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Responsibility matrix between the client and the firm

Name of the firm

Fills 3 places in the document.

Annexure number of the responsibility matrix

Date of the engagement letter

Fills 2 places in the document.

Name of the client

Fills 3 places in the document.

PAN of the client

GSTINs covered by the engagement

Name of the engagement partner

Name and designation of the client coordinator

Effective date of the matrix

Version number

Date of last review

Day for A1 documents, e.g. 5

Day for A2 bank statements, e.g. 3

Day for A3 cash records, e.g. 3

Name of the accounting software

Day for A4 vouchers recorded, e.g. 10

Day for A5 bank reconciliations, e.g. 10

Working days for A6 query answers, e.g. 3

Day for A8 month-end entries, e.g. 12

Day for A9 trial balance and MIS, e.g. 15

Day for A10 ageing, e.g. 15

Day for A10 follow-up, e.g. 25

Date of physical verification

Date of draft financial statements

Date of Board approval

Day for B2 outward supply data, e.g. 5

Day for B3 draft GSTR-1, e.g. 8

Day for B4 GSTR-1 approval, e.g. 9

Day for B5 IMS action, e.g. 13

Day for B6 ITC reconciliation, e.g. 16

Day for B7 reverse charge working, e.g. 16

Day for B8 draft GSTR-3B, e.g. 17

Day for B9 tax payment, e.g. 19

Day for B10 GSTR-3B approval, e.g. 19

Working days for B13 forwarding, e.g. 1

Day for B13 portal sweep, e.g. 5

Day for C2 TDS working, e.g. 4

Day for C3 TDS deposit, e.g. 6

Days for C5 certificates, e.g. 5

Days for C6 corrections, e.g. 15

Date for return information

Date of the Board meeting

Date of the annual general meeting

Days for E10 register entries, e.g. 7

Day for F1 employee master, e.g. 25

Day for F2 attendance, e.g. 27

Date for investment proofs

Day for F4 payroll computation, e.g. 28

Day for F5 salary payment, e.g. 5

Day for F7 ECR, e.g. 10

Day for F8 ESI, e.g. 10

Date for State levies

Days for F10 registration, e.g. 3

Working days for F11 settlement, e.g. 1

Date for year-end benefit working

Date of the audit planning meeting

Date for the audit pack

Days for G6 confirmations, e.g. 3

Working days for G7 answers, e.g. 3

Working days for G8 answers, e.g. 3

Working days for G9 posting, e.g. 2

Client coordinator details

Firm coordinator details

Client approver details

Firm reviewer details

Client authorised signatory details

Client payroll approver details

Firm payroll lead details

Client payment releaser details

Client escalation contact details

Statutory auditor details

Tax auditor details

Company secretary details

Software vendor details

Actuary details

Working days before the statutory deadline for the decision, e.g. two

Month of the annual review, e.g. April

Membership number of the partner

Date of signing by the firm

Name of the client signatory

Designation of the client signatory

Date of signing by the client

Scope, assumptions and exclusions schedule to the engagement letter

Name of the firm

Schedule number of the scope schedule

Date of the engagement letter

Name of the client

Chartered Accountants / Company Secretaries

Firm registration number

PAN of the client

Schedule number of the fee schedule

Name of the accounting software (1)

Start month of the services (1)

Yes / No (1)

Accounting Standards / Ind AS (1)

Financial year covered (1)

Yes / No (2)

GSTINs covered by the engagement

Start month of the services (2)

Yes / No (3)

Financial year covered (2)

Yes / No (4)

TAN of the client

Start month of the services (3)

Yes / No (5)

Tax year covered

Yes / No (6)

CIN or LLPIN of the client

Financial year covered (3)

Yes / No (7)

Locations covered by payroll

Start month of the services (4)

Yes / No (8)

Financial year covered (4)

Yes / No (9)

Other agreed service

Coverage of the other service

Period of the other service

Frequency of the other service

Deliverable of the other service

Yes / No (10)

