Employer Requirements

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Employer Responsibilities and Legal Requirements

As an Employer, you have many responsibilities and legal requirements. The government through the DOL, IRS, and other entities is aggressively targeting, auditing and penalizing companies of ALL sizes who fail to comply. The fines alone can cause financial hardship or bankruptcy, and in some cases, you or your personnel may have personal liability.


Company Employee Handbook – A Company’s handbook serves as a general guide in defining the employment relationship. Although it is not an employment contract, it provides terms and conditions of employment.

  • When was your company’s handbook revised to incorporate recent employment regulations?
  • Does your company handbook clearly and effectively communicate your Policies and Procedures? Are they properly enforced by all management?


FMLA – Family and Medical Leave Act (FMLA) was established for employers of 50 or more employees with leave entitlement while receiving job protections for related health conditions for a period.

  • Are you properly communicating FMLA employment entitlement under the law and administering the leave process efficiently without violating employee rights?
  • Is your company aware of and managing the leave process with state leave requirements?


Harassment – The most efficient employment protection against harassment liability claims is prevention. The burden of preventing a harassment claim falls on the employer. An effective harassment policy creates a defensible position.

  • Is your company’s harassment policy clearly communicating the company position regarding proper behavior?
  • When was the last time your employees were trained regarding proper record keeping – which would reduce company liability should an incident occur?


ERISA – The Employee Retirement Income Security Act (ERISA) is a federal law that establishes the standards of Pension and Health & Welfare plans, fiduciary administrative responsibilities and determines the rights of Plan participants. It also provides information to all affected parties regarding the criteria for enforcement and violations.

  • Do you know who your plan fiduciary is?
  • Are all fiduciary responsibilities being met – would you be able to successfully complete an audit?!


HIPAA – The Health Insurance Portability and Accountability Act (HIPAA) provides rights and protections for participants and beneficiaries in health plans, including enforcing the manner in which PHI is used and disclosed.

  • Does your company HIPAA Manual incorporate the most recent requirements expanding and enforcing entity/business associate responsibility? Are you ready to address a PHI violation should there be a breach?
  • Who is your company’s PHI Privacy / Security Officer?
  • Are you ready for an HIPAA Audit (DOL/HHS/IRS/EBSA)?


Give AIS, Inc. a call today for any questions or concerns you may have about health care and your benefits. To receive information on how to obtain an original customized solution contact us today (800) 523-8351.