From: Chartered Accountants

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From:

__________________

Chartered Accountants

_________________

Ref. No.

Date:

To,

The General Manager

(Internal Audit)

Bank Of Baroda

Central Internal Audit Division

Head Office

10

th

_{Floor, Suraj Plaza-1}

Sayajigunj

Baroda-390 005.

Dear Sir,

Re: Application for empanelment for Concurrent Audit---2016-17

We are submitting the application for empanelment of our firm for Concurrent Audit in

your Bank for following Centres( Please mention the name of state in bracket)

1.

2.

3. We enclose herewith our firm’s profile for your perusal.

Thanking you,

Yours faithfully,

For Chartered Accountants

Proprietor / Partner

Encl: as above

P.S .Kindly go through the Note/Guidelines thoroughly before filling the application

format. The duly filled in signed application format should reach to our office on or

before 31-12-2015

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NOTE/GUIDELINES:

1) No columns of application are to be kept blank.

2) Incomplete applications and / or applications not in format may be rejected without any further reference. 3) Since large number of applications are received for limited number of vacancies, no communication will

be sent by the Bank and no correspondence will be entertained in respect of firms, which are not being

allotted the Concurrent Audit work.

4) No Annexure/Extra papers to be enclosed without being called for except copy of grade suggested

by RBI for Statutory Audit .

5) The existing Concurrent Audit firms which are completing -03- Financial Years as on 31.03.2016 with BOB need not apply as the firms will be under cooling period for minimum -02- years.

6) The firms which will not be completing -02- years of cooling period as of 31.03.2016 need not apply. 7) Other existing Concurrent Auditors also need not submit their application form to Central Internal

Audit Division. They should send Hard Copy only to the concerned ZIAD.

8) Application submitted through e mail will not be entertained.

The duly filled in signed application format

should reach to our office on or before 31-12-2015

9) Latest Grade suggested by RBI for Statutory Branch Audit as available on website www.meficai.org is compulsory for appointment of Concurrent Auditors.

10) Proprietorship Firms and Individual CA are not considered for new appointment /allotment at Urban and Metro Centres.

11) Those who have already submitted application form in other format are required to resubmit the

same again in this prescribed format.

12) The allotment will be preferably made to local CA firms who have applied for Concurrent Audit. If

application from local firms are not available then the allotment will be made to the other applicant CA firm. Centre should be mentioned as specific City/Town/Village and not as State/District/Zone/Region etc.

PROFILE OF THE FIRM FOR EMPANELMENT FOR CONCURRENT AUDIT

BASIC DATA: Sr.

No.

Particulars Details

1.

Name of the CA Firm

2.

Centres applied –Distance of the centre (KM.) from the HO/Branch of the firm to be mentioned in bracket if it is outside the city/local place.

1) 2) 3)

3.

Constitution

4.

Address of Head Office

5.

Addresses of Branch Offices

6.

Landline No/s (with STD Code) / Fax No/s

7.

E-mail Address

8.

Date of Establishment

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10.

Unique Code No. for Bank Audit

11.

Latest Grade suggested by RBI for Statutory Branch Audit as available on website www.meficai.org

MEF application No.

12.

Nature of training attended by the partners/ staff in connection with Concurrent audit during last -02- years.

13.

Name & Mobile No. of FCA partner of the

CA Firm for contact

14.

Peer Review if done mention year (YYYY) and name of institution/s

15.

Whether any disciplinary action by ICAI instituted/pending against any member of the firm (if „yes‟ give details)

16.

Whether any assignment given by Bank of Baroda in past was refused/ discontinued/terminated

17.

Manpower (Nos)

A)

Qualified Professionals: (i) Partners ____ (ii) Others ____

B)

Articles:_____

C)

Details of Other Audit Staff(including of Ex Bank Officers/Executives) ______

18.

Out of above staff available for Concurrent Audit

19.

No. of Audit Staff having CISA/DISA

qualification with names.(including/Proprietor/Individual partner) 20. Particulars of Partners/Proprietor/Individual Sr. No. Name Quali-fication ICAI Member-ship No. Date of Certificate of practice Whether DISA / CISA Whether FCA or ACA Mobile No.

21. Details of Associate Firms, if any, of the Applicant Firm:

Name of

Associate Firm

Name of Partners

Address Landline No.

(with STD Code)

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EXPERIENCE:

22. Experience of Concurrent Audit of Public Sector Bank including Bank of Baroda (In applicant firm‟s name):

Name of the Bank Name of the Branch Period

23. Details of Current Assignment of Concurrent Audits of Public Sector Bank on hand (including Bank of Baroda):

24. Details of Current Assignment of Concurrent Audits of Public Sector Bank on hand in the name of associate concerns(including Bank of Baroda):

25. Experience of Concurrent Audit of “Specialized Functions” in Public Sector Bank i.e. IS Audit (In applicant firm‟s name):

26. Experience of Statutory Audit of Public Sector Banks (In applicant firm‟s name):

ADDITIONAL INFORMATION:

27. If Firm or partners are having any Credit Facilities / stood as a guarantor with Bank of Baroda, please furnish necessary details indicating nature of the dealings and the name of the Bank‟s branch where the account/s is/are maintained:

Name of the partner Name of

Bank‟s Branch

Nature of Credit Facilities / guarantee

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28. Whether the Firm or any partner has ever been debarred by ICAI/RBI, if yes, details: Sr.

No.

Name of the partner Brief reasons for debarment

29. Whether any partner is relative of existing staff member of Bank of Baroda:

Name of Staff & Designation Name of Branch Relation

30. Whether any employee of firm is retired Public Sector Bank Employee : Name of

Employee

Name of Bank Last Designation No. of Years of Service Date of VRS / Superannuation Branches served during last -05- Years*

* The employee cannot be deputed for Concurrent Audit of Bank Branches where he has served (if he was a employee of our Bank).

31. Whether any partner is retired officer of Public Sector Bank: Name of Partner Name of Bank Departments

worked

No. of

Years of Service

Date of VRS /

Superannuation

32. If any of your client is having credit facilities with our Bank, please furnish name of the branches:

33. Please furnish the name of borrowers of our Branches, where your firm is a statutory Auditor/Internal Auditor.

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34. Certificate/s

a) I / We hereby confirm that the Firm / any partner is neither Statutory Auditor nor associate concern (as defined by RBI) of Statutory Auditors of Branches of Bank of Baroda and we are not disqualified under any of grounds given in Sec. 226 of the Companies Act, 1956.

b) I / we hereby declare that neither I nor any of our partners/members of my/their families (family will include besides spouse, only children, parents, brothers, sisters or any of them who are wholly or mainly dependent on the Chartered Accountants) or the firm/Company in which I am/they are partners/directors have been declared as willful defaulter by any bank / financial institution.

c) I / We hereby confirm that I / We am / are not disqualified / ineligible for appointment at Concurrent Auditor of any Branch / Office of Bank under Sections 139 to 146 of the Companies Act 2013.

d) I / We confirm that the information furnished here are true to the best of my knowledge.

SIGNATURE DATE:

P.S. Application submitted through e mail will not be entertained.