WEBVTT

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<i></i>

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Welcome <00:00:05.780>to <00:00:05.880>the <00:00:06.000>Rainforest <00:00:06.560>Alliance <00:00:06.910>module <00:00:07.350>on

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section <00:00:07.950>2.13: <00:00:09.140>Draft <00:00:09.500>report <00:00:09.960>and <00:00:10.100>checklist,

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part <00:00:11.350>of <00:00:11.520>the <00:00:11.590>Certification <00:00:12.390>and <00:00:12.560>Auditing <00:00:12.950>Rules <00:00:13.240>E-course.

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In <00:00:14.560>this <00:00:14.740>module, <00:00:15.150>we <00:00:15.290>will <00:00:15.400>learn <00:00:15.700>about <00:00:15.960>the <00:00:16.050>rules <00:00:16.420>and

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requirements <00:00:17.150>related <00:00:17.550>to <00:00:17.680>audit <00:00:17.920>reports <00:00:18.580>and <00:00:18.730>checklists.

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After <00:00:20.300>completing <00:00:20.720>this <00:00:20.890>module, <00:00:21.590>you <00:00:21.740>will <00:00:21.830>know <00:00:22.040>how <00:00:22.260>to

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report <00:00:22.710>your <00:00:22.850>audits <00:00:23.380>following <00:00:23.820>the

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Rainforest <00:00:24.520>Alliance <00:00:24.850>Certification <00:00:25.670>program.

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Okay <00:00:29.000>let's <00:00:29.260>put <00:00:29.390>things <00:00:29.740>in <00:00:29.910>context:

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Phew, <00:00:32.600>so <00:00:32.920>the <00:00:33.080>audit <00:00:33.330>is <00:00:33.490>done!!

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Your <00:00:34.590>closing <00:00:35.020>meeting <00:00:35.440>went <00:00:35.720>smoothly,

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and <00:00:36.580>the <00:00:36.660>list <00:00:36.900>of <00:00:37.710>nonconformities <00:00:37.830>is <00:00:38.010>signed.

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Congratulations!

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But <00:00:40.430>yeah, <00:00:41.170>that <00:00:41.330>is <00:00:41.450>not <00:00:41.590>the <00:00:41.720>end <00:00:41.840>of <00:00:41.960>the <00:00:42.030>audit <00:00:42.250>process…

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The <00:00:43.500>audit <00:00:43.760>team <00:00:44.120>now <00:00:44.570>needs <00:00:44.820>to <00:00:44.930>share <00:00:45.190>the <00:00:45.320>audit <00:00:45.590>report

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and <00:00:46.120>checklist <00:00:46.700>with <00:00:46.950>your <00:00:47.060>Certifier <00:00:48.150>who <00:00:48.350>will <00:00:48.480>then <00:00:48.720>ask <00:00:49.050>a

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lead <00:00:49.380>auditor <00:00:49.780>or <00:00:49.990>certifier <00:00:50.480>who <00:00:50.640>has <00:00:50.790>not <00:00:51.060>been <00:00:51.200>involved <00:00:51.570>in <00:00:51.670>the

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audit <00:00:52.500>to <00:00:52.640>conduct <00:00:53.040>a <00:00:53.100>quality <00:00:53.480>review <00:00:53.910>of <00:00:54.080>the <00:00:54.150>report <00:00:54.850>and <00:00:55.370>evidence.

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Once <00:00:56.300>the <00:00:56.370>review <00:00:56.650>is <00:00:56.820>done <00:00:57.240>and <00:00:57.410>the <00:00:57.470>certification <00:00:58.130>decision

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has <00:00:58.740>been <00:00:58.880>taken, <00:00:59.730>the <00:00:59.870>certifier <00:01:00.440>will <00:01:00.600>submit <00:01:01.050>a <00:01:01.150>license

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request <00:01:02.180>to <00:01:02.300>the <00:01:02.410>Rainforest <00:01:02.910>Alliance.

