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ERISA DOL Investigative Worksheet
 
 
Developed by a Former DOL Senior Investigator, the ERISA DOL Investigative Worksheet will help you gain an understanding on your level of compliance as it pertains to a DOL Investigation of your ERISA covered retirement plan. This worksheet and tool is meant to duplicate a DOL Investigator interview of a plan sponsor or fiduciary. Answer the questions below to determine your compliance score.
 
 
 
Step 1) Download Worksheet >>
 
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Step 2) Complete Worksheet
 
 
 
Step 3) Get Your Investigative Analysis Score

Investigative Score

The Investigative Analysis Score is a proprietary score that is used to determine the effectiveness a fiduciary’s current plan management program. The score is based on numerous factors including, but not limited to, common violations of ERISA as well as potential issues that may arise from a poor management program. 

Info@fiduciaryeducation.com - www.fiduciaryeducation.com - 2017 
 These questions were developed in conjunction with former DOL Senior Investigator, David Donaldson owner and manager of ERISA Smart.  This information is not meant as specific advice or guidance for your retirement plan. ERISA SMART, Inc.  X Growth Solutions, LLC are not fiduciaries in any capacity. The ERISA SMART Investigative Analysis report provides general information and opinions. Seek advice from professionals for specific information that pertains to your situation.