Developer Handover Pack

Developer Handover Pack

Audit Preparation Workflow

Monitors the Notion audit record from the moment it is created, generates the structured evidence checklist, dispatches personalised assignment emails via Gmail, creates the Drive submission folder hierarchy, and runs a daily status-monitoring loop that fires overdue alerts through both Slack and Gmail when submission deadlines pass. This agent removes all manual assignment drafting and all recurring tracker-update sessions from the compliance manager's workload. It does not make pass/fail decisions on document content; that responsibility sits with the Document Review and Organisation Agent.

// Input
notion.audit_record {
  audit_id: string,          // unique record ID
  audit_type: enum,          // e.g. 'SOC2' | 'ISO27001' | 'Financial'
  engagement_date: date,     // confirmed audit start date
  internal_deadline: date,   // evidence submission cutoff
  assigned_owner: string,    // compliance manager name
  stakeholder_list: array    // [{name, email, slack_id, doc_items[]}]
}

// Output
notion.checklist_record[] {
  item_id: string,
  document_name: string,
  assigned_to: string,
  due_date: date,
  status: enum  // 'pending' | 'received' | 'overdue' | 'verified'
}
gmail.assignment_email {
  to: stakeholder_email,
  subject: 'Audit Evidence Request: [document_name]',
  body: personalised_template  // includes doc name, format, internal_deadline
}
google_drive.folder {
  folder_name: 'Audit_[audit_id]_[engagement_date]',
  subfolders: [audit_type categories],
  permissions: per_stakeholder_email
}
slack.overdue_alert {
  channel: stakeholder_slack_id,
  message: 'Reminder: [document_name] is overdue. Deadline was [due_date].'
}
gmail.overdue_email {
  to: stakeholder_email,
  subject: 'Action Required: Overdue Audit Submission',
  body: overdue_reminder_template
}

Watches the audit submission folder in Google Drive for new file uploads and runs each file through a validation routine: checking filename conventions, file type, and cross-referencing against the open Notion checklist items. Files that pass validation are moved to the verified sub-folder and the corresponding Notion status is updated to 'verified'. Files that require a director or department-head signature are routed automatically via DocuSign, and a completion webhook updates the checklist on return. Files that cannot be matched, are in an unexpected format, or are flagged ambiguous are queued for the compliance manager's review rather than processed automatically. Once all checklist items reach a terminal status (verified or escalated), the agent posts a completion alert to the designated Slack channel.

// Input
google_drive.file_upload_event {
  file_id: string,
  file_name: string,
  mime_type: string,
  uploaded_by_email: string,
  parent_folder_id: string,
  upload_timestamp: datetime
}
notion.checklist_record {
  item_id: string,
  document_name: string,
  assigned_to: string,
  expected_format: string,   // e.g. 'PDF' | 'XLSX'
  requires_signature: boolean,
  signatory_email: string    // director or dept head, if requires_signature
}

// Output (validated file)
google_drive.file_move {
  file_id: string,
  destination_folder: 'Audit_[audit_id]/Verified/[category]',
  renamed_to: '[item_id]_[document_name]_v[timestamp]'
}
notion.checklist_update {
  item_id: string,
  status: 'verified',
  verified_at: datetime,
  drive_file_id: string
}

// Output (signature required)
docusign.envelope {
  envelope_id: string,
  document: drive_file_id,
  signer_email: signatory_email,
  signer_name: string,
  subject: 'Signature Required: [document_name]',
  callback_webhook_url: 'https://[automation-host]/webhook/docusign-complete'
}

// On approval (DocuSign webhook return)
docusign.envelope_completed {
  envelope_id: string,
  signed_document_url: string,
  completed_at: datetime
}
notion.checklist_update { status: 'verified', signed: true }

// Output (flagged file)
notion.checklist_update { status: 'flagged', flag_reason: string }
slack.escalation_alert {
  channel: compliance_manager_slack_id,
  message: 'File [file_name] could not be matched or validated. Manual review required.'
}

// Output (all items terminal)
slack.completion_alert {
  channel: '#compliance-alerts',
  message: 'Evidence pack for [audit_id] is complete. All items verified. Ready for auditor access.'
}

// ============================================================
// AUDIT PREPARATION WORKFLOW  |  End-to-End Data Flow
// ============================================================

// TRIGGER
// User creates a new Notion database record with audit_type,
// engagement_date, internal_deadline, and stakeholder_list populated.
notion.database.audit_records [INSERT event]
  -> fields captured: audit_id, audit_type, engagement_date,
                       internal_deadline, assigned_owner,
                       stakeholder_list[{name, email, slack_id, doc_items[]}]

// ============================================================
// AGENT HANDOFF 1: Notion trigger -> Evidence Collection Agent
// ============================================================

