Employee benefit plan audits are complex, especially under ERISA Section 103(a)(3)(C) requirements. For plans with 100 or more eligible participants, a well-prepared audit can mean the difference between on-time filings and costly delays. Duffy Kruspodin’s checklist breaks down each audit phase with clear documentation goals to help HR, payroll, and finance leaders stay ahead of the process.
From pre-audit planning to year-end reporting, this checklist helps you gather the right documents, reduce follow-up requests, and improve communication with your auditors. With guidance across internal controls, transactional testing, and compliance confirmations, plan sponsors can move through audits with less disruption and more confidence. Start preparing early and work with a team that knows what regulators expect.
Download the ERISA Audit Checklist
Brought to you by: Duffy Kruspodin, LLP