Documents Sent by Someone Other Than the Client: Logging the Sender for the AI Pass

Jane Doe's bank statement reaches the Firm, but Jane didn't send it. Her bookkeeper did, in a message to the Firm. Later, her brokerage statement arrives straight from the brokerage. They're sent as Jane's documents. Neither came from Jane.

That's the case this piece covers: client documents sent by third party senders, such as a bookkeeper, an advisor or the business that issued the document. In this method, the Preparer logs who sent each document and how, as the message shows, then runs the drafting pass. The Firm's instructions ask for each drafted entry to cite the document and its sender, and the Preparer checks each citation by hand. The Preparer asks the client to confirm that each such document belongs in the file, and an entry from a document the client hasn't confirmed stays open for the Reviewer's decision.

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. The Firm's own policy decides any further document steps.

This piece gives a sender log 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.

Someone else's document, or the client's document from someone else

A document in the client's folder that belongs to another person is covered in someone else's document in the client file.

This case is different: the document is sent as the client's, but someone other than the client sent it.

What counts as a third-party-sent document, in this method

In this method, the Preparer treats a document as sent by someone other than the client when any of these is true:

• It came in a message from a sender other than the client, such as the client's bookkeeper or advisor.
• It came straight from the business that issued it.
• It came through the Firm's usual upload, but the message with it is signed with a name other than the client's.

If the message names no sender, the Preparer logs the document with "Not shown" under Sent by and doesn't guess who sent it.

The sender log

In this method, the Preparer logs each document that came in from someone other than the client on the file index, then runs the drafting pass. The Firm can add this layout to its index.

The Preparer writes the sender as the message shows it: the name on the message and the account it came from. The Preparer doesn't guess at who the sender is or how the sender knows the client. If the message names no sender, "Not shown" goes under Sent by.

In this method, the sender log names the copy ID of each document and of the message it came with.

Citing the sender

In this method, the Firm's instructions ask for each drafted entry from a third-party-sent document to cite the document and its sender, and the Preparer checks each one. A pattern the Firm can adapt:

"[document, copy ID], sent by [sender, as the sender log shows], page [page]"

In this method, the Preparer adds the sender from the log to an incomplete citation.

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 from another sender. A version to adapt:

"Sender line: [document, copy ID]; sender: [sender, as the sender log shows]. Cite each entry from it by document, sender and page; 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 sender log.

Asking the client to confirm

In this method, the Preparer asks the client to confirm each document that came in from someone else, as in the client question log. The Firm can adapt this message:

Hi Jane Doe, a quick question about your file. We have [document name] in your file, and it came from [sender, as their message shows] rather than from you. Could you confirm that this is your document and that it belongs in your file? 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 third-party-sent document

In this method, the Preparer marks by hand, in the entry's note, every entry drafted from a document that someone other than the client sent. The Firm can rename the marks.

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

When the client answers

If the client confirms the document, the Preparer quotes the answer in each entry's note, checks the entry against its page and marks it "Sender cited, confirmed" for the Reviewer.

If the client says the document isn't theirs, the Preparer quotes the answer and marks each entry from it "Client says not theirs". Each of those entries stays open for the Reviewer's decision, and the Firm's own policy decides any further document steps.

If the client can't confirm the document or doesn't answer, the Preparer notes that on each entry and marks it "Still unconfirmed". Each of those entries stays open for the Reviewer's decision.

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.

• The Preparer checks the sender log for each document from another sender.
• The Preparer checks each log line's channel and the name under Logged by.
• The Preparer checks each sender against the message, using "Not shown" if unnamed.
• The Preparer checks the Firm's instructions for each document's sender line.
• The Preparer checks each entry's document, sender and page citation.
• The Preparer checks these entries for marks set by hand.
• The Preparer checks unconfirmed documents for client questions and notes for the Reviewer.

Who logs 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 sender log line shows what the Preparer wrote. It isn't a sign-off and doesn't stand in for one. The Reviewer sees every marked entry and the sender log and decides what happens with each entry, and the Reviewer signs off on the whole file, sender log included. No file is done without the Reviewer's sign-off.

A Doe example

The names and documents 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. Sam Doe of Doe Bookkeeping keeps Jane's books.

Sam sends the Firm a message with Jane's Doe Bank statement attached, signed "Sam Doe, Doe Bookkeeping". Later, Doe Brokerage sends Jane's brokerage statement straight to the Firm.

Alex logs each document and message copy ID, the channel as shown and each sender as written: "Sam Doe, Doe Bookkeeping" and "Doe Brokerage". Alex writes each sender as the message shows it.

Alex adds a sender line for each document to the Firm's instructions and runs the drafting pass on the folder. Alex checks each entry against its cited page and the sender log, and marks each entry "Sender cited, open" by hand.

Alex sends Jane the message for each document and logs it. Jane confirms the Doe Bank statement. Alex quotes Jane, rechecks entries, and marks them "Sender cited, confirmed". Jane doesn't answer about the brokerage statement, so Alex notes that on each of its entries and marks them "Still unconfirmed".

Alex runs the pre-review check and sends the file to Pat. Pat reviews the marked entries and the sender log, 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.