Finance Module - Document Management

Overview

The Finance module provides document management capabilities for accounting, financial reporting, and compliance. This guide covers document handling for two key Finance entities: Journal Entries and Chart of Accounts.

Finance Document Capabilities:

Journal entry supporting documents and receipts
Account policy and procedure documentation
Bank statements and reconciliation documents
Audit trail and compliance documentation
Approval workflows and authorization documents
Tax and regulatory filings

Supported Entities

The Finance module supports document management for these entities:

Entity	Purpose	Common Document Types	Max File Size
Journal Entry	Transaction documentation	Receipts, invoices, bank statements, approvals	50 MB
Chart of Account	Account documentation	Policies, procedures, compliance documents	50 MB

Journal Entry Documents

Overview

Journal Entry documents include receipts, invoices, supporting documents, bank statements, approval documents, reconciliation reports, and audit trail documentation. These documents provide proof and justification for accounting transactions and support financial audits.

Endpoint: /api/v1/finance/journal-entries/{journalEntryId}/documents

Supported Tags

Tag	Purpose	Example Use Case
`receipt`	Expense receipts	Purchase receipts, payment receipts
`invoice`	Invoice documents	Vendor invoices, supplier invoices
`supporting_document`	Supporting documentation	Contracts, agreements, other proof
`bank_statement`	Bank statements	Bank transaction statements
`approval`	Approval documents	Management approvals, authorizations
`attachment`	General attachments	Miscellaneous supporting files
`proof`	Proof documents	Transaction proof, payment proof
`reconciliation`	Reconciliation documents	Bank reconciliation reports
`audit_trail`	Audit documentation	Audit supporting documents

Common Scenarios

Scenario 1: Expense Journal Entry

Document expense transaction with receipt:

bash

# Upload expense receipt
curl -X POST https://api.crm.test/api/v1/finance/journal-entries/10001/documents \
  -H "Authorization: Bearer YOUR_ACCESS_TOKEN" \
  -F "file=@expense_receipt.pdf" \
  -F "type=receipt" \
  -F "tags[]=receipt" \
  -F "tags[]=proof" \
  -F "name=Office Supplies Receipt - Staples" \
  -F "description=Office supplies purchase for Q1" \
  -F "is_public=false" \
  -F "is_sensitive=true"

Scenario 2: Vendor Invoice Payment

Document invoice payment with supporting documents:

bash

# Upload vendor invoice
curl -X POST https://api.crm.test/api/v1/finance/journal-entries/10002/documents \
  -H "Authorization: Bearer YOUR_ACCESS_TOKEN" \
  -F "file=@vendor_invoice.pdf" \
  -F "type=invoice" \
  -F "tags[]=invoice" \
  -F "tags[]=supporting_document" \
  -F "name=Vendor Invoice #INV-12345" \
  -F "description=Software license annual renewal" \
  -F "is_public=false" \
  -F "is_sensitive=true"

# Upload payment approval
curl -X POST https://api.crm.test/api/v1/finance/journal-entries/10002/documents \
  -H "Authorization: Bearer YOUR_ACCESS_TOKEN" \
  -F "file=@payment_approval.pdf" \
  -F "type=form" \
  -F "tags[]=approval" \
  -F "name=Payment Approval - Manager Signature" \
  -F "description=CFO approval for payment" \
  -F "is_public=false" \
  -F "is_sensitive=true"

# Upload bank statement showing payment
curl -X POST https://api.crm.test/api/v1/finance/journal-entries/10002/documents \
  -H "Authorization: Bearer YOUR_ACCESS_TOKEN" \
  -F "file=@bank_statement.pdf" \
  -F "type=financial" \
  -F "tags[]=bank_statement" \
  -F "tags[]=proof" \
  -F "name=Bank Statement - Wire Transfer Confirmation" \
  -F "is_public=false" \
  -F "is_sensitive=true"

