close
lumiform
Lumiform Mobile audits & inspections
Get App Get App
Overview
Get an overview of the most important features in Lumiform.
Form builder
Create custom checklists and use logics to predefine workflows.
Mobile app
Quickly conduct inspections with the easy-to-use inspection app.
Issue resolution
Turn issues into corrective actions by collaborating with team members.
Results, reports & analytics
Share automatically generated reports and get in-depth analytics.
Administration
Easily adapt the Lumiform software to your complex organization structure.
Book a personal demo
Contact sales
By category
Cleaning Food Safety ISO Maintenance Quality Assurance Risk Assessment Workplace Safety View all templates
By industry
Hospitality Management Manufacturing Transport and Logistics Construction Retail Facility Management Health Care
Book a personal demo
Contact sales
By app use
Energy Audit App Quality Management System App Commercial cleaning app: simplify scheduling, tracking, and management! Free Daily Forklift Inspection App Vehicle Inspection App Mystery Shopper App View all app uses
By industry
Food & Hospitality Construction Manufacturing Retail Logistic & Transportation Facility Management Pharma & Chemistry View all industries
Book a personal demo
Contact sales
Checklists
5S Checklist Mystery Shopper Checklist BRC Audit Checklist Incoming Goods Inspection Checklist Safety Observation Report Checklist Restaurant Checklists for Standard Operating Procedure Social Worker Home Visit Checklist View all checklists
Guides
What is 5s in your company? Understanding ISO What Is ISO 9001? What is Kanban? What is Poka Yoke? What is the CE Marking? Child Care Observation Guide View all guides
Knowledge hub
Customer success stories
How businesses are using Lumiform successfully.
Infographics
A combination of data, facts or timelines with graphics for clear, visual hubs of information.
Videos
How to videos, demos and much more.
 
Help center
Get helpful tips on how to use Lumiform features.
FAQ
Take a look at frequently asked questions.
Lexicon
A glossary of all technical terms.
Book a personal demo
Contact sales

HR SOX compliance checklist

Downloaded 0 times
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
Share this template:

Related Categories:

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.
Please note that this checklist template is a hypothetical appuses-hero example and provides only standard information. The template does not aim to replace, among other things, workplace, health and safety advice, medical advice, diagnosis or treatment, or any other applicable law. You should seek your professional advice to determine whether the use of such a checklist is appropriate in your workplace or jurisdiction.

Other Templates:

This site is registered on wpml.org as a development site. Switch to a production site key to remove this banner.