Illustrative demonstration
A workflow on synthetic data, including the step that fails.
There is no published client case study. Rather than ask you to take the description on trust, this walks one workflow through on invented data, exception path included.
Nine steps, including the one that fails
Illustrative workflow using synthetic data
01 A client request list, as the workflow sees it
Each engagement carries a list of expected documents. The workflow reads status from the practice-management system rather than keeping a second copy of the truth.
| Expected document | Requested | Status |
|---|---|---|
| W-2 — Marlowe, R. | 12 Jan | Received |
| 1099-INT — Cascade Mutual | 12 Jan | Received |
| Schedule K-1 — Rennick Holdings | 12 Jan | Outstanding |
| Brokerage year-end — Halvard | 12 Jan | Outstanding |
Engagement: Marlowe Family Trust · 1040 · preparer J. Whitlock
02 A document arrives
It comes in through one of the approved intake routes — here the client portal — and enters a single visible queue rather than an inbox someone has to remember to check.
| Property | Value | State |
|---|---|---|
| File | halvard-1099b-2025.pdf | Received |
| Route | Client portal | Approved route |
| Engagement | Marlowe Family Trust · 1040 | Matched |
| Next | Classification | Queued |
03 The document is classified
The workflow assigns a document type from the supported list agreed during scoping. Anything outside that list is not guessed at — it goes to review unclassified.
| Property | Value | State |
|---|---|---|
| Assigned type | Form 1099-B — proceeds from broker transactions | Classified |
| Supported type | Yes — in the agreed list | In scope |
| Matches request | Brokerage year-end — Halvard | Matched |
| Next | Field extraction | Queued |
04 Extracted fields enter a review state
Fields are read into structure and held. Nothing proceeds on the strength of extraction alone — the state here is "awaiting review", not "done".
| Field | Extracted value | State |
|---|---|---|
| Payer | Halvard Securities LLC | Awaiting review |
| Recipient | Marlowe Family Trust | Awaiting review |
| Account | ending 4417 | Awaiting review |
| Proceeds, short-term | — | Low confidence |
The low-confidence field is the one a person looks at first. It is surfaced, not silently filled.
05 A missing item becomes eligible for follow-up
The K-1 is still outstanding. It reaches the approved follow-up schedule and becomes eligible to chase. Schedules are agreed with the firm; the workflow does not invent its own cadence or write its own tone.
| Outstanding item | Last contact | State |
|---|---|---|
| Schedule K-1 — Rennick Holdings | 12 Jan — initial request | Eligible to chase |
| Brokerage year-end — Halvard | Received today | Cleared |
| Schedule | Approved: day 14, then day 28 | Within policy |
| Send | From the firm’s mailbox, on the firm’s template | Queued |
06 A person approves
The reviewer corrects the low-confidence field and approves. The correction is logged against their identity — that is what makes the action attributable later.
| Field | Value after review | State |
|---|---|---|
| Proceeds, short-term | $18,204.55 — entered by reviewer | Corrected |
| All other fields | Unchanged | Approved |
| Reviewer | T. Alvarado | Attributed |
| Decision | Approve and file | Approved |
During a pilot, no final filing happens without this step.
07 Filed into the workpaper structure
The approved document is filed where the firm already files it, named the way the firm already names things, and the request list is updated from the event rather than by hand.
| Property | Value | State |
|---|---|---|
| Destination | /2025/Marlowe Family Trust/B — Income/ | Filed |
| Filed as | B-4 1099-B Halvard 4417.pdf | Filed |
| Request list | Brokerage year-end — marked received | Updated |
| Outstanding | Schedule K-1 — Rennick Holdings | Still open |
08 Every action is logged
What ran, when, against which document, under which identity, and what came of it. An automation nobody can review is not an improvement on a manual process.
| Time | Event | Identity |
|---|---|---|
| 09:12 | Document received — portal | workflow |
| 09:12 | Engagement matched | workflow |
| 09:13 | Classified — 1099-B | workflow |
| 09:13 | Extraction complete — 1 field low confidence | workflow |
| 11:40 | Field corrected and approved | T. Alvarado |
| 11:40 | Filed to workpaper destination | workflow |
09 And the one that fails
A second document arrives that is not in the supported list. The workflow does not guess, does not file it somewhere plausible, and does not fail silently. It stops, in a state a person can see.
| Property | Value | State |
|---|---|---|
| File | scan-0043.pdf | Received |
| Classification | No supported type matched | Unclassified |
| Extraction | Not attempted | Halted |
| Filing | Blocked — requires a person | Blocked |
| Queued for | Review — reclassify, route manually, or reject | Awaiting review |
An empty exception queue during busy season is a reason to investigate, not a reason to relax.