Scenario 3: Accrual Adjustment

Document accrual entry with supporting calculation:

bash

# Upload accrual calculation worksheet
curl -X POST https://api.crm.test/api/v1/finance/journal-entries/10003/documents \
  -H "Authorization: Bearer YOUR_ACCESS_TOKEN" \
  -F "file=@accrual_calculation.xlsx" \
  -F "type=report" \
  -F "tags[]=supporting_document" \
  -F "tags[]=attachment" \
  -F "name=Accrual Calculation - Q4 2024" \
  -F "description=Detailed accrual calculation worksheet" \
  -F "is_public=false" \
  -F "is_sensitive=true"

# Upload supporting contract
curl -X POST https://api.crm.test/api/v1/finance/journal-entries/10003/documents \
  -H "Authorization: Bearer YOUR_ACCESS_TOKEN" \
  -F "file=@service_contract.pdf" \
  -F "type=contract" \
  -F "tags[]=supporting_document" \
  -F "name=Service Contract - Accrual Basis" \
  -F "description=Contract showing accrual requirement" \
  -F "is_public=false" \
  -F "is_sensitive=true"

Scenario 4: Bank Reconciliation

Document bank reconciliation with statements and adjustments:

bash

# Upload bank statement
curl -X POST https://api.crm.test/api/v1/finance/journal-entries/10004/documents \
  -H "Authorization: Bearer YOUR_ACCESS_TOKEN" \
  -F "file=@bank_statement_december.pdf" \
  -F "type=financial" \
  -F "tags[]=bank_statement" \
  -F "tags[]=reconciliation" \
  -F "name=Bank Statement - December 2024" \
  -F "is_public=false" \
  -F "is_sensitive=true"

# Upload reconciliation report
curl -X POST https://api.crm.test/api/v1/finance/journal-entries/10004/documents \
  -H "Authorization: Bearer YOUR_ACCESS_TOKEN" \
  -F "file=@reconciliation_report.pdf" \
  -F "type=report" \
  -F "tags[]=reconciliation" \
  -F "tags[]=audit_trail" \
  -F "name=Bank Reconciliation Report - December 2024" \
  -F "description=Monthly bank reconciliation with adjustments" \
  -F "is_public=false" \
  -F "is_sensitive=true"

Scenario 5: Year-End Adjustments

Document year-end closing entries:

bash

# Upload depreciation schedule
curl -X POST https://api.crm.test/api/v1/finance/journal-entries/10005/documents \
  -H "Authorization: Bearer YOUR_ACCESS_TOKEN" \
  -F "file=@depreciation_schedule.xlsx" \
  -F "type=report" \
  -F "tags[]=supporting_document" \
  -F "tags[]=audit_trail" \
  -F "name=Depreciation Schedule 2024" \
  -F "description=Annual depreciation calculation" \
  -F "is_public=false" \
  -F "is_sensitive=true"

# Upload auditor approval
curl -X POST https://api.crm.test/api/v1/finance/journal-entries/10005/documents \
  -H "Authorization: Bearer YOUR_ACCESS_TOKEN" \
  -F "file=@auditor_approval.pdf" \
  -F "type=form" \
  -F "tags[]=approval" \
  -F "tags[]=audit_trail" \
  -F "name=External Auditor Approval" \
  -F "description=Auditor sign-off on year-end adjustments" \
  -F "is_public=false" \
  -F "is_sensitive=true"

Validation Rules

File Requirements:

Maximum size: 50 MB
All file types accepted (PDFs, Excel files, images for receipts)

Required Fields:

file - The document file
type - Document type

Optional Fields:

tags - Array of tags (validated against allowed list)
name, description
is_public - Default: false (all finance documents should be private)
is_sensitive - Recommended: true for all financial documents
expires_at - Optional expiration date

Chart of Account Documents

Overview

Chart of Account documents include account policies, procedures, compliance documents, audit guidelines, regulatory documentation, and reference materials. These documents define accounting policies and ensure compliance with accounting standards.