Hours of routine queries included a month, e.g. two

Review meetings included a quarter, e.g. one

The Board of Directors / the partners / the proprietor

Start month of the services (5)

Months averaged for the volume test, e.g. three

Number of sales documents a month

Tolerance for sales documents, e.g. 10

Number of purchase documents a month

Tolerance for purchase documents, e.g. 10

Number of bank accounts

Number of bank transactions a month

Tolerance for bank transactions, e.g. 10

Number of GSTINs

Number of employees

Tolerance for employees, e.g. 10

Number of locations

Number of deductees a quarter

Tolerance for deductees, e.g. 10

Number of foreign currency transactions a month

Nil / 10%

Number of inventory items

Tolerance for inventory items, e.g. 10

Number of journal entries a month

Tolerance for journal entries, e.g. 10

Name of the accounting software (2)

Maintained / not maintained

Accounting Standards / Ind AS (2)

Audited / not audited

Working days for the Client to approve a draft, e.g. two

Working days for the Firm to notify a trigger, e.g. three

Months of backlog that is a trigger, e.g. two

Number of audit adjustments absorbed, e.g. five

Days before a statutory deadline for urgent work, e.g. seven

Working days for the Client to object to urgent work, e.g. two

Days for the Client to notify a matter, e.g. seven

Change note number

Date of the change note

Trigger relied on

Describe the additional work

Estimated hours by grade

Fee for the change, in Rs

Effect on dates

One-off / Recurring from the month stated

Name and designation of the client approver

Name of the engagement partner (1)

Name of the engagement partner (2)