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Needless <00:01:04.890>to <00:01:05.000>say <00:01:05.260>but, <00:01:05.770>the <00:01:05.960>better <00:01:06.230>the <00:01:06.340>report <00:01:06.890>the <00:01:07.100>more

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evidence <00:01:07.720>the <00:01:07.830>Certifier <00:01:08.480>and <00:01:08.680>Rainforest <00:01:09.340>will <00:01:09.440>have <00:01:09.620>to

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decide <00:01:10.120>whether <00:01:10.400>the <00:01:10.520>auditee <00:01:10.960>can <00:01:11.150>become <00:01:11.470>certified.

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Counting <00:01:13.660>from <00:01:13.920>the <00:01:14.060>last <00:01:14.330>day <00:01:14.500>of <00:01:14.640>the <00:01:14.740>audit,

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the <00:01:15.330>lead <00:01:15.570>auditor <00:01:15.890>has <00:01:16.200>3 <00:01:16.440>weeks <00:01:16.750>to <00:01:16.860>deliver <00:01:17.290>the <00:01:17.430>draft

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report <00:01:18.070>to <00:01:18.160>the <00:01:18.280>Rainforest <00:01:18.790>Alliance <00:01:19.080>Certification <00:01:19.820>Platform.

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Please <00:01:21.060>note <00:01:21.440>that <00:01:21.650>this <00:01:21.800>deadline <00:01:22.210>can <00:01:22.380>be <00:01:22.490>shorter <00:01:22.920>in <00:01:23.110>case

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of <00:01:23.560>high <00:01:23.750>risk <00:01:24.180>and <00:01:24.440>for <00:01:24.640>investigation <00:01:25.430>audits.

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Before <00:01:27.260>any <00:01:27.460>further <00:01:27.780>detail <00:01:28.730>let’s <00:01:28.990>dust <00:01:29.290>off <00:01:29.610>a <00:01:29.730>few <00:01:29.950>concepts!

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Ok <00:01:31.910>so <00:01:32.080>when <00:01:32.240>we <00:01:32.340>talk <00:01:32.540>about <00:01:32.830>an <00:01:32.970>audit <00:01:33.180>checklist,

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we <00:01:33.920>are <00:01:34.050>referring <00:01:34.490>to <00:01:34.710>a <00:01:34.790>document <00:01:35.340>that <00:01:35.470>is <00:01:35.620>created <00:01:36.080>during

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the <00:01:36.490>audit <00:01:36.780>planning <00:01:37.180>stage.

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This <00:01:38.560>document <00:01:39.070>is <00:01:39.240>a <00:01:39.350>list <00:01:39.660>of <00:01:39.850>all <00:01:40.170>the <00:01:40.210>applicable <00:01:40.690>requirements

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that <00:01:41.480>the <00:01:41.730>auditee <00:01:42.080>must <00:01:42.360>meet <00:01:42.730>or <00:01:42.900>complete <00:01:43.230>to <00:01:43.430>pass <00:01:43.740>the <00:01:43.880>audit.

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It <00:01:45.290>serves <00:01:45.630>as <00:01:45.800>a <00:01:45.880>reference <00:01:46.340>point <00:01:46.580>before, <00:01:47.150>during,

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and <00:01:47.800>after <00:01:48.210>the <00:01:48.330>audit <00:01:48.600>process.

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The <00:01:50.050>checklist <00:01:50.560>ensures <00:01:51.130>the <00:01:51.270>audit <00:01:51.530>is <00:01:51.650>conducted <00:01:52.140>systematically

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allowing <00:01:53.470>uniformity <00:01:54.140>in <00:01:54.230>the <00:01:54.330>performance <00:01:54.880>of <00:01:55.050>the <00:01:55.160>auditors.

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Most <00:01:56.720>importantly <00:01:57.270>it <00:01:57.370>provides <00:01:57.810>a <00:01:57.930>reference <00:01:58.610>to <00:01:58.880>objective <00:01:59.430>evidence

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Now <00:02:01.030>that <00:02:01.180>we <00:02:01.330>know <00:02:01.580>what <00:02:01.780>a <00:02:01.840>checklist <00:02:02.370>is

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let’s <00:02:03.330>talk <00:02:03.510>about <00:02:03.770>the <00:02:03.880>audit <00:02:04.100>report.

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This <00:02:05.860>document <00:02:06.330>summarizes <00:02:06.950>the <00:02:07.090>issues <00:02:07.490>and

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improvements <00:02:08.180>you <00:02:08.320>saw <00:02:08.650>during <00:02:08.860>the <00:02:09.040>audit.

