Quarterly Self-Assessment Survey 

screenshot of the first page of Quarterly Self-Assessment Survey
How to Navigate an Effective Section 404 Self-Assessment

The purpose of this questionnaire is to facilitate the quarterly Section 404 assessment process. 

One component of the process includes completing this questionnaire to identify changes in the existing IT process documentation, including risks, control points, systems and personnel impacting the internal control environment; identify any new processes that have been implemented or are planned to be implemented by (Insert Date) (quarter-end) that are not considered in the existing process documentation; and identify any new processes or process changes as well as their expected dates as a result of merger activities post (Insert Date) (quarter-end). 

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