Rule 13a-14/15d-14 officer certifications

ScreenSEC › SEC Workflows › Rule 13a-14/15d-14 officer certifications·step 1

Complete the Identity fields. Each value is validated against the schema before the next step unlocks.

• Reporting entity (required)

  entityId

  Select the issuer whose periodic report is being certified. Use its lowercase-with-dashes id, e.g. acme-corp-hq.

ScreenSEC › SEC Workflows › Rule 13a-14/15d-14 officer certifications·step 2

Complete the Report fields. Each value is validated against the schema before the next step unlocks.

• Periodic report type (required)

  filingType

  Enter periodic report type.

• Linked periodic filing workflow record ID (required)

  filingRecordId

  Enter linked periodic filing workflow record id.

• Exchange Act reporting basis (required)

  reportingBasis

  Enter exchange act reporting basis.

• Report period end (required)

  reportPeriodEnd

  Enter report period end.

• Certified report-version SHA-256 digest (required)

  reportVersionDigest

  Enter certified report-version sha-256 digest.

ScreenSEC › SEC Workflows › Rule 13a-14/15d-14 officer certifications·step 3

Complete the Officers fields. Each value is validated against the schema before the next step unlocks.

• Principal executive officer or equivalent (required)

  principalExecutiveOfficerName

  Enter principal executive officer or equivalent.

• Principal executive officer certification artifact ID (required)

  principalExecutiveCertificationArtifactId

  Enter principal executive officer certification artifact id.

• One person performs both principal executive and financial functions (required)

  sameOfficerPerformsBothRoles

  Enter one person performs both principal executive and financial functions.

• Principal financial officer or equivalentoptional

  principalFinancialOfficerName

  Enter principal financial officer or equivalent.

• Principal financial officer certification artifact IDoptional

  principalFinancialCertificationArtifactId

  Enter principal financial officer certification artifact id.

• Each required officer personally signed; no power of attorney was used (required)

  certificationsSignedPersonally

  Enter each required officer personally signed; no power of attorney was used.

ScreenSEC › SEC Workflows › Rule 13a-14/15d-14 officer certifications·step 4

Complete the Controls fields. Each value is validated against the schema before the next step unlocks.

• Disclosure-controls evaluation record ID (required)

  dcpEvaluationRecordId

  Enter disclosure-controls evaluation record id.

• Disclosure controls evaluated as of (required)

  dcpEvaluatedAt

  Enter disclosure controls evaluated as of.

• Disclosure-controls conclusion (required)

  dcpConclusion

  Enter disclosure-controls conclusion.

• Annual management ICFR assessment artifact IDoptional

  annualIcfrAssessmentArtifactId

  Enter annual management icfr assessment artifact id.

ScreenSEC › SEC Workflows › Rule 13a-14/15d-14 officer certifications·step 5

Complete the Adverse Matters fields. Each value is validated against the schema before the next step unlocks.

• Significant deficiencies or material weaknesses were identified (required)

  dcpDeficienciesIdentified

  Enter significant deficiencies or material weaknesses were identified.

• Deficiency disclosure and communication artifact IDoptional

  deficiencyDisclosureArtifactId

  Enter deficiency disclosure and communication artifact id.

• Fraud involving management or a significant internal-control role was identified (required)

  managementFraudIdentified

  Enter fraud involving management or a significant internal-control role was identified.

• Fraud communication artifact IDoptional

  fraudDisclosureArtifactId

  Enter fraud communication artifact id.

• A material or reasonably likely material ICFR change was identified (required)

  icfrChangesIdentified

  Enter a material or reasonably likely material icfr change was identified.

• ICFR change disclosure artifact IDoptional

  icfrChangeDisclosureArtifactId

  Enter icfr change disclosure artifact id.

ScreenSEC › SEC Workflows › Rule 13a-14/15d-14 officer certifications·step 6

Complete the Basis fields. Each value is validated against the schema before the next step unlocks.

• Auditor and audit-committee communication artifact ID (required)

  auditorAuditCommitteeCommunicationArtifactId

  Enter auditor and audit-committee communication artifact id.

• Versioned certification-form artifact ID (required)

  certificationTemplateArtifactId

  Enter versioned certification-form artifact id.