DOL Health & Welfare Plan Audit Response and Protection: Reducing Risk Exposure to Avoid Costly Penalties
Recording of a 110-minute CPE webinar with Q&A
This webinar will provide employee benefits accounting and tax professionals with a thorough and practical guide to preparing responses for a Department of Labor (DOL) investigative audit of a company’s health and welfare plan. The panel will discuss required documentation and procedures for submittal to the Department in response to audit correspondence, and will offer useful tools to help make your firm’s health and other benefit plans “audit-ready.”
Outline
- DOL health and welfare audit correspondence process
- Typical documentation requested in DOL correspondence
- Making plans audit ready
- Penalties and fines
Benefits
The panel will discuss these and other important topics:
- What documents will an employer be required to provide in a DOL audit investigation?
- What are the triggers for a DOL audit?
- What are the first steps an employee benefits professional should take upon receiving a DOL audit letter?
- What key provisions should employee benefits advisers monitor regularly and review prior to responding to a DOL audit notification?
Faculty
Erin A. Kartheiser
Partner
McDermott Will & Emery
Ms. Kartheiser represents numerous large corporations, both public and private, in connection with their full... | Read More
Ms. Kartheiser represents numerous large corporations, both public and private, in connection with their full range of employee benefit matters, including retirement plans, health and welfare benefits, fiduciary guidance, employee benefit-related tax and securities issues, executive compensation and ERISA litigation. She also has extensive experience representing employers in the negotiation of trustee, third party administrator, recordkeeper and other outside vendor agreements.
CloseJoanna C. Kerpen
Partner
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
Mrs. Kerpen focuses her practice on a variety of employee benefits tax and ERISA matters related to 401(k) plans, pension plans, health and welfare plans, and executive compensation plans, including designing, amending and administering such plans. She has extensive experience with PPACA compliance as with HIPAA and various other federal and state laws relevant to health and welfare plans.
CloseSarah G. Raaii
McDermott Will & Emery
Ms. Raaii focuses her practice on employee benefits matters. She previously worked with in-house attorneys... | Read More
Ms. Raaii focuses her practice on employee benefits matters. She previously worked with in-house attorneys and federal and state lobbyists at an international financial services corporation. When she was selected as a National Economic Council legal intern at the White House, she worked on benefits regulation and policy.
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