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Audit Committee of the Board of Directors
Charter
I. PURPOSE
The primary function of the Audit Committee is to assist
the Board of Directors in fulfilling its oversight responsibilities
by reviewing: the financial reports and other financial information
provided by the Corporation to any governmental body or the
public; the Corporation's systems of internal controls regarding
finance, accounting, legal compliance and ethics that management
and the Board have established; and the Corporation's auditing,
accounting and financial reporting processes generally. Consistent
with this function, the Audit Committee should encourage
continuous improvement of, and should foster adherence to,
the Corporation's policies, procedures and practices at all
levels. The Audit Committee's primary duties and responsibilities
are to:
* Serve as an independent and objective party to monitor
the Corporation's financial reporting process.
* Review and appraise the audit efforts of the Corporation's
independent accountants.
* Provide an open avenue of communication among the independent
accountants, financial and senior management and the Board
of Directors.
The Audit Committee will primarily fulfill these responsibilities
by carrying out the activities enumerated in Section IV of
this Charter.
II. COMPOSITION
The Audit Committee shall be comprised of two or more directors
as determined by the Board, each of whom shall be independent
directors, and free from any relationship that, in the opinion
of the Board, would interfere with the exercise of his or
her independent judgment as a member of the Committee. All
members of the Committee shall have a working familiarity
with basic finance and accounting practices, and at least
one member of the Committee shall have accounting or related
financial management expertise.
The members of the Committee shall be elected by the Board
at the annual organizational meeting of the Board or until
their successors shall be duly elected and qualified. Unless
a Chair is elected by the full Board, the members of the
Committee may designate a Chair by majority vote of the full
Committee membership.
III. MEETINGS
The Committee shall meet at least one time annually, or
more frequently as circumstances dictate. As part of its
job to foster open communication, the Committee should meet
at least annually with management and the independent accountants
in separate executive sessions to discuss any matters that
the Committee or each of these groups believe should be discussed
privately.
IV. RESPONSIBILITIES AND DUTIES
To fulfill its responsibilities and duties the Audit Committee
shall:
Documents/Reports Review
1. Review and update this Charter periodically, at least
annually, as conditions dictate.
2. Review the organization's annual financial statements.
3. Review with financial management and the independent
accountants the 10-K prior to its filing. The Chair of the
Committee may represent the entire Committee for purposes
of this
review.
Independent Accountants
4. Recommend to the Board of Directors the selection of
the independent accountants, considering independence and
effectiveness and approve the fees and other compensation
to be paid to the independent accountants. On an annual basis,
the Committee should review and discuss with the accountants
all significant relationships the accountants have with the
Corporation to determine the accountants' independence.
5. Review the performance of the independent accountants
and approve any proposed discharge of the independent accountants
when circumstances warrant.
6. At least once a year consult with the independent accountants
out of the presence of management about internal controls
and the fullness and accuracy of the organization's
financial statements.
Financial Reporting Processes
7. In consultation with the independent accountants, review
the integrity of the organization's financial reporting processes,
both internal and external.
8. Consider the independent accountants' judgments about
the quality and appropriateness of the Corporation's accounting
principles as applied in its financial reporting.
9. Consider and approve, if appropriate, major changes to
the Corporation's auditing and accounting principles and
practices as suggested by the independent accountants or
management.
Process Improvement
10. Establish regular and separate systems of reporting
to the Audit Committee by each of management and the independent
accountants regarding any significant judgments made in management's
preparation of the financial statements and the view of each
as to appropriateness of such judgments.
11. Following completion of the annual audit, review separately
with each of management and the independent accountants any
significant difficulties encountered during the course of
the audit, including any restrictions on the scope of work
or access to required information.
12. Review any significant disagreement among management
and the independent accountants in connection with the preparation
of the financial statements.
13. Review with the independent accountants and management
the extent to which changes or improvements in financial
or accounting practices, as approved by the Audit Committee,
have been implemented. (This review should be conducted at
an appropriate time subsequent to implementation of changes
or improvements, as decided by the Committee.)
Ethical and Legal Compliance
14. Establish, review and update periodically a Code of
Ethical Conduct and ensure that management has established
a system to enforce this Code.
15. Review management's monitoring of the Corporation's compliance with the
organization's Ethical Code, and ensure that management has the proper review
system in place to ensure that Corporation's financial statements, reports
and other financial information disseminated to governmental organizations,
and the public satisfy legal requirements.
16. Review, with the organization's counsel, legal compliance
matters including corporate securities trading policies.
16. Review any legal matter reported by the independent
accountants that could have a significant impact on the organization's
financial statements.
17. Perform any other activities consistent with this Charter,
the Corporation's By-laws and governing law, as the Committee
or the Board deems necessary or appropriate.
November 10, 1999
Rofin-Sinar Technologies Inc.
Board of Directors
Audit
Committee Charter
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