FormKiQ vs. Off-the-Shelf Software and Less Flexible SaaS
When is FormKiQ a better choice than Off-the-Shelf Software and Less Flexible SaaS?
FormKiQ vs. Building It Yourself
How does FormKiQ save time over custom in-house solutions?
Use Cases
FormKiQ works for small and large workflows, across all verticals and industries.
FormKiQ For Teams
Find out how FormKiQ can work for your team
FormKiQ For Industries
Discover the advantages FormKiQ can bring to your industry
Use Cases
Blockchain and Decentralized Storage
Leverage web3 technologies including proof of work and distributed systems for document control and data privacy
Content and Digital Asset Management
Integrate with your preferred web content management system while leveraging FormKiQ for managing your digital assets
Document Management Module
Integrate all of the required functionality of a document management system into an existing software solution
Integration with QMS or LIMS
Add missing functionality for your Quality Management or Laboratory Information Management by integrating with FormKiQ
Job Application Form
Receive applications, including cover letter and resume attachments, and import into an existing HR Management System
Legal Discovery Tool
Find information quickly by combining full-text search with AI-powered document classification
The Paperless Office: Digital Document Processing
Collect, process, and store paper and digital documents, allowing for archival, integration, and future recall
Product Leasing System
Process client lease applications, including a credit check and approval workflow
Company-Wide
Break down the silos in your organization with a centralized control center for documents, ready for integration with any and all systems
Engineering and Product
Reduce development time and agony with battle-tested components for your applications
Finance and Accounting
Process paper and electronic invoices and receipts, ready for integration with your important systems
HR and Recruiting
Build and support your people across the organization by integrating with your essential tools
IT and InfoSec
Provision a secure document store with the encryption and controls needed for compliance and protection
Legal
Manage and safeguard contracts and other essential documents across systems
Marketing
Add better discovery and reliability to digital assets and other essential content, while enabling integration with a web content management system
Sales
Keep track of sales assets and contracts inside and outside of your CRM and other tools
Accounting, Financial Services, and FinTech
Standardize financial documents, metadata, and workflows across systems, teams, auditors, and clients
Education, Training, and EdTech
Integrate Learning Management Systems with other essential applications and tools
Healthcare, Life Sciences, and MedTech
Combine secure and compliant records management with laboratory information management systems
Law Practices and Legal Services
Ensure efficient legal discovery and case management
Logistics and Transportation
Provide a robust and customized solution for fleet management or other logistics needs
Manufacturing, Production, and Utilities
Control and distribute essential documents and standard operating procedures within and between facilities, partners, and clients
Online Entertainment, Gaming, and Gambling
Provide the required compliance documents to partners, customers, and government agencies
Professional and Technical Services
Ensure that clients, inspectors, and subcontractors are aligned with consistent document control
Tech Startups
Build robust document management functionality into your disruptive product
Successfully implementing secure document management requires integrating technical capabilities, automated safeguards, and organizational processes within a comprehensive security framework. Organizations must balance robust protection with operational efficiency while maintaining compliance with evolving regulatory requirements.
At FormKiQ, we consider flexibility to be a cornerstone of effective compliance and security. A system that is built to expect future modifications and customizations is a system that can remain successful for decades.
Executive Summary
Modern document management security rests on three foundational pillars:
1. Security Controls Integration
Implementing layered security through authentication, encryption, access control, and monitoring systems that work together seamlessly.
2. Automated Compliance
Building compliance into workflows through automated classification, policy enforcement, and audit trails rather than treating it as an afterthought.
3. Operational Resilience
Ensuring business continuity through robust backup systems, disaster recovery capabilities, and adaptable security controls that evolve with threats.
Implementation Strategy Considerations
Risk & Compliance
Risk landscape and regulatory requirements
Infrastructure
Existing infrastructure and integration needs
User Experience
User experience and operational efficiency
Resources
Cost and resource constraints
Technical Implementation Guide
So how do we make it all happen? It's not a quick process, but the foundations of compliance and security are common no matter the industry or jurisdication, or whether you're storing documents or streaming videos, and the steps to get there are the same for every organization,
if a little heavier for some.
So let's dive in!
The Implementation Challenge
Converting security requirements into working solutions requires balancing three key factors:
Security
Robust protection without creating bottlenecks
Usability
Intuitive interfaces that encourage secure behavior
Performance
Responsive systems that scale efficiently
Successful implementation requires a structured approach that balances these factors while maintaining compliance with regulatory requirements. Below we will explore how this balance works for essential components of security and compliance.
