Tallyfy provides enterprise-grade security through SOC 2 Type 2 compliance certification comprehensive data encryption multi-factor authentication principle of least privilege access controls mandatory SSO enforcement environment segregation vulnerability assessments incident response frameworks third-party risk management protocols and comprehensive audit trail capabilities meeting regulatory requirements across highly regulated industries.
Industry-specific workflow applications
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Different industries have unique operational challenges, regulatory requirements, and process complexities. Tallyfy’s flexible workflow template system and conditional logic capabilities enable organizations to create workflows that address these industry-specific needs while maintaining consistency and compliance.
Rather than forcing generic processes, Tallyfy adapts to the specialized requirements of each sector through configurable automations, conditional branching, industry-aware AI template generation, and comprehensive audit trail capabilities that meet the strictest regulatory demands.
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 roles
- Branch-specific procedures: Location-based automations for multi-branch operations
- BSA training tracking: Systematic completion verification for regulatory audits
Marketing Approval Workflows:
- Regulatory compliance checkpoints: All marketing materials require compliance officer approval before publication
- Interest rate verification: Automated checks to ensure advertised rates match current offerings
- Multi-stage approvals: Commercial aspects, legal review, and final authorization sequences
- Audit trail maintenance: Complete documentation for regulatory examinations
Account Creation and Management:
- Standardized procedures: Consistent account setup across different personnel
- KYC (Know Your Customer) integration: Systematic identity verification workflows
- AML (Anti-Money Laundering) compliance: Built-in checks and documentation requirements
- Cross-training capabilities: Multiple staff can perform critical functions using documented procedures. For multinational operations, consider global language requirements to ensure all staff can understand critical procedures
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 determines appropriate documentation requirements
- Progressive information gathering: Initial assessment followed by detailed data collection as needed
- Tribal knowledge preservation: Expert knowledge captured in systematic, repeatable procedures
Claims Processing and Risk Assessment:
- Conditional routing based on 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 appropriate decision makers
- Compliance with carrier requirements: Automated adherence to specific carrier protocols
Asset management companies face extensive regulatory audit trail requirements across multiple jurisdictions:
Investment Adviser Compliance (SEC Rules 204-2 and 206(4)-7):
- Books and records maintenance: Every advisory transaction logged with user identity, timestamp, and decision rationale for five-year retention periods [1]
- Annual compliance review documentation: Written documentation of each compliance 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 requirements [3, 4]
Private Fund Management (Enhanced SEC Rules):
- Portfolio valuation procedures: Step-by-step workflows capturing valuation methodologies, responsible parties, and approval chains
- Fee calculation documentation: Detailed trails showing fee computation logic, supporting data, and authorizing personnel
- Investor reporting workflows: Systematic processes ensuring accurate, timely disclosures with complete audit trails
European MiFID II/MiFIR Compliance:
- Transaction reporting workflows: Robust audit trail systems reconstructing 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 workflows: Risk-based KYC procedures with comprehensive 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: Comprehensive procedures meeting forthcoming FinCEN requirements effective January 2026
Numerous highly regulated sectors legally mandate workflow processes that generate immutable audit trails, logging each task with user identity, timestamp, and outcome to satisfy safety, quality, and regulatory requirements.
FDA Electronic Batch Manufacturing Records (eBMR): Pharmaceutical companies must implement secure, computer-generated audit trail systems capturing every creation, modification, or deletion of critical production data under 21 CFR 211.188(b) [8].
- Production step documentation: Each weighing, mixing, and cleaning operation logged with operator identity and timestamp
- Review requirement workflows: Systematic procedures ensuring audit trail review after each significant manufacturing step
- Change control processes: All modifications documented with user ID, timestamp, and scientific rationale
- Deviation investigation: Standardized workflows for investigating and documenting any 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].
- Electronic Case Report Form (eCRF) workflows: Every data entry and modification logged with investigator identity, timestamp, and reason for change
- Protocol deviation documentation: Systematic procedures for documenting, investigating, and reporting any deviations from approved protocols
- Audit trail reviews: Risk-based workflows for periodic review of trial data and metadata integrity
- Regulatory submission processes: Comprehensive documentation supporting regulatory filings with complete user attribution
ISO 13485 Quality Management System Requirements: Medical device manufacturers must maintain robust document control and traceability systems ensuring every change is logged with responsible individual and rationale [10].
