Document-Driven Case Management — with Intake-to-Resolution Workflows, Role-Based Access, and Auditable Case Files on AWS Infrastructure You Control
Case management is inherently document work. Every case — whether a legal matter, a regulatory investigation, a social services engagement, an insurance claim, or an internal complaint — is defined by the documents it produces and collects: intake forms, evidence, correspondence, supporting records, review notes, decision documents, and resolution records. The case file is the authoritative record, and the organization's ability to manage, protect, search, and produce that file determines whether case outcomes are defensible and whether compliance obligations are met.
FormKiQ's Case Management solution provides a governed document layer for case files — with structured intake, classification, routing, and resolution workflows that keep every case document traceable and accessible to authorized parties throughout the case lifecycle. Deployed directly into your AWS account, FormKiQ gives case managers, legal teams, compliance officers, and program administrators full control over case data, encryption, access, and audit trails without depending on a vendor-hosted case management platform.
What Is Document-Driven Case Management?
Most case management platforms are built around workflow and task management — documents are attachments to the case rather than the case itself. This creates a structural gap: case documents end up scattered across the case management UI, shared drives, email, and external systems, with no unified governance model.
FormKiQ approaches case management from the opposite direction — the case file is a governed document collection with structured metadata, access controls, and lifecycle rules. Workflows, tasks, and routing operate on the documents within the case rather than treating documents as secondary artifacts.
| Traditional Case Management | Document-Driven Case Management (FormKiQ) |
|---|---|
| Case record is a database entry with attached files | Case file is a governed document collection with structured metadata |
| Documents stored as attachments — limited classification and search | Every document classified, tagged, and full-text searchable within the case and across cases |
| Access control at the case level only | Attribute-based access control (ABAC) at both the case and document level |
| Audit trail covers case actions (status changes, task completion) | Audit trail covers every document event — access, modification, classification, and disposition |
| Retention applied to the case record | Retention applied to individual documents and to the case file as a collection |
| Documents often leave the system for review, signature, or sharing | Documents remain within the governed environment through review, signature, and distribution |
The Case Lifecycle
FormKiQ supports each stage of the case lifecycle within a governed, auditable platform:
| Lifecycle Stage | What Happens | How FormKiQ Handles It |
|---|---|---|
| Intake | A new case is opened — initial documents are collected, the case is classified, and metadata is captured | API-driven or web console intake; Document Gateway Modules for intake from email, web forms, SFTP, or scanner capture; IDP with Amazon Textract for automated extraction from intake forms |
| Classification & Assignment | The case is categorized and assigned to a case worker, team, or department | Document type definitions and metadata schemas trigger automatic classification; workflow rulesets route cases based on type, jurisdiction, priority, or custom attributes |
| Investigation & Evidence Collection | Case workers gather evidence, correspondence, and supporting documents throughout the case | Document versioning, check-in/check-out, multi-source ingestion via Document Gateways, and AI-powered document analysis for evidence classification and summarization |
| Review & Decision | Case materials are reviewed and a decision or recommendation is produced | Multi-step approval workflows with role-based task assignment; document generation for decision letters, findings reports, and case summaries |
| Resolution & Action | The case is resolved — actions are taken, notifications sent, and outcomes recorded | Workflow automation triggers resolution actions; eSignature for consent or agreement documents; correspondence generation for outcome notifications |
| Retention & Disposition | The closed case file is retained according to policy and eventually disposed of | Configurable retention policies at the case and document level; legal hold for cases subject to litigation or investigation; defensible disposition with audit trail |
Case File Structure and Organization
FormKiQ provides a flexible structure for organizing case files that adapts to different case types and organizational needs.
Case File as Document Collection
Each case file in FormKiQ is a governed document collection — a container that groups all documents associated with a case under a shared metadata schema and access control model. Within the case file, documents can be further organized:
- By document type — intake forms, evidence, correspondence, decision documents, supporting records
- By chronology — documents ordered by date of creation or receipt
- By party — documents grouped by the party that produced or received them
- By workflow stage — documents grouped by the lifecycle stage in which they were created or received
Case Metadata
| Metadata Category | Example Fields |
|---|---|
| Case identity | Case number, case title, case type (complaint, investigation, claim, application, matter) |
| Parties | Complainant, respondent, claimant, beneficiary, applicant, subject, legal representative |
| Assignment | Assigned case worker, team, department, supervisory reviewer |
| Status | Intake, under investigation, under review, pending decision, resolved, closed, reopened |
| Priority | Standard, elevated, urgent, critical |
| Classification | Jurisdiction, regulatory applicability, confidentiality level, sensitivity |
| Dates | Intake date, assignment date, deadline, decision date, closure date |
| Outcome | Resolution type, decision, disposition, referral |
All metadata fields are searchable — enabling cross-case queries such as:
- All open cases assigned to a specific case worker or team
- All cases of a specific type within a jurisdiction
- All cases approaching a regulatory deadline
- All cases with a specific outcome across a date range
- All cases involving a specific party
AI-Powered Case Document Analysis
FormKiQ's AI Processing and Analysis module — powered by Amazon Bedrock — accelerates case work by automating document classification, entity extraction, and summarization within case files.