Endpoint: /api/v1/finance/chart-of-accounts/{chartOfAccountId}/documents

Supported Tags

Tag	Purpose	Example Use Case
`policy`	Accounting policies	Account-specific policies
`documentation`	General documentation	Account usage guidelines
`compliance`	Compliance documents	Regulatory compliance docs
`audit`	Audit documentation	Audit guidelines, checklists
`procedure`	Accounting procedures	Posting procedures, workflows
`guideline`	Usage guidelines	Account usage instructions
`reference`	Reference materials	GAAP references, standards
`regulation`	Regulatory documents	Tax regulations, legal requirements

Common Scenarios

Scenario 1: Account Setup Documentation

Document new account setup with policies:

bash

# Upload account policy document
curl -X POST https://api.crm.test/api/v1/finance/chart-of-accounts/20001/documents \
  -H "Authorization: Bearer YOUR_ACCESS_TOKEN" \
  -F "file=@account_policy.pdf" \
  -F "type=policy" \
  -F "tags[]=policy" \
  -F "tags[]=documentation" \
  -F "name=Account 1000 - Cash Policy" \
  -F "description=Cash account usage policy and procedures" \
  -F "is_public=false" \
  -F "is_sensitive=true"

# Upload account posting procedure
curl -X POST https://api.crm.test/api/v1/finance/chart-of-accounts/20001/documents \
  -H "Authorization: Bearer YOUR_ACCESS_TOKEN" \
  -F "file=@posting_procedure.pdf" \
  -F "type=procedure" \
  -F "tags[]=procedure" \
  -F "tags[]=guideline" \
  -F "name=Cash Posting Procedures" \
  -F "description=Step-by-step posting guidelines for cash account" \
  -F "is_public=false"

Scenario 2: Compliance Documentation

Upload compliance and regulatory documents:

bash

# Upload GAAP reference
curl -X POST https://api.crm.test/api/v1/finance/chart-of-accounts/20002/documents \
  -H "Authorization: Bearer YOUR_ACCESS_TOKEN" \
  -F "file=@gaap_reference.pdf" \
  -F "type=policy" \
  -F "tags[]=reference" \
  -F "tags[]=compliance" \
  -F "name=GAAP Revenue Recognition Guidance" \
  -F "description=ASC 606 revenue recognition standards" \
  -F "is_public=false"

# Upload tax regulation document
curl -X POST https://api.crm.test/api/v1/finance/chart-of-accounts/20002/documents \
  -H "Authorization: Bearer YOUR_ACCESS_TOKEN" \
  -F "file=@tax_regulation.pdf" \
  -F "type=legal" \
  -F "tags[]=regulation" \
  -F "tags[]=compliance" \
  -F "name=Tax Treatment - Revenue Account" \
  -F "description=IRS guidance on revenue account treatment" \
  -F "is_public=false" \
  -F "is_sensitive=true"

Scenario 3: Audit Documentation

Upload audit-related documents:

bash

# Upload audit checklist
curl -X POST https://api.crm.test/api/v1/finance/chart-of-accounts/20003/documents \
  -H "Authorization: Bearer YOUR_ACCESS_TOKEN" \
  -F "file=@audit_checklist.pdf" \
  -F "type=procedure" \
  -F "tags[]=audit" \
  -F "tags[]=guideline" \
  -F "name=Account Audit Checklist" \
  -F "description=Annual audit verification procedures" \
  -F "is_public=false"

# Upload compliance certification
curl -X POST https://api.crm.test/api/v1/finance/chart-of-accounts/20003/documents \
  -H "Authorization: Bearer YOUR_ACCESS_TOKEN" \
  -F "file=@compliance_cert.pdf" \
  -F "type=certificate" \
  -F "tags[]=compliance" \
  -F "tags[]=audit" \
  -F "name=SOX Compliance Certification" \
  -F "description=Sarbanes-Oxley compliance for account controls" \
  -F "is_public=false" \
  -F "is_sensitive=true" \
  -F "expires_at=2025-12-31T23:59:59Z"

Scenario 4: Account Usage Guidelines

Document account-specific instructions:

bash

# Upload usage guidelines
curl -X POST https://api.crm.test/api/v1/finance/chart-of-accounts/20004/documents \
  -H "Authorization: Bearer YOUR_ACCESS_TOKEN" \
  -F "file=@usage_guidelines.pdf" \
  -F "type=procedure" \
  -F "tags[]=guideline" \
  -F "tags[]=documentation" \
  -F "name=Expense Account Usage Guidelines" \
  -F "description=When and how to use account 5000 - Travel Expenses" \
  -F "is_public=false"