- Design control workflows: Systematic procedures capturing design inputs, outputs, reviews, and changes with complete user attribution
- Production record maintenance: Batch-specific documentation showing which personnel performed each manufacturing step
- Corrective and preventive action (CAPA) processes: Comprehensive workflows documenting problem identification, investigation, and resolution
- Management review procedures: 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 task documentation: “Travelers” or “routers” listing each step with technician signature, stamp, or electronic ID
- Inspection workflows: Systematic procedures ensuring proper inspection and sign-off for each maintenance task
- Parts traceability: Complete documentation of parts installation with serial numbers and responsible personnel
- Return-to-service processes: 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].
- Quality assurance documentation: Comprehensive workflows capturing inspection findings, test results, and corrective actions
- Fitness-for-duty procedures: Systematic processes documenting personnel qualification determinations with 40-year retention requirements
- Configuration management: Change control processes ensuring all modifications are properly documented and approved
- Emergency response procedures: 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].
- Hazard Analysis and Critical Control Points (HACCP) documentation: Systematic procedures capturing monitoring data, verification activities, and corrective actions
- Preventive controls verification: Regular workflows confirming the effectiveness of implemented controls
- Supplier verification programs: Comprehensive 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 comprehensive audit trail systems under 45 C.F.R. § 164.312(b) capturing all electronic protected health information (ePHI) interactions [14].
- Access logging workflows: Systematic documentation of user log-on/off events, file access attempts, and record modifications
- Breach investigation procedures: Standardized workflows for investigating and documenting potential privacy breaches
- Risk assessment processes: Regular procedures for evaluating and documenting security risks
- Incident response workflows: Comprehensive procedures for responding to security incidents with detailed documentation requirements
Daily Drilling Report (DDR) Requirements: Upstream operations require comprehensive documentation of all drilling activities with chronological records and personnel attribution [15].
- Drilling activity documentation: Time-based logging of drilling operations, bit runs, mud logging, and casing operations
- Non-productive time tracking: Detailed documentation of delays, equipment failures, and remediation actions
- Safety incident reporting: Systematic procedures for documenting and investigating safety events
- Environmental compliance workflows: 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 workflows: Each manufacturing operation logged with operator identity, timestamp, workstation, and quality parameters
- Change control procedures: Systematic documentation of all process changes with technical justification
- Supplier quality management: Comprehensive workflows for monitoring and documenting supplier performance
- Customer complaint resolution: 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 workflows: Comprehensive procedures capturing employee training with identity, date, and verification methods
- Pre-startup safety reviews: Systematic procedures documenting safety checks before process modifications
- Process hazard analysis: Regular workflows for identifying and documenting process hazards
- Incident investigation procedures: 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 examination procedures: Visual inspection workflows with documentation of tracks traversed and hazards identified
- Equipment inspection processes: Systematic procedures for documenting equipment condition and safety compliance
- Hazard abatement workflows: Standardized processes for identifying, documenting, and correcting safety hazards
- Training record maintenance: Comprehensive documentation of miner safety training and certification
NERC CIP Cybersecurity Requirements: Electric utilities must implement comprehensive audit logging systems under NERC CIP-007-6 and CIP-010-5 [19].
- Security event monitoring: Systematic documentation of user activities on critical cyber systems
- Patch management workflows: Detailed procedures documenting security patch deployment with personnel attribution
- Access control procedures: Comprehensive workflows managing and documenting system access
- Incident response processes: Standardized procedures for responding to cybersecurity incidents
ISO/IEC 17025:2017 Requirements: Testing and calibration laboratories must maintain comprehensive audit trails under Clause 7.5.3 [20].
