DOL Field Auditor with Potential Conflict of Interest

[Guest cc1898]

I am looking for information on how to respond to the assignment of a field auditor to examine an employee benefit plan that the auditor was previously employed with. Is anyone aware of how the plan can properly object to this auditor being assigned to this particular plan? I have not received a response from the Office of Government Ethics or the DOL as of yet.

[Peanut Butter Man]

Have you made a written request to the auditor's immediate manager which identifies the conflict and requests a different auditor to be assigned?

[Guest cc1898]

Have you made a written request to the auditor's immediate manager which identifies the conflict and requests a different auditor to be assigned?

Nothing has been done yet. The auditor might be taking the position that there is no conflict of interest with support from the manager, but I cannot confirm that.

Before anything is done, I would like to have a rule or regulation to support our position. Unfortunately, the information I've found on the Office of Government Ethics website wasn't as helpful as I had hoped it to be.

[JanetM]

Was this person fired? If so they would have prejudice against employer. If they left voluntarily you may not have any basis for reassignment. If you have some grounds to show past history of bad blood you could contact the office of the ombudsman at the DOL.

[SoCalActuary]

Beyond the issue of prejudice, you also have the issue of confidentiality. If the person had internal knowledge of controversial decisions, or past personal relationships with any persons involved with the plans, there are extra issues that should not be part of the audit. Just My Opinion.