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Preface
This Guide, a companion to the suite of FirstStep Employment Law elaws
Advisors, describes the major statutes and regulations administered by
the U.S. Department of Labor (DOL) that affect businesses and workers.
The Guide is designed mainly for those needing "hands-on" information
to develop wage, benefit, safety and health, and nondiscrimination
policies for businesses.
For businesses and other employers that do not know which of DOLs
major laws apply to them, please start with the FirstStep Overview
Advisor (www.dol.gov/elaws/firststep). The Advisor asks the user a short
series of questions to determine which of the major DOL-administered
laws apply to their organization. The Advisor takes into account relevant
variables such as size of business and type of industry that
determine coverage for these laws.
For those employers that know which employment laws they apply to
them, or have an interest in a particular law, please read
the Overview to understand how the Guide is organized. Please note
that each chapter (i.e., law) in the Guide corresponds to the laws
covered in the FirstStep Advisor.
The Guide is offered as a public resource. It does not create new legal
obligations and it is not a substitute for the U.S. Code, Federal Register,
or Code of Federal Regulations as the official sources of applicable law.
Every effort has been made to ensure that the information provided is
complete and accurate. For those who wish to be notified when updated
versions of this Guide are posted at www.dol.gov/compliance, subscribe
to the electronic mailing list
at www.dol.gov/compliance/CA_subscribe.htm.
I.
II.
III.
IV.
V.
VI.
VII.
Overview
Each chapter in this Guide describes the requirements of a major statute
enforced by the Department of Labor. The chapters in the first five parts
of theGuide are organized by type of labor standard; the remaining two
parts address those laws that apply only to employers holding Federal
contracts. The parts are:
Wages and Hours Worked
Safety and Health Standards
Health Benefits, Retirement Standards, and Workers Compensation
Other Workplace Standards
Work Authorization for Non-U.S. Citizens
Federal Contracts: Working Conditions
Federal Contracts: Equal Opportunity in Employment
There is also an Index that refers to selected chapters that for the most
part apply only to certain industries, i.e., Agriculture, Mining and
Construction.
Each chapter discusses: (1) which employers or employees are covered
by the statute; (2) the statute's basic provisions and requirements; (3)
employee rights; (4) recordkeeping, reporting, notice and poster
requirements; (5) penalties or sanctions for non-compliance; (6) relation
of the statute to state, local, and other federal laws; and (7) how to
obtain information and compliance assistance from DOL.
The chapters contain links to more detailed information, such as the
texts of statutes, regulations, and interpretative bulletins, which can be
found on DOL agencies' Web sites. To understand their full
responsibilities under each statute, users should refer to these more
detailed materials.
Please note that other federal agencies besides DOL enforce laws and
regulations that affect employers and workers. For example, the Equal
Employment Opportunity Commission (www.eeoc.gov) enforces many of
the statutes designed to ensure nondiscrimination in employment, and
the National Labor Relations Board (www.nlrb.gov) administers the TaftHartley Act regulating employer conduct with regard to employees in a
wide range of areas. Please consult these agencies for further
information on their requirements.
Each chapter in the Guide also lists the telephone number of the DOL
agency that administers the laws and regulations addressed in that
chapter. If you have any difficulty contacting a DOL agency (for instance,
due to a telephone number that has been changed), or if you need
referral information on any topic within DOL's purview, call the
Department's National Toll-Free Call Center at
1-8664USADOL FREE (
Related Information
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Who Is Covered
Basic Provisions/Requirements
Employee Rights
Recordkeeping, Reporting, Notices and Posters
Notices and Posters
Recordkeeping
Reporting
Penalties/Sanctions
Relation to State, Local, and Other Federal Laws
Compliance Assistance Available
DOL Contacts
more than 130 million workers, both full-time and part-time, in the
private and public sectors.
The Act applies to enterprises with employees who engage in interstate
commerce, produce goods for interstate commerce, or handle, sell, or
work on goods or materials that have been moved in or produced for
interstate commerce. For most firms, a test of not less than $500,000 in
annual dollar volume of business applies (i.e., the Act does not cover
enterprises with less than this amount of business).
However, the Act does cover the following regardless of their dollar
volume of business: hospitals; institutions primarily engaged in the care
of the sick, aged, mentally ill, or disabled who reside on the premises;
schools for children who are mentally or physically disabled or gifted;
preschools, elementary and secondary schools, and institutions of higher
education; and federal, state, and local government agencies.
Employees of firms that do not meet the $500,000 annual dollar volume
test may be covered in any workweek when they are individually
engaged in interstate commerce, the production of goods for interstate
commerce, or an activity that is closely related and directly essential to
the production of such goods.
In addition, the Act covers domestic service workers, such as day
workers, housekeepers, chauffeurs, cooks, or full-time babysitters, if
they receive at least $1,700 in 2009 in cash wages from one employer in
a calendar year, or if they work a total of more than eight hours a week
for one or more employers. (This calendar year threshold is adjusted by
the Social Security Administration each year.) For additional coverage
information, see the Wage and Hour Division Fact Sheet #14: Coverage
Under the FLSA.
The Act exempts some employees from its overtime pay and minimum
wage provisions, and it also exempts certain employees from the
overtime pay provisions only. Because the exemptions are narrowly
defined, employers should check the exact terms and conditions for each
by contacting their localWage and Hour Division office.
The following are examples of employees exempt from both the
minimum wage and overtime pay requirements:
Farm workers employed on small farms (i.e., those that used less
than 500 "man-days" of farm labor in any calendar quarter of the
preceding calendar year)
Casual babysitters and persons employed as companions to the
elderly or infirm
The following are examples of employees exempt from the overtime pay
requirements only:
Farmworkers
Certain employees may be partially exempt from the overtime pay
requirements. These include:
premium pay within the requirements of the Act for all hours worked
over eight in a day or 80 in the 14-day work period, whichever is the
greater number of overtime hours)
Employees who lack a high school diploma, or who have not
completed the eighth grade, who spend part of their workweeks in
remedial reading or training in other basic skills that are not job
specific. Employers may require such employees to engage in these
activities up to 10 hours in a workweek. Employers must pay normal
wages for the hours spent in such training but need not pay overtime
premium pay for training hours
Basic Provisions/Requirements
The Act requires employers of covered employees who are not otherwise
exempt to pay these employees a minimum wage of not less than $7.25
per hour effective July 24, 2009. Youths under 20 years of age may be
paid a minimum wage of not less than $4.25 an hour during the first 90
consecutive calendar days of employment with an employer. Employers
may not displace any employee to hire someone at the youth minimum
wage. For additional information regarding the use of the youth
minimum wage provisions, see the Wage and Hour Division Fact Sheet
#32: Youth Minimum Wage FLSA.
