EPF Act - Which documents are required in the audit of EPF? - CiteHR
Vipul Badhik
Hr Manager
Korgaonkar K A
Ba,llb,mpm,dir&pm,dll&lw,d.cyber
+2 Others

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Which documents are required in the audit of EPF? And more than that I would like to clear you all that we have issued the license of EPF before 3 years ago and I came to know that k they havent made any inspection or audit, so please guide me in this direction. I will be thankful to you all....
3A and 6A and Challan along with Salary Register for those months to audit and EPF statement with account 1,2,10,21, & 22 sent to account dept.
Dear Bhardwaj, will they ask for last 3 years ? please tell me widely.. coz I am fresher and I just have completed my study.. Thanks for help me in advance
Dear Vipul ji,
You need to produce following documents for Inspection under EPF.
1. Attendance and wage registers;
2. Audited copies of balance sheets and P&L statements;
3. First cash book / first bill book;
4. First ledger;
5. Proof of date of Incorporation / commencement of business;
6. Certificate of Registration under FA or S&E;
7. Article of Memorandum and Association / Partnereship deed;
8. Form 11 of all employees;
9. Returns - monthly / annually / 5A submitted with remitted challans;
10. Current cash book and ledger;
11. Details of owners and bankers;
12. Inspection book; and
13. Any other record / document the inspector may deem fit to inspect.
The above documents the inspector can demand for any number of years and not restricted to 3 years or any number of years.
If I Miss-out any document, one can add to it.

Dear Vipul ji,
This in continuation of my earlier posting.
In addition to above list, in case of exempted establishment you need to submit returns in appendix A and B, cash book ledger of PF, subscribers pass book ledger, audited balance sheets of trust, eligibility register and securities register etc.

Dear Vipul ji,
The Form 11 is to be maintained in respect of all the employees irrespective they are member of PF or not. This form is a declaration by employee about his status whether he is a member of PF or not on the date of his joining. On the basis of this form, you need to take decision on his PF membership with you.
Hope I have made it very clear.

Dear Kargaonkar, Really thanks a lot, now it has removed my illusion regarding form 11, thanks a lot......... this is really healthy advise for me, I will....
Dear All,

I have been contributing to PF account regularly and now have been facing a unqiue problem as mentioned here in under:

The account since financial year 2010 was not been updated till date by PF office.

They had started uploading of ECR file in March 2013. Now due to inadvertence my employer/consultant uploaded against my account number WRONG NAME. Let me tell you it wrong name in the sense not a spell error but completely different name altogether.(Eg: instead of Devang Mehta it was mentioned as Suraj Karna).

The PF online software captured the wrong name and when contacted PF office they informed that there is no provision to rectify such kind of error.

So on Physical records they have name as Devang Mehta and on their software it is shown as Suraj Karna.

Even withdrawal cant be done since i am still working with the same employment. Even if i resign the withdrawal cant take place because my form is bound to get rejected due to mis-match of name.

Please note i also had done transfer to the account from my previous employer.

Request if anyone can share or guide me as how to tackle this issue.

Dear Hellocite,

You have two issues. One is your account is not updated. Second one is, in online your name appears completely wrong.

My response to your issues is as under:

As regards to issue 1: 

Though EPFO declared that from July 1st, they are going to settle the claims in 3 days, but I have doubt. Till date number of accounts are not updated, not only of you or your company. Reason may be any thing. But I have seen some companies are very perticular in submission of periodical returns, still their accounts are not updated even after resubmitting the returns hard copy as well as soft copy, twice / trice.

You are advised here to submit your grievance to EPFO online.

As regards to issue 2:

There is nothing in this world which has no solution / rectification. You write to your company and your company has to find out the solution. The company did the mistake.  

The company has missed one bus by not rectifying the mistake while uploading annexure II and uploading corrected ECR. The company can still upload the corrected ECR from beginning and write to EPFO to rectify the mistake.

Dear Sir,

Thanks for the prompt reply.

I wish to add some point here. The wrong names went for all my department (6) members. Out of which one has resigned and when he applied for withdrawal of PF his form got rejected due to mis-match of name.

The Company did filed revised ECR but the PF officer claims that now the name can't be rectifed as the software doesnt allow them to do so. The HR of our organization visited PF office and tried to sort matter. All correspondences regarding rectificaton have been submitted. But no positive feedback is being recevied from PF. Also cant download epf passbook nor epf balance comes via sms as it says no record found. I agree with the fact that There is nothing in this world which has no solution / rectification but PF office themselves are not giving response to it. Also have filed online grievance thrice (almost a year back) but no reply has been recevied.

Incase if anyone has face such kind of difficulty do let me what steps have been taken to rectify such kind of error.


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