DOL Audits


Department of Labor Audits

DOL audits are increasing--and every company with an ERISA-covered plan, regardless of size, is subject to an audit. 

Download APFS Rochester's Audit Document Checklist the must-have tool every company needs to help prevent and prepare for an audit. The DOL Audit Document Checklist provides a convenient summary of documents that are typically requested during a DOL audit, including:                                                     

  • How the Plan Works--such as SPDs and Plan Documents, including amendments
  • Administrative--such as insurance billing invoices and records of payroll deductions for employee premiums
  • Health Care Reform--such as SBCs and Health Insurance Exchange Notices
  • HIPAA--such as plan eligibility rules and sample Certificates of Creditable Coverage
  • Other Health Insurance Related Laws--such as COBRA notices and Newborns' Act notice

Special Tip:

For easy retrieval, organize all the documents included in the checklist in a binder that is indexed and organized by year, it can help you sail through an audit AND stay in compliance with ERISA-required notices--be sure to download today.