Preparing for the When (Not If) DOL Audit

Friday 9:15 AM – 10:15 AM

Room: Redbud C

Session Description

The last time the DOL’s Employee Benefits Security Administration (EBSA) stepped up its benefit plan audits was in 2012. Compared to the planned wave of upcoming DOL audits, 2012 will seem like a light shower.

Learning Objectives

In the past, DOL audits were random, often rising from complaints. However, the recent findings and looming ACA regulations changed priorities. DOL insiders caution that audits are a case of when – not if – and employers better be ready.
Of concern is a focus on smaller employers. Form 5500 filings apply to plans with 100 or more participants. Translation of complex regulations into the benefits language they understand.


Karen Vines

Karen’s 30 years of experience in the employee benefits arena includes, compliance, strategic planning, benefit analysis, plan design, and self-funding. Karen established herself as a leading adviser on PPACA through her development and leadership of a formal benefits compliance practice for a large regional brokerage firm. Using her extensive benefit knowledge, she helps employers focus on strategic business integration of regulatory guidance.

Karen is a certified PPACA specialist and was recognized by Business Insurance Magazine as a 2014 Women to Watch honoree and a 2015 Wichita Business Journal Women In Business honoree.