Our Compliance Plan Templates (Word) and Compliance Tracking Worksheets (Excel)

Streamline Your Compliance Process Using Our Compliance Plan Templates (Word) and Compliance Tracking Worksheets (Excel)

Prep4Audit, LLC builds software tools to help you streamline your compliance process. Our products help simplify the complex process of compliance planning and compliance tracking. They are simple-to-use, inexpensive, and sold in Microsoft Word and Excel.

Our Compliance Plan Templates are clear, internally consistent, and operational-level statements of compliance requirements formatted in Microsoft Word ©. This allows you to easily make the required changes to fit your business model. And, it lets you share your compliance plan with your colleagues and in professional-quality reports for governmental agencies, business partners, and potential customers.

Our Compliance Tracking Worksheets contain embedded Microsoft Excel © features and functions to help you prepare for internal or 3rd-party certification. They help you track compliance, note how you are correcting deficiencies, who is responsible to make changes, and where your compliance documents are stored. And, when you are ready, they are pre-formatted so you can print and share your compliance plan status, in professional-quality reports, internally and externally.

Our Focus… The “Plan” and “Check” in PDCApdca2

The compliance process is complex. This is true if you are a Fortune 500 firm or a family owned dairy farmer in Michigan.

Our tools make it faster and easier to build and track your compliance plan. They are inexpensive. They are easy to use. They are provided in Microsoft Word© and Excel©.

With compliance you become more competitive. With compliance it will be easier to enter new markets.

How Our Tools Can Help You

Compliance Plan Templates and Your Unique Business Model

A compliance “Plan” states how your organization plans to become and stay compliant to a particular 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.

Simply put… we offer you a clear, internally consistent, and operational-level compliance plan template. Our Compliance Plan Templates are in Microsoft Word. This allows you to easily make the required changes to fit your business model. And, it lets you share your compliance plan with your colleagues and in professional-quality reports for governmental agencies, business partners, and potential customers.

Compliance Tracking Worksheets and Your Certification

You must “Check” your compliance to your Plan. This makes certain that you are in compliance and, if not, you correct the problem and/or update your Plan. The agency issuing the guideline or standard or a qualified third-party auditor will check to make certain you are in compliance to your Plan and that your Plan is in compliance with their requirements.

In preparation for an audit,  you must check your compliance to Plan.  If there are requirements you are not in compliance with, you must determine how to correct those deficiencies. You need to know who is responsible to make the corrections. You must check to ensure the changes are implemented. Your need to identify and note the location of supporting documents.

Our Compliance Tracking Worksheets are in Microsoft Excel. The worksheets contain embedded features and functions to help you internally prepare for certification and present the results in professional-quality reports for governmental agencies and business partners.

Purchase Tools... AEO, BIS, CBP, FDA, FSIS, FDA, APEC, ASIS, SQF, ISO, DOL

Governmental Standards

AEO (Authorized Economic Operator): European Union Supply Chain Security

BIS (Bureau of Industry & Security): U.S. DOC: EMPC (Export Management and Compliance)

CBP (Customs and Border Patrol): U.S. DHS: C-TPAT (Customs – Trade Partnership Against Terrorism)

FDA (Food and Drug Administration): U.S. Health and Human Services, FSVP (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

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

ISO

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

About Our Compliance Plan Templates (Word) - Features and Functions

Features

Modifiable Word: A requirement statements document that has all compliance requirements and is used to make sure the organization understands both scope and details.     Operational-level Requirement Statements: Where necessary, the wordage of a specific requirement was clarified. Where there were multiple sub-requirements within a single requirement statement, the sub-requirements were listed separately 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). 

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, 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 Word. Frankly, given its low cost, it would take more time to make a converted Word version than it would be worth.

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.

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.

About Our Compliance Tracking Worksheets (Excel) - Features and Function

Features

Modifiable Excel: A compliance assessment worksheet that simplifies the task of recording, analyzing, and documenting responses to requirements.      Operational-level Requirement Statements: The wordage of specific requirements may have been changed for purposes of clarity. Where multiple requirements were stated within a single paragraph or sentence we separate the requirements to allow for specific, operational responses.     Business Model: You may reword, add requirements, or delete requirements to reflect your unique business model.     Drop-down Response-selection Options: Response options in the drop-down list are specific to the requirement statement.     Color-coded Response Cells: Allows you to visually track progress and highlights problem areas.     Text Fields: A place to record comments, corrective actions, individual responsibilities, and source document locations.     Microsoft Excel: All features and functionality of Excel are available.

How the Compliance Plan Tracking Worksheet is Used

The compliance requirements as defined in the Compliance Plan Template are included in our own Excel-based Compliance Tracking Worksheet. 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.

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.

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. 

Affiliations

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.

Questions?

If you have questions about our compliance plan templates or compliance tracking worksheets, please Contact Us