Cover Letters and Inserts: Which Pages the Entries Cite

Jane Doe uploads a statement from Doe Brokerage. Behind the statement pages sit a cover letter from the issuer, a printed insert and some pages of instructions. It all came in the same envelope.

That's the case this piece covers: an issuer cover letter, an insert or instruction pages that arrive with the document they were mailed with. In this method, the Preparer marks on the page map which pages are the document itself and which are enclosures, then runs the drafting pass. The Firm's instructions ask each drafted entry to cite its file page and part; the Preparer checks each citation by hand. The Preparer logs a figure that shows up only on an enclosure page as such, and the entry stays open for the Reviewer's decision.

This piece states no rule about what an issuer's letter, notice or insert means. The Preparer logs what each page shows, and the Reviewer decides.

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 an enclosure list, a page map layout, a citation pattern, a client message, a marking table, a pre-review check, a Doe example and a line for the Firm's AI instructions.

Several documents, a summary page, one mailing

Several documents a client put into one file are covered in mapping a combined client upload.

A summary page sent in place of the detailed statement is covered in a summary page without the detail.

This case is different: one document arrived with the issuer's own enclosures, and the question is which pages the entries cite.

What counts as an enclosure, in this method

In this method, the Preparer marks a page as an enclosure when it came with the document and is any of these:

• A cover letter from the issuer, addressed to the client.
• An insert or flyer the issuer printed and sent with the document.
• Pages of instructions or explanations about how to read the document.

If the Preparer can't tell whether a page is part of the document or an enclosure, the Preparer marks it "Not sure" on the page map.

The page map

In this method, the Preparer reads every page and builds a page map on the file index, then runs the drafting pass. The Firm can add this layout to its index.

The Part column names each page by what it shows, nothing more.

In this method, the Preparer keeps the upload as it came in, enclosures included. The Firm's own policy guides any further document steps, such as saving enclosures apart from the document.

Citing a document page

In this method, the Firm's instructions ask for each drafted entry to cite the file, the file page and the part the page map shows, and the Preparer checks each citation by hand. A pattern the Firm can adapt:

"[file, copy ID], file page [page], [Document, Enclosure or Not sure, per map]"

Naming the part shows the Reviewer the page's Document, Enclosure or Not sure label.

A line for the Firm's AI instructions

In this method, the Firm adds a line, in its own words, to its instructions for the drafting pass on a folder that holds a document with enclosures. A version to adapt:

"Enclosures: [file, copy ID]. The page map lists each file page as Document, Enclosure or Not sure. Cite each entry by file page and the part the page map lists; the Preparer checks and marks entries by hand."

The line is the Firm's wording, not a promise about what any drafting software does. The Preparer still checks each entry against the page it cites and the page map.

Logging a figure seen only on an enclosure

In this method, when the Preparer checks an entry and sees its figure only on a page marked Enclosure, the Preparer logs it in the entry's note: the file page, what the page shows, and the words "Enclosure only". The Preparer doesn't guess where the figure belongs in the document and gives no reading of the enclosure.

The entry stays open for the Reviewer's decision. So does any entry that rests on a page marked Not sure.

Asking the client about other pages

In this method, the Preparer can ask the client whether the issuer sent any other pages, as in the client question log. The Firm can adapt this message:

Hi Jane Doe, thanks for sending your [document name] from [issuer name]. Some pages in the upload look like a letter or insert that came with it, and a figure on [what the page shows] doesn't appear on the document pages we have. Could you check whether [issuer name] sent any other pages with it, and send them through our usual upload? Thanks, [Preparer name] at [Firm]

If the Firm's own policy calls for other wording, the Firm's wording wins.

Marking entries drafted from a document with enclosures

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

Every mark stays on its entry for the Reviewer's decision.

When the client answers

In this method, the Preparer reads added pages, updates the index and page map, reruns the folder's drafting pass, and checks new entries against their cited pages and parts. The Preparer notes the client's answer on the original entry, which stays open for the Reviewer's decision.

If the client says nothing else came with the document, the Preparer quotes the answer in the note and marks the entry "Client answer noted". The entry stays open for the Reviewer's decision, and the Firm's own policy guides any further document 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 document with enclosures in the folder has a page map.
• Each page map covers every page in the upload and names who marked it.
• Each page carries a part: Document, Enclosure or Not sure.
• The Firm's instructions hold an enclosures line for each such document in the drafting folder.
• Each entry's citation names a file page and its part.
• Each entry whose figure shows only on an enclosure page carries a note for the Reviewer.
• Each entry from a page marked Not sure carries a note for the Reviewer.

Who marks 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 document-handling step.

A mark or a page map line 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 the page map and decides what happens with each entry, and the Reviewer signs off on the whole file, page map 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 is a synthetic client of the Firm. Alex Doe is the Preparer and Pat Doe is the Reviewer. Jane uploads the Doe Brokerage statement and enclosures described above.

Alex reads every page and builds the page map: statement pages as Document; the letter, the insert and the instruction pages as Enclosure.

Alex adds the enclosures line to the Firm's instructions and runs the drafting pass on the folder. Alex checks citations against their pages and mapped parts, then marks matching statement entries "Cited to document page" by hand.

An entry cites the cover letter, and Alex sees its figure nowhere in the statement pages. Alex logs file page, heading and "Enclosure only" in its note, marking "Enclosure only, open" by hand.

Alex sends Jane the message and logs it. Jane says the mailing held nothing more. Alex quotes her answer in the note and marks the entry "Client answer noted". It stays open for Pat's decision.

Alex runs the pre-review check and sends the file to Pat. Pat reviews the marked entries and the page map, decides what happens with each 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.