Compliance Plan Templates (Word) & Compliance Tracking Worksheets (Excel)

Prep4Audit, LLC builds software tools to help you simplify the complex process of compliance planning and compliance tracking. Each tool set includes Compliance Plan Templates (Word) & Compliance Tracking Worksheets (Excel). They are feature rich, simple-to-use, and inexpensive.

Our Compliance Plan Templates provide you with a clear, internally consistent, and operational-level compliance plan template containing the requirements of key industry guidelines and standards. It is a Microsoft Word document. You modify the template to fit your unique business model and share a complete and professional-looking plan with governmental agencies, business partners, and potential customers.

Our Compliance Tracking Worksheets help you make certain that you comply with your plan and, if not, what you are doing to correct the problem. It is a Microsoft Excel worksheet. The tracking worksheet is designed for internal use and contains embedded features and functions to help you more easily prepare for certification.

Governmental Standards

AEO (Authorized Economic Operator): Supply Chain Security

Carrier: European Union’s Section I.2.5, Safety and Security AEO Requirements Tool Set: Carrier

Customs AgentEuropean Union’s Section I.2.5, Safety and Security AEO Requirements Tool Set: Customs Agent

ExporterEuropean Union’s Section I.2.5, Safety and Security AEO Requirements Tool Set: Exporter

Freight Forwarder: Union’s Section I.2.5, Safety and Security AEO Requirements Tool Set: Freight Forwarder

ImporterMore European Union’s Section I.2.5, Safety and Security AEO Requirements Tool Set: Importer

Manufacturer: More European Union’s Section I.2.5, Safety and Security AEO Requirements: Manufacturer

Warehouse Keeper: European Union’s Section I.2.5, Safety and Security AEO Requirements Tool Set: Warehouse Keeper

BIS (Bureau of Industry & Security): Export Management and Compliance

C-TPAT (Customs and Border Patrol): Minimum Supply Chain Security Requirements

FDA (Food and Drug Administration): Foreign Supplier Verification Program

FSIS (Food Safety and Inspection Service): U.S. DOA: Food Safety and Food Security for Meat Poultry and Eggs

Industry Guidelines and Standards

APEC (Asia-Pacific Economic Cooperation): Private Sector Supply Chain Security

ASIS (American National Standards Institute): Organizational Resilience – Security, Preparedness, and Continuity Management

(SQF (Safe Quality Food Institute): Edition 7.1, Level 2, Food Safety Fundamentals and Food Safety Plan for Food Processors


ISO (International Organization for Standardization): ISO 9001 Quality, ISO 22000 Food Safety, ISO 28000 Supply Chain Security, and, ISO 31000 Risk Management

Governmental Guidelines

U.S. Department of Labor, ERISA: Part 7: HIPPA & ACA

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Plan Template Features

Understanding Scope and Details: A requirement statements document that has all compliance requirements to make certain the organization understands both scope and details.     Operational-level Requirement Statements: Where there were multiple sub-requirements within a single requirement statement those sub-requirements were separated to allow for specific, operational-level responses.     Unique Business Model: You may reword requirements, add requirements, or drop requirements to build your unique business model.     Your Organization’s Language: Use Word’s find-and-replace function to use the terms your staff understands.     Organization Reporting Standards: Change the look-and-feel to match your organization’s reporting standards.     Microsoft Word: All features and functionality of Word are available (e.g. version control, sharing). 

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How the Compliance Plan Template is Used

The following examples use C-TPAT’s Minimum Security Requirements for Importers. All of our Compliance Plan Templates have the same features and functions.

C-TPAT’s downloadable PDF file for an Importer’s minimum security requirements looks like this… C-TPAT Minimum Security Requirements for Importers (PDF)We start with this PDF and we clarify, restate, add or change requirements numbering, and present the results in Microsoft Word.

In order to show you what our Compliance Plan Template looks like, this is a PDF version… Prep4Audit Compliance Plan Template for C-TPAT Minimum Security Requirements for Importers (PDF). 

While this PDF file is specific to C-TPAT’s requirements for US-based Importers, it shows the same layout used for all of our Compliance Plan Templates.

By downloading this PDF file and you are honor bound not to convert it to Word.

Your compliance plan must match your business model… our Word version allows you to easily change C-TPAT’s requirements to fit your company. Use the power of Word and our template to present your compliance plan.

