DOL WAGE AND HOUR DIVISION AUDIT RESPONSE LETTER

EMPLOYER INFORMATION

Company Name: [________________________________]

Employer Identification Number (EIN): [____]-[____]

Business Address:
[________________________________]
[________________________________]
City: [________________________________] State: [____] ZIP: [____]

Primary Contact Person: [________________________________]

Title: [________________________________]

Telephone: ([____]) [____]-[____]

Email: [________________________________]

Date of Response: [__/__/____]

INVESTIGATION INFORMATION

WHD Case Number: [________________________________]

Investigating Office: [________________________________]

Assigned Investigator: [________________________________]

Investigator Contact Information: [________________________________]

Date of Initial Contact/Initiation Letter: [__/__/____]

Period Under Investigation: [__/__/____] to [__/__/____]

Deadline for Document Production: [__/__/____]

RESPONSE LETTER

[__/__/____]

U.S. Department of Labor
Wage and Hour Division
[________________________________]
[________________________________]
[________________________________]

Re: Response to Investigation Initiation Letter
WHD Case Number: [________________________________]

Dear [________________________________]:

This letter is submitted on behalf of [________________________________] ("Company") in response to the Wage and Hour Division's investigation initiation letter dated [__/__/____]. We acknowledge receipt of the initiation letter and are committed to cooperating fully with the Department's investigation.

Company Background

[________________________________] is a [________________________________] (type of business) that has been in operation since [__/__/____]. The Company currently employs approximately [____] employees at [____] location(s).

NAICS Code: [________________________________]

Primary Business Activities: [________________________________]

Acknowledgment of Cooperation

The Company understands its obligations under Section 11(a) of the Fair Labor Standards Act, 29 U.S.C. § 211(a), and will make available for inspection and copying all records required to be maintained under 29 CFR Part 516.

Document Production

Enclosed with this response, please find the following documents for the period [__/__/____] to [__/__/____]:

☐ Payroll records for all employees
☐ Time and attendance records
☐ Employee personnel files (as requested)
☐ Job descriptions and classification determinations
☐ Wage rate schedules and pay policies
☐ Overtime policies and procedures
☐ Employee handbooks
☐ Collective bargaining agreements (if applicable)
☐ Independent contractor agreements (if applicable)
☐ Tip pooling policies (if applicable)
☐ Minor work permits/age certificates (if applicable)
☐ Exemption classification analyses
☐ Commission agreements (if applicable)
☐ Bonus and incentive plan documents
☐ Other: [________________________________]

Request for Extension (If Applicable)

☐ The Company requests an extension of [____] days to produce the following documents:
[________________________________]

Reason for Extension Request:
[________________________________]

Designated Company Representative

The Company designates the following individual(s) as its authorized representative(s) for purposes of this investigation:

Name: [________________________________]
Title: [________________________________]
Telephone: ([____]) [____]-[____]
Email: [________________________________]

☐ The Company has retained legal counsel for this matter:

Attorney Name: [________________________________]
Firm: [________________________________]
Address: [________________________________]
Telephone: ([____]) [____]-[____]
Email: [________________________________]
Bar Number: [________________________________]

Employee Interview Scheduling

The Company understands that the WHD may wish to conduct interviews with current and/or former employees. We request that:

☐ Interviews be scheduled at mutually convenient times to minimize disruption to business operations
☐ The Company be provided with reasonable notice prior to on-site interviews
☐ Interviews be conducted in a private location on Company premises
☐ Other accommodations: [________________________________]

Position Statement (Optional)

The Company reserves the right to submit a supplemental position statement regarding any issues identified during the investigation. At this time, the Company offers the following preliminary information:

[________________________________]

Confidentiality

The Company requests that all information and documents produced in connection with this investigation be treated as confidential business information pursuant to the Freedom of Information Act, 5 U.S.C. § 552, and applicable DOL regulations.

Conclusion

We appreciate the opportunity to cooperate with the Wage and Hour Division and are committed to ensuring full compliance with the Fair Labor Standards Act and all applicable federal wage and hour laws. Please do not hesitate to contact the undersigned with any questions or to arrange a mutually convenient time for further discussion.

Respectfully submitted,

_______________________________________
Signature

[________________________________]
Printed Name

[________________________________]
Title

Date: [__/__/____]

DOCUMENT PRODUCTION LOG

INTERNAL TRACKING

Pre-Response Checklist

☐ Initiation letter reviewed and scope understood
☐ Legal counsel notified/retained
☐ Relevant personnel informed (HR, payroll, management)
☐ Document preservation hold issued
☐ Document collection initiated
☐ Preliminary internal review conducted
☐ Response deadline calendared
☐ Extension request submitted (if needed)

Documents Withheld (If Any)

Notes and Action Items

[________________________________]

SOURCES AND REFERENCES

• DOL Wage and Hour Division Fact Sheet #21 - Recordkeeping Requirements
• 29 CFR Part 516 - Records to Be Kept by Employers
• DOL WHD Investigation Process Information

This template is provided for informational purposes only. Legal counsel should be consulted before responding to any DOL investigation.