ERISA Audits: What We All Knew But Forgot

Webinar: ID# 1028834
Recorded CD or On-Demand
About This Course:
With the ever-changing landscape for employee benefit plans, it becomes easier and easier for an employer to fall out of compliance and risk exposure. Many employers mistakenly rely exclusively on their brokers and service providers to keep them legally compliant with growing complex regulations.

When the Department of Labor or IRS comes knocking and looking to examine the benefits being offered to employees, it is important for an employer to be knowledgeable and ready.

Join Rebecca Dobbs Bush for this webinar as she prepares employers how to be audit-ready. You will learn how to discuss the goals and purpose of a DOL audit, describe the stages of an audit, review requested documents, and recognize what is being looked for. Rebecca will cover key concepts involved in employee benefit plans and the DOL Audit process.


Goals and Purpose of a DOL Audit
Answering the Door/Phone
  • Who Should Answer
  • How to Handle Initial Contact
  • Why You Are Being Contacted
Stages of an Audit
  • Desk Audit
  • Interviews
  • No-Action Letters
  • Management Review
Documents Requested
  • Typical Requests for Pension Plans
  • DOL Requests
  • IRS Requests
  • Typical Requests for Welfare Plans
What They Are Looking for
  • Common Issues for Pension Plans
  • Common Issues for Welfare Plans
Common Mistakes About The Presenter

Rebecca L. Dobbs Bush
  • Of Counsel with SmithAmundsen LLC
  • Selected to the Illinois Super Lawyers list of “Rising Stars” for 2013, 2014, 2015, 2016, 2017
  • Practice emphasizes all aspects of Employee Benefits & Compensation; Employment Law; Government Regulation, Audit and Compliance; Staffing Agency, Independent Contractor & Contingent Workforce; Unfair Competition Counseling and Litigation; and Wage & Hour
  • Conducts regular seminars and webinars on numerous employment and labor law topics, including employment contracts, health care reform, employee medical issues, Affordable Care Act, Department of Labor Benefits, audit and compliance, and more.
  • Author of several publications related to the areas of employment law, including SmithAmundsen's Labor & Employment Law Update, a labor and employment advisory blog; Illinois Chamber of Commerce's Chamber Dispatch, an HR advisory blog; and contributing author of the Illinois Employment Law Handbook (Illinois Chamber's most comprehensive publication and reference guide for employers in complying with Illinois and federal labor and employment law)
  • Member of American Bar Association; Kane County Bar Association; Illinois State Bar Association; Illinois Association of Defense Trial Counsel; Wisconsin State Bar Association; National Society of Human Resource Management; Prairie du Chien Chamber of Commerce; American Benefits Council
  • J.D. degree, magna cum laude, Northern Illinois University College of Law; B.S. degree, Northern Illinois University
ERISA Audits: What We All Knew But Forgot
Available on CD or On-Demand formats
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