The Plan template covers all sections of C-TPAT’s PDF file…  C-TPAT Importer Security Requirements: Table of Contents

You edit the Plan template to fit your business model. In this example, Word’s tracking feature is “on”… Modifying the Compliance Plan Template.

Prepare a profession looking compliance document for review by C-TPAT and, importantly, for your Business Partners so that they know you are in compliance… Printing Your Unique Compliance Plan.

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The Importance of a Compliance Plan and Your Unique Business Model

A compliance “Plan” states what your organization plans to do to be in compliance with a particular checklist, guideline, or standard.

All guidelines and standards state that they expect you to change, add, or remove their requirements to fit your unique business model.

Our Compliance Plan Templates start with the provided “statement of requirements”. We clarify and separate requirements with multiple possible responses into unique operational-level requirements. We will change the provided requirements numbering system if needed for consistency. We will add a numbering system when none exist.

Importantly and uniquely… our Compliance Plan Templates  are sold in Microsoft Word. This allows you to easily make the required changes to fit your business model, using all of the features and functions of Word. And, it lets you share your compliance plan in professional-quality reports for governmental agencies, business partners, and potential customers.

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Working Repository: A compliance assessment worksheet that simplifies the task of recording, analyzing, and documenting responses to requirements.      Operational-level Requirement Statements: The “rows” of the spreadsheet are defined by the multilevel layout and content of your Compliance Plan.     Business Model: You As with the Compliance Plan Template you may reword, add requirements, or remove requirements to match your unique business model.     Drop-down Response-selection Options: Response options in the drop-down list are specific to the used by the guideline or standard provider.    Color-coded Response Cells: Depending upon which drop-down list option you select, a color-coded cell appears so you can visually track progress and highlights problem areas. You may hide these cells for printed reports.    Text Fields: Text fields provide a place to record comments, required corrective actions, and source document locations. You may  hide these fields for printed reports. may or not .     Microsoft Excel: All features and functionality of Excel are available.

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How the Compliance Plan Tracking Worksheet is Used

The compliance requirements as defined in the Compliance Tracking Worksheet are taken from our Compliance Plan Template. You would use Microsoft Excel to ensure the Compliance Tracking Worksheet matches your Compliance Plan. A basic understanding of Excel is required.

Highlighting Key Features of Compliance Tracking Worksheets.

6 key features of our Compliance Tracking Worksheet are shown below.

Key Features of the Compliance Tracking Worksheet

SQF 7 Features and Functions (Duplicate)

This is a view of what a section of the Compliance Tracking Worksheet would look like in working mode…  Entering Tracking Information

Entering Compliance Status

Entering Compliance Status

A Section of the Compliance Tracking Report.

In order to give you some idea what our Compliance Tracking Template looks like, this is a PDF version… Prep4Audit Compliance Tracking C-TPAT Minimum Security Requirements for Importers (PDF).  The same layout is used for all of our Compliance Plan Templates.

By downloading this PDF file and you are honor bound not to convert it to Excel. Frankly, given its low cost, it would take more time to make a converted Word version than it would be worth.

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Compliance Tracking Worksheets and Your Certification

You “Check” to see if your own Plan requirements are being met to make sure that you are in compliance and will be qualified for certification.

You need to know if you are or not in compliance. If not in compliance, you must know how deficiencies will be corrected, who is responsible to make changes, if the changes were actually made, and where your compliance documents are stored.

Our Compliance Tracking Worksheets are provided in Microsoft Excel. They contain embedded features and functions to help you prepare for certification and to share your compliance status in professional-quality reports for governmental agencies and business partners.

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Terms of Use

You will be bound by the Terms of Use whether you read it or not. Please see Terms of Use.

What the terms of use boil down to… you are buying the right to make as many copies as you need, but for use only within the business unit that purchases the product. Since we are providing our tools in Word and Excel nothing is stopping you from sending copies to others. Except… the price is so low we would hope you would not violate copyright law, and we have embedded enough into the Word and Excel files that we will know if a violation has occurred and we will protect our rights. What does all that boil down to… we made a business decision that you had to have the tools in Word and Excel to do your job and that we would trust you to make certain our products are not used by others without paying for the products. 

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We are not affiliated with any provider of any guideline, check-list or standard or with any certified body licensed to audit a check-list, guideline, or standard. We are not, nor will we become, licensed to do audits. We receive no fees of any sort from any provider, seller, auditor, or any other party related to the sale of our compliance plan templates or compliance plan templates.

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If you have questions about our compliance plan templates or compliance tracking worksheets, please contact us at [email protected]

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