Compliance Tracker
Track PTIN, EFIN, security plan, and renewal dates in one sheet.
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02
Compliance
Protect your business by following the rules that govern tax preparation offices.
7 lessons ~144 min 3 downloads
Track progress
0%0 of 7 lessons complete · knowledge check not taken
What you'll walk away with
You know which credentials you need, how due diligence works, and how you'll document and secure everything.
Module outline
Check off each lesson as you complete it. Progress saves automatically on this device.
- 14 min
The Preparer Tax Identification Number every paid preparer needs.
- Who must have a PTIN
- Application and annual renewal cycle
- Where the PTIN appears on a return
- Keeping your PTIN account information current
Action item — Note your PTIN status and renewal date on the compliance tracker.
- 24 min
The Electronic Filing Identification Number that authorizes e-filing.
- IRS e-file application overview
- Suitability considerations
- Fingerprinting and identity steps
- Timeline expectations — apply early
- Protecting your EFIN from misuse
Action item — Start or review your e-file application and record the submission date.
- 26 min
The documented questioning and record-keeping behind credit claims.
- Knowledge requirement
- Asking and documenting reasonable questions
- Required due diligence forms and worksheets
- Retaining supporting documents
- Consequences of failed due diligence
Action item — Build your standard due diligence question script.
- 15 min
Confirming taxpayers are who they say they are.
- Government ID review workflow
- Verifying dependents and SSN/ITIN documentation
- Red flags for identity theft
- What to do when documents don't match
Action item — Write your intake ID verification steps into an SOP.
- 18 min
What to keep, how long, and in what format.
- Signature documents and authorizations
- Supporting documents and worksheets
- Retention periods
- Digital vs. paper storage
- Destruction procedures
Action item — Choose your storage system and document the retention schedule.
- 28 min
Written security planning and everyday data protection.
- Written Information Security Plan (WISP) basics
- Encryption, passwords, and multi-factor authentication
- Secure client document exchange
- Staff access controls and training
- Incident response steps
Action item — Draft the first section of your WISP using the outline.
- 20 min
Staying current with published e-file provider rules.
- Where official guidance is published
- Annual updates and season changes
- Keeping your provider information accurate
- Monitoring your e-file activity
Action item — Bookmark official sources and set a quarterly review reminder.
Downloadable resources
Working files for this track. Educational resources only — not tax, legal, or financial advice.
Due Diligence Question Script
A starter script for documenting reasonable client questions.
WISP Starter Outline
Section-by-section outline for your written security plan.
Knowledge check
Compliance quiz
Answer all 4 questions. Score 70% or higher to mark this track's check complete.
1. Which credential authorizes an office to electronically file returns?
2. Due diligence primarily requires you to:
3. A written security plan should, at minimum:
4. When should you begin your EFIN application?