Security and Compliance for Document Workflows
Assess the controls, evidence and responsibilities behind your information.
THE CHALLENGE
Sensitive information can move through submissions, reviews, approvals and connected systems before becoming a retained record. Security must cover that entire path. Docuworx maps the organisationâs requirements to document permissions, workflow rules and relevant service controls. We identify the supporting evidence and responsibilities so your team can assess how the proposed process protects information and supports its obligations.
Why Security Matters
Protect the record and explain its handling
Security supports responsible information use from the first submission through review, retention and disposal.
- Protect sensitive information
- Control authorised access
- Retain available activity evidence
- Support identified compliance requirements
- Reduce exposure from inconsistent handling
- Document control
- Activity and decision records
- Retention requirements
- Storage and information location
- Consistent handling processes
Security & Compliance
Understand infrastructure and application responsibilities
DocuWare Cloud uses Microsoft Azure. Infrastructure safeguards support the hosted service, while identities, document permissions and workflow rules shape how information is used. Review the complete design, including connected services and customer responsibilities.
Explore Microsoft Azure infrastructure for the hosting details.
Managed infrastructure safeguards
Defined availability and resilience arrangements
Backup and recovery coverage
Capacity requirements
Monitoring and response responsibilities
Protection of the hosting environment
Certifications & Standards
Read the scope behind the assurance
Standards, assurance reports and legal requirements provide different types of evidence. Assess each against the actual service and organisational requirements.
- SOC 2: An assurance report on controls within a defined service system and period. Review its scope and relevant findings.
- ISO IEC 27001: A standard for an information security management system. Check the certified entity and certificate scope.
- GDPR and applicable privacy requirements: Data protection obligations depend on the organisationâs circumstances. Cloud hosting alone does not establish Compliance.
- Data sovereignty and residency: Confirm where the relevant information is stored and processed, including connected services and access arrangements.
Use information governance guidance to connect this evidence with policies and accountable owners.
Core Security Capabilities
Review the controls used by the document process
Define which controls apply, how they are configured and what evidence is available for review.
Role-based access
Define who may retrieve a record, complete a task or administer the system. Permissions should match responsibilities and be reviewed when roles change.
- Limit information access to authorised roles
- Separate review and administration duties
- Keep access aligned with current responsibilities
Audit trails
Recorded activity can help explain document handling and workflow decisions. Confirm which events are captured, how long history is retained and how evidence is retrieved.
- Trace recorded process actions
- Retrieve evidence for review
- Support accountable decisions
Encryption
Encryption protects information at rest and in transit, where provided by the relevant service. Review connected systems, export paths, and the repository.
- Protect stored data
- Support secure information exchange
- Complement identity and access controls
Version control
Version history helps staff identify changes and use the appropriate document. Define the document types, editing permissions and history requirements involved.
- Identify relevant document revisions
- Reduce use of outdated information
- Support review of recorded changes
Secure authentication
Authentication establishes the userâs identity before permissions determine access. Agree identity integration, supported authentication controls and account administration responsibilities.
- Verify user identity
- Manage account access consistently
- Review privileged and external access
Security and automation
Automation should apply the organisationâs access and approval rules throughout the process, including exceptions and system handoffs.
- Automated workflows
- Controlled approval responsibilities
- Structured document handling
- Central oversight of configured controls
Review workflow changes so controls remain aligned with approved requirements.
Industries
Match security requirements to the records involved
Identify the information, authorised roles and evidence needed for the sector-specific process.
Assess access, record handling and continuity for government and council workflows.
Define appropriate access and continuity for sensitive records in healthcare administration.
Review staff, student and administrative information requirements in education workflows.
Connect supplier and operational records with controlled manufacturing workflows.
Define client information access and review responsibilities for professional services workflows.
Use Cases
Follow the controls wherever information moves
Security assessment should cover each stage and connection in the agreed workflow.
The security and compliance capability page explains configured product controls. This guide helps you assess their coverage, supporting evidence and responsibilities.
Get started today
Review the security requirements of your document process
Bring your access requirements, record policies and the assurance questions your team needs answered. We can discuss relevant controls and evidence to define a solution.
