performed please select yes. 25

27 (5b) Indicate whether the member received a certificate or not. If no certificate was issued after the audit please select No. In this case you also have to enter the noncompliances in the Reason box. 26

28 Click Save as Draft. The information will move to Request Completed in the Requests menu item. In case the audit results in a certificate please select yes. Once you selected yes the next block regarding the inspection results will appear. 27

29 (6) The 'Inspection Results' block is divided into 5 sections. (6a) In the first section you can indicate the member type and the activities the member is certified for. The activities selected will determine what the member can do in the system. (6b) The second section is the Questionnaire. This section is divided into Code of Conduct questions and Chain of Custody questions. Only the section relevant to the license you are requesting will appear. 28

30 (6c) The next section is the Score Compliance. In this section you have to indicate the number of mandatory and additional control points the member complies with. Please note that this section only appears if the member you are certifying is a producer. (6d) The following section is the Certificate Settings. In this section you can set the validity period of the requested license and upload the related certificate. 29

31 (6e) The last section is the Confirmation Questions. Here the lead auditor confirms that all the information entered in the license process is accurate. Please note that each section has to be completed before being able to move to the next section. For further details on each section, please see the related modules. When the Inspection Results is completed you can move on to the Audit Information block. 30

32 (7) In the 'Audit Information' enter all the dates of the audit, the name of the auditor or auditors and the name of the lead auditor. (8) Once you have completed the audit information the Request Approval block appears. Here the lead auditor can request the approval of the license request. 31

33 In order to do so, please choose Yes for Request Approval. Check the confirmation box. Once Yes is selected, the Request date, the requestor and the requestor s function will be filled in automatically. To complete the request you have to confirm that the request fully complies with the regulations of the UTZ Certification Protocol and the UTZ Certified Program. In order to do so, please check the box. 32

34 (9) Click on Submit for Approval in order to send your request to the Traceability Provider. (10) Once submitted, the request will move to your Outbox with the status Submitted for TP review. If you would like to modify your submitted request please see the module How to modify a request? (11) When the Traceability Provider has reviewed your request, the transaction will move to your Inbox with the status Approved by TP or Denied by TP. 33

35 (12) In case the request has been approved by the TP, the following functions are available: View License, View Summary Report (PDF) and Acknowledge. In case the request has been denied by the TP you can Modify & Resubmit the request or accept the fact that it has been denied by clicking on Acknowledge. When you acknowledge a request (approved or denied) it moves to Request Completed. 34

36 35

37 Module 4.2: How to start the New License Process for an existing member? 1) For members who have already been previously licensed in the system, you can now copy the information from the previous license into the New License Request. Please note that you will be able to copy the information from an active license. If the member does not have an active license, you can copy the information from the most recently expired license. 2) When you will click on the Start New License Process link, a pop up window will appear on the screen with two options: Start new license process and Copy license process. 36

38 3) Start a new license process will let you enter all the details from start as mentioned in Module 4: How to start a new license and once you have completely filled the required details then the request will be submitted for TP review. Copy License Process will create a new license request with all the sections already pre filled from the license that you copied from. In order to copy the information into the New License Request, select Copy License Request and click OK. 37

39 3) System displays a warning message informing you that the new license request you are about to create, will have the data copied from the existing license. To proceed, click OK. 4) A new License process will open, where you will notice that the data has already been pre filled. Please note that all the sections in the Inspection Results will have status as Incomplete as some of the sections might need user intervention. For instance, Audit dates and Certificate information like Start date, end date etc., will have to be manually entered. 38

40 5) You can review the pre filled data in each section and modify the data as required. If the information from the past license is no longer applicable due to changes made to the product configuration by the Traceability provider, appropriate messages will be shown so that you can review and modify the information. 39

41 6) If no change is required, then you can Save the section and continue to the next section.. 40

42 7) In Section 3, some of the fields will not be pre filled and you will have to manually enter the information., For example, Start and End date of the new license. 8) When all the sections are completed, the audit information needs to be filled in and the request can be submitted for approval. 9) Once submitted, the request will move to your Outbox with the status Submitted for TP review. If you would like to modify your submitted request please see the module How to modify a request? 41

