Fill online: Secretarial audit programme and working papers

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Name of the firm of Company Secretaries

Name of the Company

CIN of the Company

Financial year under audit

Listed / Unlisted public / Private

Rule 9(1) test or Regulation 24A that applies

Name of the preparer

Name of the reviewer

Name of the signing partner

Done on, row 1

By, row 1

Done on, row 2

By, row 2

Done on, row 3

By, row 3

Done on, row 4

By, row 4

Done on, row 5

By, row 5

Done on, row 6

By, row 6

Done on, row 7

By, row 7

Done on, row 8

By, row 8

Done on, row 9

By, row 9

Done on, row 10

By, row 10

Board, committee and independent directors’: Number in the year

Board, committee and independent directors’: Examined

General meetings, postal ballots: Number in the year

General meetings, postal ballots: Examined

Annual and periodic forms: Number in the year

Annual and periodic forms: Examined

Event-based forms: Number in the year

Event-based forms: Examined

Transfers, transmissions, demat requests: Number in the year

All / Sample, state basis

Transfers, transmissions, demat requests: Examined

Sector-law returns: Number in the year

Sector-law returns: Examined

Evidence examined, row 1 (1)

Observation, row 1 (1)

Status, row 1 (1)

Evidence examined, row 2 (1)

Observation, row 2 (1)

Status, row 2 (1)

Evidence examined, row 3 (1)

Observation, row 3 (1)

Status, row 3 (1)

Evidence examined, row 4 (1)

Observation, row 4 (1)

Status, row 4 (1)

Evidence examined, row 5 (1)

Observation, row 5 (1)

Status, row 5 (1)

Evidence examined, row 6 (1)

Observation, row 6 (1)

Status, row 6 (1)

Evidence examined, row 7 (1)

Observation, row 7 (1)

Status, row 7 (1)

Evidence examined, row 8 (1)

Observation, row 8 (1)

Status, row 8 (1)

Evidence examined, row 9 (1)

Observation, row 9 (1)

Status, row 9 (1)

Evidence examined, row 10 (1)

Observation, row 10 (1)

Status, row 10 (1)

Evidence examined, row 11 (1)

Observation, row 11 (1)

Status, row 11 (1)

Evidence examined, row 12 (1)

Observation, row 12 (1)

Status, row 12 (1)

Evidence examined, row 13 (1)

Observation, row 13 (1)

Status, row 13 (1)

Evidence examined, row 14 (1)

Observation, row 14 (1)

Status, row 14 (1)

Evidence examined, row 15 (1)

Observation, row 15 (1)

Status, row 15 (1)

Evidence examined, row 16

Observation, row 16

Status, row 16

Evidence examined, row 17

Observation, row 17

Status, row 17

Evidence examined, row 18

Observation, row 18

Status, row 18

Evidence examined, row 19

Observation, row 19

Status, row 19

Evidence examined, row 1 (2)

Observation, row 1 (2)

Status, row 1 (2)

Evidence examined, row 2 (2)

Observation, row 2 (2)

Status, row 2 (2)

Evidence examined, row 3 (2)

Observation, row 3 (2)

Status, row 3 (2)

Evidence examined, row 4 (2)

Observation, row 4 (2)

Status, row 4 (2)

Evidence examined, row 5 (2)

Observation, row 5 (2)

Status, row 5 (2)

Evidence examined, row 6 (2)

Observation, row 6 (2)

Status, row 6 (2)

Evidence examined, row 7 (2)

Observation, row 7 (2)

Status, row 7 (2)

Evidence examined, row 8 (2)

Observation, row 8 (2)

Status, row 8 (2)

Evidence examined, row 9 (2)

Observation, row 9 (2)

Status, row 9 (2)

Evidence examined, row 1 (3)

Observation, row 1 (3)

Status, row 1 (3)

Evidence examined, row 2 (3)

Observation, row 2 (3)

Status, row 2 (3)

Evidence examined, row 3 (3)

Observation, row 3 (3)

Status, row 3 (3)

Evidence examined, row 4 (3)

Observation, row 4 (3)

Status, row 4 (3)

Evidence examined, row 5 (3)

Observation, row 5 (3)

Status, row 5 (3)

Evidence examined, row 6 (3)

Observation, row 6 (3)

Status, row 6 (3)

Evidence examined, row 7 (3)

Observation, row 7 (3)

Status, row 7 (3)

Evidence examined, row 8 (3)

Observation, row 8 (3)

Status, row 8 (3)

Evidence examined, row 9 (3)

