The Employee Plans Compliance Unit (EPCU) will begin audits of pre-approved plans and adopting employers. If your document is a 'prototyp' or 'volume submitter', then you have a pre-approved plan (this applies to the majority of our clients).

The audits are being performed to determine whether a plan is in compliance with regard to plan operation and plan documentation.

The EPCU will rely on mass mailing of questionnaires. Please treat any letter from the EPCU with the same diligence as a regular audit request. Should you receive such a questionnaire, please forward immediately to our office so that we can assist you in providing a prompt response.