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DOL Audit Preparation Checklist

Ensure your organization is prepared for the possibility of a Department of Labor (DOL) audit. With our Audit Preparation Checklist, you’ll learn the essential pre-planning steps to ensure that you are properly prepared, including how to:

  • Organize and document evidence of your compliance efforts with a Fiduciary File
  • Create an action plan with roles and responsibilities
  • Establish an internal communications process that ensures privilege with your legal counsel
  • Develop a template for streamlined responses to potential audit questions

Employers who prepare now for an audit are well-positioned to avoid penalties and resume operations as quickly as possible. Start preparing now and avoid disruption later.

ACA Audit and Preparation