Observation, row 9 (3)

Status, row 9 (3)

AOC-4, AOC-4 XBRL or CFS: AGM or base date

AOC-4, AOC-4 XBRL or CFS: Date filed

AOC-4, AOC-4 XBRL or CFS: SRN

MGT-7 or MGT-7A: AGM or base date

MGT-7 or MGT-7A: Date filed

MGT-7 or MGT-7A: SRN

ADT-1: AGM or base date

ADT-1: Date filed

ADT-1: SRN

MGT-15 (listed): AGM or base date

MGT-15 (listed): Date filed

MGT-15 (listed): SRN

CSR-2: AGM or base date

CSR-2: Due date

CSR-2: Date filed

CSR-2: SRN

DPT-3: AGM or base date

DPT-3: Due date

DPT-3: Date filed

DPT-3: SRN

MSME-1, to 30 September: AGM or base date

MSME-1, to 30 September: Due date

MSME-1, to 30 September: Date filed

MSME-1, to 30 September: SRN

MSME-1, to 31 March: AGM or base date

MSME-1, to 31 March: Due date

MSME-1, to 31 March: Date filed

MSME-1, to 31 March: SRN

DIR-3 KYC, directors due: AGM or base date

DIR-3 KYC, directors due: Due date

DIR-3 KYC, directors due: Date filed

DIR-3 KYC, directors due: SRN

PAS-6, to 30 September: AGM or base date

PAS-6, to 30 September: Date filed

PAS-6, to 30 September: SRN

PAS-6, to 31 March: AGM or base date

PAS-6, to 31 March: Date filed

PAS-6, to 31 March: SRN

CRA-2: AGM or base date

CRA-2: Due date

CRA-2: Date filed

CRA-2: SRN

CRA-4: AGM or base date

CRA-4: Date filed

CRA-4: SRN

FLA return: AGM or base date

FLA return: Due date

FLA return: Date filed

FLA return: SRN

Annual Performance Report: AGM or base date

Annual Performance Report: Due date

Annual Performance Report: Date filed

Annual Performance Report: SRN

ECB-2, month tested: AGM or base date

ECB-2, month tested: Due date

ECB-2, month tested: Date filed

ECB-2, month tested: SRN

Date of event, row 1

Date filed, row 1

SRN, row 1

Date of event, row 2

Date filed, row 2

SRN, row 2

Date of event, row 3

Date filed, row 3

SRN, row 3

Date of event, row 4

Date filed, row 4

SRN, row 4

Date of event, row 5

Date filed, row 5

SRN, row 5

Date of event, row 6

Date filed, row 6

SRN, row 6

Date of event, row 7

Date filed, row 7

SRN, row 7

Date of event, row 8

Date filed, row 8

SRN, row 8

Date of event, row 9

Date filed, row 9

SRN, row 9

Date of event, row 10

Date filed, row 10

SRN, row 10

Date of event, row 11

Date filed, row 11

SRN, row 11

Date of event, row 12

Date filed, row 12

SRN, row 12

Date of event, row 13

Date filed, row 13

SRN, row 13

Date of event, row 14

Date filed, row 14

SRN, row 14

Date of event, row 15

Date filed, row 15

SRN, row 15

Date of event, row 16

Date filed, row 16

SRN, row 16

Evidence examined, row 1 (4)

Observation, row 1 (4)

Status, row 1 (4)

Evidence examined, row 2 (4)

Observation, row 2 (4)

Status, row 2 (4)

Evidence examined, row 3 (4)

Observation, row 3 (4)

Status, row 3 (4)

Evidence examined, row 4 (4)

Observation, row 4 (4)

Status, row 4 (4)

Evidence examined, row 5 (4)

Observation, row 5 (4)

Status, row 5 (4)

Evidence examined, row 6 (4)

Observation, row 6 (4)

Status, row 6 (4)

Evidence examined, row 7 (4)

Observation, row 7 (4)

Status, row 7 (4)

Evidence examined, row 8 (4)

Observation, row 8 (4)

Status, row 8 (4)

Evidence examined, row 9 (4)

Observation, row 9 (4)

Status, row 9 (4)

Evidence examined, row 10 (2)

Observation, row 10 (2)

Status, row 10 (2)

Evidence examined, row 1 (5)

Observation, row 1 (5)

Status, row 1 (5)

Evidence examined, row 2 (5)

Observation, row 2 (5)

Status, row 2 (5)

Evidence examined, row 3 (5)

Observation, row 3 (5)

Status, row 3 (5)

Evidence examined, row 4 (5)

