Tallyfy holds SOC 2 Type 2 certification with rolling three-month audits and provides bank-level encryption (TLS 1.2+ and AES-256) along with immutable audit trails and SSO enforcement to serve regulated industries like financial services and healthcare and manufacturing that need documented proof of who did what and when.
Workflow applications
Important - this article isn’t legal advice. Do your own research and use this content at your own risk.
Tallyfy’s flexible template system and conditional logic let organizations build workflows that fit their industry - whether that’s financial services, healthcare, manufacturing, or another regulated sector. Instead of forcing generic processes, Tallyfy adapts through configurable automations, conditional branching, AI template generation, and full audit trails.
Financial institutions face complex regulatory requirements and need precise process execution.
Employee onboarding with compliance requirements:
- FINRA compliance steps - automated routing for securities licensing verification
- Role-based conditional logic - different onboarding paths for tellers, commercial lending, IT, and management
- Branch-specific procedures - location-based automations for multi-branch operations
- BSA training tracking - completion verification for regulatory audits
Marketing approval workflows:
- Regulatory checkpoints - all marketing materials need compliance officer approval before publication
- Interest rate verification - automated checks to confirm advertised rates match current offerings
- Multi-stage approvals - commercial, legal review, and final authorization sequences
- Audit trail - full documentation for regulatory examinations
Account creation and management:
- Standardized procedures - consistent account setup across different personnel
- KYC (Know Your Customer) - systematic identity verification workflows
- AML (Anti-Money Laundering) - built-in checks and documentation requirements
- Cross-training - multiple staff can perform critical functions using documented procedures. For multinational operations, consider global language requirements
Insurance workflows often involve complex decision trees and carrier-specific requirements.
Marine insurance endorsement processing:
- Carrier-specific procedures - different workflows for different insurance carriers
- Equipment vs. vessel endorsements - conditional logic picks the right documentation requirements
- Progressive information gathering - initial assessment followed by detailed data collection as needed
- Tribal knowledge preservation - expert knowledge captured in repeatable procedures
Claims processing and risk assessment:
- Conditional routing by claim type - different procedures for equipment damage vs. vessel incidents
- Documentation requirements - systematic collection of required evidence and reports
- Approval hierarchies - risk-based routing to the right decision makers
- Carrier compliance - automated adherence to specific carrier protocols
Asset management companies face extensive audit trail requirements across multiple jurisdictions.
Investment adviser compliance (SEC Rules 204-2 and 206(4)-7):
- Books and records - every advisory transaction logged with user identity, timestamp, and decision rationale for five-year retention [1]
- Annual compliance review - written documentation of each program review, capturing reviewer identity, findings, and remediation actions [2]
- Order management audit trails - complete lifecycle tracking from order inception through execution, meeting FINRA Rules 7160 and 7360 [3, 4]
Private fund management (enhanced SEC rules):
- Portfolio valuation - step-by-step workflows capturing valuation methodologies, responsible parties, and approval chains
- Fee calculation documentation - detailed trails showing computation logic, supporting data, and authorizing personnel
- Investor reporting - systematic processes ensuring accurate, timely disclosures with full audit trails
European MiFID II/MiFIR compliance:
- Transaction reporting - audit trail systems that reconstruct complete order lifecycles for regulatory reporting [5]
- Communications retention - electronic records of all client-related communications maintained for five to seven years with user attribution and timestamps [6]
- Best execution documentation - systematic procedures demonstrating compliance with best execution obligations
Anti-Money Laundering (AML) processes:
- Customer due diligence - risk-based KYC procedures with detailed documentation of review steps and responsible personnel
- Suspicious activity monitoring - alert investigation workflows capturing analyst findings, escalation decisions, and SAR filing rationale [7]
- AML program documentation - complete procedures meeting current and forthcoming FinCEN requirements
Many regulated sectors legally mandate workflows that produce immutable audit trails - logging each task with user identity, timestamp, and outcome.
