Published on 24 Jan 2017 • USA (National/Federal) |
Violations Occurring: | Penalty Assessed: | Applicable Penalty Level: |
On or before November 2, 2015 | On or before August 1, 2016 | Pre-August 1, 2016 levels |
On or before November 2, 2015 | After August 1, 2016 | Pre-August 1, 2016 levels |
After November 2, 2015 | After August 1, 2016, but on or before January 13, 2017 | August 1, 2016 levels |
After November 2, 2015 | After January 13, 2017 | January 13, 2017 levels |
ERISA Provision | Description of Violation | 2017 Penalty (As Adjusted) |
ERISA § 209(b) | Failure to furnish certain reports (such as pension benefit statements) or to maintain records | $28 |
ERISA § 502(c)(2) | Failure or refusal to file annual Form 5500 or failure of a multiemployer plan to certify endangered or critical status (see Practice Note, Multiemployer Pension Plans) | $2,097 |
ERISA § 502(c)(4) | Failure to (i) notify participants of certain benefit restrictions or limitations under Internal Revenue Code (Code) Section 436(f); (ii) for multiemployer plans, (A) provide certain financial and actual reports and (B) provide estimates of withdrawal liability; and (iii) furnish automatic contribution arrangement notices (QACA notices) (see Standard Document, Safe Harbor Notice for Qualified Retirement Plans with Optional QACA Provisions) | $1,659 |
ERISA § 502(c)(5) | Failure of a multiple employer welfare arrangement (MEWA) to file certain reports | $1,527 |
ERISA § 502(c)(6) | Failure to provide information requested by the Secretary of Labor under ERISA Section 104(a)(6) | $149 not to exceed $1,496 per request |
ERISA § 502(c)(7) | Failure to provide a required blackout notice and of right to divest employer securities (see Standard Document, Blackout Notice) | $133 |
ERISA § 502(c)(8) | Failure of multiemployer plan in endangered status to adopt a funding improvement plan (or if in critical status, a rehabilitation plan) Failure also applies to an endangered status plan (that is not a seriously endangered status plan) that fails to meet its benchmark by end of funding improvement period (see Practice Note, Multiemployer Pension Plans) | $1,317 |
ERISA § 502(c)(9)(A) | Failure by an employer to inform employees of CHIP coverage opportunities under ERISA Section 701(f)(3)(B)(i)(l) | $112 |
ERISA § 502(c)(9)(B) | Failure by a plan administrator to timely provide to any state information required to be disclosed under ERISA Section 701(f)(3(B)(ii) | $112 |
ERISA § 502(c)(10) | Failure by any plan sponsor of a group health plan, or any health insurer offering coverage in connection with the plan, to satisfy ERISA's requirements regarding genetic information (multiple subparts) | $112 $2,790 $16,742 $558,078 |
ERISA § 502(c)(12) | Failure of CSEC plan sponsor to establish or update a funding restoration plan | $102 |
ERISA § 502(m) | Prohibited distribution under ERISA Section 206(e) | $16,169 |
ERISA § 715 | Failure to provide required summaries of benefits and coverage (SBC) (see Practice Note, Summaries of Benefits and Coverage Under the ACA) | $1,105 |
Statute/Regulation | Description of Violation | 2017 Penalty (As Adjusted) |
Violation of MSPA or any of its regulations | $2,394 | |
INA, INA § 218(g)(2) (8 U.S.C. § 1188(g)(2)); 29 C.F.R. § 501.19(c) | Violation of work contract or of H-2A visa program's statutory or regulatory requirements | $1,658 |
INA, INA § 218(g)(2) (8 U.S.C. § 1188(g)(2)); 29 C.F.R. § 501.19(c)(1) | Willful violation of work contract or of H-2A visa program's statutory or regulatory requirements, or for each act of discrimination prohibited by Section 501.4 | $5,581 |
INA, INA § 218(g)(2) (8 U.S.C. § 1188(g)(2)); 29 C.F.R. § 501.19(c)(2) | Violation of housing or transportation safety and health provision of work contract or of H-2A visa program's statutory or regulatory requirements that proximately causes worker's death or serious injury | $55,263 for each worker |
INA, INA § 218(g)(2) (8 U.S.C. § 1188(g)(2)); 29 C.F.R. § 501.19(c)(4) | Repeat or willful violation of housing or transportation safety and health provision of work contract or of H-2A visa program's statutory or regulatory requirements that proximately causes worker's death or serious injury | $110,524 for each worker |
INA, INA § 218(g)(2) (8 U.S.C. § 1188(g)(2)); 29 C.F.R. § 501.19(d) | Failure to cooperate with WHD investigation into H-2A violation | $5,581 for each investigation |
INA, INA § 218(g)(2) (8 U.S.C. § 1188(g)(2)); 29 C.F.R. § 501.19(e) | Laying off or displacing a US worker employed under circumstances specified in Section 501.19(e) | $16,579 for each violation for each worker |
INA, INA § 218(g)(2) (8 U.S.C. § 1188(g)(2)); 29 C.F.R. § 501.19(f) | Improperly rejecting a US worker applicant for employment in violation of the H-2A visa program's statutory or regulatory requirements | $16,579 for each violation for each worker |
INA, INA § 258(c)(4)(E)(i) (8 U.S.C. § 1288(c)(4)(E)(i)); 20 C.F.R. § 655.620(a) | Violation of D-1 visa program involving crewmembers for longshore activities in US ports | $9,054 for each crewmember for whom there has been a violation |
INA, INA § 212(n)(2)(C) (8 U.S.C. § 1182(n)(2)(C)); 20 C.F.R. § 655.810(b) | Violation of H-1B visa program | $1,811 |
INA, INA § 212(n)(2)(C) (8 U.S.C. § 1182(n)(2)(C)); 20 C.F.R. § 655.810(b)(2) | Willful violation of H-1B visa program or discrimination against an employee | $7,370 |
INA, INA § 212(n)(2)(C) (8 U.S.C. § 1182(n)(2)(C)); 20 C.F.R. § 655.810(b)(3) | Willful violation that displaced a US worker within 90 days before and 90 days after an H-1B petition was filed | $51,588 for each violation |
Violation related to homeworkers – recordkeeping | $20-$201 (minor), $201-$402 (substantial), $402-$1,005 (repeated, intentional, or knowing) | |
Employment of homeworkers without a certificate | $201-$402 (substantial), $402-$1,005 (repeated, intentional, or knowing) | |
Repeat or willful violation of FLSA minimum wage and overtime requirements | $1,925 for each violation | |
Violations of FLSA child labor provisions or regulations | $12,278 for each employee subject to the violation | |
Violations of FLSA child labor provisions or regulations that cause death or serious injury to an employee under age 18 | $55,808 for each violation (doubled to $111,616 if the violation is repeated or willful | |
Violation of EPPA or of part 801 | $20,111 | |
Violation of FMLA posting requirement | $166 for each separate offense |
Statute/Regulation | Description of Violation | 2017 Penalty (As Adjusted) |
Repeated or willful violation of OSH Act Section 5, rules or orders under OSH Act Section 6, or applicable regulations | $126,749 for each violation (minimum of (8908) for each violation) | |
Serious violation of OSH Act Section 5, rules or orders under OSH Act Section 6, or applicable regulations | $12,675 for each violation | |
Other-than-serious violation of OSH Act Section 5, rules or orders under OSH Act Section 6, or applicable regulations | $12,675 for each day during which violation continues | |
Failure to correct a violation of OSH Act | $12,675 for each day during which violation continues | |
Violation of OSH Act posting requirement | $12,675 for each violation |