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CFO_ControllersChecklist

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					    CFO / Controller's Checklist
    Purpose: This checklist is a tool for financial management of the XYZ
    Corporation to use in ensuring compliance with the Financial Disclosure
    requirements of the Sarbanes-Oxley Act of 2002. This must be completed in
    conjunction with the Quarterly and Annual Financial Certifications. Questions
    regarding this checklist or on the Certification process should be directed to
    XYZ Corporate Legal or Accounting management.
                                                                                                 IF ACTION MUST BE TAKEN, DOCUMENT ACTION PLAN

                                                                                        Describe action to be taken
                                                                         YES     NO          (attach additional sheets if necessary)     By Whom       By When

1 Have appropriate Financial Policies and Procedures been
  documented to ensure that Accounting policies, practices and
  procedures comply with the letter and spirit of US GAAP?


2 Have the Financial Policies and Procedures been adequately
  communicated to ensure they are fully understood by those
  employee's with a need-to-know?


3 Are sufficient and appropriate procedures in place to ensure
  compliance with the Financial Policies and Procedures, and has
  such compliance been adequately documented?


4 Are employee's aware of the Financial Accounting and
  Reporting section of the "General Business Ethics and
  Courtesies" policy, and have all breaches of this policy section
  been disclosed to Corporate Legal management?

5 Have all known or potential conflicts of interest, as explained in
  the XYZ Corporation Code of Business Conduct and Ethics
  Policy been disclosed to Corporate Legal management?


6 Have all material potential claims and pending legal or
  administrative proceedings been disclosed to Corporate Legal
  management?


7 Have all fraudulent activities, regardless of materiality level,
  been disclosed to the Corporate Legal and Internal Audit
  departments?


8 There have been no breaches of debt instruments during the
  quarter. If so, briefly describe and indicate whether or not the
  details have been disclosed to Corporate Treasury and
  Corporate Finance.

9 No material agreements have been entered into during the
  quarter. If so, briefly describe and indicate whether or not the
  details have been disclosed to Corporate Legal management.


10 No Certified Public Accounting firms have been retained for any
   project other than the annual financial statement audit. If so,
   provide a brief description and indicate whether the relationship
   has been disclosed to Corporate Legal management.


11 There have been no significant changes in the internal control
   systems or structure of the internal control environment.




    COMPLETED BY:

    Location/Business Unit: _____________________________


    Printed name / Title: _________________________________


    Signature: _________________________________________                                      Date: ___________________________


                                                                                Revised: 3/18/2003                      5c620544-d49e-4e18-a2bb-f039c73a484f.xls

				
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posted:10/21/2012
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