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View More ALI CLE [American Law Institute Continuing Legal Education] Webcasts and Conferences

Navigating and Preparing for a DOL Audit: What Plan Sponsors Need to Know

ALI CLE [American Law Institute Continuing Legal Education]

Aug. 24, 2021
Recorded Online

It’s the gift that no plan sponsor wants to receive: a notice of an audit by the Department of Labor (DOL). While audits can be at random, they can also result from employee complaints or inaccuracies in a Form 5500. Because the plan sponsor is tasked with both keeping the plan in compliance and acting in the best interests of their participants, it is also the accountable party for responding to and handling the audit. What happens when the audit notice arrives? Are there triggers that could have helped you avoid the audit in the first place? How long will the investigation last? What kinds of penalties may be involved? Don’t miss this valuable opportunity for insights on these important issues and much more, and be ready if and when your client receives an audit notice.

What You Will Learn
In this 60 minute webcast, two experienced benefits practitioners, including a former DOL Division Chief, will dive into the critical elements of an audit and investigation.

Topics include:

  • The different types of audits and recent trends
    • Missing participants
    • Mental Health Parity and Addiction Equity Act (MHPAEA)
    • Cybersecurity
    • Health and welfare (generally)
    • HIPAA compliance
  • The process from the DOL side
  • The lifetime and possible timeline of the audit
  • When and why an audit gets opened
  • How you and your client or company can prepare for an audit
  • Penalties, closing agreements, tolling letters, and other final steps as the audit closes

Questions submitted during the program will be answered live by the faculty. All registrants will receive a set of downloadable course materials to accompany the program.


  • Susan E. Rees, Of Counsel, Wagner Law Group
  • Vivian Hunter Turner, Principal, Co-Chair Women's Initiative, Groom Law Group, Chartered

More Information, How to Register

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