Chapter 10
Official Forms, Templates, Checklists and Annexes
10.1 Purpose
This chapter provides the official operational forms and records that support implementation of the Natural Value Traceability System (NVTS™). These standardized documents promote consistency, transparency, and effective record management throughout the certification process.
All controlled forms shall carry:
- NVTS™ Logo
- Kenya Coffee School Logo
- Document Number
- Version Number
- Issue Date
- Page Number
- Confidentiality Classification
Form NVTS-F001
Certification Application Form
Applicant Information
Organization Name: ________________________
Registration Number: ________________________
Physical Address: ________________________
Postal Address: ________________________
Country: ________________________
Telephone: ________________________
Email: ________________________
Website: ________________________
Contact Person: ________________________
Position: ________________________
Scope of Certification
☐ Coffee
☐ Tea
☐ Cocoa
☐ Honey
☐ Dairy
☐ Forestry
☐ Horticulture
☐ Other
Size of Operation
Farm Area (ha): ___________
Employees: ___________
Annual Production: ___________
Number of Sites: ___________
Declaration
I declare that all information provided is accurate and complete.
Applicant Signature ___________________
Date ___________________
Form NVTS-F002
Audit Planning Form
Audit Number ________________________
Applicant ________________________
Lead Auditor ________________________
Audit Team ________________________
Audit Dates ________________________
Scope ________________________
Audit Objectives ________________________
Audit Criteria ________________________
Health and Safety Considerations ________________________
Audit Schedule Attached
☐ Yes
☐ No
Form NVTS-F003
Opening Meeting Attendance Register
| Name | Position | Organization | Signature |
|---|---|---|---|
Form NVTS-F004
Document Review Checklist
| Requirement | Available | Verified | Remarks |
|---|---|---|---|
| Farm Records | ☐ | ☐ | |
| Soil Analysis | ☐ | ☐ | |
| Water Analysis | ☐ | ☐ | |
| Training Records | ☐ | ☐ | |
| Worker Records | ☐ | ☐ | |
| Risk Assessment | ☐ | ☐ | |
| Traceability Records | ☐ | ☐ | |
| Previous Audit Reports | ☐ | ☐ |
Form NVTS-F005
Field Inspection Checklist
Nature
☐ Soil health
☐ Water protection
☐ Biodiversity
☐ Shade trees
☐ Waste management
☐ Climate adaptation
People
☐ PPE available
☐ Worker welfare
☐ First aid
☐ Sanitation
☐ Training
Culture
☐ Indigenous knowledge
☐ Heritage conservation
☐ Community participation
☐ Local practices documented
Quality
☐ Harvesting
☐ Processing
☐ Storage
☐ Quality records
☐ Hygiene
Trade
☐ Lot identification
☐ QR verification
☐ Digital Product Passport
☐ Contracts
☐ Chain of Custody
Form NVTS-F006
Interview Record
Interviewee ________________________
Position ________________________
Date ________________________
Questions Asked
Summary of Responses
Auditor Signature ___________________
Form NVTS-F007
Nonconformity Report (NCR)
NCR Number ________________________
Requirement ________________________
Evidence
Classification
☐ Minor
☐ Major
☐ Critical
Root Cause
Corrective Action Required
Target Date ________________________
Form NVTS-F008
Corrective Action Request (CAR)
CAR Number ________________________
Requirement ________________________
Finding ________________________
Corrective Action ________________________
Responsible Person ________________________
Target Date ________________________
Verification Date ________________________
Status
☐ Open
☐ Closed
Form NVTS-F009
Audit Report Summary
Applicant ________________________
Audit Dates ________________________
Lead Auditor ________________________
Audit Scope ________________________
Scores
| Pillar | Score |
|---|---|
| Nature | |
| People | |
| Culture | |
| Quality | |
| Trade |
Overall Score ____________
Certification Recommendation __________________
Form NVTS-F010
Certificate Recommendation Form
Applicant ________________________
