Document Management

Roles involved: CA Staff creates document requests and follows up on outstanding items. CA Manager reviews received documents and manages the credential vault. CA Partner accesses stored portal credentials for filing. CA Client uploads documents through the client portal.

Upstream dependencies: A CA Engagement must exist for the client. A CA Compliance Task must exist (or be in progress) before a document request is auto-created. CA Document Templates must be set up for each statutory form before the auto-create process can populate the checklist. Downstream: A fully received Document Request unblocks the linked Compliance Task from moving to Review Pending. E-Signature records are created after the client approves their return through the portal.

Overview

Document Management covers three things: collecting the right documents from clients through structured checklists (CA Document Request), maintaining a version history of every file that is uploaded (CA Document Version), and securely storing the portal credentials the firm uses to file on behalf of clients (CA Portal Credential). A fourth record, CA E-Signature, captures the event when a client approves their return electronically.

CA Document Request list showing request names, client engagements, related forms, due dates, and status columns

Who Uses This Feature

Role	What they do
CA Staff	Monitors incoming documents, marks items received, chases clients for outstanding uploads
CA Manager	Reviews received document requests before passing tasks to review; manages the credential vault
CA Partner	Retrieves stored portal credentials when filing on behalf of clients
CA Client	Logs into the portal, opens the Documents page, and uploads files against checklist items

Before You Start

Ensure CA Document Templates have been created for each statutory form your firm handles. Without a template, the auto-create process cannot populate the checklist when a compliance task is generated.
Set the Due Date on each document request to at least 7 days before the compliance task’s due date. This gives clients adequate time to upload and gives staff time to follow up on missing items.
Communicate the portal login credentials to the client before expecting their first upload. Clients who have not logged in before may need a short walkthrough.

CA Document Request

What it is

A CA Document Request is a structured checklist of the documents the firm needs from a client for a specific filing. Each item on the checklist has its own received flag and attachment field, so the firm can track exactly which documents have arrived and which are still outstanding. Requests are named automatically in the format DOCREQ-YYYY-##### (for example, DOCREQ-2025-00087).

How a request is created

Automatically: When a compliance task is created (whether by the obligation engine or manually), the system reads the CA Document Template for the statutory form linked to that task and creates a matching Document Request. The checklist items are pre-populated from the template. This happens without any staff action. Manually: A CA Staff member or CA Manager can create a request directly from the CA Engagement record, or from the Document Request list. Use this for one-off requests outside the standard compliance calendar (for example, collecting supporting documents for a notice response or a loan application).

CA Document Request form showing the header fields and the checklist items table with received flags and attachment fields

Status lifecycle

The status of a Document Request rolls up automatically as items are received:

Open (no documents received yet)
  |
  v (first item received)
Partially Received
  |
  v (all required items received)
Received

A request can also be set to Cancelled by a CA Manager if the underlying compliance task is waived or cancelled. You do not need to update the status manually. It recalculates each time a checklist item is marked as received.

Field Guide: CA Document Request (header)

Field	Description/Purpose
Client Engagement	The engagement this request belongs to. Mandatory.
Title	A brief description of what this request covers (e.g., “Documents for GSTR-3B April 2025”).
Related Form	The CA Statutory Form this request supports. Links the request to the compliance calendar.
Compliance Task	Read-only link to the compliance task this request was auto-created for. Blank for manually created requests.
Period	The financial period this request covers (e.g., “April 2025” or “FY 2024-25”).
Due Date (Needed By)	The date by which all documents must be received for the compliance task to proceed.
Status	Read-only. Open, Partially Received, Received, or Cancelled. Rolls up from the child items.
Notes	Any instructions for the client about what formats are acceptable, what period to cover, etc.

Field Guide: CA Document Request Item (child table)

Each row in the checklist is a CA Document Request Item:

Field	Description/Purpose
Label	Name of the document being requested (e.g., “Form 16”, “Bank Statements - April 2025”, “PAN Copy”).
Required	Whether this document is mandatory. The status rollup counts only required items. Optional items are tracked but do not block the status from moving to Received.
Received	Checked when the document has been uploaded and acknowledged by the firm. The client’s upload sets this automatically. Staff can also check it manually when receiving documents by email or physically.
Attachment	The uploaded file. The client uploads from the portal; staff can upload from the desk.

Document Request child table showing several checklist items, some received and some pending, with their attachment links

CA Document Version

Every time a file is uploaded to a Document Request Item, the system stores a version record. The CA Document Version child table shows the complete upload history for each checklist item:

Who uploaded it: the staff member or client who uploaded the file.
When it was uploaded: date and time of upload.
Current version flag: one version is marked as the current version. New uploads automatically become current; prior uploads are retained for reference.

This means if a client uploads a corrected bank statement, the original upload is preserved. You can always retrieve the earlier version if a dispute arises about what was received.