43 10) When the Traceability Provider has reviewed your request, the transaction will move to your Inbox with the status Approved by TP or Denied by TP. In case the request has been approved by the TP, the following functions are available: View License, View Summary Report (PDF) and Acknowledge. In case the request has been denied by the TP you can Modify & Resubmit the request or accept the fact that it has been denied by clicking on Acknowledge. When you acknowledge a request (approved or denied) it moves to Request Completed. 42

44 Module 4.3: How to make a member transfer of an existing member as a new CB? If a member changes certification body and you are the new certification body, you need to request a member transfer in the traceability system before you can start the new license process. 1) In order to request a member transfer, go to Licenses. 2) Click on the Start New License Process button in the Action box. 3) The new license process form will appear in a new window. Enter the member ID of the member you would like to transfer and click on OK. This Member ID is provided to the member upon registration. You can ask the member to provide you with the Member ID or you can find the Member ID in the Member Directory of GIP. 43

45 The system will provide the following message: Certificate for this member already exists for another CB or TP. You need member transfer approval from TP. 4) In order to submit the approval request for member transfer, click Transfer Member at the bottom right of the screen. 44

46 Once submitted, the request will move to your Outbox under the Requests tab with the status Submitted for TP review. By clicking on the Request ID you can see the member transfer information, including information on the old CB. When the Traceability Provider has reviewed your request, the transaction will move to your Inbox with the status Approved by TP or Denied by TP. 5) To complete the transfer request, click on Acknowledge. 45

47 Once acknowledged, the transfer request will move to Request Completed. For transfer requests with the status Approved by TP you can start the new license process. Under Licenses you can find information on the member s old license. Here, you can also use the links under Action to extend the member s license. 46

48 Module 4.4 How to continue the license process when the inspection does not result in a certificate? (1) If you have already started the new license process, but the inspection did not result in a certificate click on Requests and go to your Draft. (2) Select the license request which you would like to continue and click on the Modify link. (3) Once you have clicked on Modify the License Process form will open. 47

49 (4) In the 'Audit is scheduled on' block please indicate that an audit has been performed by selecting Yes. 48

50 As the audit did not result in a certificate you have to select No for the question Does Audit Result in New Certificate? You must enter the list of non-compliances that inhibited certification in the Reason box. (5) Click on Save as Draft. (6) When the request has been submitted by the lead auditor it will show up in Request Completed with the status Denied by CB. You can view this request by clicking on View Request next to the denied license request. 49

51 The Traceability Provider will be notified that the license request was denied by you. 50

52 Module 4.5: Type of Member & Activities The Type of Member & Activities section determines the type of license you can request for a certified member and the activities they can perform in the traceability system. The Select the type of certificate holder block determines the member s certification type. You can choose from the following certification types: Individual, Group, Multi-site and Multi-group. If you select Group as certification type, a new block called Group Information will appear. Here you can enter how many members (excluding processing units) are covered by the group certification. 51

53 Once you entered the number of members click on the Add Member button. Please note that if the number of members is equal to or less than 10 it is mandatory to enter the names of the members. After the members are added you can enter name and type of members. Please note that the types available to you depend on the answers to the questions in the Role of Certificate Holder block. This block will be 52

54 described later in the training. Please make sure to only tick the type boxes after you have completed the Role of Certificate holder questions. If you entered more members by accident you can remove them one by one by clicking on Remove Member. For groups with more than 10 members the name blocks will not be available. 53

55 In addition, in the Group Information block you will need to indicate the number of complying members per year. In case the type of the certificate holder is multi-site select Multi-site in the first block. A new block called Multi-site Information will appear. 54

56 Here you can enter how many sites (excluding processing units) are covered by the multi-site certification. Once you entered the number of sites click on the Add Site button. 55

57 After the sites are added you can enter name and type of sites. Please note that the types available to you depend on the answers to the questions in the Role of Certificate Holder block. Please make sure to only tick the type boxes after you have completed the Role of Certificate holder questions. Once you filled in the names, please indicate the number of complying sites per year. 56

58 In case the type of the certificate holder is multi-group select Multi-group in the first block. A new block called Multi-group Information will appear. Here you can enter how many groups (excluding processing units) are covered by the multi-group certification. 57

