06 Jan 2014

CaseLink Web Tips and Tricks for using the Auditor feature

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CaseLink Web Tips

Running the Auditor

The Auditor in CaseLink Web uses intuitive technology to help guide you through the steps of audit preparation. The auditor integrates audit results within CaseLink Web to not only allow you to view issues, but to immediately and interactively correct the issues as well.

  • On the menu bar select Tools.
  • Then select Auditor>Auditor Tool.
  • The wizard will take you through a step-by-step process.

Case Selection

You can choose to audit All Open Cases, or limit to Cases Opened between by selecting a specific date range (Petition date or date converted) date. In the latter option, the user can choose to include closed cases.


Additionally, in the same screen, you will Select Case Type option. When an option is selected, that option will expand so you can drill down the requirements of the cases selection. For example, if you select Asset Cases, you then have the option to include cases with TFR, TDR dates, no Claims Bar date and/or cases that have been opened for a certain number of days.


Audit Criteria

You will be asked what items you would like the auditor to validate. Once an option is selected, you will then determine which items in the option you would like to audit. You do not have to go to each item and select the options. You may select “Select All” to validate all items.


Summary Information

Once you have determined the cases you would like to audit and the criteria for the audit, the system will generate a list of cases that meet those selections. The case list can be presented in two views: Case View or Query View. The Case View groups issues by their case name/number.

Picture4The Query View groups issues by their audit category (e.g. Case details, 341(a) Meeting, Assets).

Picture5You can switch easily between these two views by clicking on the Case View/Query View buttons.


If you select the + in front of the case, you will be shown the issues that need to be examined for the case selected. When you select the issue, it will take you to the selected case and screen so you can correct the issue at hand. As you work through the issues, you can update their statuses from New to Defer, Task, Ignore or Fixed. Setting an issue to “Task” status would automatically create a task in the Task List.


You can also move the list to the sidebar so that you can have a persistent view of your issues while you navigate across CaseLink Web to resolve those issues. For example, you could resolve the first issue, then select the next issue in the sidebar and be navigated directly to the page containing the next issue. This helps speed up the process of fixing issues.


When you are working with the Auditor, you may save your Audit Results so you do not have to generate a new report. You can also export the results to Excel if you wish.


Running the Internal Control Questionnaire (ICQ)

  • On the menu bar select Tools.
  • Then select Auditor>ICQ.
  • The online ICQ form will open. Editable fields will be populated with information that saved previously.

The online ICQ form mirrors the PDF form from the DOJ website, with smart features added to help you complete the form more efficiently. Examples include, but are not limited to, the following:

  • Staff names listed under Section I, General Information, will automatically have a checklist column created under their initials in Section II (A), Segregation of Duties.


  • Marking a section as Complete collapses the sections that have been completed, thereby avoiding scrolling through their long list of questions.


  • Validation: For questions that require an explanation for a “no” answer, the online form checks to ensure that their explanation fields are populated.
  • Save and Print features: You can save and print a completed ICQ form that is UST Compliant and ready for submission. Alternatively, existing data on screen can be merely saved as an electronic draft, which will be loaded automatically the next time you access the ICQ screen. You can also select to save a copy to the Global Documents folder every time you print the ICQ form.

CaseLink Web Audit Checklist

Common Audit Issues:

  • Scheduled assets on Form 1 do not match petitions/schedules
  • Bank accounts not timely or properly reconciled or reviewed
  • Form 2 not prepared, maintained or submitted and miscellaneous Form 2 errors (improper cut-off, inaccurate amounts or UTC codes)
  • Asset status not accurately reflected and traced on Form 1
  • Delay in case administration
  • No or inadequate case progress review
  • Unscheduled assets not recorded or properly identified on Form 1
  • Miscellaneous Form 1 errors
  • Assets not timely investigated, pursued, liquidated or collected
  • Abandonments not properly traced on Form 1

Common Types of Cases Requested by Auditors:

  • Large asset cases
  • Cases with accounts receivables
  • Cases with real estate transactions
  • Cases with preference actions/fraudulent transfers
  • Cases with multiple professionals hired
  • Tax or wage cases
  • Aged cases
  • Operating cases
  • Cases with adversary actions
  • No asset cases with significant assets listed

Suggested CaseLink Web Reports to Assist with your Audit:

  • A/R Status Report – Check that Accounts Receivables are collected in a timely manner
  • 1099 Professionals Worksheet – Review payments to professionals
  • Bank Reconciliation Reports – Document monthly reconciliation procedures
  • Receipt Log Reports – Review and reconcile receipts log
  • Case Memo Reports – Verify all notes are current and reflect current status of case

Review orders, notices and supporting documents:

  • Orders Approving Sale
  • Orders Approving Employment of Professionals
  • Orders Approving Payment of Professionals
  • TFR approved before Distribution

Final Audit Suggestions:

The following should be kept locked and secured by the trustee at all times:

  • Check/Deposit Stock
  • Micr Toner Cartridge
  • Disaster Recovery Plan
  • Signature Stamp

Are there other audit tips you think other trustee offices should know about? Share them here.