Keep your TPB records
Log CPE for every registered practitioner, and keep the conflicts of interest and breach registers the TPB expects.
- Registration
- Log CPE
- Conflicts
- Breaches
The TPB (Tax Practitioners Board) registers tax and BAS agents and expects you to keep certain records. Billbook keeps three: CPE (continuing professional education) hours, conflicts of interest, and possible breaches of the Code of Professional Conduct.
Who can see what?
Everyone at the firm sees My CPE for their own hours. People who manage TPB records, partners by default, also see Team CPE, Conflicts, Breaches and the summary counts at the top.
How do I track my CPE?
- Open ComplianceTPB records. You start on My CPE.
- Choose Add registration and pick your agent type (tax or BAS), your registration number, the registration type and the period.
- Choose Log CPE for each course, seminar or reading session.
- Add the Date, Hours, Type, Activity and Provider, plus how it's relevant and your evidence if you like.
Billbook compares your hours with the minimum for your registration type and period and shows On track or Behind, with a bar for each year. A period shorter than the usual length gets a pro-rata minimum.
Technical reading and health and wellbeing hours only count up to the TPB's limits. Hours above the limit are logged but don't add to your total.
Logged something by mistake? Open the entry's menu and choose Remove. It's deleted for good.
How do I keep the team's CPE?
Open Team CPE to see everyone with a current registration and where they're up to. Open a person to see their log and add hours for them.
How do I record a conflict of interest?
- Open Conflicts and choose Record a conflict.
- Fill in What’s the conflict?, whether it's actual or potential, and the client if there is one.
- Under How it’s managed, pick avoid, control or disclose, and note the arrangements.
- If you disclose it, enter the date you told the client and when they consented.
A conflict without a response shows Needs a response. Once managed, it shows Managed. Use the menu to edit it, or to close it when it's over. A closed conflict can be reopened. Conflicts can't be deleted.
How do I record a possible breach?
- Open Breaches and choose Record a breach.
- Enter the Reasonable grounds from date, whose breach it is, the Code items and What happened.
- Choose Assess significance, decide whether it's significant, and note why and what you did about it.
- If it's significant, report it to the TPB and choose Mark reported to TPB, with the date and any TPB reference.
- Close it once it's dealt with.
The reporting deadline for a significant breach runs from the reasonable grounds date. The breach register shows it, and the summary counts any that are overdue.
A breach has to be assessed before it can be closed, and a significant one reported first. Breaches can't be edited or deleted, so the register shows what you knew and when.
Next
Run AML/CTF customer due diligence
Set up your practice's AML/CTF program, mark designated services, and complete customer due diligence before the work starts.
Check who did what in the audit log
Search the firm's read-only record of significant actions, filter it by action and date, and export it to a spreadsheet.
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