59 Once you entered the number of groups click on the Add Group button. After the groups are added you can enter name and type of groups. Please note that the types available to you depend on the answers to the questions in the Role of Certificate Holder block. Please make sure to only tick the type boxes after you have completed the Role of Certificate holder questions. If you entered more groups than needed, you can remove the extra fields one by one by clicking on Remove Group. 58

60 Once you filled in the names, please indicate the number of members in each group. Once you entered the number of members for each group the total figure below will show the total number of members of the multi-group. At the bottom of the block please indicate the number of complying members per year. 59

61 The next block is the Role of Certificate Holder block. The answers given to these five questions determine the activities a member can perform and the products a member can trade in the traceability system. These answers also determine the subsequent blocks. As the subsequent blocks are related it is best to answer all of these questions first and then fill in the information in the related blocks. The first question is Does the Certificate Holder produce certified Products? This question determines the type of products produced by the member and that can be traded in the traceability system. The corresponding block to this question is Produced Products. Here you can detail the products, the program level and the volume that are produced by the certificate holder. If you would like to request a license for a producer select Yes to this question. 60

62 Once selected, the Produced Products block will appear. The second question is Does the Certificate Holder process its own produce? This question determines the processing activities of a producer. The corresponding block is Processing. Please note that processing means converting one product into another one. Therefore activities where the input product is the same as the output product (for example drying, fermenting, etc) are not considered as processing activities in this section. If you would like to request a license for a certified member who processes its own produce, answer Yes to this question. Once selected, the Processing block will appear. The third question is Does the Certificate Holder trade certified products (both purchase and sell)? 61

63 This question determines the trading activities of a member. The corresponding block is Trading Products, where you can determine the products and the program level the certificate holder is allowed to trade with. If the certified member is purchasing and selling certified products, select Yes to this question. Once selected, the Trading Products block will appear. 62

64 The fourth question is Does the Certificate Holder process for other Certificate Holders and/or products purchased from other members? This question determines the processing activities of a supply chain actor which offers processing as a service to other members. It also determines the processing activities of members which purchase certified products from other members and processes them for internal use. The corresponding blocks are Processing and Certified to Process Products. In these blocks you can detail the processing activities and products processed. Please note that processing means converting one product into another one. Therefore activities where the input product is the same as the output product (for example drying, fermenting, etc) are not considered as processing activities in this section. If the certified member processes products for other members or processes purchased certified products for internal use answer Yes to this question. Once selected, the Processing and the Certified to Process Products blocks will appear. 63

65 The fifth question is Does the Certificate Holder offer Warehouse services to other Certificate Holders? This question determines the warehouse services a member can provide to other certificate holders. The corresponding block is Warehouse for Products. If the certified member provides warehouse services for other members answer Yes to this question. Once selected, the Warehouse for Products block will appear. 64

66 When all the questions are answered, you can fill in the information in each block. Please note that in case the answer is No to a question the related block will not appear. The first block is the Processing block. This block determines the processing activities of a member. Please enter the details of the processing units and subcontractors that have been audited. 65

67 If there is more than one processing unit or subcontractor, please click on Add More Processing. Enter the name of the processing unit under Unit Name. 66

68 Select the unit type. Choose Internal Processing if the processing unit belongs to the member itself. Choose Audited Subcontractor if the processing is subcontracted. Add activities performed by each processing unit by clicking on Add. 67

69 The Add Activity window will appear. Select the activity from the dropdown menu. 68

70 Select whether the member is processing its own produce or if it offers processing services for other certificate holders and/or processes certified products for itself. Please note that these options are linked to the answers to the second and the fourth question in the Role of Certificate holder block. When completed, click on Add. 69

71 The activity will appear in the activity list. If you wish to add another activity, please follow the same process. If you would like to remove an activity from the list, please select it and click on Remove. 70

72 A confirmation question will appear. Confirm the action by clicking on OK in the pop up window. 71

73 You can also modify the details of the activity by clicking on Modify. Once you click Modify, the Modify Activity window will appear where you can modify the processing activity. 72

74 When you have entered the modification, click on Modify. The information on processing will be updated accordingly. 73

75 If you want to remove a processing unit, click on Remove processing. Confirm that you want to remove the processing unit. 74

