FS-DOC-03Operations
Process Runbook / SOP
Client Onboarding & Engagement Letters
01Process overview
Trigger
A client is marked won in the CRM
Output
A fully onboarded client, set up across firm systems with engagement letter signed and documents collected
Agents
Engagement Letter Agent, Document Collection Agent, Onboarding Setup Agent
Tools
Google Docs, PandaDoc, Gmail, Karbon, FullSpec Automation
Volume
Approximately 15 new clients per month
Human checkpoint
Compliance review: the Practice Manager manually reviews any ID or AML result that is unclear before the Onboarding Setup Agent proceeds
Process owner
Practice Manager
This runbook describes how the Client Onboarding and Engagement Letters automation runs in production. It covers every step from the moment a client is marked won through to the system notification that the client is ready to work. The document is written for the Practice Manager and Onboarding Admin. No technical knowledge is assumed.
02Step-by-step: what happens and who acts
Step
Name
Type
Actor
Tool
Detail
1
Client won
Automated
System
CRM
A client record is marked won. This event fires the automation trigger immediately.
2
Engagement letter generated and sent
Automated
Engagement Letter Agent
Google Docs, PandaDoc
The agent drafts the engagement letter using client details and sends it via PandaDoc for signature.
3
Document and ID request sent
Automated
Document Collection Agent
Gmail, FullSpec Automation
Once the engagement letter is signed, the agent emails the client requesting required documents and ID. Reminders are sent automatically until items are received.
4
ID and AML check
Automated
Document Collection Agent
FullSpec Automation
Checks run automatically when documents are received. Any result that is unclear is flagged to the Practice Manager.
5
Compliance review
Human
Practice Manager
N/A
The Practice Manager reviews any flagged ID or AML result and decides whether to approve or reject. This is the only manual action in the process.
6
Client set up in systems
Automated
Onboarding Setup Agent
Karbon, FullSpec Automation
Once documents and checks are clear (or the Practice Manager has approved), the agent creates the client record across all firm systems.
7
Ready notification sent
Automated
Onboarding Setup Agent
FullSpec Automation
The team is notified that the client is fully set up and ready to work.
The only human action in this process is Step 5: Compliance review. The Practice Manager receives a notification when an ID or AML result needs attention and must approve or reject before the automation continues. All other steps run without manual input.
Process Runbook / SOPPage 1 of 3
FS-DOC-03Operations
03Handling exceptions
Situation
What the system does
What you do
Client does not sign the engagement letter within 5 business days
The system sends up to three reminder emails via PandaDoc on a schedule. After the final reminder, the automation pauses and flags the record.
Check the flagged record in FullSpec Automation. Contact the client directly if needed. Once signed, resume the automation or re-trigger manually.
Client does not return documents or ID within the reminder window
The Document Collection Agent sends scheduled follow-up emails. After the configured number of reminders, the workflow pauses and alerts the Practice Manager.
Contact the client by phone or email. Update the document status in the system once items are received. The automation will continue automatically.
ID or AML check returns a fail or uncertain result
The automation stops at the compliance decision point and sends a notification to the Practice Manager with details of the flag.
Review the ID or AML result. Approve to allow the automation to continue, or reject and handle the client file according to the firm's compliance policy.
PandaDoc fails to send the engagement letter
FullSpec Automation logs an error and sends an alert to the Practice Manager. The step is retried once automatically.
Check the PandaDoc connection in FullSpec Automation. Confirm the client email address is correct. Trigger a resend manually if the retry does not resolve the issue.
Client record already exists in Karbon
The Onboarding Setup Agent detects a duplicate and pauses before creating a new record. The Practice Manager is notified.
Review the existing Karbon record. Merge or update as appropriate. Confirm in FullSpec Automation that the correct record is in place before resuming.
Engagement letter content is incorrect (wrong service, fee, or name)
The system has no way to detect content errors automatically once the letter is sent.
Void the sent document in PandaDoc immediately. Correct the underlying client details in the CRM. Re-trigger the Engagement Letter Agent from FullSpec Automation.
04If something stops working
Automation does not fire after a client is marked won
Check the trigger connection in FullSpec Automation. Confirm the CRM field value matches the expected trigger condition. Review the FullSpec Automation run log for errors.
