SEE-1 - Preliminary Work and Taxpayer Data - Section 1.4

Interpret information returns (Forms W-2, 1099 series) and apply preparer due diligence obligations when preparing individual returns.

Interpret the boxes of Form W-2 and the 1099 series - including Forms 1099-INT, 1099-DIV, 1099-NEC, and 1099-R - and reconcile reported amounts with the taxpayer's records before entering them on the return. Apply preparer due diligence obligations, including completing Form 8867 and making reasonable enquiries when information appears inconsistent or incomplete.

Form W-2Form 1099Due diligencePreparer responsibilities

Practice question for this objective

Free samplePreliminary Work and Taxpayer Dataeasy

Priya Nadkarni is a paid preparer who completed a 2024 return claiming the Earned Income Tax Credit and the Child Tax Credit, and she completed the required due diligence checklist on Form 8867. To meet the paid preparer due diligence record retention requirement, for how long must she keep the Form 8867, the computation worksheets, and the record of the questions she asked and the client's answers?

  • AThree years from the latest of the return due date, the filing date, or the date she gave the completed return to the client Correct
  • BThree years from the date the return was electronically accepted by the IRS e-file system
  • CSeven years from the date the client signed the preparer's engagement letter for the work
  • DUntil the IRS statute of limitations on the client's return closes, however long that runs
State that paid preparer due diligence records must be kept three years from the latest of the due date, filing date, or date given to the client. The due diligence rules require the preparer to retain Form 8867, the credit computation worksheets, and a record of inquiries and the taxpayer's responses for three years, measured from the latest of the return due date, the actual filing date, or the date the completed return was provided to the taxpayer.

Why A is correct: The due diligence retention rule requires keeping the checklist, worksheets, and record of inquiries and responses for three years, measured from the latest of the due date, the filing date, or the date the completed return was provided to the taxpayer.

Why B is wrong: The acceptance date is tempting because it is concrete, but the retention period runs from the latest of the due date, filing date, or date the return was given to the client, not from e-file acceptance.

Why C is wrong: Seven years is a common business record habit and the engagement date sounds relevant, but neither the period nor the starting point matches the due diligence retention rule.

Why D is wrong: Tying retention to the client's open assessment period is plausible, but the due diligence rule sets a fixed three-year period from defined dates rather than tracking each client's limitation period.

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