76 The respective unit will disappear. The next block is the Produced Products block. This block appears only if the certified member is a producer, so when the answer to the first question in the Role of Certificate Holder block is Yes. In this block you can add the products a producer is certified for. 75

77 In order to add the products click on Add. The Add Produced Products window will open. 76

78 Select the certified product from the dropdown menu. Select the program level the producer is certified for. 77

79 Enter the certificate volume the producer is certified for. If there is any certified volume left from previous year you can enter it as a carry over. If there is no carry over enter 0. 78

80 The total new certificate volume will show the total amount of the product the producer will be able to sell in the traceability system. Once completed, click on Add. 79

81 The product will show up in the Product table. If you wish to add another product, please follow the same process. If you would like to remove a product from the list, please select it and click on Remove. 80

82 Confirm that you want to remove the product. The product will be removed from the product list. 81

83 You can also modify the details of the product by clicking on Modify. The next block is the Certified to Process Products block. In this block you can determine what activities a member can perform and at which program level. This block appears when you select Yes to the fourth question in the Role of Certificate Holder block. 82

84 Click on Add in order to indicate the activities the member is allowed to perform and the products and program levels they are allowed to process. Select the activity from the dropdown menu. 83

85 Once the activity is selected, the list of possible input and output product combination will appear. Please note that this list will only show the products that are linked to the selected activity. Select the input and output product combination which applies to the certified member by ticking the applicable box. Please note that you can choose several scenarios at the same time. For example if a member is allowed to process at segregation level and therefore also allowed to process at mass balance level you must select both combinations. If only segregation is selected the member will only be able to perform this activity at segregation level, but not at mass balance. 84

86 Select the processing unit the activity is performed in. Once completed, click on Add. 85

87 The scenarios will appear in the Product table. If you would like to add a new activity and the related input and output products and program levels please follow the same steps. The next block is the Warehouse for Products block which appears when you select Yes to the fifth question In the Role of Certificate Holder block. In this block you can determine what products can be stored in the warehouse. In order to select the products the certificate holder is allowed to provide warehouse services for, click on Add. 86

88 The Add Warehouse Products window will appear. Select the products from the product list by ticking the box. 87

89 Select the program level of the product which can be stored in the warehouse. Click on Add. 88

90 Once a product is added, it will appear in the Product table. If you would like to remove a product from the list, please select it and click on Remove. 89

91 Confirm the action by clicking on OK in the pop up window. The product will be removed from the Product table. The last block is the Trading Products block. In this block you can indicate which products can be traded by the certified member. 90

92 In order to select the certified products and program levels the member is allowed to trade at, click on Add. The Add Trading Products window will appear. 91

93 Select the products from the product list. Select the maximum program level for the product. Please note that if you want to differentiate the maximum program level per product, select one product and the related program level click Add, and repeat this dialog again. 92

94 Click on Add. Once a product is added, it will appear in the Product table. 93

95 If you wish to add another product with a different program level, please follow the same process. If you would like to remove a product from the list, please select it and click on Remove. Confirm the action by clicking on OK in the pop up window. 94

96 The selected product will be removed from the Product table. You can also modify the details of the product by clicking on Modify. 95

97 The Modify Trading Products window will appear. Here you can modify the maximum program level of the selected product. Click on Modify to save the changes. 96

98 The changes made will be saved in the Product table. Once all the information has been entered you can save the section by clicking on Save Section. 97

99 Module 4.6: Questionnaire The Questionnaire section is divided into Code of Conduct and Chain of Custody related questions. The questions that appear in this section are based on the answers given in Section 1. The most relevant questions will be detailed in the following explanation. The Code of Conduct questions are divided into several blocks. The Other Questions block has questions regarding the audit performed. 98

100 99

101 Please note that if non-compliances were found during the audit, the details such as the number of control points, the description of the non-compliance, the proposed corrective action, etc. must be entered in this block. In addition, the information regarding the start and end date of the main and small harvests are indicated in this part. If there is no small harvest, it is not necessary to fill in the start and end date of the small harvest. 100

