compliance UPDATES


At Filice, we serve as a trusted partner to clients by providing proactive solutions to further overall business growth and development.  A vital component of that support is Filice’s in-house Compliance Team.

The Compliance Team is comprised of various industry experts who provide valued HR support services and benefit plan compliance consultation to clients of all sizes and across diverse industries.  Through personalized, tailored strategies, the Team prepares clients to successfully meet their obligations under ever-changing State and federal regulations.  While each client has direct, daily access to the Team professionals for one-on-one guidance, the Compliance Team produces comprehensive materials to supplement its extensive support.  From annual seminars and bi-monthly webinar presentations, to timely legislative briefs and compliance toolkits, Filice is an employer’s strongest compliance ally.

Take a look at some of Filice’s compliance materials to see what sets us apart.  Browse the library or download one of our custom toolkits, and be sure not to miss our next complimentary event.

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ERISA Gap Assessment

The Employee Retirement Income Security Act of 1974 (ERISA) is federal law that regulates employer-sponsored health and welfare plans. Plans of all sizes are subject to ERISA regulation, including both fully-insured and self-funded plans. To ensure group health plan compliance, the Department of Labor and the IRS are tasked with enforcing ERISA and its related laws such as HIPAA, COBRA, and now the ACA.

Sponsors of noncompliant group health plans run the risk of various civil – even criminal – penalties assessed by the DOL and IRS, but it doesn’t take an agency investigation to trigger problems. Plan participants and employees can submit complaints directly to the federal agencies or bring a private lawsuit that will expose compliance gaps.

Despite the complexity of these laws, employers can take steps to prevent the costly consequences of noncompliance. An ERISA gap assessment can serve as a plan sponsor’s first line of defense by identifying areas of weakness and addressing vulnerabilities.

Download our ERISA Gap Assessment booklet

Download our ERISA Gap Assessment booklet and get access to a breakdown of a thorough assessment into five approachable phases, step-by-step guidance, and tips to ensure continued compliance. Don’t let the compliance cracks in your group health plan cost you!

Preparing For A DOL Audit

The U.S. Department of Labor (DOL) is tasked with enforcing group health plan compliance with ERISA and related federal regulations, including HIPAA, COBRA, and now the Affordable Care Act (ACA). Annually, the DOL closes thousands of civil and criminal investigations and collects over $1 billion through enforcement and correction actions. The DOL announced that it intends to dramatically increase these numbers each year as it pays heightened attention to compliance with ACA.

The continued increase in DOL audits of group health plans means that plans of all sizes will face mounting scrutiny. While there is no way to eliminate a plan’s chances of being randomly select for audit, plan sponsors can act to ensure preparedness.

A DOL audit entails extensive document collection, continued communication with the investigators, and oftentimes detailed corrective action. The process can take months and can easily exhaust an employer’s resources, which is why advance preparation is essential.

Download our guide to Preparing for a DOL Audit

Download our guide to Preparing for a DOL Audit to get information on the process of an audit from start to finish, tips on how to efficiently navigate the process, and a checklist of commonly requested documents.