Membership number of the partner

Date of signing by the firm

Name of the client signatory

Designation of the client signatory

Date of signing by the client

Fee schedule and billing terms

Name of the firm

Schedule number of the fee schedule

Date of the engagement letter

Name of the client

Days allowed for payment of an invoice, e.g. fifteen

Volume band for bookkeeping

Monthly fee for bookkeeping

Fee for year-end financial statements

Monthly fee for GST returns per GSTIN

Fee for GSTR-9 and GSTR-9C

Quarterly fee for TDS and TCS

Annual fee for income-tax return and advance tax

Annual fee for ROC annual filings

SAC for secretarial services

Number of employees in the payroll band

Monthly fee for payroll

Fee per employee above the band

Fee for audit support

Other agreed service

Basis for the other service

Fee for the other service

Billing for the other service

SAC for the other service

Months averaged for the volume test, e.g. three

Documents in band A

Bank transactions in band A

Monthly fee in band A

Documents in band B

Bank transactions in band B

Monthly fee in band B

Documents in band C

Bank transactions in band C

Monthly fee in band C

Months a lower volume must hold, e.g. three

Fee per GSTR-1

Fee per GSTR-3B

Fee per GSTR-9

Fee per GSTR-9C

Fee per RFD-11

Fee per GST registration or amendment

Fee per TDS statement

Fee per correction statement

Fee per individual return

Fee per firm return

Fee per company return

Fee per updated return

Fee per annual ROC form

Fee per other ROC annual form

Fee per DIR-3 KYC

Fee per event-based ROC form

Fee per LLP annual form

Fee per full and final settlement

Hourly rate, partner

Hourly rate, senior manager

Hourly rate, manager

Hourly rate, qualified assistant

Hourly rate, senior assistant

Hourly rate, article assistant

Minutes in a unit of time recorded, e.g. fifteen

City of the Firm's office

Percentage of the rate charged for travel time, e.g. fifty

Threshold for estimates

Percentage of the estimate that triggers a warning, e.g. eighty

Percentage by which the estimate may be exceeded, e.g. ten

Fee for take-over and set-up

Fee per month of backlog

Months of retainer held as advance, e.g. one

Threshold for advance billing

Percentage advance on large Out-of-scope Work, e.g. 50

Threshold for prior approval of expenses

Is / is not

GSTIN of the firm

Days to report an error in an invoice, e.g. seven

Gross up the payment / furnish the withholding certificate

Name of the bank, branch, account name, account number and IFSC of the firm

Days to dispute an invoice, e.g. seven

Days to settle an invoice dispute, e.g. fifteen

Interest rate a year on late payment, e.g. eighteen

Micro / small

Udyam registration number of the firm

Days overdue before suspension, e.g. thirty

Days of notice of suspension, e.g. fifteen

Days before a statutory deadline when suspension cannot start, e.g. seven

Working days to resume after payment, e.g. two

Days after suspension before termination, e.g. sixty

Day and month of the annual fee revision, e.g. 1 April

Days of notice of a fee revision, e.g. thirty

Maximum annual fee revision percentage, e.g. ten

Days to refund the balance of the advance, e.g. fifteen

Hours of handover meetings included, e.g. two

Name of the engagement partner

Membership number of the partner

Date of signing by the firm

Name of the client signatory

Designation of the client signatory

Date of signing by the client

Master document request list for a new client

Name of the firm

Name of the client

PAN of the client

Registration number of the client

Services engaged, as marked in the scope schedule

Date of the engagement letter

Date of the request

Name, e-mail and mobile of the firm contact

Name and designation of the client owner

Name of the secure upload channel

Due date for Part A

Received / Partly received / Awaited / Not applicable (1)

A1: Date received

Received / Partly received / Awaited / Not applicable (2)

A2: Date received

Received / Partly received / Awaited / Not applicable (3)

A3: Date received

Received / Partly received / Awaited / Not applicable (4)

A4: Date received

Received / Partly received / Awaited / Not applicable (5)

A5: Date received

Received / Partly received / Awaited / Not applicable (6)

A6: Date received

Received / Partly received / Awaited / Not applicable (7)

A7: Date received

Received / Partly received / Awaited / Not applicable (8)

A8: Date received

Received / Partly received / Awaited / Not applicable (9)

A9: Date received

Received / Partly received / Awaited / Not applicable (10)

A10: Date received

Due date for Part B

Received / Partly received / Awaited / Not applicable (11)

B1: Date received

Received / Partly received / Awaited / Not applicable (12)

B2: Date received

Received / Partly received / Awaited / Not applicable (13)

B3: Date received

Received / Partly received / Awaited / Not applicable (14)

B4: Date received

Received / Partly received / Awaited / Not applicable (15)

B5: Date received

Received / Partly received / Awaited / Not applicable (16)

B6: Date received

Received / Partly received / Awaited / Not applicable (17)

B7: Date received

Received / Partly received / Awaited / Not applicable (18)

B8: Date received

Received / Partly received / Awaited / Not applicable (19)

B9: Date received

Due date for Part C

Years of returns of income requested, e.g. four

Received / Partly received / Awaited / Not applicable (20)

C1: Date received

Received / Partly received / Awaited / Not applicable (21)

C2: Date received

Years of AIS requested, e.g. two

Received / Partly received / Awaited / Not applicable (22)

C3: Date received

Received / Partly received / Awaited / Not applicable (23)

C4: Date received

Years of GST returns requested, e.g. three

Received / Partly received / Awaited / Not applicable (24)

C5: Date received

Received / Partly received / Awaited / Not applicable (25)

C6: Date received

Quarters of TDS and TCS statements requested, e.g. eight

Received / Partly received / Awaited / Not applicable (26)

C7: Date received

Years of ROC filings requested, e.g. three

Received / Partly received / Awaited / Not applicable (27)

C8: Date received

Months of PF and ESI returns requested, e.g. twelve

Received / Partly received / Awaited / Not applicable (28)

C9: Date received

Received / Partly received / Awaited / Not applicable (29)

C10: Date received

Due date for Part D

Received / Partly received / Awaited / Not applicable (30)

D1: Date received

Received / Partly received / Awaited / Not applicable (31)

D2: Date received

Received / Partly received / Awaited / Not applicable (32)

D3: Date received

Received / Partly received / Awaited / Not applicable (33)

D4: Date received

Received / Partly received / Awaited / Not applicable (34)

D5: Date received

Received / Partly received / Awaited / Not applicable (35)

D6: Date received

Received / Partly received / Awaited / Not applicable (36)

