Template 06
Review & Workpaper Sign-off
Two views of "is this filing ready?": a Matrix showing which reviewers have signed off on each section of the 10-K or 10-Q, and a Workpaper QC tab that checks each workpaper against ten quality checks.
Tab structure
- Instructions
- Setup
- Matrix – sections tagged 10-K, 10-Q or Both; only in-scope sections count; reviewer columns (CFO, CAO/Controller, SEC Reporting, Legal, IR, Tax, Treasury/FP&A, Auditor FYI); % complete
- Workpaper QC – one row per workpaper; ten Yes / No / N/A checks; completion % and readiness
Key checks and flags
- Sections out of scope for the detected report type drop out automatically
- % complete per section
- QC checks: purpose stated, every number sourced, inputs vs formulas distinguished, ties to TB/prior period/filing, tickmarked and footed, variances explained, judgments documented, completeness and review evidence, open items cleared, signed off with final version
- Ready / not-ready counts and overall %
Who uses it
SEC reporting manager and controller running the review cycle.
Primary sources
Previews
Rendered from the actual workbook with illustrative sample data ("Example Company, Inc.", period end December 31, 2026). Scroll sideways on small screens.
Matrix
Matrix tab: section-by-reviewer sign-off.
Workpaper QC
Workpaper QC tab: ten checks per workpaper.