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ChecklistCompliance & FiduciaryPDF6 pages

ERISA Plan Document Compliance Checklist

ERISA requires self-funded employers to maintain a written plan document, distribute a Summary Plan Description, issue Summaries of Material Modification, establish claims and appeals procedures, and meet fiduciary governance standards. This checklist walks through every requirement with specific deadlines and common compliance gaps.

Intended for

Self-Funded Plan Sponsors · HR and Benefits Leaders · Benefits Advisors

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Reviewed and updated for plan year 2026 ·

ERISAPlan DocumentsFiduciarySPD

PDF

ERISA Plan Document Compliance Checklist

PDF · 6 pages

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Source & Methodology

Based on ERISA §§102, 104, 503, and DOL final regulations. Updated for CAA 2021 and MHPAEA requirements.