All AI processing runs within your AWS account through Amazon Bedrock, using supported large language models including Anthropic Claude, Amazon Nova, and other available models. Case document content never leaves your cloud environment.
| AI Capability | Case Management Application |
|---|---|
| Document type classification | Automatically identify and classify incoming case documents — intake forms, evidence, correspondence, medical records, financial records, legal filings — and route them to the appropriate section of the case file |
| Entity extraction | Extract key entities from case documents — names, dates, amounts, addresses, policy numbers, case references — and apply them as structured metadata to the case file |
| Content summarization | Generate summaries of lengthy case documents — investigation reports, medical records, deposition transcripts, correspondence chains — to accelerate case review |
| Sensitivity classification | Identify and flag documents containing sensitive content — PII, PHI, privileged communications, minor-related information — for appropriate access control and handling |
| Document analysis | Analyze case documents against criteria, checklists, or regulatory requirements — identifying completeness gaps, inconsistencies, or areas requiring further investigation |
Workflow Automation for Case Management
FormKiQ provides configurable workflow automation designed for case management patterns:
Intake Workflows
- Multi-channel intake — cases initiated via API, web console, email ingestion, web forms, SFTP, or document scanner
- Automated classification — incoming case documents classified by type with AI-powered document type detection
- Eligibility and completeness checks — rulesets validate that required documents and metadata are present before a case advances
- Automated assignment — cases routed to case workers based on case type, jurisdiction, workload, or custom rules
Processing Workflows
- Task assignment and tracking — workflow steps assigned to specific roles with deadline tracking and escalation rules
- Multi-step review chains — cases routed through sequential or parallel review stages (case worker → supervisor → legal → compliance)
- Document request workflows — automated requests for additional documentation from parties, with tracking of outstanding requests
- Inter-agency or inter-department routing — cases routed across organizational boundaries with access control maintained at each step
Resolution Workflows
- Decision documentation — document generation for decision letters, findings reports, case summaries, and outcome notifications
- eSignature — governed signature workflows for consent documents, settlement agreements, or authorization forms
- Correspondence generation — automated production of case correspondence from templates and case metadata
- Case closure — automated retention scheduling, access reclassification, and archival processes triggered on case closure
Document Generation and Correspondence
FormKiQ's Document Generation module produces case documents from governed templates — eliminating manual drafting for high-volume case correspondence and decision documentation:
| Document Type | What Gets Generated |
|---|---|
| Intake acknowledgments | Confirmation letters to parties acknowledging case receipt and providing case reference numbers |
| Information requests | Requests for additional documentation or information from parties, with deadline and response instructions |
| Decision letters | Approval, denial, or findings letters with case-specific details drawn from case metadata and review outcomes |
| Case summaries | Structured summaries of case history, evidence, and outcomes for supervisory review, audit, or transfer |
| Outcome notifications | Notifications to parties of case resolution, next steps, or appeal rights |
| Referral documents | Case transfer or referral documentation when cases are routed to another agency, department, or authority |
Generated documents are stored within the case file with full metadata, version history, and audit trail — and can be routed into review, approval, or signature workflows immediately on creation.
