Thoughts of DOL keeping you awake at night? What do you say to a DOL Auditor? Why should you even care?
Here are a few thoughts from DOL Why Should We Care?
- Employment law changes mean the previous HR knowledge and experience within your organization is often behind to meet current compliance requirements.
- Government educational and training sites indicate an intention to enforce infractions accompanied with stiff fines.
- Changes in laws & interpretation of laws plus the increase in auditors makes the ability to enforce possible.
- There’s been a steady increase in anonymous hotlines for reporting possible infractions across the board with enforcing agencies.
Now, what should you say to a DOL auditor?
First, as a rule of thumb, for most auditors (DOL, ICE, etc.) they must allow you at least 3 working days to pull together documents. (Be aware, that certain not for profit documents must be open for inspection upon immediate notice.) Second, you need to make certain the caller is really a legitimate auditor before opening up private files to him or her. So, practice saying, “I’m sorry. This isn’t a good time. Please give me a list of items you wish to review, and I’ll pull them together with assistance of HR. May we schedule a time for x,y,z?” Then call us.
Here’s where the rubber meets the road. Like Miracle Max in Princess Bride, it’s a bit easier to pull off a miracle with time. When the auditor comes knocking, you’ll be pulling up a truckload of documentation, including: three years of terminations and hirings, plus accompanying time cards, payroll sheets; I-9/eVerify records; 1099 list; supplementary documents, i.e. contracts, job descriptions, pay status changes; among others. If we’re to help you, we’d rather see those documents before the auditor comes calling so that we can correct your procedures (and some of the documentation, if allowable, and in accordance with appropriate standards). You could sign up for an upcoming symposium/training on DOL issues, or contact us for a conversation and cup of coffee.