Engagement letter not sent or arriving blank
Open FullSpec Automation and check the Engagement Letter Agent run log. Confirm the PandaDoc integration is connected and the template ID is correctly set. Re-run the step manually.
Document request emails not being sent or received
Check the Gmail connection in FullSpec Automation. Confirm the sending account is authenticated and the daily send limit has not been reached. Check the client email address for typos.
AML or ID check not running
Check the FullSpec Automation run log for the Document Collection Agent. Confirm the check service credentials are valid and have not expired. Contact the FullSpec Automation support channel if the issue persists.
Karbon client record not being created
Open FullSpec Automation and check the Onboarding Setup Agent log. Confirm the Karbon API connection is active and the required fields are populated. Re-run the Karbon setup step from the run log.
Team notification not arriving at the end of the process
Check the notification channel settings in FullSpec Automation. Confirm the recipient address or channel is correct. Send a test notification from the settings panel.
FullSpec Automation dashboard is unreachable
Check the FullSpec Automation status page. If there is a platform outage, log the affected clients manually and re-trigger their automations once service is restored.
Process Runbook / SOPPage 2 of 3
FS-DOC-03Operations
05Who to contact and when
Use the table below to identify the right contact for each type of issue. Fill in the name and contact details for your team before going live.
Situation
Contact role
Name
Contact details
Response target
ID or AML result needs a compliance decision
Practice Manager
[Practice Manager Name]
[Email / Phone]
Same business day
Engagement letter content is incorrect
Practice Manager
[Practice Manager Name]
[Email / Phone]
Immediately
Automation error or failed run in FullSpec Automation
Automation Developer / FullSpec Automation support
[Developer Name]
[Email / Slack channel]
Within 4 business hours
PandaDoc sending or template issue
PandaDoc account admin
[Admin Name]
[Email / PandaDoc support link]
Within 1 business day
Karbon record creation or field mapping issue
Karbon account admin
[Admin Name]
[Email / Karbon support link]
Within 1 business day
Gmail sending limit or authentication issue
Google Workspace admin
[Admin Name]
[Email / Google admin console]
Within 1 business day
Client is confused or unhappy about the onboarding process
Practice Manager or Onboarding Admin
[Name]
[Email / Phone]
Same business day
For any situation that could affect a client's compliance status or onboarding timeline, the Practice Manager should be the first point of contact regardless of root cause.
06Ongoing maintenance
The automation requires periodic checks to stay accurate and effective. The schedule below sets out the minimum maintenance tasks by timing. Assign a named owner to each task before go-live.
Weekly
Review FullSpec Automation run log for errors or paused workflows
Practice Manager
Look for any clients stuck at a step for more than 2 business days. Resolve manually if needed.
Weekly
Check outstanding document requests
Onboarding Admin
Confirm no client has missed the final reminder without follow-up. Escalate if needed.
Monthly
Review volume and throughput metrics
Practice Manager
Confirm the number of clients processed matches expected volume of approximately 15 per month.
Monthly
Check engagement letter template for accuracy
Practice Manager
Update the Google Docs template and PandaDoc template if service descriptions, fees, or legal terms have changed.
Monthly
Confirm all API connections are active
Automation Developer
Check Google Docs, PandaDoc, Gmail, and Karbon connections in FullSpec Automation. Renew any expiring credentials.
Quarterly
Audit completed onboarding records
Practice Manager
Spot-check 5 to 10 client records in Karbon to confirm all fields are populated correctly and no steps were skipped.
Quarterly
Review AML and ID check configuration
Practice Manager
Confirm the check thresholds and rules remain consistent with the firm's current compliance policy.
Quarterly
Review reminder timing and frequency
Practice Manager
Adjust email reminder schedules in FullSpec Automation if client feedback suggests the timing is too frequent or too infrequent.
Annually
Full process review against current firm workflow
Practice Manager + Automation Developer
Reassess all steps, tools, and thresholds. Update the runbook if the process changes. Re-test affected agents.
Next step: share this runbook with the Practice Manager and Onboarding Admin before go-live. Confirm all contact table rows are filled in, and assign named owners to each maintenance task. Keep a copy accessible to anyone who may need to handle an exception or escalation.
Process Runbook / SOPPage 3 of 3