03 Sep 2015

Crunch Time: Preparing for Your Next Audit

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trustworksAll eyes are on you as you take the field. It’s the moment your team has been preparing for all year: it’s audit time.

Although audits typically happen every two to four years, it’s best to drill your team as if an audit could happen at any moment. Luckily, you have the best coach in the business on your side: the Auditor tool in CaseLink!

Both CaseLink Office and CaseLink Web include an Auditor feature, using intuitive technology to maximize the efficiency of your audit preparation and ensuring your case data is in tip-top shape every time your office is scheduled for an audit. Learn how to utilize the Auditor tool to your best advantage below!

CaseLink Office

The Auditor feature in Caselink Office has proven to be a tremendous asset in assisting trustees with audit preparation. Most users use the Auditor tool in advance of report submissions and audits; however, did you know that in CaseLink Office you can also build ‘snapshots’ to look for compliance issues or issues related to the Auditor? Snapshots are filters that allow you to find trends for very specific conditions that you define.

Examples of some filters you can run include:

  • Cases with the last income collected more than 9 months ago and no TFR date
  • Cases with no income in the last 12 months and no TFR date
  • Cases with no assets entered
  • Assets with unknown original trustee value
  • Cases that have a TDR date that hasn’t been entered after 150 days
  • Asset cases that have a blank “Next Activity” memo

To run a filter using Snapshots, follow the below steps:

  • In the top navigation, click on the Snapshots tab.
    In the Snapshots window, set both Snapshot Maintenance and Filter Maintenance to “All Cases”.
  • Click on “Filter Maintenance” in the top right. To start a new filter, click “New” and then “New Empty Filter.”
  • From this screen, you will be able to build a filter based on what you are looking for. You can filter based on Asset Status, Active Status, and specific cases. In the bottom list, you can also scroll through set criteria and choose dates that you want to filter by. For example, you can choose to only show Asset cases that have an ETFR date marked as EMPTY.
  • Click on the “Advanced” tab to add even more filters.


  • You can set an “AND/OR” equation by clicking in the “And/Or” column and clicking on the dropdown arrow.
  • Click in the “Field” column to choose from different set fields.
  • Complete the expression by clicking in the remaining columns to set those criteria.
  • After you have completed your expression line, you can continue to add expressions until you have sufficiently filtered to what you are searching for. You can rearrange the expressions by using the up and down arrows in the “Priority” column as shown below.
  • Once you have completed your filter, click “OK.” You will be prompted to determine if you would like for it to be a permanent or temporary filter.
  • Finally, name your filter so you can access it for future use, then click “OK.” After this step, you will be able to use the filter you have created.

CaseLink Web

The Auditor in CaseLink Web allows you to view issues with your case data and to immediately, and interactively, correct the issues!

CaseLink Web 5.0 – set to be released this month – features a big enhancement to the Auditor with a new ‘UST Tool’ that mimics the reports that most Trustees receive in response to their TIR. BMS has designed the tool to alert you to UST concerns on demand. CaseLink Web users can get ahead of the game by accessing the UST Tool before they submit their TIR!
Auditor latest UST screen
Also added to the Auditor is a feature that allows users to save and give names to commonly run searches for later re-use. Once you have set up a query, just click a button to see an instant replay. This is a great way to reduce time spent on frequent Auditor tasks.

Auditor name and save search

In addition, new search parameters have been added to the Auditor, as well as a much more streamlined Issue Tracker Sidebar, making the tool more powerful. These Auditor enhancements, which adjust and refine existing functions and workflows, are typical of many of the improvements to be found in CaseLink Web 5.0.

Final Tips

BMS and your Account Manager can also assist you in preparing for your audit.  It’s a good rule of thumb to notify your Account Manager the moment you receive notice that you are going to be audited.  They can go over any questions you may have while providing tips and reports that you can run.

All of these recommendations can help you to achieve a successful and stress-free audit! If you have questions regarding any of these processes in CaseLink, contact our professionals in the BMS Support Center via email or call 800-634-7734, ext. 6. They can walk you through the process step-by-step.