Document Version child table showing two versions of the same document, with the newer one marked as current and the uploader and upload time visible for each

CA Document Template

A CA Document Template is a reusable master checklist for a statutory form. When the system auto-creates a Document Request for a compliance task, it reads the template for that form and copies the item list into the new request. Path: CA Practice Management workspace, Document Management group. You need one template per statutory form. For example:

The ITR-1 template lists: Form 16, Bank statements, investment proofs (80C), housing loan interest certificate.
The 26Q template lists: challan deposit details, deductee list with PAN and amounts.
The GSTR-3B template lists: sales summary, ITC summary, HSN summary.

The Lead Time field on each template tells the system how many days before the filing due date the document request should be raised. For example, a lead time of 15 days on the ITR-1 template means the document request is created 15 days before the ITR due date.

Field	Description/Purpose
Template Name	The name of this template (e.g., “ITR-1 Document Checklist”).
Related Form	The CA Statutory Form this template applies to. One template per form.
Lead Time (Days)	How many days before the filing due date the document request should be auto-raised.
Items	The list of documents to request, each with a label and a required flag.

Client Upload Flow

The client does not need to email documents or attend the office. The portal handles the entire upload process:

The client logs in to the client portal using the credentials set on their CA Engagement.
They open the Documents page in the portal.
The portal shows all open Document Requests linked to their engagement, with the checklist items listed under each request.
The client clicks Upload next to each item and selects the file from their device.
When the upload completes, the Received flag on that item is checked automatically and the Document Request status updates.
The assigned CA Staff member receives an in-app notification when a new document arrives.

Client portal Documents page showing a document request with some items uploaded and others still showing an Upload button

Portal Credentials Vault (CA Portal Credential)

The firm needs to log into multiple government and regulatory portals to file on behalf of clients: the Income Tax e-filing portal, the GST portal, the MCA21 portal, TRACES for TDS, and others. Storing these credentials securely in one place prevents the team from passing them over WhatsApp or email. Each CA Portal Credential record stores:

Field	Description/Purpose
Client Engagement	The engagement these credentials belong to.
Site Name	The portal this credential is for (e.g., “GST Portal”, “MCA21”, “Income Tax e-filing”).
Username	The login username or PAN-linked ID for the portal.
Password	Stored encrypted. Hidden in list view. Visible only to CA Manager and CA Partner roles when they open the record.
Notes	Any additional access information, security question answers (if not sensitive), or renewal reminders.

Passwords are never shown in list view or in any report. Only the CA Manager and CA Partner can reveal the password by opening the individual record. Never share portal credentials via email or chat. If a staff member needs access, they should retrieve it directly from the system.

CA Portal Credential record showing the site name and username with the password field masked

CA E-Signature

When a client approves their return through the client portal, the system creates a CA E-Signature record to capture the approval event.

Field	Description/Purpose
Client Engagement	The engagement this approval belongs to.
Method	How the client signed: OTP (one-time password sent to registered mobile) or DSC (Digital Signature Certificate).
Purpose	What the client approved: ITR Approval, Document Attestation, or Return Verification.
Document Hash	A cryptographic hash of the approved document at the time of signing. Used to verify that the document was not changed after the client approved it.
Timestamp	The exact date and time the client approved the document. Stored as UTC; displayed in IST.

E-Signature records are read-only after creation. They cannot be edited or deleted. They serve as the firm’s audit evidence that the client reviewed and approved their return before it was filed.

Notifications

Trigger	Who is notified	Channel
Client uploads a document	Assigned CA Staff	In-app notification
All required documents received	CA Staff, CA Manager	In-app notification
Document request due date is 3 days away and status is not Received	CA Staff, CA Manager	In-app notification
Document request due date passes and status is Open or Partially Received	CA Manager	In-app notification

Workspace Access

Desk workspace: Use the Document Management group in the CA Practice Management workspace navigation cards. Shortcuts include Document Requests and Document Templates. Portal (staff view): Go to the Documents section to see all open requests across all clients. Filter by status to find requests that are overdue or partially received. Client portal: The client sees only the requests linked to their own engagement. They can upload files and view what has already been received.

Best Practices

Always raise the document request when the compliance task is created. The auto-create process does this for you if a Document Template exists. Check that the template is in place for all forms your firm handles.
Set the Due Date to at least 7 days before the compliance task due date. This gives the client enough time to upload and gives staff time to follow up on missing items before the filing deadline.
Use Document Templates for all common forms rather than creating checklists from scratch. Manual checklists introduce inconsistency and miss items that the standard template covers. Review your templates quarterly to ensure they reflect current requirements.
Keep the credential vault updated immediately when portal credentials change. An outdated password discovered at filing time causes delays and may result in a late filing. Make updating the vault part of the credential-change process.
Never share portal credentials via email or chat. If a team member needs access, they retrieve it from the system. This keeps credentials out of inboxes and messaging apps where they can be compromised.
Mark a checklist item as received manually only when you have actually received the document. If a client sends something by email, upload it yourself rather than just ticking received without attaching the file. An untethered received flag with no attachment is misleading during reviews.

Compliance Tasks for the filing work that Document Requests support.
Notices and Assessments for cases where additional documents are collected in response to a notice.
DSC Management for managing the Digital Signature Certificates used in the E-Signature process.
Reports and Analytics for the Document Status report, which shows all outstanding requests sorted by overdue days.

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Overview

Who Uses This Feature

Before You Start