FDA electronic batch manufacturing records (eBMR): Pharmaceutical companies must implement secure audit trail systems capturing every creation, modification, or deletion of critical production data under 21 CFR 211.188(b) [8].
- Production steps - each weighing, mixing, and cleaning operation logged with operator identity and timestamp
- Review requirements - procedures ensuring audit trail review after each significant manufacturing step
- Change control - all modifications documented with user ID, timestamp, and scientific rationale
- Deviation investigation - standardized workflows for investigating deviations from approved procedures
ICH E6(R3) good clinical practice requirements: Clinical trial sponsors must maintain computerized systems capturing metadata that reconstructs the complete course of trial events [9].
- eCRF workflows - every data entry and modification logged with investigator identity, timestamp, and reason for change
- Protocol deviation documentation - procedures for documenting, investigating, and reporting deviations
- Audit trail reviews - risk-based workflows for periodic review of trial data and metadata integrity
- Regulatory submissions - complete documentation supporting regulatory filings with full user attribution
ISO 13485 quality management system requirements: Medical device manufacturers must maintain strong document control and traceability systems - every change logged with the responsible individual and rationale [10].
- Design control - procedures capturing design inputs, outputs, reviews, and changes with user attribution
- Production records - batch-specific documentation showing which personnel performed each step
- CAPA processes - workflows documenting problem identification, investigation, and resolution
- Management reviews - regular quality system reviews with documented findings and improvement actions
FAA Advisory Circular AC 145-9A requirements: Aviation repair stations must use maintenance work packages capturing detailed records of every maintenance action [11].
- Maintenance tasks - “travelers” or “routers” listing each step with technician signature, stamp, or electronic ID
- Inspection workflows - ensuring proper inspection and sign-off for each task
- Parts traceability - documentation of parts installation with serial numbers and responsible personnel
- Return-to-service - final inspection and approval workflows with clear accountability chains
10 CFR 50 Appendix B quality assurance requirements: Nuclear facilities must maintain QA records detailing each inspection, test, and corrective action with clear personnel attribution [12].
- QA documentation - workflows capturing inspection findings, test results, and corrective actions
- Fitness-for-duty - processes documenting personnel qualifications with 40-year retention requirements
- Configuration management - change control ensuring all modifications are properly documented and approved
- Emergency response - pre-planned workflows with clear role assignments and communication protocols
FDA Food Safety Modernization Act (FSMA) requirements: Food facilities must document every monitoring activity, verification check, and corrective action under 21 CFR Part 117 [13].
- HACCP documentation - procedures capturing monitoring data, verification activities, and corrective actions
- Preventive controls verification - regular workflows confirming the effectiveness of implemented controls
- Supplier verification programs - procedures for evaluating and monitoring supplier compliance
- Recall procedures - pre-established workflows enabling rapid product recall with complete traceability
HIPAA audit controls requirements: Healthcare organizations must implement audit trail systems under 45 C.F.R. section 164.312(b) capturing all electronic protected health information (ePHI) interactions [14].
- Access logging - documentation of user log-on/off events, file access attempts, and record modifications
- Breach investigation - standardized workflows for investigating and documenting potential privacy breaches
- Risk assessment - regular procedures for evaluating and documenting security risks
- Incident response - procedures for responding to security incidents with proper documentation
Daily Drilling Report (DDR) requirements: Upstream operations require complete documentation of all drilling activities with chronological records and personnel attribution [15].
- Drilling activity - time-based logging of operations, bit runs, mud logging, and casing
- Non-productive time tracking - documentation of delays, equipment failures, and remediation
- Safety incident reporting - procedures for documenting and investigating safety events
- Environmental compliance - regular procedures ensuring adherence to environmental regulations
IATF 16949:2016 traceability requirements: Automotive manufacturers must implement unique identification and logging systems for every production process step [16].
