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DOL Health and Welfare Plan Audit Response and Protection: Reducing Risk Exposure to Avoid Costly Penalties

Recording of a 110-minute CPE video webinar with Q&A

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This program is included with the Strafford CPE+ Pass. Click for more information.
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Conducted on Tuesday, February 15, 2022

Recorded event now available

or call 1-800-926-7926

This course 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 DOL in response to audit correspondence. The panel will offer valuable tools to help make your firm's health and other benefit plans audit-ready.


The DOL substantially increased the number of ERISA health and welfare plan audits of plans of all sizes. The increased investigation activity presents a heightened compliance burden on plans and plan sponsors, and employee benefits advisers must be proactive in ensuring their firms are audit-ready.

DOL audits subject plans to burdensome documentation demands, intrusive investigations, and disruptive on-site inspections. DOL audit letters typically seek health and benefits plan documentation compliant with the ACA, MHPAEA, HIPAA, COBRA, and other ERISA requirements. DOL audits can also attract IRS scrutiny.

Penalties due to deficiencies discovered in DOL audits can be steep, and many accumulate daily. For 2021, the penalty for a late-filed Form 5500 is $2,269 per day late. Employee benefits accountants and advisers must evaluate and anticipate audit risks and preemptively remedy potential defects to avoid painful and expensive assessments.

Listen as our experienced panel provides a practical guide to proactively managing the document process to respond to a DOL health and welfare plan audit effectively.



  1. DOL health and welfare audit correspondence process
  2. Typical documentation requested in DOL correspondence
  3. Making plans audit-ready
  4. Penalties and fines
  5. Cybersecurity requests in DOL audits


The panel will discuss these and other important topics:

  • What documents will a plan 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 before responding to a DOL audit notification?


Barrow, Kathleen
Kathleen R. Barrow

Fox Rothschild

Ms. Barrow has nearly three decades of experience helping employers correct tax and fiduciary issues with payroll,...  |  Read More

Nham, Mayoung
Mayoung Nham

Slevin & Hart

Ms. Nham has been working with defined benefit and defined contribution pension plans, health and welfare plans, and...  |  Read More

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