D7: Date received

Received / Partly received / Awaited / Not applicable (37)

D8: Date received

Received / Partly received / Awaited / Not applicable (38)

D9: Date received

Received / Partly received / Awaited / Not applicable (39)

D10: Date received

Due date for Part E

Received / Partly received / Awaited / Not applicable (40)

E1: Date received

Start date for bank statements

Received / Partly received / Awaited / Not applicable (41)

E2: Date received

Received / Partly received / Awaited / Not applicable (42)

E3: Date received

Received / Partly received / Awaited / Not applicable (43)

E4: Date received

Received / Partly received / Awaited / Not applicable (44)

E5: Date received

Received / Partly received / Awaited / Not applicable (45)

E6: Date received

Received / Partly received / Awaited / Not applicable (46)

E7: Date received

Received / Partly received / Awaited / Not applicable (47)

E8: Date received

Due date for Part F

Received / Partly received / Awaited / Not applicable (48)

F1: Date received

Received / Partly received / Awaited / Not applicable (49)

F2: Date received

Received / Partly received / Awaited / Not applicable (50)

F3: Date received

Received / Partly received / Awaited / Not applicable (51)

F4: Date received

Received / Partly received / Awaited / Not applicable (52)

F5: Date received

Received / Partly received / Awaited / Not applicable (53)

F6: Date received

Received / Partly received / Awaited / Not applicable (54)

F7: Date received

Received / Partly received / Awaited / Not applicable (55)

F8: Date received

Due date for Part G

Received / Partly received / Awaited / Not applicable (56)

G1: Date received

Received / Partly received / Awaited / Not applicable (57)

G2: Date received

Received / Partly received / Awaited / Not applicable (58)

G3: Date received

Received / Partly received / Awaited / Not applicable (59)

G4: Date received

Received / Partly received / Awaited / Not applicable (60)

G5: Date received

Received / Partly received / Awaited / Not applicable (61)

G6: Date received

Received / Partly received / Awaited / Not applicable (62)

G7: Date received

Received / Partly received / Awaited / Not applicable (63)

G8: Date received

Due date for Part H

Received / Partly received / Awaited / Not applicable (64)

H1: Date received

Received / Partly received / Awaited / Not applicable (65)

H2: Date received

Received / Partly received / Awaited / Not applicable (66)

H3: Date received

Received / Partly received / Awaited / Not applicable (67)

H4: Date received

Received / Partly received / Awaited / Not applicable (68)

H5: Date received

Received / Partly received / Awaited / Not applicable (69)

H6: Date received

Received / Partly received / Awaited / Not applicable (70)

H7: Date received

Received / Partly received / Awaited / Not applicable (71)

H8: Date received

Received / Partly received / Awaited / Not applicable (72)

H9: Date received

Received / Partly received / Awaited / Not applicable (73)

H10: Date received

Due date for Part I

Received / Partly received / Awaited / Not applicable (74)

I1: Date received

Received / Partly received / Awaited / Not applicable (75)

I2: Date received

Received / Partly received / Awaited / Not applicable (76)

I3: Date received

Received / Partly received / Awaited / Not applicable (77)

I4: Date received

Received / Partly received / Awaited / Not applicable (78)

I5: Date received

Received / Partly received / Awaited / Not applicable (79)

I6: Date received

Received / Partly received / Awaited / Not applicable (80)

I7: Date received

Received / Partly received / Awaited / Not applicable (81)

I8: Date received

Firm mailbox for bank statements

Received / Partly received / Awaited / Not applicable (82)

I9: Date received

Entry / entry and approval

Received / Partly received / Awaited / Not applicable (83)

I10: Date received

Received / Partly received / Awaited / Not applicable (84)

I11: Date received

Due date for Part J

Years of GST notices requested, e.g. three

Received / Partly received / Awaited / Not applicable (85)

J1: Date received

Received / Partly received / Awaited / Not applicable (86)

J2: Date received

Received / Partly received / Awaited / Not applicable (87)