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These <00:02:10.260>findings <00:02:10.770>and <00:02:10.920>conclusions <00:02:11.530>are <00:02:11.720>formally

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documented <00:02:12.830>in <00:02:12.980>the <00:02:13.170>audit <00:02:13.420>report.

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This <00:02:15.330>summary <00:02:15.890>should <00:02:16.120>be <00:02:16.470>reviewed <00:02:16.870>first <00:02:17.240>with <00:02:17.360>the <00:02:17.460>lead <00:02:17.690>auditor,

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then <00:02:18.700>the <00:02:18.820>Certifier <00:02:19.500>before <00:02:19.940>submitting <00:02:20.380>it <00:02:20.730>to <00:02:20.970>Rainforest <00:02:21.440>Alliance.

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Okay <00:02:24.810>now, <00:02:24.960>we <00:02:25.090>can <00:02:25.260>get <00:02:25.390>back <00:02:25.540>to <00:02:25.650>business!

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Before <00:02:27.050>the <00:02:27.150>report <00:02:27.530>and <00:02:27.700>checklist <00:02:28.220>reach <00:02:28.580>the <00:02:28.690>certifier,

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the <00:02:29.810>lead <00:02:30.040>auditor <00:02:30.430>needs <00:02:30.660>to <00:02:30.760>make <00:02:30.960>sure <00:02:31.200>that <00:02:31.420>both <00:02:31.790>documents

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have <00:02:32.490>clear <00:02:32.880>and <00:02:33.040>objective <00:02:33.580>evidence <00:02:34.010>to <00:02:34.140>justify <00:02:34.720>the

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observations <00:02:35.580>and <00:02:35.760>findings <00:02:36.300>reported.

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Additionally, <00:02:38.600>the <00:02:38.730>checklist <00:02:39.150>and <00:02:39.410>audit <00:02:39.600>report <00:02:40.080>must <00:02:40.350>include:

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The <00:02:42.100>audit <00:02:42.370>findings.

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These <00:02:43.710>are <00:02:43.960>a <00:02:44.050>description <00:02:44.690>of <00:02:45.920>the <00:02:45.950>conformity <00:02:46.460>and

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nonconformity <00:02:46.530>versus <00:02:46.950>all <00:02:47.220>applicable <00:02:47.670>requirements.

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The <00:02:48.950>explanation <00:02:49.640>should <00:02:49.880>indicate <00:02:50.400>the <00:02:50.510>magnitude

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and <00:02:51.310>impact <00:02:51.780>of <00:02:51.950>the <00:02:52.010>findings.

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The <00:02:54.060>audit <00:02:54.370>evidence <00:02:54.900>supporting <00:02:55.540>the <00:02:55.660>findings.

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The <00:02:56.900>evidence <00:02:57.390>can <00:02:57.560>be <00:02:57.730>annexed <00:02:58.120>to <00:02:58.250>the <00:02:58.360>report

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but <00:02:58.980>cannot <00:02:59.370>be <00:02:59.510>made <00:02:59.690>public.

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Copies <00:03:00.890>of <00:03:00.980>documents, <00:03:01.640>records, <00:03:02.190>pictures, <00:03:02.770>scanned <00:03:03.100>records,

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audit <00:03:03.900>notes, <00:03:04.250>and <00:03:04.420>so <00:03:04.560>forth <00:03:05.010>might <00:03:05.300>be <00:03:05.430>considered <00:03:06.000>evidence.

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Just <00:03:07.650>a <00:03:07.700>few <00:03:07.860>pointers <00:03:08.280>though!

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To <00:03:08.970>protect <00:03:09.260>the <00:03:09.370>identity <00:03:09.940>of <00:03:10.070>the <00:03:10.160>workers <00:03:10.610>interviewed

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and <00:03:11.300>the <00:03:11.380>auditee, <00:03:12.010>the <00:03:12.100>report <00:03:12.430>should <00:03:12.610>not <00:03:12.790>disclose <00:03:13.240>costs,

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competitive <00:03:14.770>or <00:03:14.900>intellectual <00:03:15.430>property <00:03:15.860>information,

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names <00:03:17.280>of <00:03:17.440>workers, <00:03:17.940>or <00:03:18.210>any <00:03:18.480>information <00:03:19.120>that <00:03:19.290>could

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put <00:03:19.680>at <00:03:19.840>risk <00:03:20.110>the <00:03:20.220>health <00:03:20.710>or <00:03:20.880>safety <00:03:21.330>of <00:03:21.460>the <00:03:21.540>people <00:03:21.840>involved.

