On Demand Webinar

SOX Rules for Payroll

Webinar Details $219

  • Rated:
  • Webinar Length: 60 Minutes
  • Guest Speaker:   Dayna Reum
  • Topic:   Human Resources, Taxation and Accounting
  • Credit:   HRCI 1.0, SHRM 1.0, CPE 1.0
All Access Membership

This webinar will give the participant a better understanding of what the Sarbanes Oxley Act is and how it affects payroll. Will give best practices around process mapping, process documentation and Business Continuity plans so your company can be sure to have proper controls in place to make sure compliance with the Sarbanes Oxley Act. Review of the Section 404 of the Sarbanes Oxley Act. Details of different types of process maps and how to create. A detailed understanding of how to test your controls and work with external vendors to make sure they have accurate controls.


  • What and who of the Sarbanes Oxley Act?
  • SOX Section 404 Review
  • How does SOX affect Payroll
  • Payroll controls and best practices
  • Audits (Internal & External)
  • Process Documentation
  • Process Mapping
  • Payroll Documentation
  • Business Continuity Planning
  • Testing Controls
  • Vendor Controls

Level: Intermediate
Format: Live webcast
Instructional Method: Group: Internet-based
NASBA Field of Study: Accounting
Program Prerequisites: None
Advance Preparation: None

  1. Introduction 00:
  2. Agenda 00:01:30
  3. What and Who of the Sarbanes Oxley Act? 00:05:00
  4. SOX Section 404 Review  - Requirements 00:07:51
  5. SOX Section 404 Review - Management Assessment 00:13:12
  6. SOX Section 404 Review - Disclosure Requirements 00:16:43
  7. How Does SOX Affect Payroll? 00:18:01
  8. Payroll Controls and Best Practices - Audits  00:20:30
  9. Value Of A Process Map 00:26:13
  10. Workflow Mapping 00:30:02
  11. Process Mapping 00:31:34
  12. Type’s Of Process Documentation - Process Map Shapes 00:32:35
  13. What Is Input and Outputs On A Process Map? 00:34:19
  14. Input Classifications 00:35:44
  15. Tips For A Good Process Map 00:37:06
  16. Type’s of Process Documentation - Wall Process Map 00:39:46
  17. Type’s of Process Documentation - Top Level 00:42:49
  18. Type’s of Process Documentation - Functional Map 00:43:15
  19. Process Documentation 00:43:47
  20. Process Documentation Cont’d 00:46:55
  21. Process Documentation Cont’d 00:48:14
  22. Process Documentation Cont’d 00:49:17
  23. Process Documentation Cont’d 00:49:58
  24. Business Continuity Plan 00:51:40
  25. Business Continuity Plan Cont’d 00:52:25
  26. Business Continuity Plan Maintenance 00:52:50
  27. Testing Controls  - Living Document 00:53:18
  28. Testing Controls - Test it! 00:53:40
  29. Vendor Controls 00:54:17
  30. Questions? 00:54:40
  31. Presentation Closing 00:59:49
  • Audit 00:03:04, 00:20:44
  • Business Continuity Plan 00:24:24, 00:51:44
  • GAAP 00:15:28
  • Process Documentation 00:03:20, 00:32:42
  • Process Mapping 00:03:23, 00:26:13
  • SOX -Sarbanes Oxley Act 00:01:37, 00:05:06, 00:06:26, 00:19:45, 00:25:44
  • SOX Section 404 00:02:00, 00:08:05
  • Vendor 00:04:21
  • Workflow Mapping 00:30:09

Audit: A formal examination of an organization's or individual's accounts or financial situation

Business Continuity Plan: A “business continuity plan” (BCP) is a process that outlines the potential impact of disaster situations, creates policies to respond to them and helps businesses recover quickly so they can function as usual. A BCP is generally created in advance of a disaster and involves the company's key stakeholders.

Generally accepted accounting principles (GAAP): A set of rules and guidelines developed by the accounting industry for companies to follow when reporting financial data. Following these rules is especially critical for all publicly traded companies.

Process Documentation: A process document outlines the steps necessary to complete a task or process. It is an internal, ongoing documentation of the process while it is occurring—documentation cares more about the “how” of implementation than the “what” of process impact.

Process Mapping: Process mapping is the graphical representation with illustrative descriptions. Process maps provide insight into a process, help teams brainstorm ideas for process improvement, increase communication and provide process documentation. Process mapping will identify bottlenecks, repetition, and delays. Business process mapping refers to activities involved in defining what a business entity does, who is responsible, to what standard a business process should be completed, and how the success of a business process can be determined.

SOX -Sarbanes Oxley Act: The Sarbanes-Oxley Act of 2002 is a federal law that established sweeping auditing and financial regulations for public companies. Lawmakers created the legislation to help protect shareholders, employees, and the public from accounting errors and fraudulent financial practices.

SOX Section 404: SOX Section 404 (Sarbanes-Oxley Act Section 404) mandates that all publicly traded companies must establish internal controls and procedures for financial reporting and must document, test, and maintain those controls and procedures to ensure their effectiveness.

Vendor: A vendor is a person or business that supplies goods or services to a company. Another term for the vendor is the supplier. In many situations, a company presents the vendor with a purchase order stating the goods or services needed, the price, delivery date, and other terms.

Workflow Mapping: Workflow maps are a visual representation of the actions, decisions, or tasks performed to achieve a certain result. Workflow maps give practices an easy and quick way to visualize common processes from beginning to end. The required steps can be mapped to create a standard workflow or to find and remove wasted effort.

Guest Speaker

  • Dayna J. Reum

HRCI Credit

Human Resource Certification Institute
This program has been approved for credit hours through the HR Certification Institute. For more information about certification or recertification, please visit the HR Certification Institute website at www.hrci.org.

SHRM Credit

Society for Human Resource Management
Aurora Training Advantage is recognized by SHRM to offer Professional Development Credits (PDCs) for the SHRM-CPSM or SHRM-SCPSM. For more information about certification or recertification, please visit www.shrmcertification.org.

CPE Credit

Continuing Professional Education

Aurora Training Advantage is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.

For more information regarding administrative policies such as complaint and refund, and cancellation please contact our offices at 407-542-4317 or training@auroratrainingadvantage.com.

You must answer all questions during the webinar, view the recording completely and pass the test at the end with 70% correct answers to receive CPE credit.