eSignature Integration for Case Management
FormKiQ's eSignature Integration brings signature collection into the case workflow:
- Consent and authorization — parties sign consent forms, authorization documents, or privacy acknowledgments as part of case intake or processing
- Settlement agreements — multi-party signature workflows for settlement, mediation, or resolution agreements
- Decision acknowledgment — parties acknowledge receipt and understanding of decisions or findings
- Triggered from workflow — signature requests initiated automatically when a case reaches a specific workflow stage
- Return and classification — signed documents returned to the case file with execution metadata and audit trail
Access Control for Case Files
Case files often contain sensitive information that requires granular access control beyond simple role-based permissions:
| Access Control Capability | Description |
|---|---|
| Attribute-based access control (ABAC) | Document visibility tied to metadata values — case type, jurisdiction, confidentiality level, assigned team, or custom attributes |
| Case-level access | Access to the case file as a whole, controlled by assignment and role |
| Document-level access | Access to individual documents within the case file — enabling restricted access to sensitive evidence, privileged communications, or minor-related documents within an otherwise accessible case |
| Temporal access | Access rules that change based on case status — broader access during active investigation, restricted access after closure |
| Chinese wall / conflict controls | Attribute-based restrictions that prevent access by parties with conflicts of interest — applicable in legal, financial, and regulatory contexts |
Integration with Enterprise Systems
FormKiQ's Integration Framework Modules connect case management to enterprise systems:
| Framework | Case Management Use Cases |
|---|---|
| Case Management Integration | Connects case records in external case management or CRM systems to the governed document layer in FormKiQ — case events, evidence, and correspondence synchronized with metadata and lifecycle controls |
| CRM | Customer or constituent records linked to case files — case status visible from the CRM record, with customer history available to case workers |
| ERP | Financial records associated with cases — claims amounts, settlements, payments, and cost recovery linked to case documents |
| HRIS | Employee-related cases (complaints, investigations, disciplinary actions) linked to employee records with access controls and retention tied to employment status |
FormKiQ Editions for Case Management
Case Management is available as a Solution Layer on FormKiQ Advanced and Enterprise:
| Capability | Core | Essentials | Advanced | Enterprise |
|---|---|---|---|---|
| Document Storage, API & Web Console | ✓ | ✓ | ✓ | ✓ |
| Tagging, Search & Classification | ✓ | ✓ | ✓ | ✓ |
| OCR (Tesseract) | ✓ | ✓ | ✓ | ✓ |
| Multi-Tenant Support | ✓ | ✓ | ✓ | ✓ |
| SSO (SAML — Entra, Google, Auth0) | ✓ | ✓ | ✓ | |
| Workflows, Queues & Rulesets | ✓ | ✓ | ✓ | |
| Encryption (in-transit & at-rest) | ✓ | ✓ | ✓ | |
| Document Control & Versioning | ✓ | ✓ | ✓ | |
| AI Processing & Analysis (Bedrock) | ✓ | ✓ | ||
| Document Generation | ✓ | ✓ | ||
| eSignature Integration | ✓ | ✓ | ||
| Document Gateway Modules | ✓ | ✓ | ||
| Integration Frameworks | ✓ | ✓ | ||
| Solution Layers (Case Management) | ✓ | ✓ | ||
| Multi-Instance & Multi-Region Licensing | ✓ | ✓ | ||
| Vendor-Managed & Hybrid Deployment | ✓ | |||
| Custom SLAs & Compliance Consulting | ✓ | |||
| Support | Community (Slack & GitHub) | Support Portal (2-business-day SLA) | Private Slack + videoconference + 40 hrs onboarding | Rapid response (8-business-hour SLA) + strategic architecture support |
Compliance and Regulatory Alignment for Case Management
| Framework | Case-Specific Requirements | FormKiQ Capabilities |
|---|---|---|
| HIPAA | Protected health information in medical case files, disability claims, or patient complaints | Encryption (KMS), ABAC at document level, audit trails, BAA-eligible AWS services |
| GDPR / UK GDPR | Personal data in case files, subject access requests, right-to-erasure | Data residency enforcement, retention controls, deletion workflows, processing audit trails |
| FOIA / Access to Information | Government case records accessible to public upon request — FOIA (US), Access to Information Act (Canada), Freedom of Information Act (UK / Australia / New Zealand) | Search and retrieval, classification-based access controls, redaction support |
| ADA / Rehabilitation Act (US) / Equality Act 2010 (UK) / AODA (Canada) / DDA (Australia) | Disability-related case files with heightened confidentiality requirements — ADA / Rehabilitation Act (US), Equality Act 2010 (UK), AODA (Ontario), DDA / Disability Discrimination Act (Australia), EU Accessibility Directive | Document-level ABAC, restricted access controls, separate filing capability |
| State / Provincial privacy statutes | Jurisdiction-specific requirements for case file access, retention, and disposition — US states, Canadian provinces, Australian states and territories, UK data protection legislation | Configurable access controls and retention schedules by jurisdiction |
| Professional regulatory requirements | Legal, medical, and financial case files subject to professional body standards | Audit trails, retention enforcement, access controls, conflict management |
| Child welfare statutes | Heightened confidentiality and retention requirements for cases involving minors | Document-level access restrictions, extended retention schedules, audit evidence |
Who Uses Case Management on AWS
| Industry | Case Types | Key Drivers |
|---|---|---|
| Government & Public Sector | Constituent complaints, regulatory investigations, licensing enforcement, benefits determinations, FOIA requests | FOIA / Access to Information / FOI compliance, data residency, audit readiness, inter-agency coordination |