102 The next block is the Noteworthy positive elements of good agricultural practices by the farm or producer group where you have to answer questions regarding good agricultural practices implemented on the farm or group. In the Overall qualitative assessment by CB of the management systems of the farm or producer group (ICS) block you must answer questions regarding the management of the farm or group. 101

103 The next block is the List of sources of evidence of management awareness on critical worker welfare items block where you have to answer questions related to worker welfare. For Chain of Custody related questions the section includes questions on logo and trace-n tell facility use. 102

104 Please note that the questions, which appear in this section can differ based on the answers given in Section 1. Multiple-choice questions can have more than one answer. All questions must be answered in order to proceed to the next section. If you select an answer which requires further explanation, please fill in the details. In order to save the information entered in this section, click on Save Section. 103

105 Module 4.7: Score Compliance The Score Compliance section collects information of mandatory and additional control point. It is only available if you request a license for a producer. Questions also differ depending on the certification type. In order to fill in the figures, select the compliance score year which is applicable for the certified member by ticking the respective box. 104

106 The sum of numbers entered for mandatory control points must be equal to the total of mandatory control points indicated. If a mistake is made in the numbers entered the field will turn red. 105

107 In case of additional control points, the figure entered can be equal or higher than the indicated total. All fields must be filled in in order to proceed to the next section. If there are members which comply with different years tick all the respective columns and fill in the numbers. 106

108 To save the information entered in this section, click on Save Section. 107

109 Module 4.8: Certificate Settings The Certificate Settings section is divided into Code of Conduct and Chain of Custody information. Only the section relevant to the license you are requesting will appear. First enter the number of the related certificate. Enter the start date and the end date of the license. 108

110 You can select the respective dates by clicking on the calendar icon. When the general information is filled in you can move on to the specific questions. If the member was granted a Code of Conduct certificate please fill in the related questions in the Code of Conduct section. 109

111 Upload the certificate. If you uploaded an incorrect file you can browse again and upload the correct version. The file uploaded for the second time will replace the original file. Indicate which year of the Code of Conduct the member complies with. 110

112 Enter the date of first UTZ Certified certification. You can select the date by clicking on the calendar icon. Indicate whether the member is certified for other certification scheme(s). Please tick the option which is applicable. If you tick other, please enter the name of the certification scheme. 111

113 If the member was granted a Chain of Custody certificate please fill in the related questions in the Chain of Custody section. Upload the certificate. If you uploaded an incorrect file you can browse again and upload the correct version. The file uploaded for the second time will replace the original file. Enter the date of first UTZ Certified certification. You can select the date by clicking on the calendar icon. 112

114 Indicate whether the member is certified for other certification scheme(s). Please tick the option which is applicable. If you tick other, please enter the name of the certification scheme. 113

115 To complete the section you must upload the certificate and answer all the questions listed. All questions must be answered in order to proceed to the next section. In order to save the information entered in this section, click on Save Section. 114

116 Module 4.9: Confirmation Questions The Confirmation Questions section finalizes the inspection result section with the member s agreement or disagreement of information disclosure and your confirmation that all the information reported earlier reflects the full audit report. Please select whether the member authorizes or not UTZ Certified to disclose the information of the UTZ Certified Good Inside Summary Report upon request by an UTZ Certified buyer. 115

117 Next you must confirm that the UTZ Certified member audited has a system to ensure that only audited produce is sold as UTZ Certified to prevent selling of non-certified produce as UTZ Certified. At the bottom of the form please tick the box that the certificate holder confirms that the content of this summary report reflects the full audit report. 116

118 In order to save the information entered in this section, click on Save Section. 117

119 Module 5: How to modify a request? Module 5.1: How to modify a request which has been saved as draft? (1) Click on Requests and go to your Draft. (2) Choose the request you would like to modify and click on the Modify link. (3) The new license process form will appear in a new window. 118

120 (4) Modify the necessary information. For example, you would like to modify the date of the first certification. This can be done under section 4 of the inspection results block Certificate settings. To begin, click on the Click to open button. 119

121 Modify the date of the first certification by selecting a new date from the calendar. In order to save the updated section, click on the Save Section button. The update will be saved. 120

122 (5) You can also save the request as draft. In this case select No for the Request Approval and click on Save as Draft. 121

