How to onboard staff, set up handoff procedures, implement QC checkpoints, and maintain governance in a multi-preparer tax firm.
Document each role's responsibilities and access permissions: intake staff, preparers, reviewers, and ERO. Establish what each role can and cannot do in the workflow.
Create a standardized onboarding checklist covering system access, training requirements, procedure review, and the acknowledgment of firm policies.
Document the handoff between each stage: intake → preparation, preparation → review, review → filing, filing → closeout. Each handoff includes a checklist and sign-off.
Define the pre-filing QC checklist: return accuracy, due-diligence completeness, correct filing status, proper credits and deductions, and client authorization.
Review all procedures, access levels, and staff performance annually. Update documentation for any changes in staff, technology, or regulatory requirements.
AGENCY includes the templates, checklists, logs, and SOPs to execute this workflow consistently across every engagement.