This is what a DOL Review begins with.

Some of you may have been through a DOL review before so this will be old hat. Hopefully you have not been. If you have not it may just be a matter of time. The DOL is getting very, very active and they appear to be as interested in small companies as they are large. For those of you that think this is just a matter of having a chat with an investigator and telling them everything is hunky-dory* think again, this is what a DOL review begins with and you can tell from this it will be no walk in the park.*
You get a letter from an investigator telling you they plan on visiting you in about 4 days-time and here is what they want you to have ready for them in that timeframe:

  • The employer’s Federal Tax Identification Number(s); legal name (“dba”, etc.); creation date of entity(-ies), main office/branch locations, owner(s), names/titles of officers, etc.;
  • The enterprise annual gross sales volume for the last three years;
  • Total number of employees at the above location(s) and companywide;
  • A copy of the company’s policy on FMLA and notification to employees;
  • A list of employee(s) 18 years of age and under, including the name and address, telephone number, date of birth, and job description and applicable work permits;
  • A copy of the most recent payroll registers;
  • All payroll records and time sheets for the last two years. (electronically is fine);
  • Former and current employee’s names, job descriptions and; organizational/hierarchical flowchart, with their address, pay rate and telephone number;
  • Time Punch/Edit report.

This is pretty easy to comply with if you are small, with a stable workforce and you are VERY organized. But outside of this there is a lot of work here with only four days’ notice, especially if you are and organization that has a lot of turnover. That is a lot of former employees to keep up with. You can ask for an extension but they only have to give you 72 extra hours.
That is what the review starts with, if you think you could not produce this stuff in 4 days you may want to do yourself a favor and work on it now.

  • Understand where you would find this information.
  • Have a file put together with some of this information, ready to go
  • Review whether you system can produce what is needed
  • Keep a running record of former employees, probably on a spreadsheet

Once they walk in the door they may be looking for more, after all they are there to find errors, and trust me they will, but at least if you are prepared you may lessen the pain.
Am I missing anything?
You can read more about this subject at :
A VERY EXPENSIVE Lesson in NOT Following the Rules
It Will Cost Me How Much? A Story of Misclassification and Improper Deductions
*These are American Idioms

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