How Can You Tell If A DOL Investigation Has Been Completed? (Posted June 15, 2001) Technical Tip 14: The following question and answer are from the DOL Q&A Session at the 2000 ASPPA Annual Conference: We have had clients who have had a DOL Audit where the field audit has been completed and we have not heard anything for a year. When can we assume the audit is complete and no action is to be taken? DOL Response: The completion of the field audit at the plan level does not always mean that the investigation is complete. Often an investigation will be conducted on other parties or entities connected to the plan. All investigations will have a closing letter sent indicating the conclusion of the investigation. There may be a few instances where the PWBA office determines that it is not advisable to send a closing letter, but such instances are rare. If no violations are found, a No Action closing letter is sent to the Plan Administrator at the conclusion of the investigation stating that the investigation is concluded and that the Department would not be taking any action. This closing letter is not sent by certified mail. If violations are found, a voluntary compliance letter is sent detailing the violations and asking for a response. A voluntary compliance letter is sent certified mail. There may also be instances where violations are found but the DOL decides that further action will not be taken at the time. In such instances, the violation would be cited but a statement will be included that the DOL will not be taking any action at that time. Investigations do take time to completed, whether violations are found or not. Sometimes other investigations take precedence resulting in a delay on other investigations. All investigations are reviewed by management before any official decision is made to cite the plan for violations or close the case. However, there is an attempt to conclude investigations as soon as possible. Finally, plans under investigations are encouraged to contact the DOL to find out the status of the investigation, although only a preliminary status will be released because the review process may not be complete. Also, since No Action closing letters are not sent certified mail, such letters could be lost in the mail, so it may be worthwhile to check with the investigator. Caveat: The answer was drafted by Fred Reish and Brad Huss, the program moderators, based on their understandings of discussions with four senior officials of the Pension and Welfare Benefits Administration (PWBA) of the U.S. DOL. As a result, it does not represent a formal or binding position statement by the PWBA. View all Tips © 2012 Reish Luftman Reicher & Cohen, a Professional Corporation Important notice: Answers are provided as general guidance on the subjects covered in the question and are not provided as legal advice to the questioner's situation. Any legal issues should be reviewed by your legal counsel to apply the law to the particular facts of your situation.