Employers may pay employees on a piece-rate basis, as long as they
receive at least the equivalent of the required minimum hourly wage rate
and overtime for hours worked in excess of 40 hours in a workweek.
Employers of tipped employees (i.e., those who customarily and
regularly receive more than $30 a month in tips) may consider such tips
as part of their wages, but employers must pay a direct wage of at least
$2.13 per hour if they claim a tip credit. They must also meet certain
other requirements. For a full listing of the requirements an employer
must meet to use the tip credit provision, see the Wage and Hour
Division Fact Sheet #15: Tipped Employees Under the FLSA.
The Act also permits the employment of certain individuals at wage rates
below the statutory minimum wage under certificates issued by the
Department of Labor:
Employee Rights
Employees may find out how to file a complaint by contacting the
local Wage and Hour Division office, or by calling the program's toll-free
help line at
1-866-4USWAGE FREE (
1-866-487-
Recordkeeping
Every employer covered by the FLSA must keep certain records for
each covered, nonexempt worker. Employers must keep records on
wages, hours, and other information as set forth in the Department of
Labor's regulations. Most of this data is the type that employers
generally maintain in ordinary business practice.
There is no required form for the records. However, the records must
include accurate information about the employee and data about the
hours worked and the wages earned. The following is a listing of the
basic payroll records that an employer must maintain:
Hours worked each day and total hours worked each workweek
Basis on which employee's wages are paid (e.g., "$9 per hour",
"$440 a week", "piecework")
Regular hourly pay rate
Reporting
The FLSA does not contain any specific reporting requirements; however,
the above referenced records must be open for inspection by the Wage
and Hour Division's representatives, who may ask the employer to make
extensions, computations, or transcriptions. The records may be kept at
the place of employment or in a central records office.
Penalties/Sanctions
The Department of Labor uses a variety of remedies to enforce
compliance with the Act's requirements. When Wage and Hour Division
investigators encounter violations, they recommend changes in
employment practices to bring the employer into compliance, and they
request the payment of any back wages due to employees.
Willful violators may be prosecuted criminally and fined up to $10,000. A
second conviction may result in imprisonment. Employers who willfully or
repeatedly violate the minimum wage or overtime pay requirements are
subject to civil money penalties of up to $1,100 per violation.
For child labor violations, employers are subject to a civil money penalty
of up to $11,000 per worker for each violation of the child labor
provisions. In addition, employers are subject to a civil money penalty
of $50,000 for each violation occurring after May 21, 2008 that causes
the death or serious injury of any minor employee such penalty may
be doubled, up to $100,000, when the violations are determined to be
willful or repeated.
When the Department of Labor assesses a civil money penalty, the
employer has the right to file an exception to the determination within
15 days of receipt of the notice. If an exception is filed, it is referred to
an Administrative Law Judge for a hearing and determination as to
whether the penalty is appropriate. If an exception is not filed, the
penalty becomes final.
The Department of Labor may also bring suit for back pay and an equal
amount in liquidated damages, and it may obtain injunctions to restrain
persons from violating the Act.
The Act also prohibits the shipment of goods in interstate commerce that
were produced in violation of the minimum wage, overtime pay, child
labor, or special minimum wage provisions.
Related Information
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Who Is Covered
Basic Provisions/Requirements
Employee Rights
Recordkeeping, Reporting, Notices and Posters
Notices and Posters
Recordkeeping
Reporting
Penalties/Sanctions
Relation to State, Local, and Other Federal Laws
Compliance Assistance Available
DOL Contacts
Return to Table of Contents
Updated: September 2009
Basic Provisions/Requirements
Wage garnishment occurs when an employer is required to withhold the
earnings of an individual for the payment of a debt in accordance with a
court order or other legal or equitable procedure (e.g., Internal Revenue
Service (IRS) or state tax collection). Title III prohibits an employer from
discharging an employee because his or her earnings have been subject
to garnishment for any one debt, regardless of the number of levies
made or proceedings brought to collect it. Title III does not, however,
protect an employee from discharge if the employee's earnings have
been subject to garnishment for a second or subsequent debt.
Title III also protects employees by limiting the amount of earnings that
may be garnished in any workweek or pay period to the lesser of 25
percent of disposable earnings or the amount by which disposable
earnings are greater than 30 times the federal minimum hourly wage
prescribed by Section 6(a) (1) of the Fair Labor Standards Act of 1938.
This limit applies regardless of how many garnishment orders an
employer receives. The federal minimum wage is $7.25 per hour
effective July 24, 2009.
Title III permits a greater amount of an employees wages to be
garnished for child support, bankruptcy, or federal or state tax
payments. Title III allows up to 50 percent of an employee's disposable
earnings to be garnished for child support if the employee is supporting
a current spouse or child, who is not the subject of the support order,
and up to 60 percent if the employee is not doing so. An additional five
percent may be garnished for support payments over 12 weeks in
arrears.
An employees "disposable earnings" is the amount of earnings left after
legally required deductions (e.g., federal, state and local taxes; Social
Security; unemployment insurance; and state employee retirement
systems) have been made. Deductions not required by law (e.g., union
dues, health and life insurance, and charitable contributions) are not
subtracted from gross earnings when the amount of disposable earnings
for garnishment purposes is calculated.
Title IIIs restrictions on the amount of wages that can be garnished do
not apply to certain bankruptcy court orders and debts due for federal
and state taxes. Nor do they affect voluntary wage assignments, i.e.,
situations where workers voluntarily agree that their employers may turn
over a specified amount of their earnings to a creditor or creditors.
Employee Rights
Title III will in most cases give wage earners the right to receive at least
partial compensation for the personal services they provide despite wage
garnishment. This law also prohibits an employer from discharging an
employee because of the garnishment of wages for any single
indebtedness. The Wage and Hour Division accepts complaints of alleged
Title III violations.
Recordkeeping
There are no recordkeeping requirements under Title III of the
Consumer Credit Protection Act.
Reporting
There are no reporting requirements under Title III of the Consumer
Credit Protection Act.
