Client Onboarding Doc

Document Control Block

• Document ID: TR-SOP-OPS-001-V1.0
• Effective Date: 2023-10-27
• Version: 1.0
• Review Cadence: Annually (Q4)

Executive Summary & Scope

This Standard Operating Procedure (SOP) formalizes the systematic onboarding process for all new clients at Template Registry. Its purpose is to ensure a consistently efficient, compliant, and positive transition for clients from signed contract to fully operational service utilization and successful handover to Client Success Management. By standardizing each phase, this SOP minimizes operational friction, ensures regulatory adherence, and establishes clear responsibilities, thereby enhancing client satisfaction and internal resource optimization.

Scope: This SOP governs all activities commencing immediately post-contract execution through to the formal completion of initial service provisioning, client orientation, and handover to the dedicated Client Success Manager. It explicitly includes client data intake, identity and business verification (KYC/KYB), technical account setup, financial configuration, and initial platform training. Pre-sales engagement, contract negotiation, and post-onboarding client relationship management are outside the direct scope of this document. This procedure applies uniformly to all Template Registry product and service offerings requiring dedicated client implementation.

Prerequisites & Required Tools

A. Foundational Knowledge & Skills:

• Comprehensive understanding of Template Registry's product architecture, service capabilities, and integration points.
• Proficiency in data privacy regulations (e.g., GDPR, CCPA) and internal data security policies (TR-POL-DP-002).
• Familiarity with anti-money laundering (AML), Know Your Customer (KYC), and Know Your Business (KYB) compliance requirements.
• Ability to conduct effective client orientation and basic technical troubleshooting.

B. Required Software & Platforms:

• Customer Relationship Management (CRM): Salesforce Enterprise for client data, interaction logging, and status tracking.
• Project Management Software (PMS): Jira Cloud / Asana Business for task assignment, progress monitoring, and internal stakeholder collaboration.
• Contract Lifecycle Management (CLM): DocuSign Agreement Cloud for secure contract storage and management.
• Document Management System (DMS): SharePoint Online / Confluence for secure storage of client-specific documentation (e.g., KYC/KYB records, technical specifications).
• Identity & Access Management (IAM): Okta Workforce Identity (or equivalent) for secure client account provisioning and access control.
• Billing & Subscription Management (BSM): Zuora / Chargebee for managing client subscriptions, invoicing, and payment processing.
• Communication & Collaboration Platform: Microsoft Teams / Slack for real-time internal team communication.
• KYC/KYB Verification Platform: Third-party service (e.g., Onfido, Veriff) for automated identity and business verification.

C. Compliance & Security Standards:

• Strict adherence to Template Registry's Data Privacy Policy (TR-POL-DP-002).
• Compliance with Payment Card Industry Data Security Standard (PCI DSS) for all payment processing activities.
• Mandatory application of ISO 27001 standards for information security management during all data handling operations.
• All client data acquisition, processing, and storage must meet regulatory mandates applicable to the client's jurisdiction.

Roles & Responsibilities (RACI Matrix)

R: Responsible, A: Accountable, C: Consulted, I: Informed

Step-by-Step Procedure

Phase 1: Engagement Confirmation & Legal Review (Target: T+0 to T+1 business day)

1. Contract Execution Verification:
   • • SAM confirms executed contract (e.g., fully signed document) is uploaded to the CLM system (DocuSign).
   • • SAM updates the client opportunity status in CRM (Salesforce) to "Closed Won - Onboarding Initiated."
   • • Automated workflow triggers the creation of a new onboarding project in PMS (Jira/Asana) for the assigned OS.
2. Initial Client Communication & Scheduling:
   • • OS sends a standardized welcome email to the primary client contact (with SAM in CC), confirming engagement and outlining the onboarding journey.
   • • OS schedules the mandatory Onboarding Kick-off Call with the client's key stakeholders (e.g., business owner, technical lead).

