The document describes compliance plan templates and tracking worksheets available for purchase from www.prep4audit.com. The templates include a compliance plan template created in Microsoft Word and a compliance tracking worksheet in Excel. The templates are designed to help simplify the complex compliance process. The templates provide structured templates for compliance plans and worksheets to track compliance, but are customizable to fit individual business needs. The templates aim to help save professional time in developing and monitoring compliance plans and programs.

1. About Our Compliance Plan
Templates (Word) and Tracking
Worksheets (Excel)
Helping to Simplify the Complex
Compliance Process
www.prep4audit.com

2. Tools to Help You Prepare for and Monitor
Compliance
Product Sets include a Compliance Plan Template in Word and a
Compliance Tracking Worksheet in Excel.
Unlimited business-unit licenses from $74.99 to $249.99.
Sets are available for AEO, APEC, ASIS, BIS, C-TPAT, ERSA,FSIS,
FSVP, ISO, & SQF.
Rapid Payback… in saved professional time alone.

3. WE BUILT THE COMPLIANCE PLAN
TEMPLATE IN WORD
Plan - Do – Check - Act
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4. From PDF to a Word Template
• Requirements restated to ensure operational-level response
capability (no requirement statements with multiple potential responses)
• A logical, multi-level numbering schema (adding if required;
modifying to match operational-level response consistency)
• Uses Word “Styles” for Plan Template (Headers and Text and Table of
Content pre-formatted; easy modification and print)
• A complete, clean, operational-level Word Template (you modify
it to build your business-specific compliance plan)
• The power of Word (tracking, spell and grammar checking, version control,
sharing, changing “style”… making it easier to build the plan document and share
professional reports with suppliers, customers, prospects, and auditors)
www.prep4audit.com

5. Details about our Compliance Plan
Template
Using C-TPAT’s Minimum Security Requirements for Importers as the
example.
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6. Printed from
downloaded
PDF file.
C-TPAT
Minimum
Security
Requirements
for Importers;
Business
Partner
Requirements

7. Reformatted
into Word
Template
C-TPAT
Minimum
Security
Requirements
for Importers;
Business
Partner
Requirements

8. As edited to
reflect the
user’s unique
compliance
plan
C-TPAT
Minimum
Security
Requirements
for Importers;
Business
Partner
Requirements
Example… Importer

9. Your Unique
Compliance
Plan
C-TPAT
Minimum
Security
Requirements
for Importers;
Business
Partner
Requirements
Example… Importer

10. Unique and Professional-looking Plan
Document
www.prep4audit.com

11. Benefits: Compliance Document
Template in Word
©
www.prep4audit.com
Operational-level Requirement Statements: Where there were multiple possible responses
within a single requirement statement, they were separated to allow for specific,
operational-level responses.
Building your Unique Business Model: You are expected to reword requirements, add
requirements, or drop requirements to build your unique business model; Word simplifies
that task.
Your Organization’s Language: Use Word’s find-and-replace function to use the terms your
staff and your business partners understand.
Organization Reporting Standards: Change the look-and-feel to match your organization’s
reporting standards. Builds professional-looking reports for your business partners.
Microsoft Word: Use the features and functionality of Word for increased efficiency and
accuracy (e.g. version control, sharing).

12. WE BUILT THE COMPLIANCE ASSESSMENT
WORKSHEET IN EXCEL
Plan - Do – Check - Act
www.prep4audit.com

13. From Plan to Excel-based Compliance
Tracking
www.prep4audit.com
Modifiable Excel Worksheet to match your Compliance Plan requirement
statements
Compliance Status Responses are in Drop-Down Lists and the 5-level
response options may be reworded as required.
Responses trigger Color-Coded Status Indicators that provide a simple yet
effective way to focus attention on areas for improvement)
Text fields for Storing Critical information such as document locations,
corrective actions required, responsible parties, etc.
Powerful Communication Tool that lets you exploit Excel’s functionality (and our
pre-formatted reports) with your own compliance team and external certification bodies.

14. Details about our Compliance Tracking
Worksheet
Continuing with C-TPAT’s Minimum Security Requirements for
Importers as the example.
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15. Plan Requirement ID Schema and Requirement Statements from Your Plan

16. Drop-Downs & Response Color Coding

17. Comments and Critical Information

18. Compliance Status Reporting

19. Benefits: Compliance Tracking
Worksheet in Excel
©
www.prep4audit.com
Working Repository: A compliance assessment worksheet that maintains the current
status of compliance and simplifies the tasks of recording, analyzing, and documenting
Matching Your Business Model by rewording, adding, and removing requirements to
reflected changes you made in the Plan Template
Drop-down Response-selection Options are as recommended by the guideline or standard
provider although you may change the wording.
Color-coded Response Cells reflect the drop-down list option you selected and allows you
to visually track progress; these cells may be hidden for reporting
Text Fields: Text fields provide a place to record comments, required corrective
actions, and source document locations; you may hide these fields for reporting.
Microsoft Excel: Use the features and functionality of Excel for increased efficiency and
accuracy.

20. Cost versus Value
Our Compliance Tool sets provide both structure and flexibility to help you
build your Compliance Plan and track your Compliance to that Plan.
Could you build the Word and Excel files? Certainly. But… it will be a lot
more time consuming than it may appear.
We believe cost is simply not a factor in a purchase decision. We have priced
the tools so that financial pay-back is measurable in hours. We have
provided the tools in Word and Excel, not PDF. You acquire an unlimited use
license for your Business Unit.
We think your purchase decision should be based solely upon how the
features and functions of the tools combine to support your compliance
planning and execution; and, how improved presentation of you
compliance plans to your current and potential business partners can
increase your profits.
John E Griggs, Ph.D.