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) 

(29 U.S.C. §1059(b))

Failure to furnish certain reports (for example, pension benefit statements) or to maintain employee records

$36

ERISA § 502(c)(2)

(29 U.S.C. § 1132(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)

(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 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)

(29 U.S.C. § 1132(c)(5))

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

$1,881

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)

$184 per day; not to exceed $1,846 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)

$164

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 does not meet its benchmark by end of funding improvement period (see Practice Note, Multiemployer Pension Plans)

$1,624

ERISA § 502(c)(9)(A)

(29 U.S.C. § 1132(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)

(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) (also regarding CHIP) (each participant or beneficiary a separate violation)

$137

ERISA § 502(c)(10)

(29 U.S.C. § 1132(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)

(29 U.S.C. § 1132(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)

(29 U.S.C. § 1132(m))

Failure of fiduciary to make a proper distribution from a defined benefit plan under ERISA Section 206(e)

$19,933

ERISA § 715

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

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)

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

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

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

Violation related to homeworkers – recordkeeping

$24-$1,240

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

Employment of homeworkers without a certificate

$249-$1,240

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

$1,330-$2,374

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

Violations of FLSA child labor provisions or regulations

$15,138

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

$68,801

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

Violation of EPPA or of part 801

$24,793

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

Violation of FMLA posting requirement

$204

Statute/Regulation

Description of Violation

2023 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

$11,162-$156,259

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

$15,625

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

$15,625

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

Failure to correct a violation of OSH Act

$15,625 per day

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

Violation of OSH Act posting requirement

$15,625