5 Ways to Improve Print and Mail Compliance
The Importance of Data Protection in Print and Mail
Print and mail compliance violations expose customer information, breach client trust, and can lead to penalties and fines.
So how can organizations prevent these costly mistakes?
Read on to discover 5 ways that organizations can stop data security failures, delivery delays, and audit issues before they happen.
What Does Print and Mail Compliance Entail?
Overarchingly, print and mail compliance involves maintaining controlled, documented processes that generate, assemble, address, and deliver the right documents to the correct recipients and keep sensitive data protected, in accordance with regulatory restrictions.
Specific compliance regulations differ by industry, with different sectors following different frameworks. An example framework is HIPAA, which is used in the healthcare industry to protect patient privacy.
Common Print and Mail Compliance Risks Organizations Overlook
There are many potential locations across workflows where print and mail compliance errors can occur, and it only takes one compliance breakdown for a faulty mailing to get into a customer’s hands.
We’ve compiled a list of the places where controls are needed, and of the ways customers are affected if those controls fail.
Risk #1: Pre-Production Errors and Their Effects
A customer reads through his mailing, and is left confused.
There’s a disclosure that is meant for people on different account types or plans than him. Some of the language used is clearly out of date. And the field where his name is supposed to go has the name of the organization who mailed him the piece instead.
What happened here? What does he need to do going forward? Did this organization make other mistakes while handling his data?
In pre-production, incomplete data validation, unmanaged templates, and informal approval processes can result in documents being generated with incorrect disclosures, outdated language, or misaligned data fields.
This can lead to customers and clients not knowing what the next steps to take are, and developing a negative impression of the organization that sent their files incorrectly.
Organizations also need to think about steps to take in pre-production to develop audit readiness.
Although the content of a mailpiece may be completely accurate, it can be difficult to prove this without version control or audit documentation.
Risk #2: Production Errors and Their Effects
A client looks through her statement, and becomes nervous.
Most of the statement was correct, but there was an extra sheet with another name on it, which contained sensitive information that doesn’t belong to her.
She knows she wasn’t supposed to see that, and she’s wondering whether the organization might one day mail part of her statement to the wrong person, too.
Production-stage errors are another frequent source of print and mail compliance risks. Missing pages, extra pages, and mismatched document sets can occur, especially when processes are handled manually.
Without piece-level verification, organizations may not detect these errors until after mail has entered the postal system. At this point, the faulty mailpieces may reach the customers, and, if the mailpieces contain sensitive information about another person, that could lead to a compliance violation.
Risk #3: Post-Production and Audit Trails
An organization’s audit is underway.
But that organization is lacking data to answer some of the auditors’ questions.
Do they know who handled which documents at what times? Do they know whether mail was delivered to the right recipients?
Missing or fragmented audit trails, inconsistent retention practices, and limited visibility into mail induction all undermine an organization’s ability to demonstrate compliance, even if the underlying production processes were largely sound.
Ways to Improve Print and Mail Compliance
If organizations want to prevent the above problems before they happen, print and mail compliance needs to be a top priority.
Here are 5 ways organizations can improve security and compliance-readiness during print and mail production:
Step 1: Establish a Secure Document Composition Process
These 5 controls should be key parts of your document composition workflow:
- Template Governance: Templates should be centrally managed, versioned, and restricted to authorized users. Without formal version control and documented approvals, organizations may be unable to demonstrate that the correct content was used at the time of mailing.
- Role-Based Access: Systems should be implemented that allow only authorized employees to view files with sensitive information. This creates a clear chain of accountability and prevents compliance violations related to data exposure.
- Pre-Production Quality Assurance Checkpoints: Confirm data alignment, conditional logic accuracy, and the inclusion of all required content before documents are released to print.
- Cybersecurity: Transfer all data via secure methods and with end-to-end encryption, both in transit and at rest.
- PDF Storage: Archive your files and store them for as long as you need in order to comply with retention requirements.
Step 2: Implement Piece-Level Verification During Mail Inserting
Even when documents are composed correctly, errors can still occur during physical assembly and mailing.
Misplaced pages, missing inserts, and mismatched document sets create compliance risks. If faulty mail is delivered to the consumer, it can undermine brand image and client confidence.
A mail inserter with piece-level verification automatically places individual sheets into envelopes and scans them as it does so, verifying that all required pieces are present and correctly arranged.
Any discrepancies, such as an extra page, a missing statement, or a misordered set, are flagged in real time.
This allows production staff to correct errors immediately, which reduces the need for reprints and prevents mistakes that could lead to regulatory compliance violations.
Step 3: Use CASS and NCOA for Address Accuracy
Print and mail compliance depends on accurate addressing.
If a client has moved, and a mailpiece with sensitive information is delivered to an outdated address, the new inhabitants of the address could see that client’s documents, leading to a potential compliance violation.
Mail that can’t be delivered, which could be caused by an incorrect address, faces delays when it is returned to the USPS.
These errors are costly and time-consuming for both the postal service and the sender. They could also lead to the failure to meet deadlines that certain documents must be mailed by.
Implementing CASS-certified software and NCOA processing helps organizations reliably deliver mail to their intended recipients.
CASS, which stands for Coding Accuracy Support System, is a USPS-recognized program that sets standards for software that validates address data.
CASS-certified software helps format, correct, and complete addresses according to postal standards, which can reduce the amount of mail that is marked undeliverable.
NCOA processing complements CASS by matching organizations’ mail records against the USPS database of change of address filings.