123 Your request will appear in the draft menu item of the requests section. When the form is completed, the lead auditor can submit it for Traceability Provider approval. In order to do so, the lead auditor must click on Modify. Next, they must tick the confirmation box and then click on Submit for Approval. 122

124 Once submitted, your request will be sent to the Traceability Provider for review. It will then appear in the outbox of the request section, with the status Submitted for TP review. You can still modify this request by clicking on Recall & Modify until the Traceability Provider starts reviewing the request. Once the Traceability Provider starts reviewing your request the status will change to Review in Progress and you won t be able to modify it anymore. 123

125 124

126 Module 5.2: How to modify a request which has been submitted for TP review? (1) Click on Requests and go to your Outbox where all the submitted license requests can be found. Please note that only requests which have not been reviewed by the Traceability Provider can be modified. If the status of the request says Submitted for TP review, you can still modify the request details. If the status is Review in Progress the Traceability Provider has already started reviewing your request. Therefore, it can no longer be modified. 125

127 (2) Choose the request you would like to modify and click on the Recall & Modify link. (3) The new license process form will appear in a new window. 126

128 (4) Modify the necessary information. For example, you would like to modify the number of permanent and seasonal workers at the processing unit or farm/group. This can be done under section 2 of the inspection results block, Questionnaire. To begin, click on Click to open button. 127

129 Change the numbers entered for permanent and seasonal workers. In order to save the updated section, click on the Save Section button. 128

130 The updated section will then be saved. If you want you can save the request as a draft. In this case select No for Request Approval and click on Save as Draft. Your request will appear in in the draft menu item of the requests section. 129

131 When the form is completed the lead auditor can submit it for Traceability Provider approval. In order to do so, the lead auditor must click on Modify. 130

132 They must then select Yes for Request Approval and click on Submit for Approval. The modified request will be resent to the Traceability Provider for review. It will then appear in the Outbox of the requests section with the status Submitted for TP review. 131

133 Module 5.3: How to modify a request which has been denied by the Traceability Provider? If a request has been denied by the Traceability Provider you will be provided with comments on the sections where non-compliances were found. You are then given the opportunity to revise your license request based on the comments of the Traceability Provider. (1) To do this click on Requests and go to your Inbox. (2) Choose the denied request you would like to modify and click on the Modify & Resubmit link. 132

134 (3) The request form will appear in a new window. (4) The sections which have been rejected will be indicated with an orange bullet point on the left hand side with the status Rejected. 133

135 To see the Traceability Provider s comments, scroll down to the bottom of the license process form. 134

136 In this case, the date of the first UTZ Certification was incorrect. 135

137 In order to modify the date, click on Click to open next to Section 4 Certificate Settings. (5) Section 4 Certificate Settings will open. 136

138 Modify the date of the first UTZ Certified certification by selecting the correct date from the calendar. Save the section by clicking on Save Section. 137

139 The update will be saved. (6) If you want you can save the request as a draft. In this case select No for Request Approval and click on Save as Draft. Your request will appear in the draft menu item of the request section. 138

140 (7) When the form is completed the lead auditor can submit it for Traceability Provider approval. In order to do so, the lead auditor must click on Modify. 8) While resubmitting the request, the lead auditor can enter any relevant comments in the Comments box. The history of the comments that have been entered by the CB and the TP, can be viewed by clicking on the View History link.. 139

141 9) They must then select Yes for Request Approval, tick the confirmation box and click on Submit for Approval. (8) Once submitted, your request will be sent to the Traceability Provider for review. It will then appear in the outbox of the request section with the status Submitted for TP Review. You can still modify this request by clicking on Recall & Modify until the Traceability Provider starts reviewing the request. 140

142 Once the Traceability Provider starts reviewing your request the status will change to Review in Progress and you will no longer be able to modify it. 141

143 Module 6: How to withdraw a request? If you have saved a license request as a draft, but for some reason the request is not relevant anymore, you can withdraw this request. Submitted license and extension requests can also be withdrawn if the Traceability Provider has not yet started reviewing your request. (1) In order to withdraw a draft request, click on Requests and then click on Draft. (2) Select the request which you would like to withdraw and click on Withdraw. (3) In the pop up screen confirm that you would like to withdraw the request by checking the confirmation box and clicking on OK. 142

