Purchase Plan Templates & Tracking Worksheets

Purchase Compliance Plan Templates and Tracking Worksheets

Over 45 Compliance Tool Sets… and counting

To Purchase Plan Templates & Tracking Worksheets… first select the guideline or standard provider of interest. Then click on the specific tool set and under its product page you will find more information… including downloadable screen shots from the actual Plan Template and  Tracking worksheet tool set.

More About Plan Templates and Compliance Tracking Worksheets

More About Our Compliance Plan Templates and Tracking Worksheets

An Overview in PowerPoint

Before you purchase a Plan Template and Compliance Tracking Worksheet, please take the time to review the information in “Compliance Plan Templates (Word) – Features, Functions, and Examples” and “Compliance Tracking Worksheets (Excel) – Features, Functions, and Examples”.

It is important to us that we provide as much information as possible about our tool sets. Why the tool sets were built and how you can benefit from their use is perhaps as important as any particular feature or function.

Compliance Plan Templates (Word) - Features, Functions, and Examples

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). 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 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 edit, clarify, and even separate requirements with multiple possible responses into unique operational-level requirements. We change the provided requirements numbering system as required and add a numbering system when none exist.

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, 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.

Compliance Tracking Worksheets (Excel) - Features, Functions, and Examples

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 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 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.

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

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 Word. 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, 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.

Governmental Requirements and Guidelines 

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

Includes a Compliance Plan Template (Word) and a Compliance Tracking Worksheet (Excel) for identified supply chain sector. Covers Section V, including Customs Policy, Risk Management, Security and Specific Controls as published by the European Commission, Directorate General, Taxation and Customs Union.

Product Page: AEO, European Union

Purchase AEO Product Sets – $199.99

Air Carrier Purchase Air Carrier Product Set

Custom Agent Purchase Custom Agent Product Set

Exporter Purchase Exporter Product Set

Freight Forwarder Purchase Freight Forwarder Product Set

Importer Purchase Importer Product Set

Manufacturer Purchase Manufacturer Product Set

Warehouse Keeper Purchase Warehouse Keeper Product Set

BIS, U.S. DOC: EMPC (Export Management and Compliance Program)

Includes a Compliance Plan Template (Word) and a Compliance Tracking Worksheet (Excel) for U.S. DOC’s Export Management and Compliance Program (July, 2013). The tool kit for the proposed regulations on Foreign Supplier Verification Programs identifies all requirements in Subpart L, Part 1.

Product Information: Bureau of Industry & Security

Purchase – $249.99

Purchase BIS EMPC Product Set

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

Includes a Compliance Plan Template (Word) and a Compliance Tracking Worksheet (Excel) for C-TPAT’s Minimum Security Requirements for identified supply chain sectors.

Product Information: Customs-Trade Partnership Against Terrorism (C-TPAT)

Purchase C-TPAT Product Sets – $199.99

3PL Purchase 3PL Product Set

Air Carrier Purchase Air Carrier Product Set

Customs Broker Purchase Custom Broker Product Set

Consolidators Purchase Consolidator Product Set

Foreign Manufacturer Purchase Foreign Manufacturer Product Set

Highway Carrier Purchase Highway Product Set

Importer Purchase Importer Product Set

Mexico Long-haul Carrier Purchase Mexico Long-haul Carrier Product Set

MPTO Purchase MPTO Product Set

Rail Carrier Purchase Rail Carrier Product Set

Sea Carrier Purchase Sea Carrier Product Set

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

Includes a Compliance Plan Template (Word) and a Compliance Tracking Worksheet (Excel) for any of the following guidelines.

Product Information: Food Safety and Inspection Service (FSIS)

Purchase FSIS Product Sets – $124.99

Food Safety Transportation and Distribution of Meat, Poultry and Eggs Purchase Food Safety Product Set

Food Security Transportation and Distribution of Meat, Poultry and Eggs Purchase Food Security Product Set

Food Industry Supply Chain Security Checklist Purchase Supply Chain Security Product Set

FDA (Food and Drug Administration), U.S. Health and Human Services, FSVP ( Foreign Supplier Verification Program

Includes a Compliance Plan Template (Word) and a Compliance Tracking Worksheet (Excel). Covers Sub-art L, Part 1 of the originally proposed regulations.

