DOL Audits of Employer Group Health Plans on the Rise

Preparing for Audits of Compliance with PPACA, GINA, HIPAA, COBRA, Wellness Programs and More

Recording of a 90-minute premium CLE webinar with Q&A

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Conducted on Thursday, May 23, 2013

Recorded event now available

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Course Materials

This CLE course will prepare benefits counsel with new information and documentation in the DOL’s revised audit letter to effectively advise employers on PPACA compliance. The panel will also review compliance with GINA, MHPAA, HIPAA, COBRA and wellness program requirements and offer best practices to prepare for a DOL audit.


The DOL recently updated its audit procedures to include information and documentation regarding PPACA compliance, particularly information about the plan’s grandfather status, lifetime and annual limits, adult children coverage, and other specific plan requirements.

As DOL audits increase, more employers are now receiving DOL audit notices. The DOL’s revised audit letter serves as a road map for the information the agency will seek in an audit.

Counsel to employers should review benefits plans carefully in anticipation of a potential audit, looking not only at PPACA compliance but also compliance with GINA, HIPAA, MHPAEA, COBRA and mandates concerning employer-sponsored wellness programs.

Listen as our authoritative panel of attorneys guides you through the revised DOL healthcare plan audit protocols and the new information and documentation required to audit PPACA compliance and document retention. The panel will discuss best practices to prepare for a DOL audit that includes compliance with other federal laws such as GINA, MHPAEA, HIPAA, COBRA and wellness program requirements.



  1. Overview of revised DOL audit letter—information and documentation being requested
  2. Compliance with the PPACA
  3. Compliance with other healthcare laws
    1. Mental Health Parity and Addiction Equity Act
    2. Health Insurance Portability and Accountability Act
    3. Newborns’ and Mothers’ Health Protection Act
    4. Women’s Health and Cancer Rights Act
    5. COBRA
    6. Wellness programs


The panel will review these and other key questions:

  • How has the DOL expanded the scope of its healthcare plan audit letters in light of PPACA requirements?
  • What documents should employers be expected to produce in response to an audit letter?
  • How does the attorney-client privilege apply to advice and consultation afforded a plan in reviewing plan compliance and during a DOL audit?

Following the speaker presentations, you'll have an opportunity to get answers to your specific questions during the interactive Q&A.


Amy M. Gordon
Amy M. Gordon

McDermott Will & Emery

She focuses her practice on the areas of welfare benefits, including self-funded and insured health plans. She assists...  |  Read More

Joanna C. Kerpen
Joanna C. Kerpen

McDermott Will & Emery

Mrs. Kerpen focuses her practice on a variety of employee benefits tax and ERISA matters related to 401(k) plans,...  |  Read More

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