Penalties/Sanctions
Violations of Title III may result in the reinstatement of a discharged
employee, payment of back wages, and restoration of improperly
garnished amounts. Where violations cannot be resolved through
informal means, the Department of Labor may initiate court action to
restrain violators and remedy violations. Employers who willfully violate
the discharge provisions of the law may be prosecuted criminally and
fined up to $1,000, or imprisoned for not more than one year, or both.
If a state wage garnishment law differs from Title III, the employer must
observe the law resulting in the smaller garnishment, or prohibiting the
discharge of an employee because his or her earnings have been subject
to garnishment for more than one debt.
Related Information
Who Is Covered
Basic Provisions/Requirements
Employee Rights
Recordkeeping, Reporting, Notices and Posters
Notices and Posters
Recordkeeping
Reporting
Penalties/Sanctions
Relation to State, Local, and Other Federal Laws
Compliance Assistance Available
DOL Contacts
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Basic Provisions/Requirements
The MSPA requires farm labor contractors, agricultural employers, and
agricultural associations, who recruit, solicit, hire, employ, furnish,
transport, or house agricultural workers, as well as providers of migrant
housing, to meet certain minimum requirements in their dealings with
migrant and seasonal agricultural workers. These requirements include:
Employee Rights
The MSPA provides migrant agricultural workers and day-haul seasonal
agricultural workers the right to receive written notice of the terms and
conditions of their employment when recruited. In addition, it provides
seasonal workers the right to receive such notification upon the worker's
request. The MSPA also requires employers of migrants and seasonal
agricultural workers to adhere to the disclosed terms and conditions of
employment. Certain exemptions and exclusions apply to these
provisions.
The MSPA gives migrant and seasonal agricultural workers the right to
file a complaint with the Wage and Hour Division, file a private lawsuit
under the Act (or cause a complaint or lawsuit to be filed), or testify or
cooperate with an investigation or lawsuit in other ways without being
Recordkeeping
Payroll records. Each farm labor contractor, agricultural employer, and
agricultural association that employs migrant or seasonal agricultural
workers must make and keep the following records for each worker:
Net pay
Each farm labor contractor, agricultural employer, and agricultural
association that employs migrant or seasonal agricultural workers must
keep all payroll records for each worker for a period of three years.
When a farm labor contractor employs migrant or seasonal agricultural
workers for an agricultural employer, agricultural association, or other
farm labor contractor, the employer must also provide these payroll
records for each employee. The person receiving these records must
maintain them for a period of three years.
Reporting
Certificate of registration. Any person acting as a farm labor
contractor is required first to obtain a Certificate of Registration
authorizing each such activity. For more detail see the Instructions for
Form WH-530: Application for a Farm Labor Contractor or Farm Labor
Contractor Employee Certificate of Registration, Registration
Requirements Under the MSPA. The phrase "farm labor contracting
activity" means recruiting, soliciting, hiring, employing, furnishing, or
transporting any migrant or seasonal agricultural worker.
Any employee of a registered farm labor contractor who performs farm
labor contracting activities solely on behalf of such contractor, and who is
not an independent contractor, must obtain a Farm Labor Contractor
Employee Certificate of Registration authorizing each such activity. The
employee's certificate must show the name of the farm labor contractor
for whom the activities are to be performed. The contractor whose name
appears on the employee's certificate must hold a valid certificate of
registration covering the entire period shown on the employee's
certificate.
Penalties/Sanctions
Violations of the MSPA may result in civil money penalties, back wage
assessments, and revocations of certificates of registration. Violations
may also result in civil or criminal actions instituted by the Department
of Labor against any person found in violation of the Act. Civil money
penalties up to $1,000 may be assessed for each violation. Criminal
conviction for first time violators may result in one year in prison and a
$1,000 fine; repeat convictions can result in up to three years in prison
and $10,000 in fines. In addition, individuals whose MSPA rights have
been violated may seek civil money damages in federal court.
1-866-4USADOL FREE (
Related Information
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Who Is Covered
Basic Provisions/Requirements
Employee Rights
Recordkeeping, Reporting, Notices and Posters
Notices and Posters
Recordkeeping
Reporting
Penalties/Sanctions
1-
Self-employed persons;
Farms which employ only immediate members of the farmer's
family;
Working conditions for which other federal agencies, operating
under the authority of other federal laws, regulate worker safety. This
category includes most working conditions in mining, nuclear energy
Basic Provisions/Requirements
The Act assigns OSHA two regulatory functions: setting standards and
conducting inspections to ensure that employers are providing safe and
healthful workplaces. OSHA standards may require that employers adopt
certain practices, means, methods, or processes reasonably necessary
and appropriate to protect workers on the job. Employers must become
familiar with the standards applicable to their establishments and
eliminate hazards.
Compliance with standards may include implementing engineering
controls to limit exposures to physical hazards and toxic substances,
implementing administrative controls, as well as ensuring that
employees have been provided with, have been effectively trained on,
and use personal protective equipment when required for safety and
health, where the former controls cannot be feasibly implemented.
Employees must comply with all rules and regulations that apply to their
own actions and conduct. Even in areas where OSHA has not set forth a
standard addressing a specific hazard, employers are responsible for
complying with the OSH Act's "general duty" clause. The general duty
clause [Section 5(a)(1)] states that each employer "shall furnish . . . a
place of employment which is free from recognized hazards that are
causing or are likely to cause death or serious physical harm to his
employees."
The Act encourages states to develop and operate their own job safety
and health programs. OSHA approves and monitors these state plans,
which operate under the authority of state law. There are currently 27
OSHA State Plan States, of which 22 states and jurisdictions operate
complete state plans (covering both the private sector and state and
local government employees) and four (Connecticut, New Jersey, New
York, and the Virgin Islands) that cover state and local government
employees only. States with OSHA-approved job safety and health plans
must set standards that are at least as effective as the equivalent federal
standard. Most, but not all of the state plan states, adopt standards
identical to the federal ones.
Federal OSHA Standards. Standards are grouped into four major
categories: general industry (29 CFR 1910); construction (29 CFR
1926); maritime (shipyards, marine terminals, longshoring29 CFR
1915-19); and agriculture (29 CFR 1928). While some standards are
specific to just one category, others apply across industries. Among the
standards with similar requirements for all sectors of industry are those
that address access to medical and exposure records, personal
protective equipment, and hazard communication.
Employee Rights
The Act grants employees several important rights. Among them are the
right to file a complaint with OSHA about safety and health conditions in
their workplaces and, to the extent permitted by law, have their
identities kept confidential from employers; contest the amount of time
OSHA allows for correcting violations of standards; and participate in
OSHA workplace inspections.
