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Managing Compliance Documents with the Vault¶

Overview¶

The Compliance Vault is 4Geeks Payroll’s centralized, secure document storage system for all employment-related documentation. It helps you stay compliant across 50+ countries by managing contracts, IDs, tax forms, and local compliance documents — with automated reminders and full audit trails.

In this tutorial, you will:

• Understand the Compliance Vault structure and document types
• Upload and organize employee documents
• Create and manage employment contracts with digital signatures
• Set up automated expiration reminders
• Configure role-based access permissions
• Run compliance reports and audits
• Use the onboarding checklist for new hires

Prerequisites¶

• 4Geeks Payroll account with Employee Stream enabled
• Employees added to the system
• Employee documents ready for upload (contracts, IDs, tax forms)

Step 1: Understanding the Compliance Vault¶

What It Stores¶

The Compliance Vault organizes documents into these categories:

How It’s Organized¶

Each employee has their own document repository within the vault:

Compliance Vault
├── Employee: Ana García
│   ├── Employment Contract (signed)
│   ├── National ID (front & back)
│   └── W-4 Form
├── Employee: Carlos Ruiz
│   ├── Employment Contract (signed)
│   ├── Passport
│   ├── Work Permit
│   └── Background Check
└── Employee: Maria Torres
    ├── Contractor Agreement
    ├── W-8BEN
    └── Professional License

Key Features¶

• Enterprise Encryption — AES-256 at rest, TLS 1.3 in transit
• Version Control — Every document change is tracked
• Audit Trails — Every view, upload, and edit is logged
• Automated Reminders — Never miss a document expiration
• Role-Based Access — Granular control over who sees what

Step 2: Upload and Organize Documents¶

Upload a Single Document¶

1. Go to Payroll → Compliance → Compliance Vault
2. Search for the employee or select them from the list
3. Click Upload Document
4. Select the Document Type from the dropdown:
5. Employment Contract
6. National ID / Passport
7. Tax Form
8. Work Permit / Visa
9. Certification / License
10. Background Check
11. Other
12. Choose the file (supported formats: PDF, JPG, PNG; max 10 MB)
13. Enter optional details:
14. Document Name — A label for easy identification (e.g., “Ana García - Employment Contract 2026”)
15. Expiration Date — When the document expires (e.g., passport expiry, visa expiry)
16. Notes — Any additional information
17. Click Upload

The document appears in the employee’s document list. If you set an expiration date, the system automatically starts tracking it.

Upload Multiple Documents at Once¶

1. From the Compliance Vault, click Bulk Upload
2. Select multiple files from your computer
3. For each file, assign:
4. Employee (search by name)
5. Document type
6. Expiration date (optional)
7. Click Upload All

Upload on Behalf of an Employee¶

If an employee has submitted documents through the mobile app:

1. Go to Compliance → Pending Documents
2. Review each submitted document
3. Click Approve to accept, or Reject with a reason
4. Approved documents are stored in the employee’s vault automatically

Step 3: Create and Manage Employment Contracts¶

Create a Contract Using Templates¶

1. Go to Payroll → Compliance → Contracts
2. Click New Contract
3. Select the employee
4. Choose a Template based on the country:
5. Pre-built templates include standard clauses for each country’s labor laws
6. Templates include mandatory local provisions
7. Fill in the contract details:

1. Customize any sections as needed
2. Click Save as Draft or Send for Signature

Send for Digital Signature¶

1. From the contract detail view, click Send for Signature
2. The employee receives an email with a secure link
3. The employee reviews and signs electronically
4. You receive a notification when signed
5. The signed contract is automatically stored in the Compliance Vault

Track Contract Status¶

Contract Amendments¶

To modify an existing contract:

1. Open the signed contract
2. Click Create Amendment
3. Document what is changing (e.g., “Salary increase from $50,000 to $55,000”)
4. Send for signature (both parties sign)
5. The amendment is attached to the original contract with version history

Contract Renewal¶

1. Open the contract approaching its end date
2. Click Renew
3. Update terms if needed (new salary, new end date)
4. Send for signature
5. The renewal is linked to the original contract in the version history

Step 4: Set Up Automated Reminders¶

Configure Expiration Alerts¶

1. Go to Settings → Compliance → Reminders
2. Click Add Reminder Rule
3. Configure:

1. Choose who receives reminders:
2. Employee — They get notified to renew their document
3. Manager — Gets notified if employee doesn’t act

