Your Compliance Edge

DOL Audits: Prevention & Preparation

U.S. Department of Labor (DOL) audits of welfare benefit plans are happening with greater frequency to every size company. Reasons for a DOL audit include:

  • Complaints by welfare benefits plan participants to the Employee Benefits Security Administration (EBSA), the DOL agency responsible for administering and enforcing the provisions of Title I of the Employee Retirement Income Security Act of 1974 (ERISA).
  • Inaccurate or late filings of the Form 5500 Annual Report
  • National enforcement initiatives investigating compliance with ERISA and the Affordable Care Act (ACA)
  • Transfer of cases from the IRS to the DOL
  • Random selection

This section covers the following topics to help you prevent, and be prepared for, a DOL audit:

  • How To Lower the Risk of a DOL Audit
  • DOL Health Plan Audit Document Request Checklist


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