| Financial Services & Insurance | Insurance claims, fraud investigations, customer complaints, regulatory inquiries, dispute resolution | SOC 2, FINRA, state insurance regulations, claims processing SLAs |
| Healthcare | Patient complaints, incident investigations, credentialing, disability determinations, quality reviews | HIPAA, state health department requirements, accreditation standards |
| Higher Education | Student conduct, Title IX investigations (US), human rights / discrimination complaints, academic integrity, grievances | FERPA (US), GDPR (EU/UK), provincial privacy legislation (Canada), Title IX / Clery Act (US), state/national education regulations |
| Legal & Professional Services | Legal matter management, client engagement files, internal investigations, ethics complaints | Bar association requirements, privilege management, conflict controls |
| Social Services & Nonprofits | Benefits case files, child welfare cases, housing assistance, community program administration | National, state/provincial program requirements, funding agency compliance |
| Energy & Utilities | Safety investigations, environmental incidents, regulatory compliance cases, consumer complaints | OSHA, EPA, state utility commission requirements |
Deployment Models
| Model | Description | Availability |
|---|---|---|
| Customer-Managed AWS | Deploys directly into your AWS account via CloudFormation. Full control of infrastructure, networking, encryption keys, and operations. | All editions |
| Vendor-Managed | FormKiQ manages the AWS infrastructure on your behalf — deployment, updates, and operational support. | Enterprise |
| Hybrid | You retain control of specific components (encryption keys, network config) while delegating operational management to FormKiQ. | Enterprise |
Every deployment is a dedicated, isolated instance in an AWS account owned by or designated by the customer. FormKiQ does not operate a shared multi-tenant environment.
Getting Started
FormKiQ Core can be deployed to your AWS account in fifteen to twenty minutes using a one-click install via AWS CloudFormation. Case Management capabilities — including AI Processing and Analysis, Document Generation, eSignature Integration, and Document Gateway Modules — are available on FormKiQ Advanced and Enterprise.
For organizations evaluating case management on AWS, FormKiQ offers a Proof-of-Value program — a three-month deployment in a FormKiQ-managed AWS environment that provides full platform access in a non-production setting.
Frequently Asked Questions
What is case management on AWS?
Case management on AWS refers to managing the full case lifecycle — intake, classification, investigation, review, decision, resolution, and retention — on a platform deployed within your own Amazon Web Services environment. This gives organizations full control over case data, encryption, access, and audit trails without depending on a vendor-hosted case management platform.
How is FormKiQ different from traditional case management systems?
Traditional case management systems are built around workflow and task management — documents are attachments to the case record. FormKiQ is built around the case file as a governed document collection. Every document within a case is classified, tagged, full-text searchable, and subject to its own access controls and retention rules — not just attached to a case record. This means the case file itself is the auditable, governed record, with document-level controls that traditional case management systems don't provide.
What types of cases can FormKiQ manage?
FormKiQ's case management is configured through metadata schemas, document type definitions, and workflow rulesets — not hard-coded case type templates. This means it can be configured for any case type: legal matters, regulatory investigations, insurance claims, social services cases, student conduct, complaints, FOIA requests, licensing enforcement, incident investigations, and any other process that follows an intake-to-resolution pattern with a document-centric case file.
How does AI help with case management?
FormKiQ's AI Processing and Analysis module — powered by Amazon Bedrock — automates document classification, entity extraction, content summarization, sensitivity detection, and document analysis within case files. This accelerates intake processing, reduces manual classification, and surfaces key information from lengthy case documents. All AI processing runs within your AWS account — case content never leaves your cloud environment.
Can FormKiQ handle confidential and sensitive case files?
Yes. FormKiQ provides attribute-based access control (ABAC) at both the case and document level. This means individual documents within a case — privileged communications, minor-related records, medical records, or sensitive evidence — can have access restrictions independent of the broader case file. All access events are recorded in the audit trail, and encryption with customer-managed AWS KMS keys protects data at rest and in transit.
How does FormKiQ handle case file retention?
Retention policies can be applied at the case level and at the individual document level within the case. Cases under legal hold are protected from modification or deletion regardless of retention schedule. When a case is closed, automated retention scheduling and archival processes are triggered based on case type and applicable retention rules. All retention and disposition events are audit-logged with timestamps and actor identification.
Can I integrate case management with our existing systems?
Yes. FormKiQ's Integration Framework Modules connect case files to CRM records, ERP financial data, HRIS employee records, and external case management systems. Case metadata is synchronized across systems, with FormKiQ maintaining the governed document layer while connected systems retain their operational roles.