DOL INVESTIGATION DOCUMENT REQUEST RESPONSE

PURPOSE

This template assists employers in organizing and responding to document requests from the U.S. Department of Labor Wage and Hour Division during FLSA investigations. Proper document organization and response procedures help ensure compliance while protecting employer interests.

IMPORTANT: Section 11(a) of the FLSA authorizes DOL representatives to investigate and gather data concerning wages, hours, and other employment practices. Covered employers are generally required to make wage and hour records available upon request without a subpoena.

SECTION 1: INVESTIGATION INFORMATION

DOL Contact Information

WHD District Office: [________________________________]

Office Address:
[________________________________]
[________________________________]

Assigned Investigator: [________________________________]

Investigator Title: [________________________________]

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

Email: [________________________________]

WHD Case Number: [________________________________]

Investigation Details

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

Date Document Request Received: [__/__/____]

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

Document Production Deadline: [__/__/____]

Type of Investigation:

☐ Complaint-driven investigation
☐ Directed (targeted) investigation
☐ Self-audit/PAID Program
☐ Follow-up investigation
☐ Unknown

Scope of Investigation:

☐ Minimum wage compliance
☐ Overtime compliance
☐ Exemption classification
☐ Recordkeeping
☐ Child labor
☐ FMLA (if applicable)
☐ Other: [________________________________]

SECTION 2: EMPLOYER INFORMATION

Company Name: [________________________________]

DBA (if applicable): [________________________________]

EIN: [____]-[____]

Business Address:
[________________________________]
[________________________________]

Mailing Address (if different):
[________________________________]
[________________________________]

Primary Contact Person: [________________________________]

Title: [________________________________]

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

Email: [________________________________]

Legal Representation

☐ Company has retained legal counsel for this investigation

Attorney Name: [________________________________]

Firm Name: [________________________________]

Address: [________________________________]

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

Email: [________________________________]

Bar Number: [________________________________]

SECTION 3: DOCUMENTS REQUESTED

Standard Document Categories

Based on the DOL's request, check all document categories requested:

Payroll Records

☐ Payroll registers/journals for all employees
☐ Pay stubs/earnings statements
☐ Wage rate history/pay rate changes
☐ Bonus and commission records
☐ Tip records and tip pool distributions
☐ Deduction authorizations
☐ Direct deposit records
☐ Garnishment orders and records

Time and Attendance Records

☐ Time cards/time sheets
☐ Electronic timekeeping records
☐ Badge swipe/clock-in records
☐ Work schedules (posted and actual)
☐ Leave requests and approvals
☐ Overtime authorization forms
☐ Time adjustment/correction forms

Employee Information

☐ Employee roster/list
☐ Personnel files
☐ Job applications
☐ I-9 forms
☐ W-4 forms
☐ New hire paperwork
☐ Performance evaluations
☐ Disciplinary records

Job Classifications

☐ Job descriptions
☐ Organizational charts
☐ FLSA exemption classification determinations
☐ Salary/position grades
☐ Job duty questionnaires

Policies and Procedures

☐ Employee handbook
☐ Wage and hour policies
☐ Overtime policies
☐ Timekeeping policies
☐ Meal and rest break policies
☐ Tip pooling policies
☐ On-call policies
☐ Travel time policies
☐ Training time policies

Contracts and Agreements

☐ Employment agreements
☐ Independent contractor agreements
☐ Collective bargaining agreements
☐ Temporary staffing agreements
☐ Commission agreements
☐ Bonus plans

Child Labor (If Applicable)

☐ Age certificates/work permits
☐ Minor work schedules
☐ Parental consent forms
☐ School enrollment verification

Other Documents

☐ Business licenses
☐ Corporate structure documents
☐ Workers' compensation insurance
☐ Previous DOL correspondence
☐ Other: [________________________________]

SECTION 4: DOCUMENT COLLECTION CHECKLIST

Internal Coordination

☐ Document preservation hold issued to all relevant departments
☐ Human Resources notified
☐ Payroll department notified
☐ IT department notified (for electronic records)
☐ Operations/management notified
☐ Legal counsel notified
☐ Collection deadline communicated to all parties

Document Collection Status

SECTION 5: DOCUMENT REVIEW AND PREPARATION

Pre-Production Review

☐ Documents reviewed for responsiveness to request
☐ Documents reviewed for completeness
☐ Documents reviewed for accuracy
☐ Privileged documents identified and segregated
☐ Confidential/trade secret documents identified
☐ Documents organized chronologically within categories
☐ Documents Bates-stamped or numbered
☐ Duplicate copies made for employer's records

Documents Requiring Special Handling

Privileged Documents

☐ Attorney-client privileged documents identified

Note: Prepare privilege log if withholding documents on privilege grounds.

