Surviving the Audit: Best Practices


At any given time, your organization may be selected for a U.S. Department of Labor audit (civil investigation) to ensure that your employee benefit plans are in compliance.  Though this may be a trying process, it does not need to be if you follow some best practices.

–  Treat the investigation as a major priority and the investigator with the utmost respect.

–  Consult with your legal counsel.

–  Keep your senior management up to date on the progress of the investigation.

–  Obtain as much information from the EBSA investigator about the investigation as possible.

–  Arrange a time to deliver the documentation that allows you enough time to gather all the requested documents while accommodating their schedule.

–  Consult with your retirement service providers to ensure they will be involved in correcting any noncompliance issues.

–  Gather materials for an onsite investigation in an orderly fashion and have them ready for the investigator when they arrive.

–  Have legal counsel work with interviewees to understand purpose and scope of investigation.

–  If you have a violation, learn about the violation as much as possible and discuss violations with legal counsel before the voluntary compliance letter arrives.

–  If you determine that you will make changes to the alleged violations, have your legal counsel work with the DOL to ensure that there is an understanding of exactly what needs to be changed.

–  Cooperate with the DOL to resolve the matter as quickly as possible.

AUI has additional tools and resources to help you prepare yourself for the DOL.  If you would like more information, please contact us today!

Disclaimer: The intent of this analysis is to provide general information regarding the provisions of current healthcare reform legislation and regulation.  It does not necessarily fully address all your organization’s specific issues.  It should not be construed as, nor is it intended to provide, legal advice.  Your organization’s general counsel or an attorney who specializes in this practice area should address questions regarding specific issues.

We do more than cover small businesses and individuals with the right insurance policies and benefit plans – what motivates our team is helping you save more so you can invest more in your team, family, and goals.

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