Step 6 of 6
Compare assumptions, controls, tradeoffs, and human approval boundaries before implementation planning.
Strengthen the existing portal and tax workflow with one intake view, explicit controls, bounded assistance, and a draft-only readiness agent.
A lower-disruption path that makes intake state visible, reduces manual routing and drafting, and preserves existing system ownership.
Faster to pilot and easier to adopt, but carries forward current platforms and some synchronization complexity.
Create an event-driven intake service with structured requests, immutable document events, continuous readiness orchestration, and policy-controlled release.
A more scalable intake platform with cleaner state, stronger auditability, and less coupling to office-specific procedures.
Higher integration, migration, governance, and change-management effort before value reaches production.
Active design
Strengthen the existing portal and tax workflow with one intake view, explicit controls, bounded assistance, and a draft-only readiness agent.
Use one approved engagement event, owner, and request cadence across pilot offices.
Consistent, accountable intake initiation.
Only authorized engagements can enter intake.
Approved start-event definition and office owner matrix.
The process owner approves the standard and documented local variants.
Portal and approved shared-channel events appear in one engagement-level work queue.
One visible inventory of newly received documents.
Unapproved sources are rejected and logged for review.
Portal and workflow event integration.
The system owner approves channels, routing rules, and exception handling.
Use hashes and fixed rules for duplicates, formats, versions, engagement identity, and tax-year signals.
Repeatable association with fewer duplicate records.
Every accepted item retains its source and immutable check results.
Document metadata and approved matching rules.
Ambiguous identity, year, or document type is escalated to a practitioner.
A stateful agent compares expected and received items whenever evidence or reviewer decisions change.
A current, source-cited readiness draft for review.
Every draft conclusion cites the source item and rule used.
Approved checklist, read-only evidence tools, and durable draft state.
Draft only; no communication, status change, exception, or release authority.
A practitioner resolves ambiguity, confirms open items, and approves any client-facing draft.
Professional decisions remain explicit and auditable.
Approval identity and timestamp are recorded before downstream action.
Draft assessment and linked supporting evidence.
The practitioner owns readiness and the exact communication text.
The workflow sends only approved text and records requested items, due date, and delivery result.
Consolidated follow-up with visible ownership and timing.
Message approval, delivery, and due date are retained as audit events.
Approved message and communication integration.
Automation may send only the exact practitioner-approved message.
The readiness agent refreshes its draft after new documents, corrections, or reviewer decisions.
Open-item state stays current without autonomous decisions.
Prior conclusions and citation changes remain in the audit trail.
Event notifications and versioned readiness state.
Material changes return to practitioner review before action.
Fixed rules permit release only when complete or when a valid manager exception is present.
A consistent, testable release control.
A failed gate cannot update preparation-ready status.
Approved completeness rules and exception record schema.
Code validates recorded facts but never grants an exception.
The engagement manager reviews evidence, rationale, and residual risk before recording a decision.
Accountable exception handling without delegated risk acceptance.
Decision, rationale, evidence, approver, and time are mandatory.
Named manager and complete exception evidence.
Only the designated manager may approve the exception.
One approved event updates the system of record and preparation queue.
A reliable, visible handoff to preparation.
Both systems receive the same release event and correlation ID.
Preparation queue integration and idempotent status update.
The workflow acts only after the release gate succeeds.
Design approval gate
The alternate design is deferred and the workflow has advanced to implementation.