FS-DOC-03Operations
Process Runbook / SOP
Tax Preparation Workflow
[YourCompany.com] · Finance Department · Prepared by FullSpec · [Today's Date]
This runbook is the operating guide for your automated Tax Preparation Workflow. It tells your finance team exactly what the automation handles, what your bookkeeper needs to do, how to respond when something goes wrong, and who to call for help. FullSpec builds and maintains the automation end to end. Your team's only recurring responsibility is resolving the small number of exception items the system cannot match automatically, and keeping your document checklist up to date between cycles.
01Process overview
Each quarter, when a tax preparation window opens, the automation pulls financial data from QuickBooks, identifies every missing receipt and uncategorised transaction, chases employees automatically via Gmail, processes incoming documents through Hubdoc, and assembles a complete, signed-off tax package in Google Drive ready for your accountant. Three agents run in sequence with no manual involvement required until the exception step. The bookkeeper's role has shifted from eight to ten hours of data gathering and emailing to under thirty minutes of targeted exception resolution per cycle. The final sign-off is sent via DocuSign to the director or business owner before the package is released.
Process name
Tax Preparation Workflow
Trigger
A tax period end date falls within 30 days, or the finance manager manually starts a preparation run
Final output
A completed, signed-off tax document package in Google Drive, with DocuSign approval captured and the accountant notified
Agents running
Document Gap Detector, Receipt Collection Coordinator, Package Builder and Dispatcher
Tools involved
QuickBooks, Hubdoc, Gmail, Google Drive, Slack, DocuSign
Weekly volume
Approximately 4 preparation cycles per year; each cycle runs across 3 to 5 business days with the automation active
Human checkpoint
Bookkeeper reviews and resolves unmatched exception items flagged in Slack, typically under 30 minutes per cycle
Process owner
[Your name], Bookkeeper or Finance Manager
Process Runbook / SOPPage 1 of 4
FS-DOC-03Operations
02Step-by-step: what happens and who acts
What you actually need to do: There is one human step in this entire process. When the Receipt Collection Coordinator flags unmatched items in Slack, the bookkeeper opens that Slack message, reviews each flagged transaction, manually resolves or codes it in QuickBooks or Hubdoc, and then confirms in Slack that exceptions are cleared. Everything else runs automatically.
Step
What happens
Who acts
Type
1
The automation platform detects that a tax preparation window has opened, either on a scheduled date tied to the filing calendar or when the finance manager triggers a manual start. The workflow begins for the relevant period.
Automation
Automated
2
The Document Gap Detector calls the QuickBooks API and exports the profit and loss report, balance sheet, and general ledger for the period. Uncategorised transactions and flagged entries are extracted into a structured list and stored ready for gap analysis.
Automation
Automated
3
The Document Gap Detector compares the extracted transaction list against the expected document checklist for this period type. Every missing receipt, unmatched statement, and uncategorised entry is identified and grouped by employee or vendor into a structured request list.
Automation
Automated
4
The Receipt Collection Coordinator sends personalised receipt request emails to each relevant employee via Gmail. Each email lists the specific transactions that need supporting documents and provides an upload link. Follow-up timing is handled automatically if no response is received.
Automation
Automated
5
As documents arrive by email upload or direct submission, Hubdoc performs OCR extraction on each receipt. The Receipt Collection Coordinator matches each extracted record to its corresponding QuickBooks transaction and updates the receipt log with a matched or unmatched status.
Automation
Automated
6
Any receipts or transactions that the automation cannot match automatically are posted to a dedicated Slack channel. Each message includes the transaction reference, amount, date, and the reason matching failed, giving the bookkeeper everything needed to act without searching elsewhere.
Automation
Automated
7
The bookkeeper reviews each exception item listed in Slack, resolves it directly in QuickBooks or Hubdoc (for example, by coding an uncategorised transaction or manually uploading a missing receipt), and confirms in Slack that all exceptions are cleared. This step typically takes under 30 minutes.
Bookkeeper
Human
8
Once exceptions are confirmed as resolved, the Package Builder and Dispatcher assembles all verified reports, matched receipts, and reconciled statements into a structured folder in Google Drive. The document checklist is updated automatically to reflect completeness.
Automation
Automated
9
The Package Builder and Dispatcher sends a DocuSign signature request to the business owner or director for final approval of the tax package. A Slack notification is sent to the finance manager confirming the package is ready and the sign-off request is in flight.
Automation
Automated
10
The business owner or director reviews and signs the package via DocuSign. Once the envelope is completed, the automation records sign-off confirmation and the package is ready for the accountant. No further manual steps are required from the finance team.
Business Owner / Director
Human
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03Handling exceptions
Situation
What the system does
What you do
A receipt is submitted but key data is missing, such as no date, no amount, or an unreadable image from a poor-quality photo
Hubdoc flags the document as incomplete after OCR extraction fails to meet the confidence threshold. The Receipt Collection Coordinator posts the item to Slack with a note identifying what data is missing.
Open the flagged item in Hubdoc, manually enter the missing fields, or contact the employee to resubmit a clearer image. Mark the item as resolved in Slack once corrected.