4. HR Admin — Gets escalated notifications

5. Click Save

Reminder Behavior¶

Step 5: Configure Role-Based Access¶

Access Levels¶

Setting Permissions¶

1. Go to Settings → Compliance → Access Control
2. Click Add Role Assignment
3. Select the user or role
4. Choose the permission level
5. Optionally restrict to specific document categories or countries

Grant Payroll Provider Access¶

To share documents with your local payroll provider:

1. Go to Settings → Compliance → External Access
2. Click Add Provider
3. Enter:
4. Provider Name — e.g., “ABC Payroll Costa Rica”
5. Contact Email — Provider’s authorized user email
6. Access Scope — Payroll-related documents only
7. Expiration — Set an end date for access
8. Click Send Invite
9. The provider receives a limited-access login
10. They can only view payroll-relevant documents (not contracts or IDs)

Step 6: Run Compliance Reports¶

Document Expiration Report¶

1. Go to Compliance → Reports → Document Expiration
2. View:
3. Documents expiring in the next 30, 60, or 90 days
4. Filter by country, department, or document type
5. Export to CSV or PDF
6. Use this report for weekly compliance reviews

Missing Documents Report¶

1. Go to Compliance → Reports → Missing Documents
2. Identify:
3. Employees missing required documents
4. Documents not yet uploaded
5. Compliance risk level (high/medium/low)
6. Click Send Reminders to automatically notify employees and managers

Audit Summary Report¶

1. Go to Compliance → Reports → Audit Summary
2. View:
3. All document activity in a date range
4. Who viewed which documents and when
5. Uploads, edits, and deletions
6. Access attempts (including failed ones)

Real-Time Compliance Dashboard¶

The main Compliance tab shows:

Step 7: Use the Onboarding Checklist¶

Automate document collection for new hires:

How the Onboarding Workflow Works¶

1. HR creates a new employee profile (see Employee Management)
2. The system checks the employee’s country and generates a document checklist
3. The employee receives an email with a link to upload required documents
4. The employee uploads documents through the mobile app or web portal
5. HR reviews and approves each document
6. Once all required documents are approved, the employee is marked as Compliant

Configure Onboarding Checklists¶

1. Go to Settings → Compliance → Onboarding Checklists
2. For each country, configure required documents:

Example — Costa Rica: - [x] Employment Contract (signed) - [x] National ID (cédula) - [x] W-4 Tax Form (local equivalent) - [x] Bank Account Details - [x] Emergency Contact Form

Example — Mexico: - [x] Employment Contract (signed) - [x] CURP (tax ID) - [x] RFC (tax registration) - [x] IMSS Registration - [x] Bank Account Details - [x] Proof of Address

1. Mark documents as Required or Optional
2. Click Save

Block Payroll for Non-Compliant Employees (Optional)¶

1. Go to Settings → Compliance → Payroll Gating
2. Toggle Block Payroll Processing
3. When enabled, employees marked “Non-Compliant” are excluded from payroll runs
4. A warning appears during payroll run creation listing non-compliant employees

Best Practices¶

Document Management¶

• Standardize file names — Use a consistent format: EmployeeName_DocumentType_Date.pdf
• Set expiration dates — Always set them when uploading; reminders won’t work without them
• Replace, don’t delete — Upload a new version and mark the old one as replaced (preserves audit trail)
• Use categories consistently — Proper categorization makes filtering and reporting accurate

Compliance Cadence¶

• Weekly — Check the Compliance Dashboard for expired/missing documents
• Monthly — Run the Document Expiration Report and send reminders
• Quarterly — Full compliance audit, review all employee documentation
• Annually — Re-verify all documents, update expired ones

Security¶

• Review access permissions quarterly — Ensure only the right people have access
• Remove access for terminated employees immediately — Part of offboarding
• Audit external provider access — Verify payroll providers still need access
• Enable 2FA for all admin accounts — Extra layer of security

What’s Next?¶

• Learn how to Manage Employees, Bonuses & Deductions
• Review the Local Compliance reference documentation
• Learn about Time Tracking and Attendance

Need Help?¶

• Documentation: docs.4geeks.io/en/payroll
• Support: Available through the console dashboard
• Get Started: console.4geeks.io/payroll

Still questions? Ask on Discord or explore tutorials