Private sector employees who exercise their rights under OSHA can be
protected against employer reprisal, as described in Section 11(c) of the
OSH Act. Employees must notify OSHA within 30 days of the time they
learned of the alleged discriminatory action. OSHA will then investigate,
and if it agrees that discrimination has occurred, OSHA will ask the
employer to restore any lost benefits to the affected employee. If
necessary, OSHA can initiate legal action against the employer. In such
cases, the worker pays no legal fees. The OSHA-approved state plans
have parallel employee rights provisions, including protections against
employer reprisal.
February 1 of the year following the year covered by the form and keep
it posted until April 30 of that year.
Recordkeeping
OSHA-approved state plan states must adopt occupational injury and
illness recording requirements that are substantially identical to the
Federal OSHA requirements. Since each state plans requirements may
differ slightly, the Federal OSHA requirements are described below.
Records for employers with 10 or fewer employees. Employers
with 10 or fewer employees at all times during the last calendar year do
not need to keep OSHA injury and illness records unless OSHA or the
Bureau of Labor Statistics (BLS) informs them in writing that records
must be kept. However, all employers covered by the OSH Act must
report to OSHA any workplace incident that results in a fatality or the
hospitalization of three or more employees.
Records for employers in certain industries. If an employers
business is in an industry that is classified as low hazard, the employer
does not need to keep records unless OSHA or the BLS asks them to do
so in writing. The partial industry classification exemption applies to
individual establishments. If a company has several establishments
engaged in different classes of business activities, some of the
companys establishments may be required to keep records, while others
may be exempt. Industries currently designated as low-hazard include:
Automobile dealers
All other employers. Employers are required to use the Form 300 Log
of Work-Related Injuries and Illnesses to classify work-related injuries
and illnesses and to note the extent and severity of each case. When an
incident occurs, the Log is used to record specific details about what
happened and how it happened.
If the employer has more than one establishment or site, separate
records for each physical location that is expected to remain in operation
for one year or longer must be kept.
Employers are required to keep a separate Log (Form 300) and
Summary of Work-Related Injuries and Illnesses (Form 300A) for each
physical location that is expected to be in operation for one year or
longer. The Injury and Illness Incident Report (Form 301) is filled out
when a recordable work-related injury or illness has occurred. Together
with the Form 300 and Form 300A, these forms help the employer and
OSHA develop a picture of the extent and severity of work-related
incidents.
Employers must record work-related injuries and illnesses that result in:
Death
Loss of consciousness
Employers must record any significant work-related injuries and illnesses
that are diagnosed by a physician or other licensed health care
professional, such as any work-related case involving cancer, chronic
irreversible disease, a fractured or cracked bone or a punctured
eardrum.
Employers must record the following conditions when they are workrelated:
Reporting
OSHA-approved state plan states must adopt occupational injury and
illness reporting requirements that are substantially identical to the
Federal OSHA requirements. Since each state plans requirements may
differ slightly, the Federal OSHA requirements are described below.
All employers must report any workplace incident to OSHA within eight
hours after the death of any employee from a work-related incident or
the in-patient hospitalization of three or more employees. Employers
must orally report the fatality/multiple hospitalization by telephone or in
person to the Area OSHA office that is nearest to the site of the incident.
Employers may also use the OSHA toll-free central telephone
number,
1-800-321-OSHA FREE(
1-800-321-6742 FREE).
Penalties/Sanctions
Every establishment covered by the Act is subject to inspection by OSHA
compliance safety and health officers (CSHOs). These occupational
safety and health professionals possess the knowledge and experience
required to conduct workplace inspections; they have been thoroughly
trained in recognizing safety and health hazards and in enforcing OSHAs
Standards. In states with their own OSHA-approved state plan,
pursuant to state law, state officials conduct inspections, issue citations
for violations, and propose penalties in a manner that is at least as
effective as the federal program.
Any PMA requesting an abatement date that is more than two years
from the issuance date of the citation requires the approval of the
Regional Administrator as well as the Area Director. If the PMA is
approved, the Area Director shall notify the employer and the employee
representatives by letter.
The Area Director or Regional Administrator (as appropriate), after
consultation with the RSOL, shall object to a PMA where the evidence
supports non-approval (e.g., employer has taken no meaningful
abatement action at all or has otherwise exhibited bad faith). In such
cases, all relevant documentation shall be sent to the Review
Commission in accordance with 1903.14a(d). Both the employer and
the employee representatives shall be notified of this action by letter,
with return receipt requested. Letters notifying the employer or
employee representative of the objection shall be mailed on the same
date that the agency objection to the PMA is sent to the Review
Commission.
Employees may request an informal conference with OSHA to discuss
any issues raised by an inspection, citation, notice of proposed penalty,
or the employer's notice of intention to contest.
Informal conferences: When issued a citation or notice of a proposed
penalty, an employer may request an informal conference with OSHA's
Area Director to discuss the case. Employee representatives may be
invited to attend the meeting. To avoid prolonged legal disputes, the
Area Director is authorized to enter into settlement agreements that
may revise citations and penalties.
Notice of contest: If the employer decides to contest the citation, the
time set for abatement or the proposed penalty, he or she has 15
working days from the time the citation and proposed penalty are
received in which to notify the OSHA Area Director in writing. An orally
expressed disagreement will not suffice. This written notification is called
a "Notice of Contest." There is no specific format for the Notice of
Contest. However, it must clearly identify the employer's basis for
contesting the citation, notice of proposed penalty, abatement period, or
notification of failure to correct violations. To better identify the scope of
the contest, it also should identify the inspection number and citation
number(s) being contested.
Compliance Assistance Quick Start: Provides introductory step-bystep instruction to Occupational Safety and Health Administration
(OSHA) compliance assistance resources.
OSHA E-Tools and Electronic Products for Compliance Assistance:
Provides links to e-tools, PowerPoint presentations, and CD-ROMs.
Occupational Safety and Health Administration (OSHA) Compliance
Information: Provides a portal to OSHA's compliance assistance
resources.
OSHA Compliance Frequently Asked Questions: Highlights topics
and specific questions that are often asked of OSHA.
Additional compliance assistance, including explanatory brochures, fact
sheets, and regulatory and interpretive materials, is available on
theCompliance Assistance By Law Web page.
