1040 intake to ready for preparation
Azure POC
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Step 3 of 6
Review workflow observations
Classify source-backed facts, surface limitations, and prepare the record for validation.
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Source-backed fact register
Observations
3 offices represented3 items in the validation queue
| Observation | Category | Office and role | Evidence source | Validation |
|---|---|---|---|---|
| The document portal is the designated system of receipt for client-provided documents.OB-0006Standard and exception intake | System | Office CManager | EV-0003 / Annual intake procedureintendedSynthetic library / procedures / annual-intake / section 2.1 | DraftLocal email intake exceptions may exist and require office validation. |
| Manager authorization is required before an exception file can be released to preparation.OB-0005Exception intake | Control | Office CManager | EV-0003 / Annual intake procedureintendedSynthetic library / procedures / annual-intake / section 5.2 | Needs validationThis is an intended control; operating evidence has not been collected. |
| The associate decides whether the file is preparation-ready after checking expected documents.OB-0004Portal document receipt | Decision | Office BAssociate | EV-0002 / Portal intake walkthroughobservedSynthetic notes / walkthroughs / portal-intake-01 / step 7 | Needs validationDecision criteria were visible in practice but were not documented in the walkthrough. |
| Portal documents are manually associated with the client file before readiness review.OB-0003Portal document receipt | Handoff | Office BAssociate | EV-0002 / Portal intake walkthroughobservedSynthetic notes / walkthroughs / portal-intake-01 / step 4 | ValidatedObserved in one standard client scenario. |
| Missing-item follow-up is tracked outside the tax workflow system.OB-0002Standard annual intake | Pain point | Office ACoordinator | EV-0001 / Intake coordinator interviewreportedSynthetic notes / interviews / coordinator-01 / lines 31-35 | DraftThe interview did not quantify follow-up volume or cycle-time impact. |
| The coordinator sends the annual request after the engagement is authorized.OB-0001Standard annual intake | Activity | Office ACoordinator | EV-0001 / Intake coordinator interviewreportedSynthetic notes / interviews / coordinator-01 / line 12 | Needs validationReported by one coordinator and not yet compared with other offices. |