DOL Intervention cont (#3)
Today’s executive advantage moment will discuss what takes place at the investigation and common employer errors. As a quick refresher here is the kind of information the investigators will look for.
- Names, addresses and telephone numbers of all business owners and company officers, such as the president, treasurer, secretary, board of directors and other corporate officers, along with a company organizational chart.
- The legal name of the company and all other names used by the company (for example, “doing business as” names).
- Records showing the company’s gross annual dollar volume of sales for the past three years.
- A list of all employees with their addresses, hourly rate or salary, job titles, shifts and whether the employer considers each employee exempt from overtime.
- Payroll and time records for the past two years, including a copy of the most recently completed payroll.
- Birth dates for all employees under age 18 who worked during the previous 24 months.
- 1099 forms and contract documents with any subcontractors at the establishment.
- The employer’s federal employer identification number.
- The names and telephone numbers of all subcontractors and subcontracted workers on the project.
The Initial Meeting
- The investigator will present his/her credentials and conduct an opening meeting in which the investigator will meet with you and explain the purpose and plans for the investigation.
- He/she will inform you of what documents he/she will want to review, and
- If he/she plans to interview any of your employees. (If interviews are planned, ask to have a company representative sit in on the interviews.)
It might be a good idea at this time to try and find out what the investigator’s concerns are so that it might be possible to limit the scope and nature of the investigation.
Try as best as possible to be cooperative, but do not offer any information not requested. Whatever you do, don’t panic.
The investigator will review any findings and seek agreement to be cooperative in making restitution (if any) and to seek future compliance.
- Not being prepared
- Not obtaining professional help in preparing
- Being defensive
- Not following the law in the first place
executive advantage provides expert human resources management assistance. We are experts in helping employers to be prepared for the possibility of an unannounced visit from the DOL.