Exemption Certificate Management in Sales Tax Compliance

Sharpening Your Company's Approach to Verifying, Storing and Retrieving Certificates

Recording of a 110-minute CPE webinar with Q&A

Conducted on Thursday, March 29, 2012

Recorded event now available

or call 1-800-926-7926
Course Materials

This teleconference will provide tax executives with best practices and new approaches to more efficiently and effectively manage exemption and resale certificates.


The policies and procedures your corporate tax staff implements for requiring, verifying, storing and retrieving exemption and resale certificates are critical in preventing mistakes or oversights that cost dearly during a sales tax audit, particularly when multiplied through an audit sample.

Unless your company has outsourced or invested in sophisticated certificate-management technology (and sometimes even then), human processes are essential. How reliable are staff in asking for and verifying exemption certificates? How dependably are certificates scanned or otherwise stored?

Retrieving a certificate demanded by an auditor on short notice may require both sound cataloging and thorough knowledge of the storage system. Insights from advisors who work with sales tax clients in a range of industries can help you tighten your own certificate management.

Listen as our panel of experienced state tax consultants offers best practices for more efficient handling of exemption certificates at every step of sales tax compliance.



  1. Trends in state and local sales tax audits
    1. Increasing numbers, and greater frequency, of audits
    2. Rising demands for exemption and resale certificates
    3. Implications for an audit sample
  2. Procedures for gathering and validating certificates at the purchase location
    1. Role of a formal company policy
    2. Required staff training
    3. How corporate tax department can lead and improve the process
  3. Alternatives for storing certificates
    1. Evaluating traditional approaches vs. system/scanning
    2. Cost vs. benefit
    3. Need for formal company policy on how long certificates kept on record
  4. Retrieving certificates when needed
  5. Working with the technology in place
    1. Knowing how to use it to get the information/reports the tax staff needs


The panel will address these and other relevant topics:

  • Field staff training: How the tax department can work with employees in other departments to stay sharp on requiring and inspecting certificates from customers.
  • Certificate archiving: In what format and where should certificates be stored, and for how long?
  • Certificate retrieval: Anticipating the need for procedures to reliably retrieve a needed exemption certificate.
  • Utilizing technology: Knowing the capabilities of your company's certificate storage system or outsourcer.

Following the speaker presentations, you'll have an opportunity to get answers to your specific questions during the interactive Q&A.


Tony Turner
Tony Turner
Regional Manager

He has more than 25 years of state and local tax experience. Before coming to CertCapture, he worked as a tax...  |  Read More

Steve Oldroyd
Steve Oldroyd

Tax Senior Director - Sales & Use Tax, Property Tax

Mr. Oldroyd leads the Sales and Use and Property Tax Consulting Practice for the firm's western region....  |  Read More

Sean Evans
Sean Evans
Director, Tax Advisory Services
DuCharme McMillen and Associates

Mr. Evans has nearly 20 years of experience and designs customized training courses and state-specific matrices...  |  Read More

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