Published on 05 Jul 2016 • USA (National/Federal) |
ERISA Penalty Statute | Description of Violation | Catch-up CMP |
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) | $2,063 |
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, provide (A) certain financial and actual reports and (B) 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) | $1,632 |
ERISA § 502(c)(5) | Failure of a multiple employer welfare arrangement (MEWA) to file certain reports | $1,502 |
ERISA § 502(c)(6) | Failure to provide information requested by the Secretary of Labor under ERISA Section 104(a)(6) | $147 not to exceed $1,472 |
ERISA § 502(c)(7) | Failure to provide a required blackout notice and of right to divest employer securities (see Standard Document, Blackout Notice) | $131 |
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) | $1,296 |
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) | $110 |
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) | $110 |
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) | $110/$2,745/$16,473/$549,095 |
ERISA § 502(c)(12) | Failure of CSEC plan sponsor to establish or update a funding restoration plan | $100 |
ERISA § 502(m) | Prohibited distribution under ERISA Section 206(e) | $15,909 |
ERISA § 715 | Failure to provide required summaries of benefits and coverage (SBC) (see Practice Note, Summaries of Benefits and Coverage Under the ACA) | $1,087 |
Statute/Regulation | Description of Violation | Prior Maximum CMP | New Maximum CMP |
MSPA, 29 U.S.C. § 1853(a)(1) | Violation of MSPA or any of its regulations | $1,000 | $2,355 |
Violation of work contract or of H-2A visa program's statutory or regulatory requirements | $1,500 | $1,631 | |
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 | $5,000 | $5,491 | |
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 | $50,000 for each worker | $54,373 for each worker | |
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 | $100,000 for each worker | $108,745 for each worker | |
Failure to cooperate with WHD investigation into H-2A violation | $5,000 for each investigation | $5,491 for each investigation | |
Laying off or displacing a US worker employed under circumstances specified in Section 501.19(e) | $15,000 for each violation for each worker | $16,312 for each violation for each worker | |
Improperly rejecting a US worker applicant for employment in violation of the H-2A visa program's statutory or regulatory requirements | $15,000 for each violation for each worker | $16,312 for each violation for each worker | |
Violation of D-1 visa program involving crewmembers for longshore activities in US ports | $5,000 for each crewmember for whom there has been a violation | $8,908 for each crewmember for whom there has been a violation | |
Violation of H-1B visa program | $1,000 | $1,782 | |
Willful violation of H-1B visa program or discrimination against an employee | $5,000 | $7,251 | |
Willful violation that displaced a US worker within the 90 days before and 90 days after an H-1B petition was filed | $35,000 for each violation | $50,758 for each violation | |
Violation of H-2B visa program | $10,000 | $11,940 for each violation | |
Violation related to homeworkers - recordkeeping | $100 (minor) $200 (substantial) $500 (repeated, intentional, or knowing) | $198 (minor) $396 (substantial) $989 (repeated, intentional, or knowing) | |
FLSA, 29 U.S.C. § 211(d); 29 C.F.R. § 530 | Employment of homeworkers without a certificate | $200 (substantial) $500 (repeated, intentional, or knowing) | $396 (substantial) $989 (repeated, intentional, or knowing) |
Repeat or willful violation of FLSA minimum wage and overtime requirements | $1,100 for each violation | $1,894 for each violation | |
Violations of FLSA child labor provisions or regulations | $11,000 for each employee subject to the violation | $12,080 for each employee subject to the violation | |
Violations of FLSA child labor provisions or regulations that causes death or serious injury to an employee under age 18 | $50,000 for each violation (doubled to $100,000 if the violation is repeated or willful) | $54,910 for each violation (doubled to $109,820 if the violation is repeated or willful) | |
Violation of EPPA or of part 801 | $10,000 | $19,787 | |
Violating FMLA posting requirement | $110 for each separate offense | $163 for each separate offense |
Statute/Regulation | Description of Violation | Prior Maximum CMP | New Maximum CMP |
Repeated or willful violation of OSH Act Section 5, rules or orders under OSH Act Section 6, or applicable regulations | $70,000 for each violation (minimum of $5,000 for each violation) | $124,709 for each violation (minimum of $8,908 for each violation) | |
Serious violation of OSH Act Section 5, rules or orders under OSH Act Section 6, or applicable regulations | $7,000 for each violation | $12,471 for each violation | |
Other-than-serious violation of OSH Act Section 5, rules or orders under OSH Act Section 6, or applicable regulations | $7,000 for each day during which violation continues | $12,471 for each day during which violation continues | |
Failure to correct a violation of OSH Act | $7,000 for each day during which violation continues | $12,471 for each day during which violation continues | |
Violation of OSH Act posting requirement | $7,000 for each violation | $12,471 for each violation |