DOL Audit Dallas TX: Your DOL Audit Questions Answered

DOL Audit Dallas TXIf you are a business owner, you may, at any time, face the possibility of a DOL audit Dallas TX.  Once you receive a notice from the U.S. Department of Labor (DOL) that your business is going to be audited, it is imperative that you deal with the preparations for the audit, and the audit itself, in an expedient and professional manner.  In fact, ignoring a DOL audit or not preparing for one can be catastrophic, which is why it is in your best interest that you retain expert legal counsel to help you through the audit process and to answer the questions you may have about your audit.

What Is A DOL Audit Dallas TX?

The Department of Labor is responsible for occupational safety, wage and hour standards, unemployment insurance benefits, re-employment services, workplace safety and more. It routinely conducts audits to ensure that employers are complying with current U.S federal labor laws and regulations.  According to the DOL, the “purpose of an audit is not to rehash past mistakes but to look at past events with a view toward improving future performance.  Findings from an audit can be used as a basis for adjusting policies, priorities, structure or procedures in order to make operations as efficient, economical and effective as possible.”

Employment Law Attorney Dallas TX:  Why Am I Being Audited?

There are generally three reasons for an audit:  employee complaints, Form 5500 issues and random chance.  Employee complaints can include job descriptions not accurately reflecting the work being done and non-payment of of the federal minimum wage, among other things.  Form 5500 issues that can trigger an audit generally involve minor mistakes like failing to completely answer multi-part questions and not attaching all required schedules and attachments before filing.  Random audits are just that — audits that are not based on complaints but that are randomly-generated by the DOL’s random auditing authority.

Employment Law Dallas TX:  How Can I Prepare For An Audit?

Contact the auditor to find out what the focus of the investigation is going to be, designate one or more employees (or legal counsel) to work with the auditor, and gather any records you’ll need in accordance with guidance provided by the auditor.   If you haven’t been notified of an audit, you should assume that it will happen at some point.  Prepare for the possibility of an audit by being proactive and conducting a self-audit to make sure you are in compliance with labor laws and regulations.  You must also take the time to handle any employee complaints before they become a matter for the DOL.

Employment Law Dallas TX:  What Is The DOL Audit Process?

After notification, auditors will hold an entrance conference to inform you of the scope and objectives of the audit and to give you a time frame for completion of the audit.  When the audit begins, the auditor will conduct a comprehensive review of selected areas of a program, activity or function, interview staff and review and analyze relevant information, among other things.  At the end of the process, you will be given preliminary results at an exit conference.  After the auditor leaves, he will issue a draft report, which you can respond to, and then a final report.

If you are facing a DOL Audit Dallas TX or you need legal advice and help that can ensure any future audits result in favorable reports for you and your company, call Simon | Paschal PLLC at (972) 893-9340.  You can also visit us online at to learn more about our practice and our attorneys.

[osky-citation keyword=”DOL Audit Dallas TX”]Photo Credit: AndreyPopov

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