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Microlesson · 5-min read

CARO 2020 – Clauses 8 & 9: Undisclosed Income and Repayment of Loans

## CARO 2020 – Clauses 8 & 9

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### Clause 8: Undisclosed Income

Report on whether:

1. Any transactions not recorded in the books of accounts have been surrendered or disclosed as income during the year in tax assessments under the Income Tax Act, 1961

2. If yes — whether the previously unrecorded income has been properly recorded in the books of accounts during the year

> This clause targets cases where companies disclose unaccounted income to the IT department (e.g., during surveys or assessments) but do not reflect it in the commercial accounts.

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### Clause 9: Repayment of Loans and Borrowings

This is a multi-part clause covering several dimensions of borrowing risk:

#### 9(a): Default in Repayment

  • Whether the company has defaulted in repayment of loans, other borrowings, or payment of interest to any lender
  • If yes: period of default and amount to be reported in a prescribed format:
ColumnDetail
Nature of borrowing (including debt securities)
Name of lender
Amount not paid on due date
Whether principal or interest
No. of days delay / unpaid
Remarks

#### 9(b): Wilful Defaulter

  • Whether the company has been declared a wilful defaulter by a bank, FI, or government

#### 9(c): Term Loan End-Use

  • Whether term loans were applied for the purpose for which they were obtained
  • If not, amount diverted and purpose of such usage

#### 9(d): Short-Term Loans for Long-Term Purposes

  • Whether short-term loans (STL) have been used for long-term purposes
  • Report the nature and amount

#### 9(e): Funds Raised for Subsidiaries/Associates/JVs

  • Whether the company has taken funds from any entity or person to meet the obligations of its subsidiary, associate, or JV
  • Report nature and amount

#### 9(f): Loans Against Pledge of Subsidiaries' Securities

  • Whether the company has raised any loan during the year on the pledge of securities held in its subsidiaries, JVs or associates
  • Whether the company has defaulted in repayment of such loans

Worked example

### Example 1

During an IT survey, Nova Ltd disclosed ₹15 lakh of unrecorded cash sales. The amount was surrendered as income in the IT assessment. However, the company did not pass any entry in its books for this income. How do you report under CARO Clause 8?

Answer: Clause 8: Report that transactions not recorded in the books of accounts (₹15 lakh) were surrendered as income in the IT assessment, but the previously unrecorded income has NOT been properly recorded in the books of accounts during the year — non-compliance must be reported.

### Example 2

Orbit Ltd obtained a term loan of ₹20 crore for construction of a factory. Audit reveals that ₹5 crore was used to repay existing working capital loans and ₹2 crore was invested in fixed deposits. What do you report under Clause 9?

Answer: Clause 9(c): Term loan not fully applied for the sanctioned purpose. Diverted amount = ₹7 crore (₹5 crore to WC loan repayment + ₹2 crore to fixed deposits). Report the amount diverted (₹7 crore) and the purpose (WC loan repayment and fixed deposit investment).

⚠️ Common exam mistakes

  • Treating Clause 8 as limited to cash — it applies to any transaction not recorded in books that is subsequently disclosed in a tax assessment, regardless of nature.
  • Answering Clause 9 by only reporting default without covering wilful defaulter status, term loan end-use, STL-for-LTP, and pledge of subsidiary securities — all sub-clauses must be addressed.
  • Confusing STL for LTP (Clause 9d) with term loan diversion (Clause 9c) — they are separate: 9c is about end-use of a term loan, 9d is about short-term funds financing long-term needs.
  • Missing Clause 9(e) (funds taken from others to meet subsidiary/associate obligations) — often overlooked as a distinct requirement.
  • Not specifying the number of days delay in the default format under Clause 9(a).
Reference: Clauses 3(viii) and 3(ix) — Companies (Auditor's Report) Order, 2020
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