SOX IT General Controls Self-Audit (Free Interactive Tool)

SOX IT General Controls Self-Audit

This self-audit walks you through the core IT General Controls (ITGCs) that support SOX Section 404 financial reporting requirements, covering access controls, change management, IT operations, system development, and segregation of duties. Public companies and pre-IPO companies preparing for SOX compliance rely on these controls to demonstrate that the systems behind their financial statements are secure, well-managed, and auditable. Answer honestly based on your organization's current practices, not your intended future state, to get an accurate picture of where gaps may exist. Your results are yours to keep and can serve as a starting point for a conversation with your external auditors or an IT advisor.

~8 minutes 5 sections 25 questions

Frequently Asked Questions

Does this self-audit replace external auditor testing of our ITGCs?

No. This tool is a self-assessment meant to help you gauge your readiness and identify likely gaps ahead of time. It does not replace the independent testing, evidence sampling, and formal opinion an external auditor provides as part of your SOX 404 attestation.

Who at my company should complete this?

It's best completed by someone with visibility into IT operations and controls, such as an IT manager, controller, or compliance lead. For the most accurate results, they may need to check in with system administrators or application owners on specific questions.

What happens after I get my results?

You can download your results, which show your readiness by domain and flag areas that likely need attention before an external audit. If you'd like help interpreting the results or closing identified gaps, Mytek Pros can work with your team to prioritize and remediate the weaker areas ahead of your audit timeline.

How should I interpret a low score in one domain?

A low score doesn't mean you're out of compliance, it means that domain is a likely focus area for your external auditors and a good place to start remediation work. Each domain includes specific guidance on the first step to take.