Fill online: Scope, assumptions and exclusions schedule to the engagement letter

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Your details

Name of the firm

Fills 4 places in the document.

Schedule number of the scope schedule

Date of the engagement letter

Fills 3 places in the document.

Name of the client

Fills 4 places in the document.

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

On the letterhead of [Name of the firm]

SCHEDULE [Schedule number of the scope schedule]: SCOPE, ASSUMPTIONS AND EXCLUSIONS

to the engagement letter dated [Date of the engagement letter] between [Name of the firm] and [Name of the client]

This schedule fixes what the fee buys. Fill Part A from the proposal the client accepted, and Part C from what you actually know about the client's volumes; an assumption you have not checked is a dispute waiting to happen. Attach it with the Responsibility matrix and the Fee schedule and billing terms in this pack. It can be annexed to any of the firm's retainer letters: Engagement letter, accounting and bookkeeping (FV06-B2); Letter of engagement, GST monthly compliance (FV05-K1); Engagement letter, preparation and filing of returns of income (FV04-L9); Engagement letter, retainer secretarial services (FV01-B7).

1. Interpretation and precedence

1.1 In this Schedule, the “Firm” means [Name of the firm], [Chartered Accountants / Company Secretaries], Firm Registration No. [Firm registration number]; the “Client” means [Name of the client], PAN [PAN of the client]; the “Engagement Letter” means the letter dated [Date of the engagement letter] to which this Schedule is annexed; the “Services” means the services described in Part A; the “Fee Schedule” means Schedule [Schedule number of the fee schedule] to the Engagement Letter; and “Out-of-scope Work” means any work that is not part of the Services, including work that becomes necessary because an assumption in Part C proves untrue.

1.2 Where this Schedule and the body of the Engagement Letter differ on what the Firm will or will not do, this Schedule prevails. On every other matter, including liability, confidentiality and termination, the body of the Engagement Letter prevails.

1.3 This Schedule may be varied only by a change note in the form in Part F signed for both parties, or by a fresh schedule. An e-mail from the Client's coordinator asking for work is a request, not a variation, until the change note is signed.

Part A. The Services

A.1 The Firm will provide the following Services for the entity and the period stated, at the frequency stated. Each service is included only where the last column says so.

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