144 (4) Once confirmed, the request moves to Request Completed with the status Withdrawn by Requestor. (5) If you would like to withdraw a license or extension request which has been submitted for Traceability Provider review, please go to Requests and click on Outbox. 143

145 NOTE: Please note that you can only withdraw a submitted request if the Traceability Provider has not started reviewing the request. Therefore the only requests that can be withdrawn are those with the status Submitted for TP Review. (6) Choose the request which you would like to withdraw and click on Withdraw. 144

146 (7) In the pop up screen confirm that you would like to withdraw the request by checking the confirmation box and clicking on OK. (8) Once confirmed, the request moves to Request Completed with the status Withdrawn by Requestor. 145

147 (9) The withdrawn requests can be viewed by clicking on View Request. 146

148 Module 7: How to extend a license? A license is the right to access and trade in the system and it is activated after a certificate is awarded by a certification body. A certificate is a prerequisite of a license and no license can be created without a certificate. As a certification body you are able to extend a certificate. However, if you extend a certificate the related license has to be extended as well. In order to do so, you have to request an extension for the license which has been issued by you. Extensions include time, volume and group extensions. In case of group extension, the number of group members can be modified. Extension requests can be submitted by the lead auditor who requested the original license. Extension requests can be submitted for both Active and Expired licenses. Please note that if the member has an Active license, only the active license can be extended. If the member does not have an Active License, an extension request could be submitted for a license that has most recently expired.. (1) Click on Licenses. (2) Choose the license you would like to extend in the Licenses table and click on Extend. 147

149 (3) Choose the extension type. If you are extending the volume, indicate the volume in the additional volume field. Please note that if you are submitting a request for extension for an expired license, the request must include a Time Extension. Other types of extensions can also be included. If you are extending the validity or the group size, please select the respective option in the type of extension menu item and enter the details of the extension. 148

150 Please attach the document which supports your request. Please also provide a valid and solid reason for the extension. You can also enter relevant comments in the Comments box. 149

151 (4) When you filled out the form, click OK. (5) The request will appear in your Outbox under Requests with the status Submitted for TP Review. 150

152 (6) When the TP has reviewed your request, it will move to your Inbox with the status Approved by TP or Denied by TP. (7) If your request has been approved you can view the license by clicking on View License. 151

153 In order to acknowledge the fact that the request has been approved, click on Acknowledge. (8) Once acknowledged, the request moves to Request Completed. 152

154 (9) If the request has been denied you can modify the request details by clicking on Modify & Resubmit. For further information on modifications please see the 'How to modify a request' module. (10) Denied requests can also be acknowledged by clicking on Acknowledge. By clicking on Acknowledge, you accept the Traceability Provider's decision and the request will subsequently move to Request Completed. 153

155 154

156 Module 8: How to suspend a license? A license is the right to access and trade in the system and it is activated after a certificate is awarded by a certification body. A certificate is a prerequisite of a license and no license can be created without a certificate. As a certification body you are able to suspend active licenses which have been issued by you. The reason for suspension must be detailed. Please make sure the reasons given conform to your traceability program. If you suspend a license the member won t be able to perform transactions in the system. (1) Click on Licenses. (2) Choose the license you would like to suspend in the Licenses table and click on Suspend. 155

157 (3) The relevant form will appear in a new window. (4) Confirm that you would like to suspend the license and enter the reason for suspension. The reason for 156

158 suspension must conform to your program specifications. For more information please contact your traceability provider. Decide whether or not the member should be notified about the suspension. 157

159 Click OK. 158

160 (5) The license appears in the Licenses table with the status Suspended. When a license is suspended the member won t be able to perform transactions in the system. 159

161 (6) When a license is suspended you can view the reason for suspension by clicking on View Suspension Reason. 160

162 (7) Note that you can also lift the suspension by clicking on Lift Suspension. (8) Confirm that you would like to lift the suspension and enter the reason. Decide whether or not the member should be notified about the lift of the suspension. 161

163 (9) Once saved, the license appears in the License table with the status Active. 162

164 Module 9: How to view a license or a summary report? (1) Click on Licenses. 163

165 (2) Choose the license you would like to view and know more about in the Licenses table. 164

