Documentation Requirements
Regulatory compliance requires comprehensive documentation of security controls, data handling, and operational procedures. This guide covers documentation requirements for ECM implementations.
Security Documentation
Security Architecture Document
## Security Architecture
### Authentication
- Token-based authentication using JWT
- Tokens issued by corporate IdP (Okta)
- Token lifetime: 1 hour, refresh enabled
- MFA required for all users
### Authorization
- RBAC with custom policy engine
- Policies stored in OPA
- Evaluated on every request
- Audit logged
### Encryption
- TLS 1.3 for all transport
- AES-256-GCM for data at rest
- Field-level encryption for PII
- Keys managed in AWS KMS
### Network Security
- Private VPC deployment
- WAF protection at edge
- Service mesh with mTLSData Flow Diagrams
## Data Flow Documentation
### Context Ingestion Flow
1. Source system (Salesforce)
2. -> CDC Connector [encrypted channel]
3. -> Stream Processor [transforms, validates]
4. -> Context Store [encrypted at rest]
### Context Access Flow
1. AI Application
2. -> API Gateway [auth, rate limit]
3. -> Context Service [authz check]
4. -> Context Store [query]
5. -> Response [filtered, audited]Privacy Documentation
Data Inventory
## Personal Data Inventory
| Data Element | Classification | Source | Retention | Legal Basis |
|--------------|---------------|--------|-----------|-------------|
| Customer Name | PII | CRM | 7 years | Contract |
| Email Address | PII | CRM | 7 years | Contract |
| Purchase History | Personal | Orders | 7 years | Legitimate Interest |
| Support Interactions | Personal | Helpdesk | 2 years | Legitimate Interest |
| Usage Analytics | Pseudonymous | App | 1 year | Consent |DPIA Template
## Data Protection Impact Assessment
### Processing Description
- Purpose: AI-powered customer support
- Data subjects: Customers
- Data types: Name, contact, support history
- Recipients: Customer support, AI systems
### Necessity Assessment
- Required for service delivery
- Minimized to necessary data
- Pseudonymized where possible
### Risk Assessment
- Unauthorized access: Medium (mitigated by encryption, access control)
- Data breach: Low (mitigated by security architecture)
- Function creep: Low (mitigated by purpose limitation)Operational Documentation
Runbooks
## Incident Response Runbook
### Security Incident Detected
1. Assess severity (P1-P4)
2. Notify incident commander
3. Contain threat (isolate affected systems)
4. Preserve evidence (logs, snapshots)
5. Investigate root cause
6. Remediate vulnerability
7. Notify affected parties if required
8. Post-incident reviewAudit Evidence
Control Evidence
## Control Evidence Matrix
| Control | Evidence Type | Frequency | Location |
|---------|--------------|-----------|----------|
| Access Review | Screenshots | Quarterly | SharePoint |
| Penetration Test | Report | Annual | Secure Share |
| Vulnerability Scan | Report | Weekly | Security Portal |
| Change Approval | Tickets | Per change | Jira |
| Backup Verification | Test results | Monthly | Confluence |Conclusion
Comprehensive documentation is essential for regulatory compliance. Maintain security architecture documentation, privacy records, operational runbooks, and evidence collection for audit readiness.