- Production traceability - each operation logged with operator identity, timestamp, workstation, and quality parameters
- Change control - documentation of all process changes with technical justification
- Supplier quality - workflows for monitoring and documenting supplier performance
- Customer complaints - standardized procedures for investigating and resolving quality issues
OSHA 29 CFR 1910.119 process safety management requirements: Facilities handling highly hazardous chemicals must maintain detailed training and safety review records [17].
- Training documentation - procedures capturing employee training with identity, date, and verification methods
- Pre-startup safety reviews - documenting safety checks before process modifications
- Process hazard analysis - regular workflows for identifying and documenting process hazards
- Incident investigation - standardized processes for investigating and documenting safety incidents
MSHA workplace examination requirements: Mining operations must conduct regular workplace examinations with detailed documentation under 30 CFR 56/57.18002 [18].
- Shift examinations - visual inspection with documentation of tracks traversed and hazards identified
- Equipment inspection - documenting equipment condition and safety compliance
- Hazard abatement - standardized processes for identifying, documenting, and correcting safety hazards
- Training records - documentation of miner safety training and certification
NERC CIP cybersecurity requirements: Electric utilities must implement audit logging systems under NERC CIP-007-6 and CIP-010-5 [19].
- Security event monitoring - documentation of user activities on critical cyber systems
- Patch management - procedures documenting security patch deployment with personnel attribution
- Access control - workflows managing and documenting system access
- Incident response - standardized procedures for responding to cybersecurity incidents
ISO/IEC 17025:2017 requirements: Testing and calibration laboratories must maintain complete audit trails under Clause 7.5.3 [20].
- Electronic record-keeping - systems preventing overwriting of original entries while maintaining audit trails
- Sampling documentation - processes capturing sampler identity, location, environmental conditions, and statistical rationale
- Calibration workflows - procedures documenting calibration activities with personnel attribution
- Quality control - regular procedures ensuring measurement quality and traceability
49 CFR 213 track inspection requirements: Railroad operators must conduct regular track inspections with detailed documentation requirements [21].
- Visual inspection - documenting track conditions with inspector identity and findings
- Defect remediation - standardized workflows for addressing identified track defects
- Equipment inspection - regular documentation of track maintenance equipment condition
- Training and certification - procedures ensuring inspector qualifications
OSHA 29 CFR 1926.1412 crane inspection requirements: Construction operations must maintain detailed equipment inspection records [22].
- Daily equipment inspection - documenting equipment condition with inspector attribution
- Maintenance documentation - capturing equipment maintenance activities
- Safety incident reporting - workflows for documenting and investigating construction safety events
- Training records - procedures ensuring operator qualification and certification
Law firms need precise procedures with client-specific variations.
Client onboarding and matter management:
- Practice area-specific workflows - different procedures for litigation, corporate, real estate, etc.
- Client ID and matter tracking - case identification and progress monitoring
- Document preparation workflows - standardized processes for common legal documents
- Billing and time tracking - consistent procedures for fee management
Document production and review:
- Financial affidavit preparation - step-by-step guidance for complex financial disclosures
- Conditional logic for asset types - different procedures based on real estate, investments, business ownership
- Real estate-specific steps - automated workflows for property valuation and debt verification
- Review and approval sequences - multi-stage quality control and attorney review
Regulatory compliance procedures:
- Court filing requirements - adherence to jurisdiction-specific rules
- Client confidentiality protocols - built-in safeguards for sensitive information handling
- Ethical compliance workflows - automated checks for conflict of interest and professional responsibility
Technology and security firms need systematic assessment and compliance procedures.
