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9 Tips for Compliance and Regulatory Audit Success

The list of regulatory compliances is long, and the possibility of facing a compliance audit can feel overwhelming. From ITAR and C-TPAT to CCPA, FSMA, and many more, each industry faces its own unique requirements. Those in manufacturing, logistics and transportation, finance, healthcare, and government organizations face even stricter laws and regulations.

One comprehensive regulation common to most companies is registering visitors, contractors, and suppliers. Identity confirmation, signing documents such as customer visitor policies, and following the security and data retention regulations are all a part of meeting the requirements and auditing compliance. 

In a recent case study, the Head of IT at Canada based Mondetta Clothing shared why the business chose SwipedOn specifically to meet CT-PAT compliance with the ability to print badges with guests' names and photos. At the same time, it needed to be simple for visitors and employees to use.  

See case study

Adhering to regulations and ensuring data privacy and security protects you from penalties, recalls, and legal actions. A survey by research firm Vanson Bourne in partnership with Telos revealed that compliance fines and activities cost companies almost $4 million every year, with administrators spending an average of 58 days dealing with a compliance audit every quarter.

A visitor management system can significantly reduce this burden and is vital in today's landscape. Here, we'll explore the top nine ways you can ensure compliance in your workplace and successfully meet any regulatory audit.

Regulatory Audit Essentials

These nine strategies help make security and compliance management easier and help you feel confident when undergoing a compliance audit:

1. Capture Visitor Identification

Most visitor check-in processes require visitors to show proof of identity. Capture driver's licenses, government-issued ID cards, or passports to prove the person is who they say they are.

2. Supply Visitors With Badges

Your employees should be able to recognize that visitors have been vetted and approved for entering the facilities. Printing out visitor badges with photos is considered the best practice for ensuring safety as well as regulatory audit compliance. Using color-coded badges ensures they gain access only to approved spaces, keeping them out of restricted areas.

3. Offer Customizable Sign-In Flows

Create sign-in flows that align with your industry's requirements. Personally identifiable information may include the name of the person and organization they work for, their position, an email address, phone number, a copy of their photo ID, and more. 

4. Capture Digital Signatures

Depending on your industry, visitors may be required to sign agreements, waivers, and other legal documents. These agreements may involve complying with safety standards and policies, NDAs, and liability waivers. 

Retaining and organizing stacks of these signed papers can lead to a possible compliance audit that doesn't go as well as hoped: They check your sign-in sheet and ask for the documents regarding a specific visitor, but unfortunately, they're nowhere to be found. 

Digital signatures on stored documents provide one source of truth where all auditing compliance documents are readily accessible. 

5. Approve or Deny Visitors Based on Screening Questions

Complete appropriate and approved screening questions before allowing visitors access. These questions vary by industry but may include questions regarding international travel and any symptoms associated with contagious diseases.

6. Anonymize and Store Data Security

Data anonymization ensures data remains secure and private by removing or encrypting sensitive data, such as personally identifiable information. One of the best approaches to securing data is making sure you're not holding on to it longer than needed. Ensure your data storage complies with all regulations.

7. Monitoring Administration Access

Make sure that the data is only accessible to those who require it. To accomplish this, set up permission levels or use multi-factor authentication so that only one person can access the account. 

8. Transparent Auditing Access

Transparency is critical to a successful compliance audit. It makes it easy on you and the auditor and demonstrates your commitment to staying within the framework of your industry's regulations. 

9. Reducing Human Error

By automating your visitor management system, you reduce the potential for human error. When faced with numerous people entering your facility at one time, having a standardized, automated process ensures no one gets left out and enters without the proper approval. 

Outdated manual processes notably increase the chances of non-compliance. A digital visitor management system creates an audit-proof paper trail (without the paper), ensuring your company remains compliant. 

Trust SwipedOn With Your Compliance Requirements 

Navigating ever-stricter regulations and requirements can be challenging. And, while preparing for a compliance audit can feel overwhelming, it doesn't have to be. That's where SwipedOn comes in. 

Our security and compliance software and modern visitor management solutions bring peace of mind, no matter the number of auditing compliance regulations you face. The data is stored and handled in compliance with SOC 2 and ISO 27001 certifications, SSL, multi-factor authentication, and other industry-leading processes. It offers encryption and is stored securely in the cloud.

Keep all your compliance records in a single database, ensuring compliance audit readiness with all the detailed digital records of anyone who has entered your establishment. With records of all the people who entered and left your organization, you can access compliance audit records easily and export them promptly. 

Visitors' badges, which are automatically printed once they complete a successful sign-in, can be scanned upon departure for an easy sign-out.

This birds-eye view also streamlines communications and brings needed awareness in the event of an emergency or evacuation. By incorporating an easily accessible employee sign-in process, you can be confident that you know everyone who is onsite and possess the information to conduct comprehensive roll calls. It also helps improve employee collaboration and engagement, creating an inviting start to their day.

From verifying your visitors' identity to aggregating their information, collecting digital signatures, and generating reports for a compliance audit, SwipedOn offers everything you need to comply while providing a professional first impression. To discover the benefits of our customizable visitor management system, start our 14-day free trial and experience this remarkable technology firsthand! 

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Mia Campbell

Mia is our Product Marketing Lead at SwipedOn


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