Phase 2: Client Data & KYC/KYB Collection (Target: T+1 to T+3 business days)

1. Information & Documentation Request:
   • • During the Kick-off Call, OS reiterates the purpose of required documentation and clarifies any initial client queries.
   • • OS provides a secure link (via DMS portal) for the client to submit all mandatory KYC/KYB documentation (e.g., business registration, tax IDs, authorized signatory list, beneficial ownership details, technical contact information).
2. KYC/KYB Verification & Compliance Check:
   • • OS uploads received client documentation to the designated KYC/KYB verification platform.
   • • OS reviews verification results, addressing any flags or discrepancies with the client and, if necessary, LC.
   • • OS securely stores all verified documentation in the DMS, adhering to TR-POL-DP-002 and access control policies.
   • • OS updates the client record in CRM with KYC/KYB verification status.
3. Technical Requirements Definition:
   • • OS collaborates with the client's technical lead to finalize technical specifications, integration points, API usage, data formats, and necessary access configurations.
   • • OS accurately documents all agreed-upon technical requirements within the PMS project ticket.

Phase 3: Technical Setup & Provisioning (Target: T+3 to T+7 business days)

1. Platform Account Creation:
   • • TO creates the client's dedicated tenant/account within the Template Registry platform via the IAM system (Okta).
   • • TO configures initial service parameters, user roles, and access permissions based on the finalized technical requirements and contract.
   • • TO generates secure initial access credentials (e.g., primary admin login, API keys) and encrypts them for secure, out-of-band delivery.
2. Integration & Pre-launch Testing:
   • • TO performs internal functionality tests, verifying core service operations and integration points.
   • • TO provides the client with securely transmitted credentials and guides them through initial login and integration verification steps.
   • • OS coordinates client-side testing with TO, ensuring issues are logged and resolved promptly in PMS.

Phase 4: Financial Setup & Billing (Target: T+2 to T+5 business days)

1. Billing Profile & Subscription Configuration:
   • • FD creates the client's financial profile in the BSM system (Zuora/Chargebee).
   • • FD configures subscription plans, pricing model, billing cycle, and payment terms precisely as stipulated in the executed contract.
2. Payment Method & Invoicing Setup:
   • • FD assists the client in securely configuring their preferred payment method(s) (e.g., ACH, credit card, wire transfer), ensuring PCI DSS compliance.
   • • FD generates the initial invoice (if applicable) or establishes the recurring billing schedule in the BSM system.

Phase 5: Client Orientation & Handoff (Target: T+7 to T+10 business days)

1. Platform Orientation & Training:
   • • OS conducts a comprehensive virtual orientation session, demonstrating platform navigation, key feature utilization, and best practices relevant to the client's use cases.
   • • OS provides the client with access to Template Registry's official knowledge base, support portal, and relevant documentation.
2. Internal Handoff to Client Success:
   • • OS schedules and facilitates an internal Handoff Meeting involving the assigned CSM, SAM, and relevant TO personnel.
   • • OS provides the CSM with a detailed client brief, including client objectives, technical setup specifics, any open items, and key client contacts.
   • • CSM formally accepts responsibility for ongoing client relationship management and strategic engagement.
   • • OS introduces the CSM to the client, facilitating a seamless transition of primary contact.

Phase 6: Onboarding Completion & Review (Target: T+10 to T+12 business days)

1. Onboarding Closure & Status Update:
   • • OS verifies all tasks within the PMS onboarding project are marked "Complete."
   • • OS updates the client record in CRM to "Onboarded - Active."
   • • OS sends a final onboarding completion email to the client, confirming full service access and providing the CSM's direct contact information.
2. Internal Process Review & Archiving:
   • • OS conducts a brief internal review of the completed onboarding to identify any process efficiencies or areas for improvement.
   • • OS ensures all relevant onboarding documentation (e.g., final technical specifications, training sign-offs) is properly archived in the DMS, maintaining indexing and access controls.

Quality Assurance & Verification

A. Key Performance Indicators (KPIs) & Thresholds:

• Time-to-Onboard (TTO): Measured from "Closed Won - Onboarding Initiated" to "Onboarded - Active."
  • Threshold: Average < 10 business days for standard implementations; < 20 business days for complex/custom integrations.
• Client Satisfaction (CSAT) - Onboarding Phase: Post-onboarding survey administered to primary client contact.
  • Threshold: Average score > 4.5 out of 5.0.
• Compliance Adherence Rate: Percentage of onboardings with 100% verified KYC/KYB documentation and regulatory checks.
  • Threshold: 100%.
• Initial Service Provisioning Accuracy: Number of technical setup errors requiring correction post-activation.
  • Threshold: < 2% of total onboardings.

