Published on 14 Jan 2020 • 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, but on or before January 2, 2018 | January 13, 2017 levels |
After November 2, 2015 | After January 2, 2018, but on or before January 23, 2019 | January 2, 2018 levels |
After November 2, 2015 | After January 23, 2019, but on or before January 15, 2020 | January 23, 2019 levels |
After November 2, 2015 | After January 15, 2020 | January 15, 2020 levels |
ERISA Provision | Description of Violation | Maximum 2020 Penalty (As Adjusted) |
ERISA § 209(b) | Failure to furnish certain reports (for example, pension benefit statements) or to maintain employee records | $31 |
ERISA § 502(c)(2) | Failure or refusal to properly file a plan's annual report (Form 5500) (see Practice Note, Form 5500 for Employee Benefit Plans: Overview) | $2,233 |
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 actuarial 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) | $1,767 |
ERISA § 502(c)(5) | Failure of a multiple employer welfare arrangement (MEWA) to file an annual report | $1,625 |
ERISA § 502(c)(6) | Failure to provide information requested by the Secretary of Labor under ERISA Section 104(a)(6) | $159 per day, not to exceed $1,594 per request |
ERISA § 502(c)(7) | Failure to provide a required blackout notice and notice of right to divest employer securities (see Standard Document, Blackout Notice) | $141 |
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) | $1,402 |
ERISA § 502(c)(9)(A) | Per day failure by an employer to inform employees of CHIP coverage opportunities under ERISA Section 701(f)(3)(B)(i)(l) (each employee a separate violation) | $119 |
ERISA § 502(c)(9)(B) | Per day failure by a plan to timely provide to any state information required to be disclosed under ERISA Section 701(f)(3(B)(ii) (each participant or beneficiary a separate violation) | $119 |
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) (see Practice Note, GINA Compliance for Health and Welfare Plans) | $119 $2,970 $17,824 $594,129 |
ERISA § 502(c)(12) | Failure of a Cooperative and Small Employer Charity (CSEC) plan sponsor to establish or update a funding restoration plan | $109 |
ERISA § 502(m) | Prohibited distribution under ERISA Section 206(e) | $17,213 |
ERISA § 715 | Failure to provide required Affordable Care Act (ACA) summaries of benefits and coverage (SBCs) (Section 2715 of the Public Health Service Act (PHSA); 42 U.S.C. § 300gg-15) (see Practice Note, Summaries of Benefits and Coverage Under the ACA) | $1,176 |
Statute/Regulation | Description of Violation | 2020 Penalty (As Adjusted) |
Violation of MSPA or any of its regulations | $2,549 | |
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 | $1,766 |
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 | $5,942 |
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 | $58,833 |
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 | $117,664 |
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 | $5,942 |
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) | $17,650 |
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 | $17,650 |
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 | $9,639 |
INA, INA § 212(n)(2)(C)(ii) or (t)(3)(C)(ii) (8 U.S.C. § 1182(n)(2)(C)(ii) or (t)(3)(C)(ii)); 20 C.F.R. § 655.801(b) | Retaliation for supplying information or cooperating with investigation of employer's compliance with INA | $7,846 |
INA, INA § 212(n)(2)(C) (8 U.S.C. § 1182(n)(2)(C)); 20 C.F.R. § 655.810(b)(1) | Violation of H-1B visa program | $1,928 |
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 | $7,846 |
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 | $54,921 |
INA, INA § 214(c)(14) (8 U.S.C. § 1184(c)(14)); 29 C.F.R. § 503.23(b) | Violation of H-2B wage requirements | $12,919 |
INA, INA § 214(c)(14) (8 U.S.C. § 1184(c)(14)); 29 C.F.R. § 503.23(c) | Violation of H-2B nondiscriminatory hiring, US hiring, and no strike or lockout provisions | $12,919 |
INA, INA § 214(c)(14) (8 U.S.C. § 1184(c)(14)); 29 C.F.R. § 503.23(d) | Any other H-2B violation | $12,919 |
Violation related to homeworkers – recordkeeping | $1,071 | |
Employment of homeworkers without a certificate | $1,071 | |
Repeat or willful violation of FLSA minimum wage and overtime requirements | $2,050 | |
Violations of FLSA child labor provisions or regulations | $13,072 | |
Violations of FLSA child labor provisions or regulations that cause death or serious injury to an employee under age 18 | $59,413 | |
Violation of EPPA or of part 801 | $21,410 | |
Violation of FMLA posting requirement | $176 |
Statute/Regulation | Description of Violation | 2020 Penalty (As Adjusted) |
Repeated or willful violation of OSH Act Section 5, rules or orders under OSH Act Section 6, or applicable regulations | $134,937 | |
Serious violation of OSH Act Section 5, rules or orders under OSH Act Section 6, or applicable regulations | $13,494 | |
Other-than-serious violation of OSH Act Section 5, rules or orders under OSH Act Section 6, or applicable regulations | $13,494 | |
Failure to correct a violation of OSH Act | $13,494 | |
Violation of OSH Act posting requirement | $13,494 |