Templates
HR SOX compliance checklist

HR SOX compliance checklist

Easily track HR-specific SOX controls and streamline compliance tasks for your team.

Use this template
or download pdf
HR SOX compliance checklist

Easily track HR-specific SOX controls and streamline compliance tasks for your team.

Use this template
or download pdf

About the HR SOX compliance checklist

The HR SOX compliance checklist helps you tackle the growing complexity and expanded responsibilities facing audit and HR teams today. As highlighted by the Center for Audit Quality and Deloitte, audit committees are under pressure from increasing complexity and “scope creep” in their oversight duties, making it more important than ever to have robust, well-documented HR controls.

This template is tailored specifically for HR compliance with SOX, guiding you through critical steps like documenting personnel changes, securing payroll processes, and ensuring proper segregation of duties. If you need broader compliance resources, check out our SOX Compliance Checklist or SOX 404 Compliance Checklist templates.

Related categories

Preview of the template
Page 1
Payroll Procedures
Payroll registers reconciled to general ledger
Payroll deductions properly authorized
Payroll tax payments made timely
Payroll system access restricted to appropriate personnel
Payroll changes reviewed and approved
Hiring & Onboarding
Job descriptions documented for all positions
Background and reference checks completed
I-9 forms accurately completed for all new hires
Onboarding checklist used for new employees
Terminations
Exit interviews conducted for all terminations
Final paychecks issued on last day of employment
Access to company systems/facilities revoked
COBRA and other termination paperwork provided
Employee Records
Employee files maintained in secured location
Files contain all required employment documents
Files reviewed periodically for accuracy
Retention policy in place for personnel records
Time & Attendance
Time records approved by managers
Paid time off requests properly authorized
Time off balances accurately maintained
Overtime pay calculated correctly
HR Policies
Employee handbook annually reviewed and updated
All employees acknowledge receipt of handbook
HR policies consistently enforced
Reporting hotline in place for complaints
Training & Development
Annual training plan documented
Training records maintained for all employees
Management training on HR compliance
New hire training on policies and procedures

Frequently asked questions

Which HR processes are most impacted by SOX compliance requirements?

Key HR processes impacted include payroll, employee data management, onboarding and offboarding, access controls, and documentation of personnel changes. SOX requires strict controls and audit trails in these areas to prevent unauthorized transactions and ensure data integrity.

How can HR teams reduce the risk of SOX violations?

HR teams can reduce risk by standardizing processes, maintaining thorough documentation, enforcing segregation of duties, conducting regular audits, and using digital tools for tracking and reporting. Training staff on compliance protocols is also essential to minimize human error.

What are common challenges when implementing HR SOX compliance?

Common challenges include managing complex documentation, keeping up with regulatory changes, ensuring data security, and overcoming “scope creep” as HR’s responsibilities expand. Manual processes and lack of automation often lead to inconsistencies and missed controls.

What happens if a company fails to comply with HR SOX requirements?

Non-compliance can lead to failed audits, financial penalties, reputational damage, and even criminal charges for executives in severe cases. It also increases the risk of fraud and operational disruptions, making compliance a high priority for organizations.

This template, developed by Lumiform employees, serves as a starting point for businesses using the Lumiform platform and is intended as a hypothetical example only. It does not replace professional advice. Companies should consult qualified professionals to assess the suitability and legality of using this template in their specific workplace or jurisdiction. Lumiform is not liable for any errors or omissions in this template or for any actions taken based on its content.