To help the public understand and apply its standards and regulations,
OSHA provides a number of print and Web-based tools, including fact
sheets, booklets, Expert Advisors, eTools, and Safety and Health Topics
pages. OSHA has a compliance assistance section on its Web site that
provides links to these materials. A variety of information is also
available on OSHAs Publications Web site, including online publication
order forms, the OSHA poster, and guidance on OSHA recordkeeping.
Publications can also be ordered from the OSHA Publications Office
at
1-202-693-1888.
through state Web sites, which are linked from OSHA's State
Occupational Safety and Health Plans Web page.
Cooperative Programs. OSHA offers a number of opportunities for
employers, employees, and organizations to work cooperatively with the
Agency. OSHAs major cooperative programs are the Voluntary
Protections Program (VPP), the Safety and Health Achievement
Recognition Program (SHARP), OSHA Challenge, the Alliance Program,
and the OSHA Strategic Partnership Program (OSPP). For further
information on OSHAs cooperative programs, visit the Cooperative
Programs section of OSHAs Web site.
Voluntary Protection Programs: The Voluntary Protection Programs
(VPP) are aimed at extending worker protection beyond the minimum
required by OSHA standards. The VPP is designed to:
accepted into SHARP are recognized as models for worksite safety and
health. Upon receiving SHARP recognition, the worksite will be exempt
from programmed inspections during the period that the SHARP
certification is valid. To participate in SHARP, an employer must contact
its states Consultation Program and request a free consultation visit that
involves a complete hazard identification survey.
OSHA Challenge: This program provides opportunities for employers to
work with OSHA and qualified volunteers (Challenge Administrators) to
develop safety and health management systems (SHMS) on par with VPP
and SHARP. OSHA Challenge breaks down SHMS implementation in three
stages. For each stage, the participants identify actions, documentation,
and outcomes. Unique aspects of OSHA Challenge include: no application
prerequisites for participants except for a letter of commitment stating
that they will follow the program and strive for safety and health
excellence; no time constraints to complete the stages, which allows
participants to work at their own level and pace; and the use of
Challenge Administrators experienced in SHMS to assist participants,
which limits the OSHA resources needed to manage the program.
Alliance Program: Through the Alliance Program, OSHA works with
businesses, trade and professional organizations, unions, educational
institutions, and other government agencies. Alliance Program
participants work with OSHA to leverage resources and expertise to help
develop compliance assistance tools, training opportunities, and other
information to help employers and employees prevent on-the-job
injuries, illnesses, and fatalities. OSHAs Alliances with organizations in
industries such as plastics, healthcare, maritime, chemical, construction,
paper and telecommunications, among others, are working to address
safety and health hazards with at-risk audiences, such as youth,
immigrant workers, and small business.
Strategic Partnership Program: In this program, OSHA enters into an
extended, voluntary, cooperative relationship with employers,
associations, unions, and/or councils. Partnerships often cover multiple
worksites, and in some instances, affect entire industries. Partner
worksites may be very large, but most often they are small businesses
averaging 50 or fewer employees. Strategic Partnerships are designed to
encourage, assist, and recognize efforts to eliminate serious hazards and
achieve a high level of worker safety and health. All Partnerships
emphasize sustained efforts and continuing results beyond the typical
three-year duration of the agreement.
Related Information
Who Is Covered
Basic Provisions/Requirements
Employee Rights
Recordkeeping, Reporting, Notices and Posters
Notices and Posters
Recordkeeping
Reporting
Penalties/Sanctions
Relation to State, Local, and Other Federal Laws
Compliance Assistance Available
DOL Contacts
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Basic Provisions/Requirements
The Mine Act requires that MSHA inspect all mines each year. All
underground mines are to receive at least four inspections annually; all
surface operations are to be inspected at least twice annually. MSHA is
specifically prohibited from giving advance notice of an inspection, and it
is authorized to enter mine property without a warrant.
The Mine Act requires or authorizes additional inspections and
investigations to ensure safe and healthy work environments for miners.
For example, mines that release large amounts of methane gas are to
receive more frequent inspections; mines determined to be exceptionally
hazardous may receive more frequent inspections. Additionally, MSHA
must investigate all fatal accidents and miners' complaints of
discrimination based upon the exercise of their rights under the Mine
Act.
To promote compliance with the provisions of the Act and its safety and
health standards, all violations found during inspections and
investigations must be cited. All violations are subject to civil penalties,
and all violations must be corrected within the time frames established
by MSHA.
The Mine Act permits representatives of the operator and the miners to
accompany MSHA during inspections and participate in pre- and postinspection conferences. If violations are cited, the circumstances
surrounding the violations are discussed during post-inspection
conferences. If these discussions do not result in resolution, the mine
operator may appeal the citation and the penalty to the Federal Mine
Safety and Health Review Commission, an independent body, with
further appeal to the U.S. Courts of Appeals.
In addition to setting safety and health standards for preventing
hazardous and unhealthy conditions, MSHA's regulations require
immediate notification of accidents, injuries, and illnesses; training
programs that meet the statutory requirements of the Mine Act; and
approval for use of certain equipment in gassy underground mines.
Mine operators must notify MSHA when they open or close a mine. They
may request the modification of an existing safety standard on a site-bysite basis. Under the Mine Act, MSHA may approve modifications only if
it determines that the alternate method proposed will guarantee no less
Raise the criminal penalty cap to $250,000 for first offenses and
$500,000 for second offenses, as well as establishing a maximum civil
penalty of $220,000 for flagrant violations;
Require MSHA to establish a Technical Study Panel on the use of
belt air in underground coal mines and the fire retardant materials in
belts;
Give MSHA the power to request an injunction (shutting down a
mine) in cases where the mine has refused to pay a final order MSHA
penalty; and
Establish the Brookwood-Sago Mine Safety Grants program to
provide training grants.
Emergency response plans. Each covered mine must develop and
continuously update a written emergency response plan. This plan must
be reviewed, updated, and re-certified by MSHA every six months. The
MINER Act required these plans to address six areas: post-accident
communication, post-accident tracking, post-accident breathable air,
lifelines for use in post-accident escape, training, and local emergency
coordination.
On January 16, 2009, MSHA issued Program Policy Letter No. P09-V1 Guidance for Compliance with Post-Accident Two-Way Communications
and Electronic Tracking Requirements of the MINER Act.
Training. MSHA has issued final rules under the MINER Act with
provisions for training in evacuation procedures for all persons.
o
and
Employee Rights
A good safety and health program depends on the active participation
and interest of everyone at a worksite. Because Congress wants to
encourage an active, responsible role for all parties in matters of mine
safety and health, the Mine Act gives individual miners, their
representatives, and job applicants many rights. Deaths, injuries, and
illnesses in the workplace can be decreased if all parties take advantage
of these rights.