Authentication Architecture
Most document management systems should implement one of these proven authentication patterns, depending on their integration requirements:
Enterprise SSO Integration
Best choice when your organization already uses identity providers like Azure AD, Okta, or Google Workspace.
Implementation Steps:
1. Configure SAML or OIDC integration with your IdP
2. Map organization roles to system permissions
3. Enable session management with reasonable timeouts
4. Set up IdP-managed MFA if required
Key Benefits:
• Centralized user management
• Automated user provisioning
• Consistent security policies
• Reduced password management
Built-in Authentication
Suitable for smaller organizations or when SSO isn't available. Implement with a proven auth provider like Auth0, Firebase Auth, or Cognito.
Implementation Steps:
1. Set up secure password policies
2. Enable email verification
3. Implement TOTP-based 2FA
4. Configure session management
Security Considerations:
• Require strong passwords
• Implement rate limiting
• Monitor for suspicious activity
• Regular security audits
API Authentication
For service-to-service or automated access to documents.
Implementation Options:
• API keys for simple integrations
• OAuth2 for delegated access
• Mutual TLS for service mesh
Common Pitfalls:
• Overly permissive API keys
• Missing rate limits
• Poor key rotation practices
Additional Security Layers
Consider these supplementary controls based on your security requirements:
IP Restrictions
Limit access to specific networks when possible
Device Management
Integrate with MDM for managed devices
Session Controls
Implement appropriate timeout policies
Real-World Authentication Example: Document Preview System
Let's look at how authentication works in a document preview system:
1. Initial Access
User authenticates via SSO, receives short-lived JWT
Most organizations should leverage their cloud provider's encryption services rather than implementing custom encryption. Here are the common approaches:
Cloud Provider Managed Encryption
Best choice for most organizations using AWS S3, Azure Blob Storage, or Google Cloud Storage.
Implementation:
• Enable default encryption on storage buckets/containers
• Use provider's key management service (KMS)
• Configure appropriate IAM/RBAC policies
• Enable audit logging for key usage
Benefits:
• Automatic key rotation and management
• Integrated with provider's IAM
• Built-in audit trails
• Minimal operational overhead
Application-Level Encryption
Consider when regulatory requirements demand additional control over encryption or for specific sensitive fields.
When to Use:
• Specific fields need extra protection
• Multi-tenant environments with strict isolation
• Compliance requires customer-managed keys
• Zero-trust architecture requirements
Implementation Considerations:
• Use established libraries (e.g., AWS Encryption SDK)
• Consider key management complexity
• Plan for key rotation and recovery
• Account for performance impact
Transport Security
Required for all document operations in transit.
Basic Requirements:
• TLS 1.3 for all API endpoints
• Valid certificates from trusted CA
• Regular certificate rotation
• Secure cipher suite configuration
Common Mistakes:
• Expired certificates: a frequent issue that disrupts services and compromises trust
• Insecure cipher configurations: using outdated or weak ciphers (e.g., RC4 or DES) can expose traffic to vulnerabilities
• Missing certificate monitoring: without monitoring, expired or misconfigured certificates may go unnoticed until they cause issues
• Internal network encryption gaps: encrypting only external traffic and leaving internal communications unencrypted can be a security risk, especially in hybrid or multi-cloud environments
Document Search Considerations
For most organizations, these approaches provide a good balance of security and functionality:
Cloud Provider Search
Use provider's search services (e.g., AWS Kendra, Elasticsearch) with appropriate IAM controls
Metadata Search
Store searchable metadata separately with standard access controls
Real-World Encryption Example: Medical Records System
Storage Configuration
• Use cloud storage with default encryption enabled
Most organizations should build their audit system on existing cloud logging and monitoring services rather than creating custom solutions. Here's a practical approach:
CloudWatch/Stackdriver integration for centralized logging
Application logs from document servers
Access logs from storage services
Authentication events from identity provider
Monitoring Dashboard
Real-time access pattern visualization
Authentication metrics and trends
Compliance status indicators
Storage utilization tracking
Implementation Best Practices
Log Management
• Configure appropriate event filtering
• Implement log rotation policies
• Enable log compression
• Verify log integrity
Alert Configuration
• Start with critical alerts only
• Tune thresholds based on patterns
• Define clear escalation paths
• Document response procedures
Performance Optimization
• Use appropriate time ranges
• Implement efficient filters
• Configure query optimization
• Monitor query performance
Cost Management
• Set appropriate retention periods
• Use lifecycle policies
• Monitor storage usage
• Optimize query costs
Business Continuity Planning
Most organizations should leverage their cloud provider's built-in backup and replication capabilities rather than building custom solutions. Here's a practical approach:
Most organizations should implement API security using proven patterns and existing solutions rather than building custom implementations. Here's a practical approach:
Most organizations should leverage cloud provider security features and established patterns rather than building custom infrastructure protection. Here's a practical approach:
Most organizations should start with monitoring key performance indicators and gradually optimize based on actual usage patterns. Here's a practical approach:
Successfully implementing secure document management requires balancing multiple technical considerations while maintaining operational efficiency. By following the guidance in this technical implementation guide, organizations can build robust document management systems that meet both security and compliance requirements.
