Introduction

The Audit Trails and Compliance Management in Fiserv DocPlus course is designed for administrators, compliance officers, and IT professionals who manage document security and regulatory adherence. Participants will learn to implement audit trails, monitor user activity, ensure data integrity, and maintain compliance with internal policies and regulatory requirements using the DocPlus platform.

Prerequisites

• Completion of Fiserv DocPlus Fundamentals and/or DocPlus Administration

• Basic understanding of regulatory compliance requirements and document management principles

• Familiarity with enterprise workflows and access control

Table of Contents

1. Introduction to Audit Trails and Compliance
 1.1 Importance of Audit Trails in Document Management
 1.2 Regulatory and Compliance Requirements
 1.3 Overview of DocPlus Compliance Features

2. User Activity Tracking
 2.1 Monitoring Document Access and Modifications
 2.2 Tracking Workflow Actions and Approvals
 2.3 Generating User Activity Reports

3. Configuring Audit Trails in DocPlus
 3.1 Enabling and Customizing Audit Logging
 3.2 Defining Events and Actions to Track
 3.3 Retention and Storage of Audit Data

4. Compliance Management
 4.1 Role-Based Access Controls and Permissions
 4.2 Ensuring Regulatory Compliance (KYC, AML, Data Privacy)
 4.3 Maintaining Policy Adherence Across Teams

5. Monitoring and Reporting
 5.1 Generating Compliance Reports
 5.2 Dashboard Monitoring of Audit and Security Events
 5.3 Analyzing Trends and Identifying Risks

6. Incident Handling and Investigation
 6.1 Investigating Unauthorized Access or Changes
 6.2 Corrective Actions and Escalation Procedures
 6.3 Maintaining Documentation for Audits

7. Integration with Enterprise Compliance Systems
 7.1 Synchronizing DocPlus with GRC Platforms
 7.2 Automating Compliance Checks and Alerts
 7.3 Enhancing Organizational Oversight

8. Best Practices
 8.1 Maintaining Accurate and Reliable Audit Trails
 8.2 Continuous Monitoring and Process Improvement
 8.3 Lessons from Real-World Implementations

The Audit Trails and Compliance Management in Fiserv DocPlus course empowers participants to monitor, manage, and enforce compliance effectively. By mastering audit trail configuration and compliance practices, organizations can ensure data integrity, mitigate risks, and maintain regulatory adherence in document management processes.