The Act gives miners the rights to:
A mine operator must provide with the plan submittal to the District
Manager any comments and concerns raised by miners and miners
representatives.
If a miner, representative of miners, or job applicant, has general or
specific questions about rights under the Act, he or she should contact
the nearest MSHA office. The MSHA Web site lists locations and
telephone numbers for its offices nationwide.
Family liaison. The MINER Act requires MSHA to assign an individual
to serve as a Family Liaison between MSHA and the families of victims of
mine tragedies involving multiple deaths. MSHA is to be as responsive
as possible to requests from the families of mine accident victims for
information relating to mine accidents. In addition, in such accidents,
MSHA must serve as the primary communicator with the operator,
miners families, the press, and the public.
Recordkeeping
Mine operators are required to:
Record individual exposure to radon daughters. Each mine operator
is required to calculate and record complete individual time-weighted
and accumulative exposures to concentrations of radon daughters (fine
solid particles which result from the radioactive decay of radon gas), and
Is properly trained
Reporting
There are reporting requirements for Mine Operators, Independent
Contractors, and approved Training Instructors.
Mine operators are required to:
Apply for a mine identification number. All mines are required to
apply for an MSHA mine identification number. An MSHA ID is required for
each mine site and must be issued before any operations may begin.
The MSHA Identification (ID) Request (MSHA Form 7000-51) can be filed
on-line or by contacting the local MSHA district office.
File a legal identification number. Within 30 days of applying for a
Mine ID or when there are any changes to the legal ownership structure
for a mine, a mine operator must file a Legal Identification Report with
MSHA. The MSHA Form 2000-7 can be filed online or by contacting the
local MSHA district office. A mine operator must provide a Taxpayer
Identification Number.
File a mine employment and coal production report. The Quarterly
Mine Employment and Coal Production Report (MSHA Form 7000-2)
must be filed within 15 days after the close of each calendar quarter.
Written forms filed after the 15 day period will be considered late;
however, online filing for this form is open for a period of 25 days from
January 1, April 1, July 1, and October 1 of each year.
Report hazardous conditions. All impoundment and dust fraud
inquiries/complaints can be made to the MSHA Codeaphone line (
Name of company
Name of mine
The MSHA ID for the mine if known. A search can be done for an
MSHA ID by either mine name or company name using MSHA's Data
Retrieval System (DRS).
1-800-746-1553 FREE.
Penalties/Sanctions
The Mine Act established a maximum penalty of $10,000 per violation
against mine operators for violations found and cited. As a result of the
Omnibus Budget Reconciliation Act of 1990, the maximum was increased
to $55,000. The MINER Act amended section 110 of the Mine Act raising
the maximum civil penalty to $220,000 for violations that are deemed to
be flagrant. In addition, the MINER Act established minimum penalties
of $2,000 and $4,000 for unwarrantable failure violations, and increased
penalties for operators who fail to timely notify MSHA of certain
accidents.
On March 22, 2007, MSHA published a final rule amending 30 CFR Part
100 to implement the MINER Act provisions and to increase the
penalties across the board from the existing regulations. Under the
amended 30 CFR Part 100, all violations (including non-serious
violations) are assessed using a formula that incorporates six criteria set
forth in sections 105(b) and 110(i) of the Mine Act. These criteria are:
i.
ii.
iii.
iv.
v.
vi.
The Mine Act also provides for either civil penalties against individuals
for "knowing" violations, or criminal sanctions against mine operators
who "willfully" violate safety and health standards. MSHA reviews
particular citations and orders for possible knowing or willful violations.
In general, the violations reviewed include those involving imminently
dangerous situations and a high degree of negligence or reckless
disregard. MSHA initiates and conducts investigations of possible
knowing or willful violations. If evidence of willful violations is found, the
case is referred to the Department of Justice.
Related Information
Who Is Covered
Basic Provisions/Requirements
Employee Rights
Recordkeeping, Reporting, Notices and Posters
Notices and Posters
Recordkeeping
Reporting
Penalties/Sanctions
Relation to State, Local, and Other Federal Laws
Compliance Assistance Available
DOL Contacts
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Basic Provisions/Requirements
ERISA sets uniform minimum standards to ensure that employee benefit
plans are established and maintained in a fair and financially sound
manner. In addition, employers have an obligation to provide promised
benefits and satisfy ERISA's requirements for managing and
administering private retirement and welfare plans.
EBSA, together with the Department of the Treasurys Internal Revenue
Service (IRS), has the statutory and regulatory authority to ensure that
workers receive the promised benefits. EBSA has principal jurisdiction
over Title I of ERISA, which requires persons and entities that manage
and control plan funds to:
Fiduciary Standards. Part 4 of Title I sets forth standards and rules for
the conduct of plan fiduciaries. In general, persons who exercise
discretionary authority or control over management of a plan or
disposition of its assets are "fiduciaries" for purposes of Title I of ERISA.
Fiduciaries are required, among other things, to discharge their duties
solely in the interest of plan participants and beneficiaries and for the
exclusive purpose of providing benefits and defraying reasonable
expenses of administering the plan. In discharging their duties,
fiduciaries must act prudently and in accordance with documents
governing the plan, to the extent such documents are consistent with
ERISA.
ERISA prohibits certain transactions between an employee benefit plan
and "parties in interest," which include the employer and others who
may be in a position to exercise improper influence over the plan, and
such transactions may trigger civil monetary penalties under Title I of
ERISA. The Internal Revenue Code ("Code") also prohibits most of these
transactions, and it imposes an excise tax on "disqualified persons"
(whose definition generally parallels that of parties in interest) who
participate in such transactions.
Exemptions. Both ERISA and the Code contain various statutory
exemptions from the prohibited transaction rules and give the
Departments of Labor and Treasury, respectively, authority to grant
administrative exemptions and establish exemption procedures.
Reorganization Plan No. 4 of 1978 transferred the Department of
Treasury's authority over prohibited transaction exemptions to the
Department of Labor, with certain exceptions.
