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What to do when the DOL comes knocking

A letter from the DOL announcing an audit of an employer's benefit plans can strike terror in the hearts of HR managers. Here's what to do, says an ERISA compliance expert.

By Rosalie L. Donlon | Updated on April 12, 2017
You can survive a DOL audit without panicking. (Photo: Shutterstock)

INDIANAPOLIS — Although we get most important communications via email in the 21st century, there are still many things that come via snail mail, and a letter from the U.S. Department of Labor (DOL) announcing an audit of an employer’s benefit plans is among them.

“Many employers panic when they get a letter from DOL, and wonder how they were selected,” said Evelyn King, J.D., vice president of compliance and operations, ERISA Pros LLC. She was speaking at the BenefitsPRO Broker Expo session “How to Survive a DOL Audit,” presented jointly with Erika Medina, ERISA counsel, USI Insurance Services.

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