Key Implementation Priorities
Security First
• Strong authentication controls
• Comprehensive encryption
• Detailed audit logging
• Infrastructure protection
Operational Excellence
• Performance optimization
• Resource management
• Monitoring and alerting
• Continuous improvement
Implementation should be approached iteratively, starting with core security controls and gradually enhancing capabilities based on operational needs and user feedback. Regular testing and validation ensure that security measures remain effective while maintaining system performance and usability.
Next Steps
1. Assessment
Review your current document management needs against the technical requirements outlined in this guide.
2. Planning
Develop a phased implementation plan that prioritizes core security controls and essential functionality.
3. Implementation
Follow the technical guidance for each component, validating security and performance at each step.
4. Validation
Use the provided checklists and metrics to verify your implementation meets security and performance requirements.
By leveraging cloud provider capabilities and following established security patterns, organizations can implement robust document management systems that scale effectively while maintaining security and compliance requirements.
In Part 3, we'll look into how an uncertain future can affect your document management compliance and security, and what strategies will help to mitigate that uncertainty.
FormKiQ vs. Off-the-Shelf Software and Less Flexible SaaS When is FormKiQ a better choice than Off-the-Shelf Software and Less Flexible SaaS?
FormKiQ vs. Building It Yourself How does FormKiQ save time over custom in-house solutions?
Use Cases FormKiQ works for small and large workflows, across all verticals and industries.
FormKiQ For Teams Find out how FormKiQ can work for your team
FormKiQ For Industries Discover the advantages FormKiQ can bring to your industry
Blockchain and Decentralized Storage Leverage web3 technologies including proof of work and distributed systems for document control and data privacy
Content and Digital Asset Management Integrate with your preferred web content management system while leveraging FormKiQ for managing your digital assets
Document Management Module Integrate all of the required functionality of a document management system into an existing software solution
Integration with QMS or LIMS Add missing functionality for your Quality Management or Laboratory Information Management by integrating with FormKiQ
Job Application Form Receive applications, including cover letter and resume attachments, and import into an existing HR Management System
Legal Discovery Tool Find information quickly by combining full-text search with AI-powered document classification
The Paperless Office: Digital Document Processing Collect, process, and store paper and digital documents, allowing for archival, integration, and future recall
Product Leasing System Process client lease applications, including a credit check and approval workflow
Company-Wide Break down the silos in your organization with a centralized control center for documents, ready for integration with any and all systems
Engineering and Product Reduce development time and agony with battle-tested components for your applications
Finance and Accounting Process paper and electronic invoices and receipts, ready for integration with your important systems
HR and Recruiting Build and support your people across the organization by integrating with your essential tools
IT and InfoSec Provision a secure document store with the encryption and controls needed for compliance and protection
Legal Manage and safeguard contracts and other essential documents across systems
Marketing Add better discovery and reliability to digital assets and other essential content, while enabling integration with a web content management system
Sales Keep track of sales assets and contracts inside and outside of your CRM and other tools
Accounting, Financial Services, and FinTech Standardize financial documents, metadata, and workflows across systems, teams, auditors, and clients
Education, Training, and EdTech Integrate Learning Management Systems with other essential applications and tools
Healthcare, Life Sciences, and MedTech Combine secure and compliant records management with laboratory information management systems
Law Practices and Legal Services Ensure efficient legal discovery and case management
Logistics and Transportation Provide a robust and customized solution for fleet management or other logistics needs
Manufacturing, Production, and Utilities Control and distribute essential documents and standard operating procedures within and between facilities, partners, and clients
Online Entertainment, Gaming, and Gambling Provide the required compliance documents to partners, customers, and government agencies
Professional and Technical Services Ensure that clients, inspectors, and subcontractors are aligned with consistent document control
Tech Startups Build robust document management functionality into your disruptive product