The statutory exemptions generally include loans to participants, the
provision of services needed to operate a plan for reasonable
compensation, loans to employee stock ownership plans,
and INVESTMENT with certain financial institutions regulated by other
state or federal agencies. (See ERISA Section 408 for the conditions of
the exemptions.) The Department of Labor may grant administrative
exemptions on a class or individual basis for a wide variety of proposed
transactions with a plan. Applications for individual exemptions must
include, among other information the following:
The Women's Health and Cancer Rights Act (WHCRA) contains protection
for patients who elect breast reconstruction in connection with a
mastectomy. For plan participants and beneficiaries receiving benefits in
connection with a mastectomy, plans offering coverage for a mastectomy
must also cover reconstructive surgery and other benefits related to a
mastectomy.
The Mental Health Parity Act of 1996 (MHPA) provides for parity in the
application of aggregate lifetime and annual dollar limits on mental
health benefits with dollar limits on medical/surgical benefits. Generally,
group health plans offering mental health benefits cannot set annual or
lifetime dollar limits on mental health benefits that are lower than any
such dollar limits for medical and surgical benefits.
The Mental Health Parity and Addiction Equity Act of 2008 (MHPAEA)
expanded the protections of MHPA to financial requirements (e.g.,
copayments or deductibles) or treatment limitations (e.g., visit limits).
Any financial requirements or treatment limitations imposed on mental
health or substance use disorder benefits can be no more restrictive than
the predominant requirements or limitations applied to substantially all
medical and surgical benefits covered by a plan.
The Genetic Information Nondiscrimination Act of 2008 (GINA) prohibits
group health plans and group health insurance issuers from
discriminating in health coverage based on genetic information. Plans
and issuers may not use genetic information to adjust premium or
contribution amounts for the group covered under the plan, request or
require an individual or their family members to undergo a genetic test,
or request, require, or purchase genetic information for underwriting
purposes or prior to or in connection with an individuals enrollment in
the plan.
Michelles Law, passed in 2008, prohibits group health plans from
terminating coverage for a dependent child who has lost student status
as a result of a medically necessary leave of absence. Plans must
continue to provide coverage for up to one year, or until coverage would
otherwise terminate under the plan. Plans are allowed to require
physician certification of the medical necessity for the leave of absence.
The Childrens Health Insurance Program Reauthorization Act of 2009
(CHIPRA) requires group health plans and group health insurance issuers
to permit an employee or dependent that is eligible for but not enrolled
Employee Rights
The Act grants employees several important rights. Among them are the
right to receive information about their pension or health benefit plans,
to participate in timely and fair processes for benefit claims, to elect to
temporarily continue group health coverage after losing coverage, to
receive certificates verifying health coverage under a plan, and to
recover benefits due under the plan.
Recordkeeping
ERISA contains recordkeeping requirements. For more information visit
the EBSA Compliance Assistance page.
Reporting
EBSA, in conjunction with the IRS and the Pension Benefit Guaranty
Corporation (PBGC) publishes the Form 5500 Annual
Return/Report forms used by plan administrators to satisfy various
annual reporting obligations under ERISA and the Internal Revenue
Code. Many health and welfare benefit plans that meet certain conditions
do not have to file the Form 5500 Annual Return/Report. However, for
those that do, EBSA publishes the forms used by plan administrators to
satisfy various annual reporting obligations under ERISA and the Internal
Revenue Code. The instructions for the Form 5500 provide helpful
information regarding the filing requirements. The Form 5500 is filed
and processed under the ERISA Filing Acceptance System (EFAST).
Beginning with the 2009 plan year filings, there are changes to the Form
5500 and required electronic filing using the modernized EFAST2
System. For more information, see the EFAST Web site.
In addition, the Reporting and Disclosure Guide for Employee Benefit
Plans can be used as a quick reference tool for certain basic reporting
requirements under ERISA.
Recordkeeping
ERISA contains recordkeeping requirements. For more information visit
the Compliance Assistance page.
Reporting
EBSA, in conjunction with the IRS and the Pension Benefit Guaranty
Corporation (PBGC) publishes the Form 5500 Annual Return/Report. The
Form 5500 Annual Return/Report is used by plan administrators to
satisfy annual reporting obligations under ERISA and the Internal
Revenue Code. Each year, pension plans are required to file the Form
5500 Annual Return/Report regarding their financial
condition, INVESTMENTS , and operations. The instructions for the Form
5500 provide helpful information regarding the filing requirements. The
Form 5500 is filed and processed under the ERISA Filing Acceptance
System (EFAST).
In addition, the Reporting and Disclosure Guide for Employee Benefit
Plans can be used as a quick reference tool for certain basic reporting
requirements under ERISA.
Penalties/Sanctions
ERISA confers substantial law enforcement responsibilities on the
Department of Labor. Part 5 of Title I of ERISA gives the Department of
Labor authority to bring a civil action to correct violations of the law,
provides investigative authority to determine whether any person has
violated Title I, and imposes criminal penalties on any person who
willfully violates any provision of Part 1 of Title I.
EBSA has authority under ERISA Section 502(c)(2) to assess civil
penalties for reporting violations. A penalty of up to $1,000 per day may
be assessed against plan administrators who fail or refuse to comply
with annual reporting requirements. Section 502(i) gives the agency
authority to assess civil penalties against parties in interest who engage
in prohibited transactions with welfare and nonqualified retirement plans.
The penalty can range from five percent to 100 percent of the amount
involved in a transaction.
A parallel provision of the Code directly imposes an excise tax against
disqualified persons, including employee benefit plan sponsors and
service providers, who engage in prohibited transactions with
tax-qualified retirement plans.
Finally, Section 502(l) requires the Department of Labor to assess
mandatory civil penalties equal to 20 percent of any amount recovered
with respect to fiduciary breaches resulting from either a settlement
agreement with the Department of Labor or a court order as the result of
a lawsuit by the Department of Labor.
EBSA FREE (
1-866-444-
1-866-444-3272 FREE).
EBSA's national offices and field offices offer individualized assistance for
persons seeking information and assistance on benefits and rights under
employee benefit plans. EBSA also issues advisory opinions and
information letters in response to requests from individuals and
organizations. Advisory opinions apply the law to a specific set of facts,
while information letters merely call attention to well-established
principles or interpretations. Further information about these programs
is contained in EBSA's booklet on "Customer Service Standards."
