Template 06
10-K / 10-Q Review & Workpaper Sign-off
One answer to "is this filing ready?": a Dashboard that rolls up 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 and its summary conclusion.
Tab structure
- Instructions
- Setup
- Dashboard – each readiness measure with OK / Action and one overall line: READY FOR FILING SIGN-OFF or NOT READY
- 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; summary conclusion from the workpaper (02/07/08/09); 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; in-scope sections with no reviewer assigned are flagged
- 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
- A workpaper is ready only when its checks are done and its summary conclusion reads SUPPORTED
- Ready / not-ready counts, overall % and the Dashboard's single readiness line
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.