A duplicate receipt is submitted for the same transaction by the same employee
The matching logic detects that a QuickBooks transaction already has a confirmed receipt attached. The duplicate is held and a Slack alert is sent noting the transaction reference and both document file names.
Confirm in Slack which version is correct and archive the duplicate. No QuickBooks entry changes are needed unless the amounts differ.
A transaction in QuickBooks cannot be matched to any submitted receipt or vendor invoice after all automated attempts
The Receipt Collection Coordinator adds the transaction to the unmatched exception list in Slack with full transaction detail. A second automated prompt is sent to the relevant employee if the initial email went unanswered.
Review the transaction in QuickBooks. Either locate the original receipt and upload it manually to Hubdoc, or apply a valid business reason code if no receipt is available. Confirm resolution in Slack.
The bookkeeper does not respond to the Slack exception list within 24 hours of it being posted
The automation sends a reminder notification to the Slack channel after 24 hours of inactivity. If no action is taken within 48 hours, a second reminder is sent and the finance manager is also notified via Slack.
Log into Slack and work through the outstanding exception list. If you are unavailable, delegate to a colleague and update the process owner field so reminders reach the right person.
An employee does not respond to receipt request emails within the automated follow-up window
After the initial request and one automated follow-up, the system marks the employee's items as unresolved and escalates them to the bookkeeper via Slack, listing the transactions and the employee's name.
Contact the employee directly by phone or in person. If the receipt genuinely cannot be obtained, apply the appropriate expense treatment in QuickBooks and document the reason in the Google Drive checklist.
QuickBooks, Hubdoc, or DocuSign is unavailable due to an outage or API error
The automation detects the failed API call, logs the error, waits, and retries up to three times at 15-minute intervals. If all retries fail, a Slack alert is sent to the finance manager describing which tool is unreachable and at which step the workflow paused.
Check the tool's status page to confirm whether the outage is on the provider's side. If the issue persists beyond two hours, contact FullSpec support at support@gofullspec.com. Do not restart the workflow manually unless advised by FullSpec, as partial runs can create duplicate records.
04Who to contact and when
Fill in once your team is confirmed. The rows below marked with placeholders are for your internal team members. The FullSpec rows are fixed and do not change.
Role
Name
How to reach them
Process owner (Bookkeeper)
Sandra Meek
[Rep email] or Slack direct message
Finance Manager
Tom Reyes
[Rep email] or Slack direct message
External Accountant
Claire Whitby
[Rep email] — contact for questions about the package contents only, not the automation
Business Owner / Director (DocuSign approver)
[Your name]
[Rep email]
FullSpec builder
[FullSpec assigned contact]
Reach out via the FullSpec project portal or email your assigned contact for build changes, new agent logic, or integration updates
FullSpec support
FullSpec Support Team
support@gofullspec.com — use this for errors, unexpected automation behaviour, tool outages affecting the workflow, or any question about how the system is running
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05Ongoing maintenance
Whenever a new tax entity, expense category, or filing type is added
Update the document checklist that the Document Gap Detector uses for comparison. Send the updated checklist to FullSpec support so the gap detection logic can be reconfigured to match. Do not add new categories to QuickBooks without also updating the checklist.
Bookkeeper, then notify FullSpec support
Whenever a receipt request email template needs updating (new tone, new upload link, new deadline wording)
Send the revised template text to FullSpec support at support@gofullspec.com. Gmail template changes require an update to the automation configuration and should not be edited directly in Gmail.
Finance Manager requests change; FullSpec applies it
Monthly spot-check (first week of each month)
Open the Google Drive folder from the most recent preparation cycle and confirm that all documents are present, correctly named, and that the checklist shows fully complete. Check the Slack exception channel for any unresolved alerts from the last run.
Bookkeeper
Monthly error-log review
Review the error and retry log in the automation platform dashboard (FullSpec will share access). Note any recurring failed API calls, unmatched items above the normal rate, or Hubdoc OCR failures. Report patterns to FullSpec support if the same error appears more than twice in a month.
Finance Manager, with FullSpec support if needed
Whenever a team member joins, leaves, or changes role
Update the contact table in Section 04 of this runbook. Notify FullSpec support if the changed person is the Slack exception recipient, the DocuSign approver, or the process owner, as those roles are hardcoded into the workflow routing.
Finance Manager, then notify FullSpec support
Quarterly volume review (before each new preparation cycle)
Confirm that the filing dates, entity list, and employee headcount used in the automation match current reality. If the business has grown, added entities, or changed filing frequency, contact FullSpec to discuss whether the workflow capacity or agent logic needs adjusting.
Finance Manager, with FullSpec support
The most common maintenance issue for this process is a mismatch between the document checklist used by the Document Gap Detector and the actual categories or entities in QuickBooks. This happens when QuickBooks is updated mid-year (new expense categories, a new bank account, or a new entity) without the checklist being updated to match. The result is either false gap alerts for categories that do not apply, or real gaps that the system does not catch because the checklist does not include them. Review and sync the checklist before every preparation cycle, and always notify FullSpec support before making structural changes to your QuickBooks chart of accounts.
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