Compliance Plan Templates (Word) and Compliance Tracking Worksheets (Excel)
Pep4Audit, LLC products are simple-to-use and inexpensive tools designed to help simplify the complex process of compliance planning and compliance tracking for small and medium-sized firms.
Tools to Level the Competitive Playing Field for Small and Medium Sized Firms
The compliance process is complex. This is true if you are a Fortune 500 firm or a family owned dairy farmer in Michigan.
While large firms are not necessarily more knowledge about how they should plan for compliance, they do have more human and financial resources.
Our products help level the competitive playing field.
They can help you become more competitive. They can help you enter new markets. They are inexpensive. They are easy to use. They are in Microsoft Word© and Excel©, not PDF.
How Our Tools Can Help You
Compliance Plan Templates and Your Unique Business Model
A compliance “Plan” states what your organization plans to do to be compliant to a particular guideline or standard. All recognized guidelines and standards state what they expect you to do (the requirements) and that you change, add to, or remove requirements to fit your unique business model.
Our Compliance Plan Templates start with the provided statement of requirements. We edit, clarify, and separate requirements with multiple possible responses into operational-level requirements. We change the provided requirements numbering system as required and add a numbering system when none exists.
Simply put… we offer you a clear, internally consistent, and operational-level compliance plan template. Our Compliance Plan Templates are in Microsoft Word (not PDF). This allows you to easily make the required changes to fit your business model. And, it lets you share your compliance plan in “tracking format” with your colleges 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 sure you are in compliance to your Plan and that your Plan is in compliance to their requirements.
Hopefully, before an audit, you have tracked operational compliance to Plan. If there are requirements where you are not in compliance, you must state how the deficiencies will be corrected, who is responsible to make changes, if the changes were actually made, and where your compliance support documents are located.
Importantly, our Compliance Tracking Worksheets are in Microsoft Excel (not PDF). The worksheets contain embedded features and functions to help you internally prepare for certification and preparing the results in professional-quality reports for governmental agencies and business partners.
BIS (Bureau of Industry & Security), U.S. DOC: Export Management and Compliance, “EMCP”.
Customs and Border Protection, U.S. DHS: Customs-Trade Partnership Against Terrorism, “C-TPAT”.
AEO (Authorized Economic Operator): European Union Supply Chain Security
FSIS, U.S. DOA: Food Security for Meat Poultry and Eggs, Food Safety for Meat Poultry and Eggs, and Food supply Chain Security
FDA, U.S. HHS: Human & Animal Food Safety, Foreign Supplier Verification Programs, “FSVP” (Proposed)
Industry Guidelines and Standards
SQF, SQF 7, Level 2: Selected Food Industries
APEC: Private Sector Supply Chain Security guideline contains recommendations for effective supply chain security regimes from several sources, including the World Customs Organization and private programs.
ASIS: Organizational Resilience designed a management system to help an organization set up, document, carry out, keep up, and continually improve organizational resilience. It covers security, preparedness, and continuity.
ISO: 9001, Quality Management covering Sections 4.0 (Quality Management System), 5.0 (Management Responsibility), 6.0 (Resource Management), 7.0 (Product Realization), and, 8.0 (Measurement, Analysis and Improvement) of ISO 9001:2000(E), Quality Management.
ISO: 22000, Food Safety covering Sections 4.0 (Food Management System), 5.0 (Management Responsibility), 6.0 (Resource Management), 7.0 (Planning and Realization of Safe Products), and, 8.0 (Verification, Validation, and Improvement) of ISO 22000:2005 (E), Food Safety Management Systems.
ISO: 28000, Supply Chain Security covering the requirements within Section 4, Security Management System Elements, of ISO 28000:2007, Security Management for the Supply Chain.
ISO: 31000, Risk Management covering Sections 4.0 (Framework), and, 5.0 (Process) of ISO 31000:2009(E): Risk Management – Principles and Guidelines.
Governmental Guidelines – ERSA
ERSA: HIPPA (Health Insurance Portability and Accountability)
ERSA: ACA (Affordable Care Act)
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 specific requirements were 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). This is not a PDF file.
How the Compliance Plan Template is Used
The following examples use C-TPAT’s Minimum Security Requirements for Importers. All Compliance Plan Templates have the same features and functions.
Most published guidelines, with the noted exception of ISO, offer free PDF downloads of their guidelines and standards.
C-TPAT’s downloadable PDF file 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 free PDF version of our Word version… Free PDF_Prep4Audit_ Compliance Plan Template_C-TPAT Minimum Security Requirements_Importers You are free to copy and use it, but the real power of the Compliance Plan Template is in the Word version.
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 change the Plan template to fit your business model. This is a specific section… 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 to a particular checklist, guideline, or standard.
All recognized checklists, guidelines, and standards give you the starting point for your plan by stating what they expect you to do (the requirements) and state that you that you must change, add to, or remove stated requirements to fit your unique business model.
Our Compliance Plan Templates start with the provided statement of requirements. We edit, clarify, separate requirements with multiple possible responses into separate, operational-level requirements, and we insert and/or change a requirements numbering system for ease of identification. We can provide you with a clear, internally consistent, and operational-level compliance plan template.
Importantly and uniquely… our Compliance Plan Templates are sold in Microsoft Word format, not PDF. This allows you to easily make the required changes to fit your business model. And, it lets you share your compliance plan in professional-quality reports for governmental agencies, business partners, and potential customers.
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 tract progress and highlights problem areas. Text Fields: To record comments, suggestions, and source document locations. Microsoft Excel: All features and functionality of Excel are available. This is not a PDF file.
How the Compliance Plan Tracking Worksheet is Used
The following examples continue to use C-TPAT’s Minimum Security Requirements for Importers. All Compliance Tracking Worksheets have the same features and functions.
We enter the basic requirements defined in the Compliance Plan Template into our own Excel template.
To help us explain the relationship between the Compliance Plan and functionality of the Compliance Tracking Worksheet, please review this…
Features of Compliance Tracking Worksheet. The example requirements shown below are from SQF 7.
This is a view of what a section of the Compliance Tracking Worksheet would look like in working mode… Entering Tracking Information
While certainly not as useful as our Excel version, this a free PDF version for Manual Input of information and you are free to use it.. Free PDF-Prep4Audit_Compliance Tracking_C-TPAT Minimum Security Requirements_Importer.
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, not PDF. 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.
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.
If you have questions about out compliance plan templates of compliance tracking worksheets, please Contact Us.