Confidential Business Information

☐ Trade secrets identified
☐ Proprietary information identified
☐ Documents marked "CONFIDENTIAL - PROPRIETARY"

Request for confidential treatment submitted: ☐ Yes ☐ No

Documents Not in Employer's Possession

SECTION 6: PRODUCTION LOG

Document Production Summary

Production Date: [__/__/____]

Method of Production:

☐ In-person delivery
☐ Mail
☐ Electronic submission
☐ Uploaded to DOL portal
☐ Other: [________________________________]

Production Index

Total Pages Produced: [________________________________]

SECTION 7: DOCUMENT TRANSMITTAL LETTER

[Date]

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

Re: Document Production - WHD Case No. [________________________________]

Dear [________________________________]:

On behalf of [________________________________] ("Company"), I am providing documents responsive to the Wage and Hour Division's request dated [__/__/____].

Documents Produced

Enclosed please find [____] pages of documents, Bates-numbered [____] through [____], responsive to your request. The documents are organized as follows:

1. Payroll Records (Bates [____]-[____]): [Description]
2. Time and Attendance Records (Bates [____]-[____]): [Description]
3. Personnel Records (Bates [____]-[____]): [Description]
4. Policies and Procedures (Bates [____]-[____]): [Description]
5. [Additional Categories] (Bates [____]-[____]): [Description]

Documents Withheld

☐ No documents have been withheld.

☐ The following documents have been withheld:

[________________________________]

Basis for Withholding: [________________________________]

Documents Not in Possession

☐ All responsive documents in the Company's possession have been produced.

☐ The following documents are not in the Company's possession, custody, or control:

[________________________________]

Confidentiality Request

The Company requests that all documents produced be treated as confidential business information under the Freedom of Information Act, 5 U.S.C. § 552, and applicable DOL regulations. These documents contain proprietary business information, and the Company would suffer competitive harm if the documents were publicly disclosed.

Extension Request (If Applicable)

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

[________________________________]

Reason for Extension: [________________________________]

Reservation of Rights

The Company reserves the right to supplement this production as additional responsive documents are identified. The production of these documents does not constitute an admission regarding any matter.

Contact Information

Please direct any questions regarding this production to:

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

We appreciate the opportunity to cooperate with the investigation.

Respectfully submitted,

_______________________________________
Signature

[________________________________]
Printed Name

[________________________________]
Title

Date: [__/__/____]

Enclosures: As described above

cc: [Attorney Name, if applicable]

SECTION 8: PRODUCTION BEST PRACTICES CHECKLIST

Before Production

☐ Verified all requested documents have been collected
☐ Confirmed documents cover entire investigation period
☐ Reviewed documents for accuracy and completeness
☐ Removed documents not specifically requested
☐ Marked confidential documents appropriately
☐ Created production index/log
☐ Made complete copies for employer's files
☐ Legal counsel reviewed production (if retained)

During Production

☐ Obtained receipt from investigator (if in-person)
☐ Confirmed delivery method and address
☐ Noted date and time of production
☐ Identified any issues or questions raised

After Production

☐ Filed copy of transmittal letter
☐ Preserved complete set of produced documents
☐ Calendared any follow-up deadlines
☐ Documented any verbal communications

SECTION 9: FOLLOW-UP TRACKING

Supplemental Requests

Communications Log

SECTION 10: INTERNAL NOTES

Issues Identified During Document Collection

[________________________________]

Potential Compliance Concerns

[________________________________]

Action Items

☐ [________________________________]
☐ [________________________________]
☐ [________________________________]

SOURCES AND REFERENCES

• 29 CFR Part 516 - Records to Be Kept by Employers
• DOL Fact Sheet #21 - Recordkeeping Requirements
• 29 U.S.C. § 211(a) - Investigation Authority

This template is provided for informational purposes only. Employers should consult with qualified legal counsel before responding to any DOL document request.