What it is
A lapsed credential can stop a person from preparing returns or signing reports. This tracker lists each person’s dates and hours, and flags what is near or past.
The hours required are for you to look up from the state board and professional bodies, because they differ by person and state.
When to use it
- At the start of each year.
- Quarterly, for expiring items.
- Before peer review.
What’s inside
- Staff tab with 40 people
- PTIN, license and CPE status columns
- Summary of exceptions
- Check of shortfall hours
Standard cited
This template follows Circular 230 / state boards. It is written in our own words, except for phrases the standard requires the document to contain, with [bracketed placeholders] for client details, amounts in USD and dates as MM/DD/YYYY. Check it against the current standard and your firm’s methodology before use.
Questions
Where do I find the PTIN date?
In the individual’s account with the IRS.
Are CPE hours prefilled?
No. Rules differ by state board and by body, so you enter them.
Does it replace the CPE log?
It summarizes the position. Keep the certificates in the CPE tracking log.
Related templates
- CPE Tracking Log
- Staff Competence and Training Matrix
- Firm Independence Confirmation Tracker
- SQMS 1 Monitoring and Remediation Log
Last updated 11/06/2026. All free templates.