In today’s digital world, securing sensitive documents is crucial for businesses of all sizes. A document management system (DMS) can make documents more accessible and workflow more efficient, but it also introduces new security risks. Protecting these digital files from unauthorized access, data breaches and cyber attacks requires a strategic approach to security. In this article we will discuss the best practices for securing documents in a document management system, from implementing strong access controls to compliance with data protection regulations.
Understanding the Security Risks in Document Management
The main risks in document management are unauthorized access, data loss and cyber threats. When sensitive information is stored electronically there is always a risk of hackers getting access to it. Employees may also unintentionally expose confidential data either through negligence or lack of understanding of security protocols. Without a robust security framework in place, these vulnerabilities can be devastating to a business, with consequences ranging from financial loss and reputational damage to legal repercussions.
To minimize these risks, organizations must ensure the document management systems they implement have strong security features. It’s important to address external threats (hackers) and internal threats (employees mishandling sensitive documents). By understanding the specific risks of storing and managing documents digitally, businesses can prepare themselves to prevent security breaches and maintain a secure document environment.
Implementing Strong Access Controls
One of the best ways to secure documents in a DMS system is through strong access controls. Implementing strict role-based access ensures only authorized personnel can view and edit sensitive documents. Access can be given through user authentication methods such as usernames and passwords, multi-factor authentication (MFA), and biometric security measures.
With a document management system, businesses can assign specific roles and permissions to users based on their job responsibilities. For example, employees may be granted “read-only” access to certain documents, while others may have the ability to edit or delete files. This principle of least privilege ensures users only have access to the documents they need to do their job, limiting the risk of unauthorized access or accidental data exposure. Restricting access also prevents internal fraud where malicious actors within an organization may try to steal sensitive data.
Encrypting Data at Rest and in Transit
Encryption is key to securing documents in a digital document management system. It ensures data is unreadable to unauthorized users, whether it’s stored on a server or transmitted over a network. Encryption protects documents at rest (when stored on a hard drive or cloud storage) and in transit (while being transferred between users or systems).
To maximize security, businesses should ensure their electronic document management system uses strong encryption methods such as AES-256, which is widely regarded as one of the most secure encryption algorithms. Encrypting sensitive documents ensures that even if a hacker gets into a system, the data will be unreadable without the decryption key. This makes it much harder for cybercriminals to get to business-critical information.
Implementing encryption for data in transit is also important for businesses using a cloud-based document management system. When documents are shared or accessed remotely, the data must be encrypted during transmission to prevent interception by malicious actors. SSL/TLS protocols should be used to secure data as it travels over the internet so sensitive information is protected at all times.
Keeping Detailed Audit Trails and Logs
To secure key documents, businesses should implement detailed audit trails and logs within their document management system software. These logs track user activity such as document access, modifications and deletions, providing valuable insight into how documents are being handled and who is interacting with them.
Audit trails can be an early warning system, allowing businesses to detect suspicious activity quickly. For example, if an employee accesses a document they don’t have permission to view, or if documents are being deleted without authorization, the audit logs can alert system administrators to investigate further. In addition, having a detailed record of user activity can help businesses comply with regulatory requirements, as many industries require businesses to track document interactions for auditing purposes.
Secure Sharing and Collaboration
Collaboration is a key feature of modern document management systems, but it also presents security challenges. Sharing sensitive documents with external parties – such as contractors, clients or vendors – can expose businesses to security risks. Businesses should prioritise sharing documents securely to avoid these risks. Luckily, many online document management systems have built-in security features for secure file sharing, including password protection for document links, expiration dates for shared files, and permission controls that limit what recipients can do with the documents (e.g. view, edit or print). For example, a contract document management system might allow a business to share contracts with clients while ensuring they can only view the document—not modify it or download it to their device.
Another best practice is to avoid sending sensitive documents as email attachments. This is due to the fact that email is an insecure medium for transmitting confidential information. Instead, businesses can use secure sharing features within their document management systems, which offer more control and visibility over who accesses the document and how it’s used.
Backups and Disaster Recovery
No security strategy is complete without a robust disaster recovery plan and regular backups of critical documents. In the event of a cyber attack, hardware failure or natural disaster, businesses need to be able to recover their documents quickly and get back to business.
Regularly backing up documents stored in a cloud-based document management system or enterprise content management system helps to mitigate the risk of data loss. Businesses should ensure their backups are encrypted and stored in a secure offsite location. Another good idea is to implement a comprehensive disaster recovery plan, outlining the steps to take in the event of data loss or a security breach. This plan should include procedures for restoring files from backups, notifying affected parties and minimizing downtime.
Compliance with Data Protection Regulations
Many industries are subject to data protection regulations, such as the General Data Protection Regulation (GDPR) in the European Union, HIPAA in the United States or the California Consumer Privacy Act (CCPA). These regulations impose strict guidelines on how sensitive data should be stored, accessed and protected.
A legal document management system can help businesses comply with these regulations by providing features such as automated retention schedules, secure document disposal and role-based access controls. A document management system can help with the required documentation and reporting needed to demonstrate compliance during audits.
Preventing Insider Threats through User Training
While external cyber threats are often the focus of security efforts, insider threats – employees intentionally or unintentionally compromising document security – pose a significant risk. One of the most effective ways to prevent insider threats is through comprehensive user training. Training employees on how to access, share and store documents securely is key. Employees should be educated on strong passwords, phishing attempts and company policies for handling sensitive information. Businesses should also regularly review and update training materials to address new security threats and ensure all employees are aware of the latest security best practices.
Choosing a Security-Focused DMS Vendor
Finally choosing the right document management system vendor is crucial to ensure your system meets your organization’s security needs. When evaluating DMS vendors, businesses should prioritize those with a strong focus on security. Look for:
- End-to-end encryption for data at rest and in transit
- Multi-factor authentication (MFA) for accessing the system in question
- Role-based access controls and permissions
- Compliance certifications (e.g. ISO 27001, SOC 2, GDPR)
- Regular security audits and vulnerability assessments
By choosing a vendor that prioritizes security, businesses can ensure their document management system software will provide the protection needed to safeguard sensitive documents.
Securing documents a top priority
Securing sensitive documents in a document management system requires a multi-layered approach to security. From access controls and encryption to audit trails and compliance, there are many ways businesses can secure their digital documents. By following these best practices, businesses can mitigate the risks associated with document management, protect sensitive information and maintain the trust of their clients and stakeholders. As cyber threats evolve, investing in a secure digital document management system is essential for any business that handles sensitive documents.
