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  Sarbanes-Oxley Self Assessment

1. Have you performed an assessment of your financial and information systems to measure your compliance with Sarbanes Oxley? Yes, <1yr Yes, 1yr+ No
2. Have you adopted a formal implementation plan (including a timetable) to address the requirements of Sections 302 and 404 of Sarbanes Oxley? Yes Somewhat No
3. Have you implemented the required financial statement controls including authorization of transactions, safeguarding assets, maintaining records and the reconciliation process? Yes Somewhat No
4. Are you confident there are no "material weaknesses" in your company's financial reporting controls that might prevent your outside auditor from attesting in the annual report that management's controls are effective and accurate? Yes Somewhat No
5. Do your financial reporting systems trace back to the general ledgers? Yes Somewhat No
6. Are you confident that changes made to your financial systems have been properly tested and authorized? Yes Somewhat No
7. Have you implemented Security monitoring in your financial systems that ensures identified or suspected incidents are reported in a timely way? Yes Somewhat No
8. Does your financial systems development/ maintenance methodology include a security analysis that considers Sarbanes Oxley requirements? Yes Somewhat No
9. Are manual financial entries identified, tracked through a formal process, and approved by appropriate management personnel? Yes Somewhat No
10. Have you established an enterprise-wide control and risk management program in which controls and procedures are documented and continually reevaluated in response to major process or organizational changes? Yes Somewhat No
11. Is it relatively easy for personnel to circumvent financial controls? Yes Somewhat No
 


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