B. Common Pitfalls & Mitigation Strategies:

• Incomplete or Inaccurate Client Documentation:
  • Mitigation: Implement mandatory fields and data validation in client intake forms. OS conducts real-time checks during submission and immediately initiates follow-up for missing/incorrect data. Utilize automated reminders for overdue submissions.
• Unforeseen Technical Provisioning Delays:
  • Mitigation: Establish strict internal SLAs for TO response and resolution times. TO proactively communicates any anticipated delays to OS with revised timelines. OS maintains transparency with the client regarding progress and potential adjustments.
• Internal Communication Breakdowns:
  • Mitigation: Mandate daily updates in CRM and PMS for active onboarding projects. Implement weekly inter-departmental sync meetings to review all active onboarding statuses and potential blockers. Standardize internal briefing templates for handoffs.
• Client Unresponsiveness During Critical Phases:
  • Mitigation: Clearly articulate client responsibilities and expected timelines during the initial Kick-off Call. Utilize automated and personalized follow-up sequences. Leverage SAM for relationship-based outreach if client engagement wanes.

C. Audit Checklist (Completed by OS prior to Phase 6.1):

• • Finalized and signed contract verified in CLM system.
• • All mandatory KYC/KYB documentation collected, verified, and securely stored in DMS.
• • Client CRM record fully updated with all relevant onboarding data.
• • Technical account(s) provisioned and configured according to contract specifications.
• • Secure access credentials generated and delivered to client (e.g., API keys, admin logins).
• • Billing profile and payment method accurately configured in BSM system.
• • Initial client orientation/training session successfully completed and documented.
• • Formal internal handoff to Client Success Manager completed with comprehensive brief.
• • No critical open items or unresolved issues remain from the onboarding process.

Troubleshooting FAQ

1. Scenario: Client-provided documentation (KYC/KYB) consistently fails verification checks due to insufficient detail or authenticity concerns.

• Solution:
  1. Immediate Specific Feedback: OS contacts the client directly, clearly outlining why the documentation failed, referencing specific data points, and providing explicit instructions for correction or alternative proof (e.g., certified copies, bank statements, corporate resolutions).
  2. Legal Consultation & Escalation: For persistent failures or serious authenticity concerns, OS immediately consults LC to assess legal implications and determine permissible alternative verification methods or the necessity of declining service.
  3. SAM Involvement: Engage SAM to leverage their relationship and emphasize the critical nature of compliance.
  4. Onboarding Hold: If resolution is not achieved within 5 business days, place the onboarding project on "Compliance Hold" in PMS and CRM, notifying the client that further provisioning is suspended until verification is complete.

2. Scenario: A critical technical dependency (e.g., third-party API integration, client-side network configuration) is causing significant delays in service provisioning.

• Solution:
  1. Rapid Technical Assessment: TO conducts an immediate in-depth investigation, documenting the exact nature of the dependency and potential workarounds.
  2. Impact Analysis & Client Communication: TO provides OS with a revised estimate for resolution and details on the impact. OS then communicates this transparently to the client, explaining the situation, outlining the plan, and managing revised expectations.
  3. Cross-functional War Room: OS convenes a rapid internal meeting with TO, SAM, and potentially product engineering to brainstorm alternative solutions, prioritize resources, or assess if a partial deployment or temporary workaround is feasible to maintain progress.
  4. Escalation Path: If the issue is external and beyond Template Registry's control, OS/TO escalates to relevant third-party vendors, tracks their SLAs, and keeps the client continuously informed of progress.

3. Scenario: The client becomes unresponsive to communications for an extended period (e.g., 7+ business days) during an active onboarding phase.

• Solution:
  1. Multi-Channel & Multi-Contact Outreach: OS initiates a structured outreach sequence: email, phone calls, and, if available, alternative client contacts. All attempts are logged in CRM. Use a templated "Action Required - Project at Risk" message.
  2. SAM Intervention: After 3 business days of unresponsiveness, OS involves SAM for a direct, high-priority client contact attempt, leveraging the established sales relationship.
  3. Formal Project Pause: After 7 business days of sustained unresponsiveness (with all outreach attempts documented), OS formally places the onboarding project on "Client Hold" in PMS and CRM. OS sends a formal communication (email/letter) to the client (CC: SAM), stating the project status, reasons for the hold, and the conditions for reactivation, including a potential re-scoping of timelines.
  4. Re-engagement Protocol: If no client response within 30 days of the "Client Hold" notification, the OS, SAM, and Sales Leadership convene to determine if the client relationship should be formally terminated or if a specific re-engagement campaign is warranted.