Observation, row 4 (5)

Status, row 4 (5)

Evidence examined, row 5 (5)

Observation, row 5 (5)

Status, row 5 (5)

Evidence examined, row 6 (5)

Observation, row 6 (5)

Status, row 6 (5)

Evidence examined, row 7 (5)

Observation, row 7 (5)

Status, row 7 (5)

Evidence examined, row 8 (5)

Observation, row 8 (5)

Status, row 8 (5)

Evidence examined, row 9 (5)

Observation, row 9 (5)

Status, row 9 (5)

Evidence examined, row 10 (3)

Observation, row 10 (3)

Status, row 10 (3)

Evidence examined, row 11 (2)

Observation, row 11 (2)

Status, row 11 (2)

Evidence examined, row 12 (2)

Observation, row 12 (2)

Status, row 12 (2)

Evidence examined, row 13 (2)

Observation, row 13 (2)

Status, row 13 (2)

Evidence examined, row 14 (2)

Observation, row 14 (2)

Status, row 14 (2)

Evidence examined, row 15 (2)

Observation, row 15 (2)

Status, row 15 (2)

Evidence examined, row 1 (6)

Observation, row 1 (6)

Status, row 1 (6)

Evidence examined, row 2 (6)

Observation, row 2 (6)

Status, row 2 (6)

Evidence examined, row 3 (6)

Observation, row 3 (6)

Status, row 3 (6)

Evidence examined, row 4 (6)

Observation, row 4 (6)

Status, row 4 (6)

Evidence examined, row 5 (6)

Observation, row 5 (6)

Status, row 5 (6)

Requirement, row 6

Reference, row 6

Evidence examined, row 6 (6)

Observation, row 6 (6)

Status, row 6 (6)

Requirement, row 7

Reference, row 7

Evidence examined, row 7 (6)

Observation, row 7 (6)

Status, row 7 (6)

Requirement, row 8

Reference, row 8

Evidence examined, row 8 (6)

Observation, row 8 (6)

Status, row 8 (6)

Table and item, row 1

Facts found, row 1

Qualification / Observation / Management letter / Dropped (1)

Management response, row 1

Reviewer’s note, row 1

Table and item, row 2

Facts found, row 2

Qualification / Observation / Management letter / Dropped (2)

Management response, row 2

Reviewer’s note, row 2

Table and item, row 3

Facts found, row 3

Qualification / Observation / Management letter / Dropped (3)

Management response, row 3

Reviewer’s note, row 3

Date of preparation

Date of review

Date of approval

[Name of the firm of Company Secretaries] · Company Secretaries

SECRETARIAL AUDIT PROGRAMME AND WORKING PAPERS

Company: [Name of the Company] · CIN: [CIN of the Company] · Audit Period: [Financial year under audit]
Category: [Listed / Unlisted public / Private] · Ground for audit: [Rule 9(1) test or Regulation 24A that applies]
Prepared by: [Name of the preparer] · Reviewed by: [Name of the reviewer] · Signing partner: [Name of the signing partner]

Mark each item C (complied), PC (partly complied), NC (not complied) or NA. Record the document, date, SRN or minute book page actually seen, and carry every PC and NC item to Table 11. Due dates, delays, filing status and the summaries compute in the Excel version.

1. Engagement control

#	Step	Reference	Done on	By
1	Applicability confirmed from the latest audited balance sheet	s.204(1); Rule 9(1); Reg 24A(1)	[__]	[__]
2	Appointment by the Board at a meeting, or by the members on the Board’s recommendation (listed)	s.179(3); Rule 8(4); Reg 24A(1)(b)	[__]	[__]
3	Written communication with the previous Secretarial Auditor	Cl. (8), Part I, First Schedule, Company Secretaries Act 1980	[__]	[__]
4	Peer review certificate valid to the UDIN date; ICSI audit ceiling; independence and SEBI disqualification check	ICSI guidelines; SEBI circular 31.12.2024	[__]	[__]
5	Engagement letter signed; sector laws agreed	CSAS-1	[__]	[__]
6	Last year’s qualifications followed up	CSAS-4	[__]	[__]
7	Draft observations discussed; responses recorded	CSAS-3	[__]	[__]
8	Representation letter received, dated on or before the report	CSAS-2	[__]	[__]
9	UDIN generated at signing or, exceptionally, up to seven days before	ICSI UDIN Guidelines 2019	[__]	[__]
10	Report signed before the Board approves the Board’s report	s.204(1); s.134(3)(f)	[__]	[__]

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