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Compliance Checklist Conference Call

Sometimes all an employer needs is time to ask questions of health and welfare compliance experts. Using our conference call option, you can bring a compliance expert to the table for a conversational review of your benefit programs. Our experienced compliance professionals will walk through a comprehensive checklist covering dozens of key compliance checkpoints to help you determine whether your program is compliant and where action needs to be taken to close gaps and clarify inconsistencies. During the call, you’ll also have the opportunity to ask questions, review areas of concern or confusion, and have our team provide strategic guidance and recommendations to help you stay compliant. Some focused time on the phone with us may be just what is needed to gain the peace of mind that you are on the right track.

The Compliance Checklist Conference Call is an ideal solution for employers with specific questions or areas of concern who would like to speak directly with a compliance expert to gain needed clarity, as well as diagnose the compliance status of their employee benefits program. Following the call, our findings and recommendations are outlined in a written summary that is typically one to two pages in length. The call works well as a stand-alone service, and we have found it to be an ideal follow-up to the Document Checkup. Combining both services provides a broad and multi-faceted diagnosis of the employer’s compliance needs. More importantly, these services present an ideal opportunity to develop an action plan for achieving and maintaining compliance with applicable federal regulations.

Compliance Checklist Points of Focus

First, one of our compliance specialists walks through a compliance checklist covering all aspects of health and welfare compliance to confirm that the employer is in compliance and/or identify areas of concern or non-compliance. The checklist covers the following categories:

• Analysis of the employee count, type of business, etc. in view of various regulatory requirements and potential exemptions
• Inventory of Health & Welfare plans and relevant compliance obligations
• Eligibility
• Voluntary Benefits
• Tax-Advantaged Benefits
• Wellness Programs
• Inventory of Plan Documentation
• Inventory of Required Notices
• Evaluation of Compliance Practices (Nondiscrimination Testing, Form 5500, Distribution of SPD, etc.)
• ERISA Compliance
• HIPAA Compliance
• COBRA Compliance
• FMLA Compliance
• ACA Compliance

Following, the compliance specialist conducts an Interactive Q&A to ensure that the client’s questions are answered, and all areas of concern are addressed.