United Benefit Advisors Insight and Analysis Blog

What the DOL Wants During an Audit

Posted by: Bill Olson    Apr 21, 2016 10:00:00 AM

UBA Department of Labor Audit white paperNo two Department of Labor (DOL) audits are the same, yet there are typical questions asked and documents requested. See our recent blog on the Seven Common Mistakes That Could Trigger a DOL Audit. If you are audited, it’s recommended that questions received be sorted and color-coded based on what the question references (for example, third-party administrator, client answered, etc.). In addition, keep a log of each request and the document(s) provided in response to that request. A separate file folder for each request will help organize that task. Luckily, the DOL seems to be very receptive to an organization’s preparedness. It certainly makes the auditor’s job easier when a company has everything already in place and doesn’t require time to gather it all.

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Topics: Department of Labor, health plan compliance, Don't Roll the Dice on Department of Labor Audits, compliance documents, DOL audit

Seven Common Mistakes That Could Trigger a DOL Audit

Posted by: Bill Olson    Apr 19, 2016 10:00:00 AM

UBA Department of Labor Audit white paperNot many things incite more fear than receiving a notice that you’re about to have an audit, especially from the Department of Labor (DOL). The DOL is a cabinet-level department of the U.S. federal government responsible for occupational safety, wage and hour standards, unemployment insurance benefits, re-employment services, and some economic statistics. It is headed by the U.S. Secretary of Labor.

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Topics: Department of Labor, Don't Roll the Dice on Department of Labor Audits, DOL audit, UBA white paper