- Electronic record-keeping workflows: Systems preventing overwriting of original entries while maintaining complete audit trails
- Sampling documentation procedures: Systematic processes capturing sampler identity, location, environmental conditions, and statistical rationale
- Calibration workflows: Comprehensive procedures documenting calibration activities with personnel attribution
- Quality control processes: 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 workflows: Systematic procedures documenting track conditions with inspector identity and findings
- Defect remediation processes: Standardized workflows for addressing identified track defects
- Equipment inspection procedures: Regular documentation of track maintenance equipment condition
- Training and certification workflows: Comprehensive procedures ensuring inspector qualifications
OSHA 29 CFR 1926.1412 Crane Inspection Requirements: Construction operations must maintain detailed equipment inspection records [22].
- Daily equipment inspection workflows: Systematic procedures documenting equipment condition with inspector attribution
- Maintenance documentation processes: Comprehensive procedures capturing equipment maintenance activities
- Safety incident reporting: Standardized workflows for documenting and investigating construction safety events
- Training record maintenance: Systematic procedures ensuring operator qualification and certification
Law firms require 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: Systematic case identification and progress monitoring
- Document preparation workflows: Standardized processes for common legal documents
- Billing and time tracking integration: 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: Systematic 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: Systematic 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
- Stakeholder notification sequences: Automated alerts to appropriate parties
- Documentation and reporting requirements: Systematic evidence collection and reporting
- Post-incident review procedures: Standardized analysis and improvement identification
Healthcare organizations require precise procedures with patient safety focus:
Patient Care Protocols:
- Treatment pathway workflows: Standardized care sequences for common conditions
- Medication administration procedures: Step-by-step safety checks and documentation
- Discharge planning processes: Systematic preparation for patient transitions
- Quality assurance protocols: Consistent review and improvement procedures
Regulatory Compliance Management:
- HIPAA compliance workflows: Systematic privacy and security procedures
- Joint Commission preparation: Standardized processes for accreditation readiness
- Incident reporting procedures: Consistent documentation and analysis workflows
- Staff credentialing processes: Systematic verification and maintenance procedures
Manufacturing operations require precise, repeatable procedures:
Equipment Maintenance Protocols:
- Preventive maintenance schedules: Automated workflows based on equipment type and usage
- Safety procedure compliance: Step-by-step adherence to safety requirements
- Documentation and certification tracking: Systematic record keeping for audits
- Cross-training and knowledge transfer: Standardized procedures for skill development
Many industries require sophisticated branching based on multiple criteria:
Progressive Information Revelation:
- Kickoff forms with essential data only: Initial process launch with guaranteed available information
- Conditional step revelation: Additional steps appear based on earlier responses
- Just-in-time information gathering: Data collection precisely when needed rather than upfront
- Exception handling: Clear procedures for unusual situations not covered in standard flows
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 or location-based variations: Different procedures for different offices or regions, including compliance with local language requirements for workforce documentation
- Client or customer-type specific workflows: Customized procedures based on relationship type
Industries with heavy regulatory requirements benefit from automated compliance features:
Audit Trail Generation:
- Complete process documentation: Every step tracked with timestamps and responsible parties
- Export capabilities for auditors: Easy generation of compliance reports and evidence
- Process version control: Historical tracking of procedure changes and rationale
- Evidence collection workflows: Systematic gathering and organization of required documentation
Risk Management Integration:
- Risk-based routing: Higher-risk scenarios automatically escalated to appropriate 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
Most industries benefit from systematic implementation:
Phase 1: High-Impact, Lower-Complexity Processes
- Start with frequently performed procedures that don’t require extensive regulatory review
- Focus on processes where consistency directly impacts quality or efficiency
- Choose 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 require extensive documentation or approval trails
Phase 3: Complex, Multi-Department Workflows
- Implement processes that span multiple departments or require 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 leverage existing industry knowledge:
Subject Matter Expert Collaboration:
- Work with internal experts to capture nuanced 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:
- Ensure workflows comply with industry-specific regulations and standards
- Include required documentation and approval steps for compliance purposes
- Design audit-ready processes with built-in evidence collection and reporting
- Plan for regulatory change management and procedure updates
By understanding and addressing industry-specific requirements, Tallyfy enables organizations to maintain competitive advantages through superior process execution while ensuring compliance and quality standards are consistently met across all regulatory frameworks.