# Upload approval workflow
curl -X POST https://api.crm.test/api/v1/finance/chart-of-accounts/20004/documents \
  -H "Authorization: Bearer YOUR_ACCESS_TOKEN" \
  -F "file=@approval_workflow.pdf" \
  -F "type=procedure" \
  -F "tags[]=procedure" \
  -F "tags[]=guideline" \
  -F "name=Approval Workflow - Travel Expenses" \
  -F "description=Required approvals for travel expense postings" \
  -F "is_public=false"

Validation Rules

File Requirements:

Maximum size: 50 MB
All file types accepted (typically PDFs, Word documents)

Required Fields:

file, type

Optional Fields:

tags, name, description
is_public - Default: false (all CoA documents should be private)
is_sensitive - Recommended: true for compliance and audit documents
expires_at - For time-limited policies or certifications

Cross-Entity Workflows

Journal Entry Audit Trail

Complete audit documentation workflow:

bash

# 1. Upload supporting documents when creating journal entry
POST /api/v1/finance/journal-entries/10001/documents
{
  "file": <receipt.pdf>,
  "tags": ["receipt", "proof"]
}

# 2. Upload approval document after review
POST /api/v1/finance/journal-entries/10001/documents
{
  "file": <approval.pdf>,
  "tags": ["approval"]
}

# 3. Upload reconciliation document at month-end
POST /api/v1/finance/journal-entries/10001/documents
{
  "file": <reconciliation.pdf>,
  "tags": ["reconciliation", "audit_trail"]
}

# 4. Retrieve complete audit trail
GET /api/v1/finance/journal-entries/10001/documents

Account Policy Updates

Manage policy version control:

bash

# 1. Upload new policy version
POST /api/v1/finance/chart-of-accounts/20001/documents
{
  "file": <policy_v2.pdf>,
  "tags": ["policy", "documentation"],
  "name": "Account Policy v2.0 - Effective 2025"
}
# Note: Old policy automatically archived

# 2. Retrieve policy history
GET /api/v1/finance/chart-of-accounts/20001/documents?tags=policy&include_archived=true

Best Practices

1. Journal Entry Documentation

Complete Documentation:

Upload supporting documents for every journal entry
Include receipts, invoices, or other proof
Document approval workflows
Maintain clear audit trail

Naming Conventions:

Include journal entry number in document names
Reference transaction date in descriptions
Use consistent tag combinations for similar transactions
Example: "JE-10001 - Expense Receipt - Office Supplies - 2025-01-15"

Required Documents:

Expense Entries: Receipt or invoice
Revenue Entries: Invoice, contract, or proof of delivery
Adjustments: Calculation worksheet, approval document
Transfers: Supporting documentation showing reason
Accruals: Contract or agreement showing accrual basis

2. Chart of Account Documentation

Policy Documentation:

Document usage policies for all accounts
Define posting procedures clearly
Include approval requirements
Update policies when standards change

Compliance:

Reference applicable accounting standards (GAAP, IFRS)
Document regulatory requirements
Upload audit guidelines and checklists
Set expiration dates for time-limited policies

Version Control:

Name policies with version numbers
Include effective dates in document names
Archive old versions (don't delete)
Maintain complete policy history

3. Audit Compliance

Audit Trail:

Tag all audit-related documents with audit_trail
Maintain complete documentation for financial audits
Upload external auditor correspondence
Document management approvals for significant transactions

SOX Compliance:

Document internal controls for financial accounts
Upload control testing documentation
Maintain evidence of control effectiveness
Set review dates for periodic control assessments

Document Retention:

Retain financial documents per regulatory requirements (typically 7 years)
Never hard-delete audit documentation
Archive vs delete based on retention policies
Mark retention period in document metadata

4. Security and Access Control

Mark All Documents as Sensitive:

All finance documents should be is_sensitive: true
Restrict access to finance team and auditors
Implement role-based access controls
Audit document access regularly

Data Protection:

Never make financial documents public
Encrypt sensitive financial data
Control download access
Track who accesses financial documents

Approval Workflows:

Document all approvals digitally
Upload signed approval forms
Track approval chain in metadata
Maintain approval authority documentation

5. Reconciliation and Review

Monthly Close:

