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Harassment prevention

Instead of sexual harassment polices, Nicholson recommends turning the focus — and policy title — explicitly to prevention. She adds that training managers and employees on company policy and expectations is critical.
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Subpoena processing

By planning how to handle this delicate process ahead of time, Nicholson says, employers can ensure this procedure won’t fall through the cracks, which could leave them open to even bigger problems.
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Internal controls

"This is a very important and often overlooked area,” says Nicholson. “I would strongly encourage you look into internal controls. Especially as we become more reliant on technology, there are more loopholes.” In addition to identifying what an employer monitors and how frequently, she advises employers to invite external hackers to search for holes in the system.
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Delinquent contributions

As part of these policies, Nicholson emphasizes employers should provide disclosure or reporting to all relevant parties, such as trustees.
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Whistleblower policies


Employers are getting increased calls about overbilling, ineligible plan dependents and other claims of provider and/or participant wrongdoing. A whistleblower line or policy, Nicholson says, will make it easier for employers to catch and rectify inconsistencies.
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