166 (3) If you would like to know more about the license click on View License. 165

167 The details of that license including the validity period and information on the products the member can trade will appear in a new window. Also, you can find a link to the Certificate and the Summary Report here. (4) Once you have finished reviewing the license details, you can close the window by clicking ok. 166

168 (5) If you would like to view the Summary Report click on View Summary Report. 167

169 (6) The Summary Report will appear in a new window in PDF format. 168

170 (7) Once you have finished reviewing the Summary Report, you can close the window. 169

171 Module 10: How to add a new user? Adding a user in the traceability system can be done only by the primary user of the account. (1) If you are a primary user and would like to add a new user in the traceability system go to Settings. (2) Click on User Management. (3) Click on the Add User button. 170

172 (4) An empty form will show up. 171

173 (5) Fill in the form with the user details and select the user type at the end of the form. Please note that if you select Primary user as user type, the user will have access to the Settings area and will be able to modify information. (6) Once all the information is entered Click Add. 172

174 (7) The new user will appear in the User Management table. (8) The user will receive an containing his login details for the system. For security purposes, the login details are only available through to the recorded address of the user. (9) Once a new user is added, you can assign the roles which he or she can perform in the system. In order to do so, please click on Modify. (10) The settings of the recently added user will show up in a new window. 173

175 (11) At the bottom of the form you are able to set the rights for the users. The rights can be set by core product. A user can be either a license creator or a request creator. These rights are also available in read only mode. If you select the license creator role the user will be able to fill in the new license process. The request creator role will allow the user to submit a request for approval. Please note that if you select license creator role you must select the request creator role as well so the user can complete the entire license process. The license creator read only role allows the user to see the Licenses menu and view licenses and summary report. With the request creator read only role the user will be able to see the Requests menu and view the requests (in Inbox, Outbox, Request Completed and Draft) by clicking on the Request ID. 174

176 (12) Tick the rights you would like to assign to the user. (13) Click OK. (14) The user s profile is updated and he or she will be able to view or perform activities according to the roles assigned. 175

177 User Name and Password For all new members registering in GIP, a new username would be automatically generated and ed to them on registration. Existing members can continue to use their current username ( address) and password to login to the system. However, if users wish to change the username that they use to login or their passwords, they can have their primary users rest the username and passwords for them. Reset User name: To reset user name, primary user must enter at least 5 alpha and 3 numeric characters but the Login ID length cannot exceed 80 characters. By clicking on Ok below the window, Information will be sent to the registered address. 176

178 Reset user passwords: To reset a user s password click on Reset Password. The user will receive an with the new password information. Please note password information will only be sent to the registered for the user and will not be accessible in the system. 177

179 Module 11: Help Module When you are in the GIP and have questions on how the system works, there are several options within the system that can help you resolve these queries. Help For example by clicking on the Help icon you can easily access information on the functioning of the system. When you click on the "Help" tab a corresponding help text will appear in a new window. The help text is context-based, which means that it will be specifically related to the area you are located at within the system, and will provide step by step instructions on how to carry out specific actions, for example Introduction to the Request area. Show When inside the help text you can also click on the symbol "show", which will open a content list of other available help text subjects. 178

180 To move from one help subject to the next, click on the desired subject. The requested subject will then appear to the right, also with step by step instructions to carry out that specific action within the system. 179

181 Frequently Asked Questions Also included in the content list is a Frequently Asked Questions (FAQs) section. This section contains a list of commonly requested queries concerning the system with corresponding answers. To see the full list of FAQs, simply click on the FAQ section. 180

182 Question Mark (?) Please note that you can also access the help texts by clicking on the question mark icon (?), which can be found in a number of screens, for example Suspend License: Contact If you are unable to find the information that you are looking for in the help texts you can also contact your traceability provider by clicking the icon contact. 181

183 Here you will be able to contact your traceability provider by filling in the subject and message field and clicking on send. Your query will subsequently be sent to Support. Support will then respond to your query as soon as possible via the address linked to your Good Inside Portal account. Live Support If you have a system specific question and are unable to find the information in the available help texts, you also have the option to press the Live Support icon, which will connect you directly with Support via live chat 182