Annual vendor security assessments:
- SOC 2 report evaluation - standardized review procedures for security compliance
- Custom security questionnaires - conditional logic based on vendor risk classification
- Multi-vendor comparison workflows - evaluation across multiple providers
- Risk scoring and decision matrices - consistent assessment criteria and documentation
Security incident response:
- Incident classification workflows - different procedures based on severity and type
- Involved-party notification sequences - automated alerts to appropriate parties
- Documentation and reporting - evidence collection and reporting
- Post-incident review procedures - standardized analysis and improvement identification
Patient care protocols:
- Treatment pathway workflows - standardized care sequences for common conditions
- Medication administration - step-by-step safety checks and documentation
- Discharge planning - preparation for patient transitions
Regulatory compliance:
- HIPAA workflows - privacy and security procedures
- Joint Commission preparation - processes for accreditation readiness
- Incident reporting - documentation and analysis workflows
- Staff credentialing - verification and maintenance procedures
Equipment maintenance protocols:
- Preventive maintenance - automated workflows based on equipment type and usage
- Safety procedure compliance - step-by-step adherence to safety requirements
- Documentation tracking - record keeping for audits
- Cross-training - standardized procedures for skill development
Progressive information revelation:
- Kickoff forms with essential data only - launch with guaranteed available information
- Conditional step revelation - additional steps appear based on earlier responses
- Just-in-time information gathering - collect data when it’s needed rather than upfront
- Exception handling - clear procedures for unusual situations
Role-based process variations:
- Department-specific routing - different procedures based on organizational structure
- Expertise-level adaptations - simplified procedures for new staff, advanced options for experts
- Geographic variations - different procedures for different offices or regions, including compliance with local language requirements
- Client-type specific workflows - customized procedures based on relationship type
Audit trail generation:
- Complete process documentation - every step tracked with timestamps and responsible parties
- Export for auditors - easy generation of compliance reports and evidence
- Process version control - historical tracking of procedure changes and rationale
- Evidence collection - gathering and organization of required documentation
Risk management integration:
- Risk-based routing - higher-risk scenarios automatically escalated to the right authority levels
- Compliance checkpoint enforcement - required approvals and verifications built into workflows
- Exception reporting - automatic flagging of deviations from standard procedures
- Continuous monitoring - real-time visibility into compliance status across all processes
Phase 1 - high-impact, lower-complexity processes
- Start with frequently performed procedures that don’t need extensive regulatory review
- Focus on processes where consistency directly impacts quality or efficiency
- Pick workflows that demonstrate clear value to gain organizational buy-in
Phase 2 - regulatory and compliance-critical procedures
- Implement workflows that directly impact regulatory compliance or audit readiness
- Include processes where standardization reduces risk or improves quality
- Focus on procedures that need extensive documentation or approval trails
Phase 3 - complex, multi-department workflows
- Implement processes that span multiple departments or need extensive coordination
- Include workflows with complex conditional logic or numerous exception paths
- Focus on procedures that benefit most from real-time tracking and visibility
Successful implementations use existing industry knowledge.
Subject matter expert collaboration:
- Work with internal experts to capture specific industry requirements
- Document not just procedures but reasoning and context behind decisions
- Include regulatory knowledge and compliance requirements in workflow design
- Plan for ongoing expert review and procedure refinement
Regulatory and standards alignment:
