The audit · document 05 of 07
Boundaries & risks
Every rule here comes with the mechanism that enforces it, and every risk with what contains it. A rule without an enforcement is a wish; none of these are wishes.
The boundaries — rules and their enforcement
Drafts and preparations only
Nothing is sent, filed, or signed without a named person's approval.
The agent has no send capability anywhere. Outbound release exists only on the approval screen, per document, behind the approver's login.
No legal judgment
No case evaluation, no settlement language, no advice — in any draft.
Drafts come only from the firm's own approved templates. Free composition is off; a template change is a human, versioned act.
No direct contact
The system never communicates with clients, adjusters, or providers.
No channel exists: no mail account, no phone line, no portal login of its own. People send; it prepares.
The firm's data stays in the firm's systems
Nothing copied out; nothing trains anything.
The agent works inside the firm's own accounts under a scoped role: read intake and case data, write drafts and records. Access is revocable in one place, by the firm.
Everything is logged
Every draft, edit, approval, and release — who, what, when.
The log writes itself on every action and cannot be edited from inside the system. The firm can export it at any time.
The risk register
Named during the audit, reviewed with the firm. Likelihood × impact, and the control that contains each.
| Risk | Severity | Control |
|---|---|---|
| Wrong carrier identified — a letter prepared for the wrong insurer | low × high | Carrier identity is a blocking review item: the pack won't release until a person confirms both carriers against the intake record. |
| Missing intake data discovered late | medium × medium | Gaps become named blockers at intake time, on the review screen — not surprises at step five. (This is today's failure mode, made visible.) |
| Template drift — an outdated letter goes out repeatedly | low × medium | Templates are versioned in one place; every draft names its template version in the log; a quarterly template review is on the firm's calendar. |
| Deadline mis-computed — PIP window or statute date wrong | low × high | Dates are computed from the crash date by fixed rules, shown with their arithmetic on the review screen, and confirmed by the case manager before the calendar writes. |
| System outage mid-opening | low × medium | The fallback is today's process — the team can open a case by hand at any time; nothing is locked behind the agent. |
| Over-trust — approvals become rubber stamps | medium × medium | Correction rate is measured (document 07). If the paralegal stops correcting drafts entirely for a stretch, that triggers a sampled re-review, not a celebration. |
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