Building a J-SOX Workflow with Shareflex QMS

What is Shareflex QMS?

Shareflex QMS (Quality Management System) is a SharePoint-based solution for managing controlled documents, processes, and workflows. It provides version control, metadata-driven document management, and configurable approval workflows, making it suitable for regulated environments where traceability and compliance are essential.

For a client of Lialis Shareflex QMS was used as the foundation to design and implement a dedicated J-SOX workflow, fully tailored to internal control and compliance requirements.

Introduction to the J-SOX Workflow

The J-SOX workflow supports the structured execution, review, and approval of internal controls in line with Japanese SOX compliance. Instead of using Shareflex QMS “out of the box”, the standard functionality was adapted to match the client control framework, roles, and reporting structure.

The solution runs in a dedicated SharePoint site at the clients M365 tenant.

Control-Driven Design

At the heart of the solution is a centrally managed Workflow Maintenance list. This list defines all J-SOX controls, including:

  • Control description and ID
  • Control group (PLC or ITGC)
  • Business process (e.g. After Sales Management, Finance & Controlling, IT Controls)
  • Control type and significance (Key / Non-Key)
  • Frequency (weekly, monthly, quarterly, etc.)
  • Assigned roles: Preparer, Reviewer, Approver
  • Active / inactive status

Simplified User Experience

The QMS cockpit and document interface were streamlined to support the J-SOX process:

Documents are created exclusively via Upload under New and in Progress tile.

When uploading a new document, users select a control using a small set of mandatory, single-value fields (Control Group, Business Process, Control / Process Description). Users only see controls assigned to them as Preparer, ensuring focus and correctness.

Automatic Metadata Population

After upload, the document is automatically enriched with metadata derived from the selected control, such as:

  • Control Group and Control ID
  • Business Process
  • Control Type and Significance
  • Frequency

 

These fields are read-only and cannot be modified by the user, ensuring consistency between control definitions and documents.

Workflow Logic

The J-SOX workflow is fully control-driven: Reviewer(s) and Approver are automatically taken from the control definition.

After completion of the approval workflow, documents are automatically published to Valid Documents. In this state, documents are read-only and can no longer be modified. This is the core principle of a QMS: users always work with approved and controlled documentation.

If changes are required, only the document owner can check out the document. The document is then edited in Edit Documents, while the previously approved version (for example version 1) remains available and valid in Valid Documents.

Once the changes are completed, the approval workflow is started again. Only after successful review and approval is the new version (for example version 2) published to Valid Documents, replacing the previous valid version.

Once the workflow is completed, an automatic notification is sent to the J-SOX coordinator.

Result

By leveraging Shareflex QMS as a flexible foundation, the client now has a dedicated, control-driven J-SOX workflow that is:

  • Fully integrated with SharePoint
  • Easy for users, strict on compliance
  • Centrally managed and auditable
  • Adapted precisely to J-SOX requirements

This project shows how Shareflex QMS can be transformed from a generic QMS solution into a highly specialized compliance workflow with minimal custom development.