Figures Sent in an Email, Not a Document: How the Firm Sources Them

The request list asks Jane Doe for her bank statement. Jane writes back with the figure instead: "The interest on the statement was [figure]. Hope that saves you a step." The statement exists, Jane read it, and the figure she typed may well match it. But the folder now holds an email, not the statement.

In this method, the Firm treats client figures in email as messages, not source documents. The Preparer saves the message under the Firm's own message step, records the figure, asks for the document and marks affected entries open for the Reviewer. In this method, entries awaiting documents cite messages as messages, not pages.

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 steps for handling messages; the Reviewer's sign-off on the whole file stays as it is.

This piece gives a short list of what counts as a message figure, a message-figure row, a client request, an instruction line, a marking table, a pre-review check and a Doe example.

A message figure and a client estimate

The two can look alike on the entry list, and they aren't the same case. A client estimate is the client's own description, with no document behind it, as in marking entries that rest on a client estimate.

A message figure is different: the client names a document and copies a figure from it into a message, so there is a document to ask for.

In this method, the Preparer asks for it, so the entry can cite the page as in the Preparer checking the page behind each figure.

If the client then says there was never a document, the Preparer moves the entry to the Firm's estimate steps.

What counts as a message figure, in this method

In this method, these cases concern figures copied from documents the client names:

• The figure appears only in the body of an email, text or portal message from the client.
• The figure sits in a forwarded message, and the document it came from isn't attached.
• The client sends the figure in reply to a request for a document, in place of the document.

A careful client doesn't change the case. In this method, the Preparer doesn't weigh how sure the client sounds; the entry cites the message as a message until the document comes in.

The message-figure row

In this method, the Preparer saves the message in the client folder under the Firm's own message step and records each message figure on a row. The Firm can add these columns to the entry list or keep them as a separate list.

The row quotes the figure as the client wrote it, with no rounding or tidying. If a message holds several figures, each gets its own row.

Asking for the document behind it

In this method, the Preparer thanks the client and asks for the document the figure came from. The Firm can adapt this message:

Hi Jane, thanks for sending the figure from your bank statement. So we can work from the statement itself, could you upload a copy to [the Firm's upload place]? If you can't get a copy, just tell us, and we'll note that on your file for our review. Thanks, Alex at the Firm

The message doesn't question the client's figure; it asks for the page.

If the Firm's own wording differs, the Firm's wording wins, and the Firm can keep its usual client voice as in keeping internal notes and client messages apart.

A line for the Firm's AI instructions

In this method, if a drafting pass runs while a message figure is still open, the Firm adds a line, in its own words, to its instructions for that pass. A version to adapt:

"Message, not a source document: [message reference]. Cite no entry to it as a document; the Preparer notes affected entries by hand."

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

Marking message-figure entries

In this method, the Preparer marks by hand, in the entry's note, every entry that rests on a message figure. The Firm can rename the marks.

In this method, each mark stays on the entry for the Reviewer to read.

When the document comes in

In this method, the Preparer adds the document to the folder, gives it its own row on the file index and checks it like any other. The entry then cites the page, not the message.

Where the page and the message differ, the Preparer drafts the entry again from the page and notes what changed. The message stays in the client folder under the Firm's own message step, so whoever opens the entry later sees both. The Firm takes the message line out of its instructions when no open entry rests on the message.

When no document comes

If the client says they can't get a copy, the Preparer records the reply on the row and sets the mark to no document coming. The message stays under the Firm's own message step, and the entry stays open for the Reviewer.

In this method, the Preparer doesn't close the entry on the strength of the message. What happens with it is the Reviewer's decision. If the client says there was never a document, the Preparer moves the entry to the Firm's estimate steps.

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 figure that came only in a message has a message-figure row.
• Each row quotes the figure word for word and says where the message is saved.
• Each row shows the document asked for and the client's reply, or "no reply".
• Each entry that rests on a message figure carries a mark set by hand.
• No entry cites a message as if it were a source document.
• Each entry marked "Document in" cites the page, and any difference has a note.
• Each entry marked "No document coming" is open, with the client's reply on its row.

Who asks and who decides

The Firm names people for the message 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 reads every marked entry and message-figure row and decides what happens with each open entry, and the Reviewer signs off on the whole file, message-figure 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. Alex Doe is the Preparer and Pat Doe is the Reviewer.

Alex sends Jane the request list. Jane replies with an email: the interest figure from her bank statement, and the closing balance from a brokerage statement, typed into the body. Neither statement is attached. Alex saves the email under the Firm's message step, adds a message-figure row for each figure and marks each entry message figure, open, by hand. Alex adds the instruction line and adapts the request to ask Jane for each statement.

Jane uploads the bank statement. Alex gives it its own index row, cites the page on the interest entry, finds the page shows the same figure, and marks the entry document in, matches.

For the brokerage statement, Jane writes back that she can't get a copy. Alex records her reply on the row, marks the entry no document coming, and leaves it open.

Alex runs the pre-review check and sends the file to Pat. Pat reads the marked entries and their rows, decides what happens with the open 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.