Audit Case Management
Keep an examination organized from the first letter to the close. Case management tracks deadlines, requests and correspondence, so nothing is missed and the record of the exchange is complete.
Why a case needs structure
An examination is a conversation spread over weeks or months, with deadlines, documents and decisions. Letters arrive, questions are asked, answers are drafted, extensions are requested. In the middle of it, small things get lost: a deadline in someone's inbox, a document sent but not logged, a question that was answered in a call and never written down. Case management gives the exchange a home, so that everyone involved can see where it stands.
How it works
- 1
Open a case
Log the examination: the year, the authority, the contact and the first letter.
- 2
Track
Add requests, deadlines and letters as they arrive, and assign each to a person.
- 3
Respond
Link drafts and evidence to each request, and record what was sent and when.
- 4
Close
Keep the record when the examination ends, with the outcome and any lessons.
What a case record holds
Contents are examples. Features are confirmed by Swanson Reed.
| Item | What it records |
|---|---|
| Deadlines | Due dates, extensions requested and granted |
| Requests | What was asked, by whom and when |
| Responses | Drafts, final versions and what was sent |
| Correspondence | Letters and notes of conversations |
| People | Who is handling each item |
| Outcome | The result and any follow-up |
What you get
- Nothing missed, because deadlines and requests are in one place.
- A full record of the exchange, in order.
- A clear view of who is doing what.
- A source of lessons for the next claim.
A worked example (illustrative)
This scenario is invented. A company receives an examination letter. The CPA opens a case and logs the first request and its deadline. Over the next weeks, four more requests arrive. Each is assigned: the finance lead gathers payroll records, a technical lead writes a project description, and the CPA drafts the narrative. The CPA requests an extension for one item and records the answer. When the examination closes, the case record shows every request, every response and every date. The company keeps it, and uses it to improve how it documents next year.
Who should run the case
One person should own the case, usually the professional handling the examination, with the business's finance lead as the main contact. Everyone else adds what they know. Decide early how letters will be logged, so that nothing arrives only in someone's personal inbox. And review the case list at the start of each week while it is open, because deadlines are what matter most.
Limits
Case management is a record-keeping tool. It does not provide legal advice, decide strategy or communicate with the tax authority for you. If a claim is under examination, speak to your CPA, enrolled agent or attorney straight away. Cost Guru and its partners do not sell insurance through this site, and nothing here describes coverage. A mock audit does not guarantee acceptance of a claim or predict whether it will be examined.
Integrations, review tiers and partner pricing are proposals until confirmed by Swanson Reed.
A weekly routine during an examination
- Review all open requests and their due dates.
- Confirm who is working on each item and whether they need help.
- Log new correspondence and calls.
- Check that drafts have been reviewed by the right person.
- Note any decision that changes the plan, with the reason.
Lessons for the next claim
When a case closes, take an hour to look at it. Which requests took longest to answer, and why? Which records were hard to find? Which questions revealed a weak point in how the work was documented? The answers are valuable. They tell you what to record differently next year, how to organize the claim file and where a mock audit might have found a problem earlier. A closed case that is simply filed away wastes the lesson.
Working with professionals
An examination is a matter for qualified professionals. The case record supports them by keeping the facts straight and visible, but it does not decide how to respond. If you are the business owner, ask your CPA, enrolled agent or attorney what they would like to see in the record, and set it up that way. A shared, well-kept record reduces the number of calls and emails that would otherwise be needed to find out where things stand.
How case management fits the wider product
A case does not begin from nothing. The claim file already holds the evidence, the costs and the reasoning, and the case record links to it. If a request asks about a project, the relevant records are one click away. If the audit response assistant drafts a reply, the draft is saved to the case. And if the examination reveals weak spots, the gap finder and scoring show the equivalent weaknesses in other claims, so the firm can fix them before they are asked about. The features support each other because they share the same records.
What to record about each request
- The exact wording of the request and its date.
- The deadline and any extension.
- Who is responsible and who reviewed the response.
- What was sent, when and how.
- Any follow-up question that arose.
Case management questions
Does it send anything to the examiner?
No. People send responses. The tool records them.
Can several people use one case?
Yes, with roles agreed in writing, so each sees what they need.
Can I use it for non-R&D matters?
It is designed for R&D examinations. Ask Swanson Reed about any other use.
Is it confidential?
Access is limited and agreed in writing. Please ask about terms before loading sensitive material.
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Learn morePlease note: Estimates and drafts are prepared by software for review by a licensed CPA or enrolled agent. This is not tax advice.
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