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Microlesson · 5-min read

Electronic BOA, audit trail, inspection rights, preservation, and penalty (Section 128)

# BOA in Electronic Form, Inspection & Preservation — Section 128 (continued)

## Electronic Mode Requirements

Where BOA and books & papers are maintained electronically:

1. Accessibility — Must remain accessible in India at all times.

2. Backup — Backup of BOA (even if maintained outside India) must be kept on servers physically located in India, daily.

3. Legibility — Information shall be in legible form.

4. Storage system — Proper system for storage, retrieval, display, or printout of records (as deemed appropriate by audit committee/BOD). Records may not be disposed of or rendered unusable except as permitted by law.

## Audit Trail in Accounting Software

From FY commencing on or after 1st April 2023, every company using accounting software must use software that:

  • Records an audit trail of every transaction,
  • Creates an edit log of changes made in BOA (with date of change), and
  • Ensures the audit trail cannot be disabled.

## Annual Intimation to ROC (at time of filing FS)

Company must intimate:

  • Name, IP address, and location of the service provider,
  • If the service provider is outside India — name and address of the person in control of records in India,
  • If records are on the cloud — the address provided by the service provider.

## Inspection by Directors — Important Nuances

Where BOA is keptDirector's Right
Within IndiaDirect inspection during business hours.
Outside IndiaDirector must request the company with full details of the financial information sought and the period covered; company must produce it within 15 days of request.

Key restrictions:

  • Inspection is personal — director cannot send a power of attorney, agent, or representative.
  • Officers & employees of the company must assist directors during inspection.
  • BOA of a subsidiary can be inspected by a director of the holding company only if authorised by a board resolution of the holding company's BOD.

## Period for Preservation

BOA together with relevant vouchers must be preserved for at least 8 years immediately preceding the relevant FY, except:

  • Newer companies — If the company is less than 8 years old, BOA must be preserved for its entire existence.
  • Investigation ordered — CG may direct that BOA be preserved for more than 8 years.

## Responsibility and Penalty

### Responsible Persons

  • Managing Director (MD),
  • Whole-Time Director (WTD) in charge of finance,
  • Chief Financial Officer (CFO), or
  • Any other person charged by the BOD.

### Penalty for Contravention

Fine: not less than ₹ 50,000, extendable up to ₹ 5,00,000.

Worked example

### Example 1

Example (Backup): Z Ltd. maintains its BOA on a cloud server located in the USA. The company must ensure a backup copy is kept daily on servers physically located in India and must intimate the cloud service provider's details to ROC at the time of filing FS.

### Example 2

Example (Audit trail): For FY 2023-24 onwards, K Ltd. must use accounting software that records every transaction's audit trail and edit log, and the audit trail feature must be incapable of being switched off.

### Example 3

Example (Inspection of subsidiary): Mr. A, a director of H Ltd. (holding company), wants to inspect BOA of S Ltd. (subsidiary). A board resolution of H Ltd.'s board must authorise this inspection.

### Example 4

Example (Preservation): A company incorporated in 2020 is preparing accounts for FY 2024-25. Since it is less than 8 years old, it must preserve BOA for its entire existence (since 2020), not for the previous 8 years.

⚠️ Common exam mistakes

  • Assuming a director can depute a CA or lawyer to inspect BOA — inspection must be by the director personally.
  • Forgetting that BOA of a subsidiary requires a board resolution of the holding company (not just the director's request).
  • Thinking 8 years' preservation is absolute — for younger companies it is 'entire period since incorporation'; for investigated companies CG may extend it.
  • Overlooking that the audit-trail mandate kicks in from FY commencing on or after 1st April 2023 — not earlier.
Bare-Act text Section 128 · Companies Act, 2013 · click to expand
BOA and books & papers in electronic mode shall remain accessible in India at all times. Backup of BOA and other books & papers maintained in electronic mode (even if outside India) shall be kept in servers physically located in India on a daily basis. From FY commencing on or after 1st April, 2023, every company (using accounting software) shall use a software which has features of recording audit trail of every transaction, creating edit log of changes made in BOA (with date of change) & ensure that audit trail cannot be disabled. Director can himself (and not through his power of attorney, agent or representative) inspect BOA and other books & papers maintained. Within India: Can inspect during business hours. Outside India: Request company along with full details of financial information sought & period of information sought and company shall produce it within 15 days of request. BOA of subsidiary can be inspected by director only if authorised by BR of holding company. BOA (along with relevant vouchers) shall be preserved by company for not less than 8 years immediately preceding relevant FY. MD, WTD in charge of finance, CFO or any person charged by BOD shall be responsible for compliance u/s 128. In case of contravention, person shall be punishable with fine not less than ₹ 50,000 which is extendable upto ₹ 5 lakhs.
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