Unfamiliar Codes on a Client Statement: Logging What the Print Shows

Jane Doe sends the Firm a Doe Bank statement. Beside a printed line, the page shows a short code the Preparer doesn't know.

That's the case for unfamiliar codes client documents can carry: a page prints a code or abbreviation the Preparer doesn't know. In this method, the Preparer copies each code word for word as printed, by hand, with its file page and where it shows on the page, and asks the client. Each log line, and each entry whose citation the Preparer checked against a log line, 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.

This piece gives a code log layout, a citation pattern, a client message, a marking table, a pre-review check and a Doe example. It states no rule about what any code means or how it is treated, and it gives no example meanings.

An issuer name, a client's handwriting, another language, or a printed code

Where the unfamiliar print is the issuer's name, the issuer steps in a document from an issuer you don't recognize apply.

Where the code is the client's own handwriting on the page, the steps in when the client writes on the document apply.

Where a page is in a language the Firm doesn't work in, the steps in a client document in another language apply.

Here the code is printed, the page is in the language the Firm works in, and the code isn't the issuer's name. In this method, the Preparer doesn't add a meaning to the code.

What counts, in this method

In this method, the Preparer reads every page of the document, looks only at what the pages print, not the file name, the upload or the folder, and logs a code when all of these are true:

• A page prints a code, abbreviation or short form the Preparer doesn't know.
• The client didn't write it by hand.
• The page is in the language the Firm works in.
• It isn't the issuer's name.

If the Preparer isn't sure whether a code counts, the Preparer logs it. If a page shows print the Preparer can't make out, the Preparer logs that file page "Can't read" with a plain note of what shows, and asks the client.

The code log

In this method, the Preparer logs each unfamiliar code, and each "Can't read" page, on the file index, by hand, on its own line.

The Preparer copies each code letter for letter, with its spacing, capitals and punctuation, and doesn't shorten, correct, expand or explain it. Where the same code shows in several places, the Preparer logs each place on its own line.

In this method, the Preparer keeps the document as it came in. Any further document steps follow the Firm's own policy.

Citing a line logged with an unfamiliar code

In this method, the Firm's instructions ask for the document, file page, printed page or "none printed", and any code as on the log in each entry's citation; the Preparer checks each citation against its page and the code log by hand. A pattern the Firm can adapt:

"[document], file page [file page], printed page [printed page or none printed], [code as on the log, where present]"

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 these documents. A version to adapt:

"[document]. The Firm's instructions ask for each entry's citation by document, file page, printed page or none printed, and any code as on the log, with nothing added."

The line is the Firm's wording, not a promise about what any drafting software does. The Preparer still checks each entry by hand.

Asking the client about a printed code

In this method, the Preparer asks the client about each line on the code log. The Firm can adapt this message:

Hi Jane Doe, thanks for sending [document]. File page [file page] shows "[code, word for word as printed]" [where it shows on the page], or print we can't make out there: [a plain note of what shows]. Could you tell us what you know about it? Thanks, [Preparer name] at [Firm]

Marking entries drafted from a document on the code log

In this method, the Preparer marks by hand, in the entry's note, every drafted entry with one or more of these marks.

When the client answers

If the client says what they know about the code, the Preparer quotes the answer word for word on the log line and in the note of each entry the Preparer checked against it, marked "Client answer noted". The log line keeps the code as printed. Each log line, and each entry the Preparer checked against it, stays open for the Reviewer's decision.

If the client can't say or doesn't answer, the Preparer notes that on the log line. Each log line, and each entry the Preparer checked against it, stays open for the Reviewer's decision; any further document steps follow the Firm's own policy.

The pre-review check

In this method, the Preparer reads the file against this check and sends it to the Reviewer.

• The Preparer checks each unfamiliar code and each "Can't read" page has its own log line naming who logged it.
• The Preparer checks each log line shows its file page, its printed page or "none printed", and where the print shows on the page.
• The Preparer checks each logged code is copied word for word as printed, with nothing shortened, corrected, expanded or explained.
• The Preparer checks each "Can't read" line describes what shows and names the client question.
• The Preparer checks the Firm's instructions include each logged document's line.
• The Preparer checks each entry's citation for document, file page, printed page or "none printed", and any code as on the log, and checks each entry has one or more of the Preparer's marks, set by hand.
• The Preparer checks each client answer is quoted on its log line and in the notes of the entries checked against it.

Who logs and who decides

The Firm names people for the document-handling steps; the Reviewer decides on entries and on each log line, and signs off.

A mark on an entry, or a log line's status, tells the Reviewer where to look. It isn't a sign-off and doesn't stand in for one. The Reviewer decides on each entry and each log line; the Reviewer signs off on the whole file, code log 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, sends a Doe Bank statement and a Doe Hardware receipt. Alex Doe is the Preparer; Pat Doe is the Reviewer.

Alex reads every file page. Each statement page prints "ZQR" beside a line, a code Alex doesn't know; the receipt pages print no such code.

Alex logs "ZQR" word for word by hand per statement page: document, file page, printed page or "none printed", where it shows, Alex Doe. The log holds a line for each statement page and none for the receipt pages.

Alex adds instructions and asks Jane Doe about each log line; Alex runs the pass. Alex checks each citation against its page and the log by hand. Alex handwrites entry notes: "Cites a coded line", quoting code and location; otherwise, "Cited by file page".

Jane writes that she can't say what the code is. Alex notes that on each statement log line. Each log line and entry stays open for the Reviewer's decision.

Alex runs the pre-review check and sends the file to Pat. Pat reviews the marked entries and the log, decides on each log line and 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.