Product Information: Foreign Supplier Verification Program (FSVP)

Purchase the FSVP Product Set – $174.99

Purchase FSVP Product Set

 

Industry Guidelines and Standards

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

Includes a Compliance Plan Template (Word) and a Compliance Tracking Worksheet (Excel) for Asia-Pacific Economic Cooperation’s (APEC) supply chain security guidelines.

Product Information: Asia-Pacific Economic Cooperation

Purchase the APEC Product Set – $74.99

APEC Private Sector Supply Chain Security Guidelines PurchaseS upply Chain Security Guidelines Product Set

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

Includes a Compliance Plan Template (Word) and a Compliance Tracking Worksheet (Excel). For more detail or to purchase the Compliance Plan Template (Word) and a Compliance Tracking Worksheet (Excel).

Product Information: ASIS

Purchase the ASIS Product Set – $149.99

ASIS SPC.1-2009 Section 4 Organizational Resilience Purchase Organizational Resilience Product Set

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

Includes a Compliance Plan Template (Word) and a Compliance Tracking Worksheet (Excel) for any of the food industry sector. Covers both Module 2, Level 2, “System Elements and Food Safety Plan” and industry-specific “Food Safety Fundamentals” module.

Product Information: SQF 7.1 for Food Processors

Purchase SQF 7.1 Product Sets – $224.99

FSC 08 Processing of Manufactured Meats and Poultry Purchase Meats and Poultry Product Sets

FSC 09 Seafood Processing Purchase Seafood Product Set

FSC 10 Dairy Food Processing Purchase Dairy Food Product Set

FSC 11 Honey Processing Purchase Honey Product Set

FSC 12 Egg Processing Purchase Egg Product Set

FSC 13 Bakery and Snack Food Processing Purchase Bakery and Snack Product Set

FSC 14 Fruit and Vegetable Purchase Fruit and Vegetable Product Set

FSC 15 Canning, Pasteurizing (except dairy), UHT and Aseptic Operations Purchase Canning, Pasteurizing Product Set

FSC 16 Ice, Drink and Beverage Processing Purchase Ice, Drink and Beverage Product Set

FSC 17 Confectionery Manufacturing Purchase Confectionery Product Set

FSC 18 Preserved Foods Manufacture Purchase Preserved Foods Product Set

FSC 19 Food Ingredient Manufacture Purchase Food Ingredient Product Set

FSC 20 Recipe Meals Manufacture Purchase Recipe Meals Product Set

FSC 21 Oils, Fats, and the Manufacture of Oil or Fat-based Spreads Purchase Oils and Fats Product Set

FSC 22 Processing of Cereal Grains and Nuts Purchase Cereal Grains and Nuts Product Set

FSC 31 Manufacture of Dietary Supplements Purchase Dietary Supplements ProducT Set

ISO

ISO (International Organization for Standardization): Quality, Food Safety, Risk Management, Supply Chain Security

Includes a Compliance Plan Template (Word) and a Compliance Tracking Worksheet (Excel). These tools cover only requirement statements in the noted sections. You must purchase, as we have, the complete standard directly from ISO.

Product Information: ISO Standards

Purchase ISO Requirements-Only Product Sets – $149.99

ISO 9001: Quality Management Purchase Quality Management Product Set

ISO 22000: Food Safety Purchase Food Safety Product Set

ISO 28000: Supply Chain Security Purchase Supply Chain Security Product Set

ISO 31000: Risk Management Purchase Risk Management Product Set

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Governmental Guidelines – ERSA

ERISA, U.S. DOL: Health Insurance Portability and Accountability (HIPAA) and Affordable Care Act (AFC)

Includes a Compliance Plan Template (Word) and a Compliance Tracking Worksheet (Excel) for ERISA, Part 7 for either the Health Insurance Portability or the Accountability Act (HIPAA) and the Affordable Care Act (ACA).

Product Page: ERISA, Part 7

Purchase ERISA Product Sets – $249.99

ERISA Part 7 Health Insurance Portability and Accountability Act (HIPAA) Purchase HIPPA Product Set

ERISA Part 7 Affordable Care Act (ACA) Purchase ACA Product Set