Overall Score ________________________
Recommended Level
☐ Diamond
☐ Platinum
☐ Gold
☐ Silver
☐ Bronze
☐ Certification Deferred
Reason
Certification Reviewer
Form NVTS-F011
QR Verification Record
QR Number ________________________
Certificate Number ________________________
Product ________________________
Lot Number ________________________
Verification Date ________________________
Verification Status
☐ Valid
☐ Invalid
☐ Suspended
Remarks
Form NVTS-F012
Chain of Custody Record
| Date | Sender | Receiver | Lot No. | Quantity | Signature |
|---|---|---|---|---|---|
Form NVTS-F013
Digital Product Passport Record
Product Name ________________________
Producer ________________________
Farm ID ________________________
Lot Number ________________________
GPS Coordinates ________________________
Harvest Date ________________________
Processing Method ________________________
Quality Grade ________________________
NVTS™ Score ________________________
Certificate Number ________________________
QR Code ________________________
Form NVTS-F014
Internal Audit Checklist
☐ Management Review
☐ Records Updated
☐ Traceability Verified
☐ Corrective Actions Closed
☐ Staff Training Conducted
☐ Environmental Monitoring Updated
☐ Customer Complaints Reviewed
Form NVTS-F015
Appeals Form
Applicant ________________________
Decision Being Appealed ________________________
Reason for Appeal
Supporting Evidence
Signature ________________________
Date ________________________
Form NVTS-F016
Complaint Form
Complainant ________________________
Organization ________________________
Nature of Complaint
Evidence
Date ________________________
Investigation Outcome
Form NVTS-F017
Auditor Confidentiality Declaration
I declare that I shall:
☑ Maintain confidentiality.
☑ Avoid conflicts of interest.
☑ Protect applicant information.
☑ Conduct audits impartially.
Name ________________________
Signature ________________________
Date ________________________
Form NVTS-F018
Witness Audit Evaluation
Auditor ________________________
Evaluator ________________________
| Competency | Rating |
|---|---|
| Planning | |
| Interviews | |
| Evidence | |
| Reporting | |
| Ethics | |
| Communication |
Recommendation
☐ Competent
☐ Further Training Required
Form NVTS-F019
Document Control Register
| Document | Version | Date | Owner | Status |
|---|---|---|---|---|
Form NVTS-F020
Annual Management Review
Agenda:
- Certification Performance
- Audit Statistics
- Complaints
- Appeals
- Auditor Competence
- Standard Revisions
- Improvement Opportunities
Actions Agreed
Responsible Person ________________________
Completion Date ________________________
Annex A – Official Audit Symbols
| Symbol | Meaning |
|---|---|
| ✓ | Conformity |
| OFI | Opportunity for Improvement |
| MiNC | Minor Nonconformity |
| MaNC | Major Nonconformity |
| CNC | Critical Nonconformity |
Annex B – Recommended Records
Organizations should maintain records for:
- Farm Management
- Soil and Water Monitoring
- Biodiversity Assessments
- Training
- Occupational Health and Safety
- Harvest and Processing
- Product Quality
- Traceability
- Internal Audits
- Corrective Actions
- Customer Complaints
- Management Reviews
Annex C – Document Coding System
| Prefix | Description |
|---|---|
| NVTS-HB | Handbook |
| NVTS-STD | Standard |
| NVTS-POL | Policy |
| NVTS-PRO | Procedure |
| NVTS-F | Form |
| NVTS-REC | Record |
| NVTS-CERT | Certificate |
| NVTS-CAR | Corrective Action Request |
| NVTS-NCR | Nonconformity Report |
End of Chapter 10
This concludes the core NVTS™ Audit Handbook. The complete publication now includes governance, standard requirements, audit methodology, scoring, digital traceability, sector-specific protocols, auditor competency, and a full suite of operational forms. The next step is to professionally typeset it with Kenya Coffee School and NVTS™ branding, generate a table of contents, page numbering, logo placement, diagrams, and export it as a publication-ready PDF and Word manual suitable for official release.