DOL Audits of Employer Health Plans: Preparing for Increased ACA and Mental Health Parity Act Audits

Responding to Audit Letters, Navigating DOL Investigations, Avoiding HHS and IRS Scrutiny

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

Conducted on Thursday, November 19, 2015

Recorded event now available

or call 1-800-926-7926
Program Materials

This CLE webinar will prepare benefits counsel to face the rise in DOL audits targeting employer health and welfare plan compliance with new Affordable Care Act (ACA) and Mental Health Parity and Addiction Equity Act (MHPAEA) requirements. The panel will discuss common triggers for DOL audits, compliance strategies for avoiding DOL scrutiny, responding to audit letters, and preparing for and navigating investigations.


DOL audits of employer health and welfare plans are increasing now that mandates and requirements of the ACA and the MHPAEA are fully effective. Enforcement of the ACA and MHPAEA spans federal and state governments and three federal agencies—the DOL, HHS and the IRS, a complex scheme that presents many traps for the unwary.

DOL audits can be disruptive, subjecting employers to burdensome documentation demands and intrusive investigations and on-site inspections. DOL audit letters typically seek documentation of health plan compliance with not only the ACA and MHPAEA, but also HIPAA, COBRA and other ERISA requirements. DOL audits can also attract HHS and IRS scrutiny, heightening risk to employers.

Counsel to employers should be proactive and review health and welfare plans carefully in anticipation of a potential audit, to ensure compliance with new ACA and MHPAEA requirements as well as continuing HIPAA, COBRA, GINA and ERISA obligations. Counsel should prepare plan sponsors to respond to a DOL inquiry with claims data to verify compliance in health and welfare plan operations and administration.

Listen as our authoritative panel of benefits attorneys offers guidance for helping employers prepare for DOL health plan audits. The panel will outline the information and documentation required to show ACA and MHPAEA compliance and discuss best practices for responding to audit letters and complying with other federal laws such as GINA, MHPAEA, HIPAA, COBRA and wellness program requirements.



  1. Overview of DOL audit procedures
  2. Compliance with the ACA
  3. Compliance with MHPAEA
  4. IRS and HHS considerations
  5. HIPAA, COBRA and other compliance


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 ACA and MHPAEA 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?


Lisa A. Christensen
Lisa A. Christensen

Senior Counsel
Bond Schoeneck & King

Ms. Christensen concentrates her practice in health and welfare benefit plan administration and compliance. Along...  |  Read More

Temme, Ryan
Ryan C. Temme

Groom Law Group

Mr. Temme practices in the firm's Health and Welfare Practice Group, where he works on a variety of health law...  |  Read More

Gary A. Thayer
Gary A. Thayer

Of Counsel
Archer Byington Glennon & Levine

Mr. Thayer, a former Investigator for the U.S. DOL, Employee Benefits Security Administration, is counsel to...  |  Read More

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