// STEP 1: Generate evidence checklist in Notion
evidence_collection_agent.generate_checklist(
  input: { audit_id, audit_type, stakeholder_list, internal_deadline }
)
  -> notion.database.audit_checklist [INSERT rows]
  -> fields written: item_id, document_name, assigned_to,
                      due_date, status='pending'

// STEP 2: Send personalised assignment emails via Gmail
evidence_collection_agent.send_assignment_emails(
  input: { stakeholder_list, checklist_items[], internal_deadline }
)
  -> gmail.send()
  -> fields used: to=stakeholder_email, subject, body_template,
                   doc_items[] per stakeholder

// STEP 3: Create Drive submission folder and sub-folders
evidence_collection_agent.create_drive_structure(
  input: { audit_id, engagement_date, audit_type, stakeholder_list }
)
  -> google_drive.folders.create()
  -> folder_name: 'Audit_[audit_id]_[engagement_date]'
  -> subfolders: one per audit category from audit_type template
  -> permissions: stakeholder_email granted 'writer' per assigned subfolder

// STEP 4: Daily monitoring loop (scheduled, every 6 hours)
evidence_collection_agent.monitor_submissions(
  input: { audit_id, checklist_items[], drive_folder_id }
)
  -> google_drive.files.list(parent=drive_folder_id)
  -> cross-reference: file uploaded_by_email vs checklist assigned_to
  -> notion.checklist_update(item_id, status='received') if matched
  -> overdue_check: current_date > due_date AND status='pending'

// STEP 5: Overdue escalation (fires when overdue_check = true)
evidence_collection_agent.send_overdue_alerts(
  input: { overdue_items[], stakeholder_list }
)
  -> slack.chat.postMessage(channel=stakeholder_slack_id)
     fields: item_id, document_name, due_date, overdue_message
  -> gmail.send(to=stakeholder_email, overdue_template)
  -> reminder_count++ per item_id (max 3 before compliance_manager escalation)

// ============================================================
// AGENT HANDOFF 2: Drive upload event -> Document Review Agent
// ============================================================

// STEP 6: File validation on upload
document_review_agent.validate_file(
  input: { file_id, file_name, mime_type, uploaded_by_email,
            parent_folder_id, upload_timestamp }
)
  -> match: cross-reference file_name + uploaded_by_email vs
            notion.checklist_record { item_id, document_name,
            assigned_to, expected_format }
  -> confidence_score: fuzzy match on document_name (threshold >= 0.80)

// BRANCH A: Validated, no signature required
  IF confidence >= 0.80 AND requires_signature = false
    -> google_drive.files.move(
         file_id,
         destination='Audit_[audit_id]/Verified/[category]',
         rename='[item_id]_[document_name]_[YYYYMMDD]'
       )
    -> notion.checklist_update(
         item_id, status='verified',
         verified_at=timestamp, drive_file_id=file_id
       )

// BRANCH B: Validated, signature required
  IF confidence >= 0.80 AND requires_signature = true
    -> docusign.envelopes.create(
         document=file_id,
         signer_email=signatory_email,
         signer_name=signatory_name,
         subject='Signature Required: [document_name]',
         webhook_url='https://[automation-host]/webhook/docusign-complete'
       )
    -> notion.checklist_update(item_id, status='awaiting_signature',
         docusign_envelope_id=envelope_id)

// BRANCH C: Low confidence or format mismatch (flagged)
  IF confidence < 0.80 OR mime_type != expected_format
    -> notion.checklist_update(item_id, status='flagged',
         flag_reason='name_mismatch|format_error|no_match')
    -> slack.chat.postMessage(
         channel=compliance_manager_slack_id,
         message='File [file_name] flagged. Manual review required.'
       )

// ============================================================
// WEBHOOK RETURN: DocuSign envelope completion
// ============================================================
docusign.connect_webhook [POST /webhook/docusign-complete]
  -> payload: { envelope_id, status='completed',
                signed_document_url, completed_at }
  -> validate HMAC signature against DocuSign connect secret
  -> google_drive.files.upload(signed_document_url,
       destination='Audit_[audit_id]/Verified/[category]')
  -> notion.checklist_update(item_id, status='verified', signed=true,
       verified_at=completed_at)

// ============================================================
// COMPLETION CHECK (runs after every notion.checklist_update)
// ============================================================
document_review_agent.check_completion(
  input: { audit_id }
)
  -> query: notion.checklist WHERE audit_id=[audit_id]
  -> all items IN ('verified', 'escalated_resolved') ?
     YES -> slack.chat.postMessage(
               channel='#compliance-alerts',
               message='Evidence pack [audit_id] complete. All items verified.'
             )
     NO  -> no action, continue monitoring loop