Upload bank statements for reconciliation
Document reconciling items with supporting proof
Upload month-end adjustment documentation
Maintain complete close checklist with documents

Periodic Reviews:

Review account documentation quarterly
Update policies when accounting standards change
Verify compliance documentation is current
Check expiration dates on certifications

Troubleshooting

Common Issues

Problem: Journal entry rejected by auditor due to missing documentation

Solution:

Verify all required supporting documents uploaded
Check that documents include proper approval signatures
Ensure tags include audit_trail for audit compliance
Upload supplementary documentation as needed

Problem: Cannot find supporting documents for historical journal entries

Solution:

Use include_archived=true to see historical documents
Search by journal entry number in document names
Filter by date range using created_at timestamps
Check that documents weren't hard-deleted (should only be archived)

Problem: Policy document upload fails

Solution:

Check file size is under 50 MB
Verify file is not corrupted
Compress large policy manuals
Split multi-section policies into separate documents

Problem: Compliance document expired but still showing

Solution:

System doesn't automatically hide expired documents
Query documents and filter by expires_at client-side
Upload renewed compliance documents
Old documents automatically archived when replaced

Main Document Management Guide - System-wide documentation
Financial Reporting - Complete reporting documentation
Journal Entry Workflows - Journal entry management
Chart of Accounts Setup - Account setup and configuration

API Reference

For complete API specifications:

OpenAPI Specification: /docs/openapi.yaml
Interactive Documentation: Scribe-generated API docs
Endpoint Group: Finance Module → Document Management

Compliance Notes

Accounting Standards:

Document compliance with GAAP or IFRS as applicable
Reference specific ASC codifications in account policies
Upload relevant standard interpretations

Tax Compliance:

Maintain documentation supporting tax positions
Upload IRS or tax authority guidance
Document transfer pricing policies
Retain records per tax law requirements

SOX Compliance (for public companies):

Document internal controls over financial reporting
Upload control testing evidence
Maintain segregation of duties documentation
Document IT general controls

Audit Requirements:

Provide complete documentation to external auditors
Maintain audit trails for all financial transactions
Document significant accounting judgments
Upload management representation letters

Finance Module - Document Management ​

Overview ​

Supported Entities ​

Journal Entry Documents ​

Overview ​

Supported Tags ​

Common Scenarios ​

Scenario 1: Expense Journal Entry ​

Scenario 2: Vendor Invoice Payment ​

Scenario 3: Accrual Adjustment ​

Scenario 4: Bank Reconciliation ​

Scenario 5: Year-End Adjustments ​

Validation Rules ​

Chart of Account Documents ​

Overview ​

Supported Tags ​

Common Scenarios ​

Scenario 1: Account Setup Documentation ​

Scenario 2: Compliance Documentation ​

Scenario 3: Audit Documentation ​

Scenario 4: Account Usage Guidelines ​

Validation Rules ​

Cross-Entity Workflows ​

Journal Entry Audit Trail ​

Account Policy Updates ​

Best Practices ​

1. Journal Entry Documentation ​

2. Chart of Account Documentation ​

3. Audit Compliance ​

4. Security and Access Control ​

5. Reconciliation and Review ​

Troubleshooting ​

Common Issues ​

Related Documentation ​

API Reference ​

Compliance Notes ​

Finance Module - Document Management

Overview

Supported Entities

Journal Entry Documents

Overview

Supported Tags

Common Scenarios

Scenario 1: Expense Journal Entry

Scenario 2: Vendor Invoice Payment

Scenario 3: Accrual Adjustment

Scenario 4: Bank Reconciliation

Scenario 5: Year-End Adjustments

Validation Rules

Chart of Account Documents

Overview

Supported Tags

Common Scenarios

Scenario 1: Account Setup Documentation

Scenario 2: Compliance Documentation

Scenario 3: Audit Documentation

Scenario 4: Account Usage Guidelines

Validation Rules

Cross-Entity Workflows

Journal Entry Audit Trail

Account Policy Updates

Best Practices

1. Journal Entry Documentation

2. Chart of Account Documentation

3. Audit Compliance

4. Security and Access Control

5. Reconciliation and Review

Troubleshooting

Common Issues

Related Documentation

API Reference

Compliance Notes