What's Included

A clear look at the manuals, templates, and operating materials included in the system.

Master Compliance Manual

Foundational internal manual for the firm's compliance and quality control.

  • Firm standards and documentation expectations
  • Annual review procedures and quality-control policy
  • Preparer responsibilities and escalation rules
  • Documentation requirements per engagement type

Supervisory Oversight SOP

Procedures and checklists for ERO-led review and staff oversight.

  • Supervisory review checklist
  • Staff oversight procedures
  • Return authorization and release workflow
  • Annual oversight audit protocol

Written Information Security Plan (WISP)

Template for meeting regulatory data security and incident response requirements.

  • Data classification and handling procedures
  • Incident response and breach notification plan
  • Employee training and acknowledgment log
  • Vendor and third-party risk assessment

Client Onboarding Pack

Engagement letters, GLBA privacy notices, and intake checklists.

  • Client engagement letter template
  • GLBA privacy notice
  • Tax organizer and intake questionnaire
  • Document collection checklist

Tax Operations Manual

Standard operating procedures for common tax-prep workflows.

  • Return preparation workflow from intake to filing
  • E-file authorization and 8879 procedures
  • Bank product processing steps
  • Amended return and prior-year procedures

Operational SOPs

Specific guides for W-2, 1099, 1095-A, 8879, and Bank Products.

  • W-2 and 1099 reconciliation procedures
  • 1095-A premium tax credit workflow
  • 8879 signing and retention protocol
  • Bank product disclosure and compliance

Audit Log Templates

Structured logs for documenting internal reviews and control points.

  • Due-diligence log per engagement
  • Preparer review trail and sign-off record
  • Supervisory review record
  • Annual review tracker and mock-audit checklist

Mock Audit Protocol

Internal procedure for testing your own system's readiness.

  • Mock audit scope and selection criteria
  • File review and documentation checklist
  • Findings report template
  • Corrective action tracking log

Format & Delivery

Editable Templates

All master templates provided in editable formats for easy firm-level customization.

Read-Only Reference Set

A clean, non-editable PDF structure for reference, review, and internal use.

Client-Ready Forms

Polished, client-facing documents ready to be customized with your logo.