J3: Date received

Received / Partly received / Awaited / Not applicable (88)

J4: Date received

Received / Partly received / Awaited / Not applicable (89)

J5: Date received

Received / Partly received / Awaited / Not applicable (90)

J6: Date received

Received / Partly received / Awaited / Not applicable (91)

J7: Date received

Received / Partly received / Awaited / Not applicable (92)

J8: Date received

Due date for Part K

Received / Partly received / Awaited / Not applicable (93)

K1: Date received

Received / Partly received / Awaited / Not applicable (94)

K2: Date received

Received / Partly received / Awaited / Not applicable (95)

K3: Date received

Received / Partly received / Awaited / Not applicable (96)

K4: Date received

Received / Partly received / Awaited / Not applicable (97)

K5: Date received

Received / Partly received / Awaited / Not applicable (98)

K6: Date received

Describe any other document furnished

Received / Partly received / Awaited / Not applicable (99)

K7: Date received

Count received in Part A

Count awaited in Part A

Count not applicable in Part A

Date Part A reviewed

Count received in Part B

Count awaited in Part B

Count not applicable in Part B

Date Part B reviewed

Count received in Part C

Count awaited in Part C

Count not applicable in Part C

Date Part C reviewed

Count received in Part D

Count awaited in Part D

Count not applicable in Part D

Date Part D reviewed

Count received in Part E

Count awaited in Part E

Count not applicable in Part E

Date Part E reviewed

Count received in Part F

Count awaited in Part F

Count not applicable in Part F

Date Part F reviewed

Count received in Part G

Count awaited in Part G

Count not applicable in Part G

Date Part G reviewed

Count received in Part H

Count awaited in Part H

Count not applicable in Part H

Date Part H reviewed

Count received in Part I

Count awaited in Part I

Count not applicable in Part I

Date Part I reviewed

Count received in Part J

Count awaited in Part J

Count not applicable in Part J

Date Part J reviewed

Count received in Part K

Count awaited in Part K

Count not applicable in Part K

Date Part K reviewed

Name of the firm contact

Name of the client signatory

Designation of the client signatory

Date of the client's confirmation

On the letterhead of [Name of the firm]

RESPONSIBILITY MATRIX (RACI) BETWEEN THE CLIENT AND THE FIRM

Annexure [Annexure number of the responsibility matrix] to the engagement letter dated [Date of the engagement letter]

Client: [Name of the client] · PAN: [PAN of the client] · GSTIN(s) covered: [GSTINs covered by the engagement]
Engagement partner: [Name of the engagement partner] · Client coordinator: [Name and designation of the client coordinator]
Matrix effective from: [Effective date of the matrix] · Version: [Version number] · Last reviewed on: [Date of last review]

Use this matrix with the Scope, assumptions and exclusions schedule and the Fee schedule and billing terms in this pack. It completes the annexure called for at the end of the Engagement letter, accounting and bookkeeping (FV06-B2), and can be annexed equally to the Letter of engagement, GST monthly compliance (FV05-K1), the Engagement letter, preparation and filing of returns of income (FV04-L9) or the Engagement letter, retainer secretarial services (FV01-B7). Delete the Parts for engagements you have not been given. Keep the statutory dates; change only the internal dates.

1. Purpose and how to read the matrix

1.1 This matrix allocates each recurring task under the engagement between [Name of the client] (the “Client”) and [Name of the firm] (the “Firm”). It forms part of the engagement letter dated [Date of the engagement letter] (the “Engagement Letter”). A task that is not listed, or that is shown against the Client alone, is not the Firm's responsibility.

1.2 Each row carries one of the following codes for each party.

Code	Meaning	Rule
R	Responsible: does the work and prepares the output	More than one party may be R
A	Accountable: approves the output and answers for it in law	Exactly one A in each row. For every return, statement, form and set of accounts the A is the Client, because the law places the liability on the taxpayer, the company or the employer
C	Consulted: must be asked, and must answer, before the step is completed	A C who does not answer by the internal deadline delays the step
I	Informed: is told after the step is completed	No action required

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