This helps organizations learn which of their clients and customers have moved, and where their new addresses are. In this way, NCOA can prevent sensitive information from being sent to outdated addresses.
Step 4: Take Advantage of A Document Portal
Document portals provide secure hosting and access, which helps organizations become audit-ready.
Key features of a compliance-focused portal include:
- Multi-factor authentication, which validates the identity of everyone attempting to access records.
- Role-based access controls, which allow only authorized users to access files and make changes.
- Access logs, which record who interacted with each file and when, supporting audits and regulatory inquiries.
Step 5: Maintain End-to-End Audit Trails
End-to-end audit trails provide verifiable evidence of every action taken on a mailpiece.
Without a complete record, it can be impossible to demonstrate that a mailpiece was produced accurately, assembled correctly, and sent to the intended recipient.
This makes it difficult to prove print and mail compliance when facing an internal review or regulatory audit.
A robust audit trail captures who handles which documents, when, at every stage, including:
- Composition: Verifying that the correct template, data, and content are used.
- Production events: Recording when documents are printed, inserted, and packaged.
- Inserting verification: Tracking scans and barcode checks to confirm that each piece is assembled correctly.
- Mail induction: Documenting when mail enters the postal system and, if applicable, when e-delivery occurs.
How Print and Mail Compliance is Enacted in Practice
An example of an organization dedicated to establishing print and mail compliance is D4 Solutions.
We meet the security and compliance needs of clients in highly regulated industries with our HIPAA and SOC 2 Type II certified workflows.
To serve as an example of how regulatory compliance is achieved in practice, here’s a step-by-step rundown of the print and mail process at D4, and how each compliance checkpoint is met along the way:
Step 1: Secure Document Composition
A document starts its journey as part of a file that is securely transferred to D4 by the client. Files transfers are end-to-end encrypted, both in transit and at rest.
These files are then ingested, decrypted, and converted for print, hosting, and storage.
A dedicated project manager meets with each client as often as they need throughout all steps of the workflow to address any questions and to advance the process.
Thorough test runs are completed, and we don’t move forward with printing until clients have reviewed the output of test runs and given their approval.
We enact version control and role-based access, and we store PDFs in accordance with regulatory retention requirements.
Step 2: Piece-Level Verification
Our insertion process helps prevent misassembled mail, and the potential compliance violations that come with it.
On the production floor, we place 2D barcodes on each sheet that is printed.
When mailpieces are placed into envelopes, every sheet is scanned by the automatic inserter.
The barcode tells the inserter how many more sheets to expect in this envelope. If an out-of-sequence sheet is pulled in by the inserter, it is rejected.
Quality Control Associates check and fix each rejected piece, stopping documents with another client’s information from reaching a recipient.
Step 3: CASS and NCOA
At D4, we offer CASS and NCOA services to our clients.
We process client mailing lists with CASS-certified software and the NCOA, identifying formatting issues, incomplete records, and incorrect or outdated addresses.
We then return the original files to clients, along with any areas for updating that we find.
This can reduce the chances of sensitive information going to the wrong recipient, and it can also reduce costly delays that may result in missed deadlines.
Step 4: D4’s Document Portal
We offer secure document hosting and access, protected by multi-factor authentication and roles-based access.
We also offer real-time tracking and reporting capabilities for any data point that our clients need to track.
Step 5: End-to-End Audit Trails
Many of our clients face stringent audit requirements.
We know how to help them meet those requirements by maintaining robust audit trails.
In summary, the journey of a document at D4 can follow the above steps. The files used to create the document are securely transferred to D4. After the completion and approval of test runs, the document is printed and inserted accurately. It is delivered to an address that an organization has chosen to verify with CASS-certified software and the NCOA. It is securely hosted and tracked on the D4 document portal, and every stage of its journey is recorded via an audit trail.
Across 45 years of print and mail experience, we’ve developed a deep knowledge of compliance requirements for organizations in highly-regulated industries. Our HIPAA and SOC 2 Type II certified processes have a 99.99% operational accuracy rate, delivering your mailings securely, accurately, and on time.
Reach out now to see how we can help your organization.
FAQ
What is print and mail compliance?
Print and mail compliance refers to the controls, processes, and documentation used to ensure that documents are generated, assembled, addressed, and delivered accurately while protecting sensitive data, in accordance with regulatory restrictions.
What is HIPAA compliance in print and mail?
HIPAA compliance in print and mail refers to the processes that keep Protected Health Information (PHI) secure throughout document production and delivery, in accordance with the Health Insurance Portability and Accountability Act (HIPAA).
Organizations must implement administrative, physical, and technical safeguards, such as by enacting access controls, badge requirements to enter facilities, and audit trails.
What technologies can assist in achieving print and mail compliance?
Several technologies can assist organizations in achieving print and mail compliance, including CASS-certified software for address validation, automated document composition tools, and secure document portals.
What role does employee training play in print and mail compliance?
Regular training sessions can help employees understand the importance of data security, recognize potential compliance risks, and learn how to use relevant technologies effectively.
What are the consequences of failing to maintain print and mail compliance?
Failing to maintain print and mail compliance can lead to severe consequences, including regulatory penalties, fines, legal liabilities, and reputational damage.
Who should I partner with to securely print and deliver mail?
D4 Solutions is a print and mail partner with 45 years of experience, HIPAA and SOC 2 Type II certified processes, and a 99.99% operational accuracy rate. We know how to help customers in highly-regulated industries that mail documents with sensitive information.
Reach out now to see how we can meet your needs.
