Someone Else's Document in the Client File: Stop, Set Aside, Ask

Jane Doe uploads a stack of documents to her folder. Among them is a brokerage statement addressed to John Doe. Or a letter carries Jane's surname with another first name. The document came in with the client's own, and it isn't the client's.

In this method, the Preparer treats another person's document in client file folders as a stray. The Preparer's pass through the folder stops on it. The Preparer sets it aside under the Firm's own misfile step, drafts nothing from it and checks with the client. If a draft already rests on it, the Preparer marks those entries by hand, so the Reviewer sees them.

The plugin drafts; the Firm's preparer prepares; the Reviewer signs off. Every step here is one the Firm writes and keeps, in whatever systems the Firm already uses, and the Firm can adapt the document-handling steps; the Reviewer's sign-off on the whole file stays as it is.

This piece gives a set-aside row layout, a client message, an instruction line, a marking table, a pre-review check and a Doe example.

A stray document, a related entity and a corrected copy

Three cases can look alike in a folder. In this method, the Firm keeps documents for entities it also serves, such as the client's own companies, apart by design, as in keeping related entity files apart.

A newer copy of the client's own document is a version question, covered in two copies of one statement.

This piece is about a document for a person who isn't on this file at all. In this method, the Preparer reads the name on the document, not the file name or who sent it.

What stops the Preparer's pass, in this method

In this method, the file index lists who the file covers, and the Preparer's pass stops on a document when any of these is true:

• The name on it isn't the client's, and isn't a person or entity listed for this file.
• The address or account holder on it doesn't match anyone listed for this file.
• The Preparer can't tell from the document whose it is.

A shared surname doesn't settle it: John Doe could be a relative or a stranger. In this method, the Preparer doesn't guess; the document stays set aside until the client answers and, where the client says it belongs, until the Reviewer decides.

Setting it aside under the Firm's misfile step

In this method, the Preparer moves the stray document out of the drafting folder to the place the Firm's misfile step names, and records it on a set-aside row. The Firm can add this layout to the file index it already keeps, as in setting up the client folder.

The row copies the type, issuer, copy ID and name.

In this method, the Preparer doesn't delete, change or forward it. Where it goes next, and who sees it, is for the Firm's own policy to decide.

Checking with the client

In this method, the Preparer checks with the client. The Firm can adapt this message:

Hi Jane, thanks for the documents you sent. One of them carries another person's name, so it looks like it reached us by mistake. We've set it aside and are checking your file. Could you let us know whether it was meant for us, and send the document you meant to send, if there is one? Thanks, Alex at the Firm

The message doesn't name the other person or repeat anything printed on the document. If the Firm's own policy calls for other wording, the Firm's wording wins.

A line for the Firm's AI instructions

In this method, if a draft has already run on a folder that held the stray document, the Firm adds a line, in its own words, to its instructions for the next drafting pass. A version to adapt:

"Set aside, not part of this file: [document, copy ID]. Draft nothing from it and cite nothing to it; the Preparer notes affected entries by hand."

The Preparer still checks the entry list against the cited sources and sets the marks by hand.

Marking entries drafted from it

In this method, the Preparer marks by hand, in the entry's note, every entry drafted from the stray document. The Firm can rename the marks.

Reworked entries keep their marks for the Reviewer's decision.

When the client answers

In this method, the Preparer records the client's answer under “Client asked”. If the client sends the document they meant to send, the Preparer gives it its own row on the file index and checks it like any other.

If the client says the stray document belongs with the file, the Preparer notes that for the Reviewer, and the document stays set aside until the Reviewer decides. If the client says it doesn't belong, it stays where the Firm's misfile step put it, and the Firm's own policy decides what happens next. The Firm takes the set-aside line out of its instructions when no open entry rests on the stray document.

The pre-review check

In this method, the Preparer reads the file against this check before it goes to the Reviewer. The Firm can add its own lines.

• Each document in the drafting folder names the client or a person or entity listed for this file.
• Each stray document has a set-aside row naming where it was found, where it was moved and the Firm step followed.
• No stray document is left in the drafting folder.
• Each stray document has a client message, or a note saying why not.
• Entries drafted from stray documents carry marks set by hand.
• The Firm's instructions hold a set-aside line for each stray document an open entry rests on, and none for a cleared one.
• Any entry marked “Client says it belongs” has a note for the Reviewer with the client's answer.

Who sets aside and who decides

The Firm names people for the document-handling steps; the Reviewer decides on entries and signs off. People at the Firm do every step.

A mark tells the Reviewer where to look. It isn't a sign-off and doesn't stand in for one. The Reviewer sees every marked entry and set-aside row and decides what happens with each entry, and the Reviewer signs off on the whole file, set-aside rows included. No file is done without the Reviewer's sign-off.

A Doe example

The names and file below are made up for illustration.

Jane Doe, a synthetic client of the Firm, owns Doe Holdings, which has its own file at the Firm. Alex Doe is the Preparer and Pat Doe is the Reviewer. The file index for Jane's file lists Jane Doe.

Among Jane's documents, Alex finds a brokerage statement addressed to John Doe, at an address that isn't Jane's. John Doe isn't listed for this file. Alex stops on the statement, moves it to the place the Firm's misfile step names, and fills in a set-aside row.

The drafting pass had already run on the folder. Alex finds an entry citing John Doe's statement and marks it set aside, open, by hand. Alex adds the set-aside line to the Firm's instructions and sends Jane the message.

Jane writes back that John Doe's statement was sent by mistake and attaches her own. Alex adds Jane's answer to the set-aside row and gives her statement its own index row. The drafting pass runs on Jane's statement. Alex checks the redrafted entry against it and marks it set aside, reworked, by hand, with a note of what changed. John Doe's statement stays where the Firm's misfile step put it, and the Firm's own policy decides what happens next.

Alex takes the set-aside line out of the instructions, runs the pre-review check and sends the file to Pat. Pat reviews the marked entry and the set-aside row, decides what happens with the entry, and signs off on the whole file.

Where TracePrep fits

We've built a TracePrep plugin that drafts these steps in your Firm's workflow, while your preparer decides and your Reviewer signs off. Join the waitlist and we'll tell you when plugin access opens.

Get on the list for plugin access

This is general information, not tax or legal advice. In TracePrep's workflow, the plugin drafts, the Firm's preparer prepares, and the Firm's Reviewer signs off. Access to the plugin is by waitlist. Keep client data inside the systems your Firm has approved.