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

January 2, 2018 levels

ERISA Provision

Description of Violation

Maximum 2018 Penalty (As Adjusted)

ERISA § 209(b) 

(29 U.S.C. §1059(b))

Failure to furnish certain reports (such as pension benefit statements) or to maintain records

$29

ERISA § 502(c)(2)

(29 U.S.C. § 1132(c)(2))

Failure or refusal to properly file a plan's annual report (Form 5500) 

$2,140

ERISA § 502(c)(4)

(29 U.S.C. § 1132(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)

$1,693

ERISA § 502(c)(5)

(29 U.S.C. § 1132(c)(5))

Failure of a multiple employer welfare arrangement (MEWA) to file an annual report

$1,558

ERISA § 502(c)(6)

(29 U.S.C. § 1132(c)(6))

Failure to provide information requested by the Secretary of Labor under ERISA Section 104(a)(6)

$152 per day, not to exceed $1,527 per request

ERISA § 502(c)(7)

(29 U.S.C. § 1132(c)(7))

Failure to provide a required blackout notice and notice of right to divest employer securities (see Standard Document, Blackout Notice)

$136

ERISA § 502(c)(8)

(29 U.S.C. § 1132(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)

$1,344

ERISA § 502(c)(9)(A)

(29 U.S.C. § 1132(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)

$114

ERISA § 502(c)(9)(B)

(29 U.S.C. § 1132(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)

$114

ERISA § 502(c)(10)

(29 U.S.C. § 1132(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)

$114

$2,847

$17,084

$569,468

ERISA § 502(c)(12)

(29 U.S.C. § 1132(c)(12))

Failure of CSEC plan sponsor to establish or update a funding restoration plan

$104

ERISA § 502(m)

(29 U.S.C. § 1132(m))

Prohibited distribution under ERISA Section 206(e)

$16,499

ERISA § 715

(29 U.S.C. § 1185d and 42 U.S.C. § 300gg-15)

Failure to provide required Affordable Care Act (ACA) summaries of benefits and coverage (SBCs) (Section 2715 of the Public Health Service Act; 42 U.S.C. § 300gg-15) (see Practice Note, Summaries of Benefits and Coverage Under the ACA)

$1,128

Statute/Regulation

Description of Violation

2018 Penalty (As Adjusted)

MSPA, 29 U.S.C. § 1853(a)(1); 29 C.F.R. § 500.1(e)

Violation of MSPA or any of its regulations

$2,443

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

$1,692

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

$5,695

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

$56,391 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

$112,780 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

$5,695 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)

$16,917 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

$16,917 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

$9,239 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

$1,848

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

$7,520

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

$52,641 for each violation

FLSA, 29 U.S.C. § 211(d); 29 C.F.R. § 530.302

Violation related to homeworkers – recordkeeping

$20-$201 (minor), $201-$402 (substantial), $402-$1,026 (repeated, intentional, or knowing)

FLSA, 29 U.S.C. § 211(d); 29 C.F.R. § 530.302

Employment of homeworkers without a certificate

$201-$402 (substantial), $402-$1,026 (repeated, intentional, or knowing)

FLSA, 29 U.S.C. § 216(e)(2); 29 C.F.R. § 578.3(a)

Repeat or willful violation of FLSA minimum wage and overtime requirements

$1,964 for each violation

FLSA, 29 U.S.C. § 216(e)(1)(A); 29 C.F.R. § 579.1(a)(1)(i)

Violations of FLSA child labor provisions or regulations

$12,529 for each employee subject to the violation

FLSA, 29 U.S.C. § 216(e)(1)(A); 29 C.F.R. § 579.1(a)(1)(i)(B)

Violations of FLSA child labor provisions or regulations that cause death or serious injury to an employee under age 18

$56,947 for each violation (doubled to $113,894 if the violation is repeated or willful

EPPA, 29 U.S.C. § 2005(a)(1); 29 C.F.R. § 801.42(a)

Violation of EPPA or of part 801

$20,521

FMLA, 29 U.S.C. § 2619(b); 29 C.F.R. § 825.300(a)(1)

Violation of FMLA posting requirement

$169 for each separate offense

Statute/Regulation

Description of Violation

2018 Penalty (As Adjusted)

29 U.S.C. § 666(a); 29 C.F.R. § 1903.15(d)(1); 29 C.F.R. § 1903.15(d)(2)

Repeated or willful violation of OSH Act Section 5, rules or orders under OSH Act Section 6, or applicable regulations

$129,336 for each violation (minimum of $9,239 for each violation)

29 U.S.C. § 666(b); 29 C.F.R. § 1903.15(d)(3)

Serious violation of OSH Act Section 5, rules or orders under OSH Act Section 6, or applicable regulations

$12,934 for each violation

29 U.S.C. § 666(c); 29 C.F.R. § 1903.15(d)(4)

Other-than-serious violation of OSH Act Section 5, rules or orders under OSH Act Section 6, or applicable regulations

$12,934 for each day during which violation continues

29 U.S.C. § 666(d); 29 C.F.R. § 1903.15(d)(5)

Failure to correct a violation of OSH Act

$12,934 for each day during which violation continues

29 U.S.C. § 666(i); 29 C.F.R. § 1903.15(d)(6))

Violation of OSH Act posting requirement

$12,934 for each violation