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HR SOX compliance checklist

HR SOX compliance checklist

Ensure your HR processes meet Sarbanes-Oxley Act standards with our comprehensive HR SOX compliance checklist template. Tailor it to your organization and conduct thorough compliance checks.

Use this template
or download pdf
HR SOX compliance checklist

Ensure your HR processes meet Sarbanes-Oxley Act standards with our comprehensive HR SOX compliance checklist template. Tailor it to your organization and conduct thorough compliance checks.

Use this template
or download pdf

About the HR SOX compliance checklist

A well-structured HR SOX compliance checklist enables you to maintain rigorous standards in your HR processes. Whether you’re reconciling payroll, managing onboarding, or ensuring accurate employee records, this template helps you standardize your compliance efforts with the Sarbanes-Oxley Act (SOX).

The Sarbanes-Oxley Act requires strict controls and procedures to safeguard financial accuracy and integrity. This checklist aids you in managing payroll procedures, onboarding, terminations, and more, ensuring that your HR operations meet SOX standards. Use this template to improve compliance, reduce risks, and maintain the highest level of organizational integrity.

Benefits of using an HR SOX compliance checklist template

Using an HR SOX compliance checklist template ensures you adhere to the requirements of the Sarbanes-Oxley Act. For instance, it assists you in verifying that payroll registers are reconciled with the general ledger and that employee files are maintained securely. This not only enhances your compliance efforts but also mitigates risks associated with non-compliance.

The template also gives several advantages for your HR processes. With a structured checklist, you can streamline workflows and consistently address all critical compliance tasks. It allows you to systematically manage payroll, onboarding, terminations, and employee records.

By using this checklist, you can confidently manage your HR operations, knowing that you are meeting SOX standards and protecting your organization’s integrity.

How to use the HR SOX compliance checklist template

The HR SOX compliance checklist template features several sections, with questions that are easy to customize. Follow these steps to make the template part of your team’s workflow:

  1. Personalize the template: Start by tailoring the checklist to your organization’s specific needs. Edit sections to reflect your payroll procedures, hiring processes, and employee record-keeping practices.
  2. Schedule compliance checks: Decide on a regular schedule for conducting SOX compliance checks. This could be quarterly, semi-annually, or based on your internal audit schedule. During these checks, use the checklist to verify that all tasks, such as payroll reconciliation and employee record maintenance, are being completed accurately and on time.
  3. Conduct the inspection: On the scheduled dates, gather your HR and finance teams to perform the compliance check. Use the checklist to systematically review each section. For example, confirm that payroll registers are reconciled with the general ledger, and that I-9 forms are accurately completed for all new hires. Document findings and note any discrepancies or areas needing improvement.
  4. Use analytics and tracking: Take advantage of the analytics features within the Lumiform app to monitor compliance progress. Track which tasks have been completed and identify any overdue items. Use this data to make informed decisions and improve your HR processes.

Take control of your HR compliance with Lumiform’s tools

Simplify your HR compliance checks with the HR SOX compliance checklist. This user-friendly template guides you through essential tasks, from payroll reconciliation to employee record maintenance. Download it now and give your team the tools they need to maintain accuracy and compliance.

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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

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Related resources

Access a complete set of resources aimed at maximizing safety, quality, and operational excellence, including detailed guides, related templates, and real-world use cases.

Topic guides

Read in-depth guides covering key topics related to this article.

Human resource management : A comprehensive guide and strategiesSOX compliance: Key requirements and tipsCompliance audit mastery: A handbook for proactive businessesISO 27001: Your essential guide to information security management
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See comprehensive collections of best practice templates related to this topic.

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Frequently asked questions

What is the role of HR in SOX compliance?

As mandated by the Sarbanes-Oxley act, all HR processes must also adhere to stringent controls and documentation requirements. This includes maintaining accurate payroll records, conducting thorough background checks, and securely storing employee records. HR must also conduct regular audits and provide training to staff to uphold compliance standards.

How often should HR SOX compliance checks be conducted?

HR SOX compliance checks should be conducted at least yearly. Regular reviews help identify and address issues promptly, keeping your processes up-to-date. For critical areas like payroll and employee records, consider monthly checks to maintain strict compliance and avoid potential risks.

What should be included in an HR SOX compliance audit?

An HR SOX compliance audit should include a review of payroll processes, employee records, hiring practices, and termination procedures. The audit should also assess the effectiveness of compliance training and whether issues are addressed promptly.


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.
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