Published on 13 Jan 2023 • 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, but on or before January 15, 2021 | January 15, 2020 levels |
After November 2, 2015 | After January 15, 2021, but on or before January 15, 2022 | January 15, 2021 levels |
After November 2, 2015 | After January 15, 2022, but on or before January 15, 2023 | January 15, 2022 levels |
After November 2, 2015 | After January 15, 2023 | January 15, 2023 levels |
ERISA Provision | Description of Violation | Maximum 2023 Penalty (As Adjusted) |
ERISA § 209(b) | Failure to furnish certain reports (for example, pension benefit statements) or to maintain employee records | $36 |
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) | $2,586 |
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 QACA Provisions) | $2,046 |
ERISA § 502(c)(5) | Failure of a multiple employer welfare arrangement (MEWA) to file an annual report | $1,881 |
ERISA § 502(c)(6) | Failure to provide information requested by the Secretary of Labor under ERISA Section 104(a)(6) | $184 per day; not to exceed $1,846 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) | $164 |
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 does not meet its benchmark by end of funding improvement period (see Practice Note, Multiemployer Pension Plans) | $1,624 |
ERISA § 502(c)(9)(A) | Per day failure by an employer to inform employees of coverage opportunities under the Children's Health Insurance Program (CHIP) (ERISA Section 701(f)(3)(B)(i)(l)) (each employee is a separate violation) | $137 |
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) (also regarding CHIP) (each participant or beneficiary a separate violation) | $137 |
ERISA § 502(c)(10) | Failure by a plan sponsor of a group health plan, or a 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) | $137 $3,439 $20,641 $688,012 |
ERISA § 502(c)(12) | Failure of a Cooperative and Small Employer Charity (CSEC) plan sponsor to establish or update a funding restoration plan | $126 |
ERISA § 502(m) | Failure of fiduciary to make a proper distribution from a defined benefit plan under ERISA Section 206(e) | $19,933 |
ERISA § 715 | Failure to provide summaries of benefits and coverage (SBCs), as required under the Affordable Care Act (ACA) (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) | $1,362 |
Statute/Regulation | Description of Violation | 2023 Penalty (As Adjusted) |
Violation of MSPA or any of its regulations | $2,951 | |
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 | $2,045 |
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 | $6,881 |
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 | $68,129 |
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 | $136,258 |
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 | $6,881 |
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) | $20,439 |
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 | $20,439 |
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 | $11,162 |
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 | $9,086 |
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 | $2,232 |
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 | $9,086 |
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 | $63,600 |
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 | $14,960 |
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 | $14,960 |
INA, INA § 214(c)(14) (8 U.S.C. § 1184(c)(14)); 29 C.F.R. § 503.23(d) | Any other H-2B violation | $14,960 |
Violation related to homeworkers – recordkeeping | $24-$1,240 | |
Employment of homeworkers without a certificate | $249-$1,240 | |
Repeat or willful violation of FLSA minimum wage and overtime requirements | $1,330-$2,374 | |
Violations of FLSA child labor provisions or regulations | $15,138 | |
Violations of FLSA child labor provisions or regulations that cause death or serious injury to an employee under age 18 | $68,801 | |
Violation of EPPA or of part 801 | $24,793 | |
Violation of FMLA posting requirement | $204 |
Statute/Regulation | Description of Violation | 2023 Penalty (As Adjusted) |
Repeated or willful violation of OSH Act Section 5, rules or orders under OSH Act Section 6, or applicable regulations | $11,162-$156,259 | |
Serious violation of OSH Act Section 5, rules or orders under OSH Act Section 6, or applicable regulations | $15,625 | |
Other-than-serious violation of OSH Act Section 5, rules or orders under OSH Act Section 6, or applicable regulations | $15,625 | |
Failure to correct a violation of OSH Act | $15,625 per day | |
Violation of OSH Act posting requirement | $15,625 |