New York Department of Labor UI Audit for California Business

Daniel H. Weberman New York Business Attorney Portrait
Daniel H. Weberman
June 17, 2024

Client Background: Client, a California-based business, received notification of an impending Unemployment Insurance (UI) audit from the New York Department of Labor (NY DOL). Facing the prospect of an audit conducted by an out-of-state agency, Client sought legal assistance to navigate the audit process, ensure compliance with New York state UI regulations, and minimize potential liabilities and penalties. They approached Daniel H. Weberman, Attorney at Law, for expert counsel on addressing the audit and mitigating risks associated with potential compliance violations.

Case Overview: Daniel undertook the task of advising Client on navigating the New York Department of Labor UI audit as a California-based business. Recognizing the complexities of cross-state audit procedures and the implications of non-compliance with New York UI regulations, Daniel leveraged his expertise in employment law and regulatory compliance to guide Client through the audit process effectively and mitigate potential liabilities.

Key Tasks & Solutions:

Audit Preparation: Daniel conducted a comprehensive review of Client's payroll records, employment practices, and UI compliance procedures to assess their readiness for the NY DOL audit. This involved identifying potential areas of concern or non-compliance with New York state UI regulations and developing a strategy to address them proactively.

Legal Compliance Analysis: Drawing on his knowledge of New York UI laws and regulations, Daniel conducted a thorough analysis of Client's employment practices and policies to ensure compliance with New York state UI requirements. This involved reviewing wage reporting practices, employee classification, unemployment insurance contributions, and other relevant factors to identify any potential areas of non-compliance.

Communication with NY DOL: Daniel served as a liaison between Client and the NY DOL, communicating with the auditors on behalf of the client to clarify audit requests, provide documentation, and address any questions or concerns raised during the audit process. He ensured that Client's interests were represented effectively and that all communications with the NY DOL were conducted in accordance with legal requirements.

Remediation and Compliance Measures: In cases where potential compliance violations were identified during the audit, Daniel assisted Client in implementing remediation measures and corrective actions to address any deficiencies and bring their practices into compliance with New York state UI regulations. This may include updating policies and procedures, implementing training programs, or making adjustments to payroll and reporting systems to ensure ongoing compliance.


Through Daniel's expert legal guidance and support, Client successfully navigated the New York Department of Labor UI audit and addressed any compliance issues identified during the process. The audit was completed without any significant findings or penalties imposed on Client, demonstrating their commitment to compliance and the effectiveness of Daniel's proactive approach to audit preparation and remediation. Client expressed deep appreciation for Daniel's professionalism, expertise, and personalized attention throughout the audit process, highlighting the invaluable role of legal counsel in mitigating risks and ensuring compliance with regulatory requirements across state jurisdictions. This case study underscores the importance of seeking expert legal assistance to navigate cross-state audits effectively and mitigate potential liabilities associated with non-compliance with state-specific regulations.

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