- Make sure workflows comply with industry-specific regulations and standards
- Include required documentation and approval steps for compliance
- Design audit-ready processes with built-in evidence collection and reporting
- Plan for regulatory change management and procedure updates
[1]: Cornell Law School. “17 CFR § 275.204-2 - Books and records to be maintained by investment advisers.” https://www.law.cornell.edu/cfr/text/17/275.204-2 ↗
[2]: Cornell Law School. “17 CFR § 275.206(4)-7 - Compliance procedures and practices.” https://www.law.cornell.edu/cfr/text/17/275.206%284%29-7 ↗
[3]: FINRA. “7160. Audit Trail Requirements.” https://www.finra.org/rules-guidance/rulebooks/finra-rules/7160 ↗
[4]: FINRA. “7360. Audit Trail Requirements.” https://www.finra.org/rules-guidance/rulebooks/finra-rules/7360 ↗
[5]: RBC Capital Markets. “Transaction Reporting Under MiFID II.” https://www.rbccm.com/assets/rbccm/docs/news/2017/mifid-4of4.pdf ↗
[6]: ACA Group. “MiFID II for Asset Managers: Communications Record Keeping.” https://www.acaglobal.com/insights/mifid-ii-asset-managers-communications-record-keeping/ ↗
[7]: iCapital. “FinCEN’s New AML Rules: What Advisers Need to Know.” https://icapital.com/insights/practice-management/fincens-new-aml-rules-what-advisers-need-to-know/ ↗
[8]: FDA. “Data Integrity and Compliance With Drug CGMP.” https://www.fda.gov/media/119267/download ↗
[9]: ICH. “Good Clinical Practice (GCP) E6(R3) Draft Guideline.” https://database.ich.org/sites/default/files/ICH_E6%28R3%29_DraftGuideline_2023_0519.pdf ↗
[10]: BPRHub. “ISO 13485: Traceability & Identification Requirements.” https://www.bprhub.com/blogs/iso-13485-traceability-medical-device-identification ↗
[11]: FAA. “AC 145-9A - Advisory Circular.” https://www.faa.gov/documentLibrary/media/Advisory_Circular/AC_145-9A.pdf ↗
[12]: NRC. “Section 15- Quality Assurance Records.” https://www.nrc.gov/docs/ML0605/ML060590368.pdf ↗
[13]: Sustainable Agriculture Research & Education. “Food Safety Plan and Recordkeeping - Preventive Controls.” https://sustainableagriculture.net/fsma/learn-about-the-issues/food-safety-plan-and-recordkeeping-preventive-controls/ ↗
[14]: Compliancy Group. “What Are HIPAA Audit Trail and Audit Log Requirements?” https://compliancy-group.com/hipaa-audit-log-requirements/ ↗
[15]: TID Journal. “Daily Drilling Report - Drilling & Well Completion.” https://www.tidjma.tn/en/glossary/o-g-daily-drilling-report-6580/ ↗
[16]: Pretesh Biswas. “IATF 16949:2016 Clause 8.5.2.1 Identification and traceability.” https://preteshbiswas.com/2023/08/01/iatf-169492016-clause-8-5-2-1-identification-and-traceability/ ↗
[17]: OSHA. “Process safety management of highly hazardous chemicals.” https://www.osha.gov/laws-regs/regulations/standardnumber/1910/1910.119 ↗
[18]: Cornell Law School. “30 CFR § 56.18002 - Examination of working places.” https://www.law.cornell.edu/cfr/text/30/56.18002 ↗
[19]: NERC. “Standard Development Timeline - CIP-007-X.” https://www.nerc.com/pa/Stand/Project_202303_INSM_DL/2023%2003%20CIP-007-X%20redline%20to%20CIP-007-6_Dec14_2023.pdf ↗
[20]: Demarche. “Understanding and Implementing ISO/IEC 17025.” https://www.demarcheiso17025.com/document/Understanding%20and%20Implementing%20ISO17025.pdf ↗
[21]: Cornell Law School. “49 CFR § 213.241 - Inspection records.” https://www.law.cornell.edu/cfr/text/49/213.241 ↗
[22]: OSHA. “1926.1412 - Inspections.” https://www.osha.gov/laws-regs/regulations/standardnumber/1926/1926.1412 ↗
How To > Complex approval workflows
Turn multi-level approvals into trackable workflows with kick-off forms, conditional routing, dynamic assignments, and automated reminders in Tallyfy.
How To > Eliminate tribal knowledge
Tribal knowledge represents critical business information and processes that exist only in individual employees’ minds rather than being systematically documented creating significant organizational vulnerabilities operational inefficiencies and business risks that can be eliminated through structured workflow systems like Tallyfy.
Tallyfy’s glossary defines all platform-specific terms from A to W — including roles like Administrator and Light user and concepts like templates and processes and automation rules and API blueprints — so users can quickly understand how each feature and workflow element works together.
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