Regulatory Compliance with DocRead for SharePoint
Regulatory compliance isn’t just a checkbox exercise — it’s an ongoing responsibility that demands clear communication, accountability, and documented proof. Organizations operating in regulated industries must ensure that policies are distributed properly, read on time, and acknowledged by the right employees. While SharePoint provides a secure and centralized environment for storing policies and procedures, it doesn’t automatically track whether staff have actually read and understood those documents. That gap can create serious risks during audits or regulatory reviews.
Regulatory Compliance with DocRead for SharePoint closes that gap by adding structured automation directly within your SharePoint environment. Available for SharePoint Server and Office 365, DocRead distributes policies to targeted users, enforces deadlines, requires read confirmations, and can even include testing to validate understanding. Every interaction is recorded, creating a clear audit trail that supports compliance reporting. Instead of chasing employees for acknowledgments, organizations gain measurable oversight, streamlined tracking, and stronger regulatory confidence.
HIPAA
The Health Insurance Portability and Accountability Act (HIPAA) is a U.S. federal law designed to safeguard the privacy and security of individuals’ health information while allowing secure data exchange between providers and insurers. Over time, HIPAA has expanded to address evolving compliance and risk concerns. These developments include the Security Rule, the Patient Safety Rule, and updates under ARRA-HITECH. Today, HIPAA is most commonly associated with the Privacy Rule, which governs the protection and disclosure of protected health information.
The Bribery Act
The UK Bribery Act came into force on 1 July 2011 and establishes strict criminal offences relating to bribery. It makes organisations liable if associated persons, including employees, contractors, or third parties, engage in bribery on their behalf, often to obtain or retain business. The Act applies to both public and private sectors and has broad extraterritorial reach. However, organisations have a statutory defence if they can demonstrate that adequate procedures, training, and internal controls were in place to prevent bribery and promote ethical conduct.
Drug-Free Workplace Act (DFWA)
The Drug-Free Workplace Act (DFWA) requires certain federal contractors and grant recipients to maintain a drug-free working environment. Organisations receiving federal grants or contracts exceeding $100,000 within the United States must comply with its provisions. Compliance includes publishing a formal drug-free workplace policy, establishing awareness programs, and taking action when violations occur. The Act promotes workplace safety, accountability, and productivity while protecting federal interests and supporting responsible organisational practices.
Equal Employment Opportunity Commission
The Equal Employment Opportunity Commission (EEOC) is a U.S. federal agency responsible for enforcing laws that prohibit workplace discrimination. It oversees legislation addressing discrimination based on race, color, religion, sex, national origin, age, disability, and genetic information. The EEOC investigates complaints, issues regulatory guidance, and may pursue enforcement actions against non-compliant employers. Through oversight, education, and regulation, the agency promotes fair treatment, equal opportunity, and inclusive employment practices nationwide.
Employee Retirement Income Security Act
The Employee Retirement Income Security Act (ERISA) is a U.S. federal law establishing minimum standards for employer-sponsored pension and benefit plans. Although it does not require employers to offer such plans, it regulates those that do. ERISA mandates reporting and disclosure requirements to protect participants and beneficiaries. It also defines fiduciary responsibilities, participation standards, and funding obligations, while granting participants the right to pursue legal remedies for denied benefits or fiduciary breaches.
Tired of reminding staff to read your company policies?
DocRead makes compliance simple
Health and Safety at Work etc. Act 1974
The Health and Safety at Work etc. Act 1974 is UK legislation requiring employers to ensure, so far as reasonably practicable, the health, safety, and welfare of employees. Employers must implement effective health and safety policies tailored to their organisation and clearly communicate risk information. The Act also requires suitable instruction, supervision, and training to reduce workplace hazards. Its purpose is to prevent injuries, promote accountability, and establish safe working environments across industries.
Fair Labor Standards Act (FLSA)
The Fair Labor Standards Act (FLSA) establishes federal standards for minimum wage, overtime pay, recordkeeping, and youth employment. It applies to employees in the public and private sectors engaged in interstate commerce or working for covered enterprises. The Act defines exempt and non-exempt classifications and outlines employer compensation responsibilities. By setting consistent labor standards, the FLSA aims to protect workers from unfair pay practices and ensure lawful and equitable employment conditions.
Family and Medical Leave Act (FMLA)
The Family and Medical Leave Act (FMLA) entitles eligible employees to take up to 12 weeks of unpaid, job-protected leave within a 12-month period for qualifying family or medical reasons. These include caring for a newborn, adopting a child, supporting an immediate family member with a serious health condition, or addressing the employee’s own health needs. Employers must maintain health benefits during leave and restore employees to the same or equivalent position upon return.
Occupational Safety and Health Administration
The Occupational Safety and Health Administration (OSHA) was established under the Occupational Safety and Health Act of 1970 to ensure safe and healthful working conditions in the United States. OSHA develops and enforces workplace safety standards, conducts inspections, and provides compliance guidance to employers and employees. The agency may issue citations and penalties for violations. Through regulation, education, and enforcement, OSHA works to reduce workplace injuries, illnesses, and fatalities nationwide.
Sarbanes-Oxley Act (SOX)
The Sarbanes-Oxley Act (SOX) was enacted to enhance corporate accountability and protect investors by improving the accuracy and reliability of financial disclosures. It primarily applies to publicly traded companies and related financial, accounting, and auditing firms. SOX establishes strict internal control requirements, executive accountability measures, and enhanced reporting obligations. It also strengthens penalties for corporate fraud and promotes transparency, integrity, and investor confidence in financial markets.
Are your policies read on time and by the right people?
DocRead makes compliance simple
Frequently Asked Questions About Regulatory Compliance with SharePoint
Regulatory compliance software is a solution designed to help organizations manage, distribute, monitor, and document policies required by laws, standards, and industry regulations. Instead of relying on manual emails, spreadsheets, or paper-based tracking, compliance software automates policy communication and captures proof that employees have read and understood required documents. It reduces administrative burden while improving accountability, reporting accuracy, and audit readiness.
DocRead integrates directly into your SharePoint environment, whether you are using SharePoint Server or Microsoft 365. Policies stored in SharePoint libraries can be assigned to specific users, groups, departments, or roles. Employees receive notifications, access the document within SharePoint, and are prompted to confirm they have read it. Administrators can set deadlines, require re-acknowledgment when policies are updated, and generate compliance reports — all without moving content outside SharePoint.
Yes. One of the key advantages of using DocRead for regulatory compliance is the ability to generate detailed, time-stamped audit reports. These reports show who received a policy, whether it was read, when it was acknowledged, and whether any required test was completed. This documented audit trail helps demonstrate due diligence and provides clear evidence of compliance during internal or external reviews.
When a policy is assigned, employees must open the document and formally confirm they have read and understood it. Administrators can configure mandatory acknowledgments, deadline enforcement, reminders, and even knowledge tests. Every action is logged automatically, ensuring there is verifiable proof of compliance.
Absolutely. Policies can be targeted based on SharePoint groups, Active Directory roles, departments, or specific user lists. This ensures that only relevant employees receive certain policies, reducing confusion while strengthening compliance accuracy and accountability.
See how DocRead can help
Find out how DocRead allows organizations to distribute policies, procedures, and important documents to employees and track acknowledgments, ensuring compliance and accountability. All without leaving SharePoint.
DocRead has enabled us to see a massive efficiency improvement... we are now saving 2 to 3 weeks per policy on administration alone.
Nick Ferguson
Peregrine Pharmaceuticals
Feedback for the on-premises version of DocRead.