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Finally! <00:03:23.830>Besides <00:03:24.330>the <00:03:24.450>checklist <00:03:24.910>and <00:03:25.070>the <00:03:25.130>report,

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if <00:03:26.010>applicable, <00:03:26.790>the <00:03:26.960>lead <00:03:27.190>auditor <00:03:27.560>shall <00:03:27.790>send <00:03:28.180>the <00:03:28.320>certifier:

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1. <00:03:30.180>The <00:03:30.370>list <00:03:30.660>of <00:03:30.830>member <00:03:31.150>farms

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2. <00:03:33.370>Data <00:03:33.410>about <00:03:33.650>workers

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3. <00:03:35.260>Information <00:03:36.040>on <00:03:36.180>the <00:03:36.290>interviews <00:03:36.760>conducted

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4. <00:03:38.320>Meeting <00:03:38.640>logs

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This <00:03:39.660>is <00:03:39.980>not <00:03:40.190>an <00:03:40.310>exhaustive <00:03:40.850>list <00:03:41.130>so <00:03:41.340>if <00:03:41.570>more <00:03:41.790>documents

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might <00:03:42.470>serve <00:03:42.770>as <00:03:42.930>evidence,

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please <00:03:43.820>make <00:03:43.990>sure <00:03:44.220>to <00:03:44.430>add <00:03:44.590>them <00:03:44.760>to <00:03:44.920>the <00:03:45.040>dossier!

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The <00:03:46.750>audit <00:03:46.970>report <00:03:47.370>and <00:03:47.530>checklist <00:03:48.030>are <00:03:48.280>key <00:03:48.680>when <00:03:48.900>Certifiers

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and <00:03:49.740>Rainforest <00:03:50.190>Alliance <00:03:50.600>certify <00:03:51.200>a <00:03:51.270>prospective <00:03:51.910>or c

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urrent <00:03:52.340>Certificate <00:03:52.840>Holder. <00:03:53.870>Understanding <00:03:54.530>this <00:03:54.810>helps <00:03:55.100>you <00:03:55.270>be

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mindful <00:03:55.870>of <00:03:56.080>writing <00:03:56.380>reports <00:03:56.860>that <00:03:56.960>are <00:03:57.100>concise <00:03:57.710>and <00:03:57.890>easy <00:03:58.210>to <00:03:58.500>understand.

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Congratulations!

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This <00:04:02.860>module <00:04:03.220>is <00:04:03.430>now <00:04:03.590>finished!

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As <00:04:04.510>a <00:04:04.570>quick <00:04:04.790>summary, <00:04:05.240>in <00:04:05.390>this <00:04:05.430>module, <00:04:05.880>we <00:04:06.150>learned <00:04:06.560>the <00:04:06.720>timelines

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when <00:04:07.450>submitting <00:04:07.840>an <00:04:07.950>audit <00:04:08.140>report <00:04:08.720>and <00:04:08.900>checklist <00:04:09.560>as

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well <00:04:09.980>as <00:04:10.140>the <00:04:10.210>content <00:04:10.630>enclosed <00:04:11.220>in <00:04:11.390>both <00:04:11.570>of <00:04:11.690>them.

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And <00:04:12.770>remember!

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Keep <00:04:14.020>your <00:04:14.180>audience <00:04:14.580>in <00:04:14.710>mind <00:04:14.980>when <00:04:15.160>writing <00:04:15.500>your

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audit <00:04:15.880>report, <00:04:16.750>good <00:04:17.030>communication <00:04:17.750>is <00:04:17.970>key

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for <00:04:18.490>any <00:04:18.710>process, <00:04:19.300>especially <00:04:20.020>reporting!

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Thank <00:04:21.460>you <00:04:21.540>for <00:04:21.670>watching <00:04:22.290>and <00:04:22.330>see <00:04:22.470>you <00:04:22.570>next <00:04:22.770>time!