[1]: Cornell Law School. “17 CFR § 275.204-2 - Books and records to be maintained by investment advisers.” Available at: 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.” Available at: https://www.law.cornell.edu/cfr/text/17/275.206%284%29-7 ↗
[3]: FINRA. “7160. Audit Trail Requirements.” Available at: https://www.finra.org/rules-guidance/rulebooks/finra-rules/7160 ↗
[4]: FINRA. “7360. Audit Trail Requirements.” Available at: https://www.finra.org/rules-guidance/rulebooks/finra-rules/7360 ↗
[5]: RBC Capital Markets. “Transaction Reporting Under MiFID II.” Available at: https://www.rbccm.com/assets/rbccm/docs/news/2017/mifid-4of4.pdf ↗
[6]: ACA Group. “MiFID II for Asset Managers: Communications Record Keeping.” Available at: https://www.acaglobal.com/insights/mifid-ii-asset-managers-communications-record-keeping/ ↗
[7]: iCapital. “FinCEN’s New AML Rules: What Advisers Need to Know.” Available at: https://icapital.com/insights/practice-management/fincens-new-aml-rules-what-advisers-need-to-know/ ↗
[8]: FDA. “Data Integrity and Compliance With Drug CGMP.” Available at: https://www.fda.gov/media/119267/download ↗
[9]: ICH. “Good Clinical Practice (GCP) E6(R3) Draft Guideline.” Available at: https://database.ich.org/sites/default/files/ICH_E6%28R3%29_DraftGuideline_2023_0519.pdf ↗
[10]: BPRHub. “ISO 13485: Traceability & Identification Requirements.” Available at: https://www.bprhub.com/blogs/iso-13485-traceability-medical-device-identification ↗
[11]: FAA. “AC 145-9A - Advisory Circular.” Available at: https://www.faa.gov/documentLibrary/media/Advisory_Circular/AC_145-9A.pdf ↗
[12]: NRC. “Section 15- Quality Assurance Records.” Available at: https://www.nrc.gov/docs/ML0605/ML060590368.pdf ↗
[13]: Sustainable Agriculture Research & Education. “Food Safety Plan and Recordkeeping - Preventive Controls.” Available at: 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?” Available at: https://compliancy-group.com/hipaa-audit-log-requirements/ ↗
[15]: TID Journal. “Daily Drilling Report - Drilling & Well Completion.” Available at: 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.” Available at: 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.” Available at: https://www.osha.gov/laws-regs/regulations/standardnumber/1910/1910.119 ↗
[18]: Cornell Law School. “30 CFR § 56.18002 - Examination of working places.” Available at: https://www.law.cornell.edu/cfr/text/30/56.18002 ↗
[19]: NERC. “Standard Development Timeline - CIP-007-X.” Available at: 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.” Available at: https://www.demarcheiso17025.com/document/Understanding%20and%20Implementing%20ISO17025.pdf ↗
[21]: Cornell Law School. “49 CFR § 213.241 - Inspection records.” Available at: https://www.law.cornell.edu/cfr/text/49/213.241 ↗
[22]: OSHA. “1926.1412 - Inspections.” Available at: https://www.osha.gov/laws-regs/regulations/standardnumber/1926/1926.1412 ↗
How To > Automatically track and run complex approval workflows
Tallyfy transforms complex approval workflows into trackable automated processes with clear visibility accountability and dynamic routing that eliminates status confusion and bottlenecks through intelligent form design conditional logic real-time monitoring and collaborative communication features.
This comprehensive glossary defines essential workflow platform terminology to help teams understand Tallyfy’s features including administrators with full access permissions agentic workflows using AI agents analytics for performance insights API integrations automation rules conditional logic templates processes tasks assignments and various user roles for effective business process management and digital transformation.
Automations > Logic operations explained
Tallyfy’s automation logic uses simple IF-THEN rules that evaluate user inputs and process conditions to automatically modify workflows and adapt processes to different scenarios without requiring technical expertise.
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