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.