In addition, employee benefit plan documents and other materials are
available from the EBSA Public Disclosure Room. This facility may be
used to view and to obtain copies of materials on file. Materials include:
summary plan descriptions, Form 5500 Series reports, Master Trust
Related Information
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o
Who Is Covered
Basic Provisions/Requirements
Employee Rights
Recordkeeping, Reporting, Notices and Posters
Notices and Posters
Recordkeeping
Reporting
Penalties/Sanctions
Relation to State, Local, and Other Federal Laws
Compliance Assistance Available
DOL Contacts
Basic Provisions/Requirements
Monthly benefits for eligible miners and their survivors are based on a
percentage of the monthly salary of a GS-2, step 1 federal government
is made from the Black Lung Disability Trust Fund pending appeal of an
award, the liable operator must reimburse the Trust Fund for the benefits
paid plus interest if the award is upheld.
Employee Rights
If an employee, or his or her survivor, or an employer disagrees with a
claim determination by the Division of Coal Mine Workers' Compensation,
that party may request a formal hearing before an Administrative Law
Judge. The Administrative Law Judges decision may be appealed to the
Benefits Review Board, and the Benefits Review Board's decision may be
appealed to the U.S. Court of Appeals.
Recordkeeping
There are recordkeeping requirements for employers under the Black
Lung Benefits Act.
Employers that pay benefits are required to keep a receipt for each
payment made. A cancelled check is sufficient proof of payment. The
employer must retain each receipt for at least five years after the receipt
was executed and must produce the receipts for inspection upon the
request of OWCP.
Any employer permitted to self-insure its liabilities under the Act may be
required to submit reports to OWCP concerning its self-insurance status.
The employer is expected to maintain any books of account, records or
other papers that would verify any financial statement or other
information contained in such a report. At the request of OWCP, the
employer must produce such material for inspection or examination. The
failure to permit such inspection may result in a revocation of the
employers self-insured status.
Reporting
There are reporting requirements for employers, insurance carriers,
medical providers, representative payees, and claimants under the Black
Lung Benefits Act.
Employers. The Black Lung Benefits Act imposes numerous reporting
obligations. Many of these are related to the Act's requirement that coal
mine operators (except for coal mine construction or transportation
employers) secure the payment of benefits through self-insurance or
commercial insurance. A coal mine operator permitted to self-insure
must submit any report that OWCP might request, such as, for example,
a report addressing the employers financial condition. The failure to
submit any requested report could result in revocation of the employers
self-insurance status.
If an award of benefits is issued against an employer that has neither
self-insured nor obtained commercial insurance, OWCP may require the
employer to secure the payment of benefits by posting a bond, cash, or
negotiable securities. In such a case, the employer is required to submit
to OWCP, within 30 days, proof that it has complied with the request.
Any employer ordered to pay benefits under the Act must report to
OWCP the first payment of benefits and any change (such as suspension,
reduction, or increase) in benefits payments thereafter. Employers
should use Form CM 908 to report the termination or suspension of
benefits and a reduction or increase in benefit amounts. In addition,
within 16 days after the final payment of benefits, the employer must file
a report with OWCP indicating that fact and listing the name of the
beneficiary, the total amount of benefits paid and any other information
required by OWCP. OWCP may also require other reports it deems
Penalties/Sanctions
The Department of Labor may suspend or revoke the authority to selfinsure due to an operator's failure to comply with the BLBA and its
regulations, the insolvency of the operators surety on an indemnity
bond, or impairment of the operator's financial responsibility. Revocation
of the authority to self-insure or the failure to obtain insurance does not
relieve operators of liability for the payment of benefits and the provision
of medical treatment. Operators who fail to secure insurance may be
subject to a civil money penalty of $1,000 for each day there is no
insurance in effect.
A lien may be placed against the property of operators who fail to
reimburse the Trust Fund for benefits paid on the operators behalf. The
Department of Labor may also seek an injunction in U.S. District Court
to ensure that an operators obligations under the BLBA are met and to
prevent future noncompliance. Operators are also subject to payment of
interest to the claimant, if benefit payments are not timely made, and to
the Trust Fund, on benefits paid on the operators behalf for which the
operator is determined to be liable. Moreover, operators who fail to pay
benefits within 10 days after payments become due, may be assessed
an additional 20 percent of the amount due, which is payable to the
claimant.
Operators who knowingly conceal or dispose of any property to avoid the
payment of benefits under the Act may be guilty of a misdemeanor and,
if convicted, subject to a fine of $1,000, imprisonment for up to one
year, or both.
Related Information
Who Is Covered
Basic Provisions/Requirements
Employee Rights
Recordkeeping, Reporting, Notices and Posters
Notices and Posters
Recordkeeping
Reporting
Penalties/Sanctions
Relation to State, Local, and Other Federal Laws
Compliance Assistance Available
DOL Contacts
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Basic Provisions/Requirements
Covered disabled employees receive compensation at the rate of 66 2/3
percent of the employees average weekly wage, subject to specified
weekly maximum and minimum rates, for as long as the effects of the
injury continue. Compensation is also available for certain permanent
impairments. Benefits are paid to a surviving spouse at the rate of 50
percent of the average weekly wage, and if there are surviving children,
an additional 16 2/3 percent is payable on their behalf.
If any installment of compensation payable without an award is not paid
within 14 days after it becomes due, an additional 10 percent will be
added to the unpaid installment. OWCP may excuse the employers
failure to pay timely if the employer contacts OWCP and demonstrates
that payment could not be made within the prescribed time period due
to conditions beyond the employers control. If any compensation
payable under an award is not paid within 10 days after it becomes due,
an additional 20 percent will be added to the unpaid installment.
Current benefit levels can be found at OWCPs National Average Weekly
Wages Web page.
Injured employees are also entitled to have their employer pay for all
reasonable and related medical expenses. Employees may also be
eligible for vocational rehabilitation.
Employers of covered employees are required to secure the payment of
compensation and medical benefits. Employers may do so in one of two
ways. They must either purchase insurance from a commercial
insurance carrier that the Department of Labor has authorized to provide
LHWCA insurance or obtain the Department of Labors authorization to
self-insure. Except for special circumstances in which a Special Fund
administered by the Department of Labor pays benefits, authorized
insurance carriers and self-insured employers pay all benefits to
claimants under the LHWCA. When an employer obtains insurance
through an insurance carrier, the employers obligation to pay monetary
benefits and provide medical benefits is equally the obligation of the
insurance carrier.
Once insurance has been obtained, the employer may request a
certificate from the district director in the compensation district where he
or she has operations, showing that the payment of compensation has
been secured. Only one certificate will be issued to an employer in a
compensation district, and it will be valid only during the period for
which the employer has secured such payment.
The employer or insurance carrier must pay compensation payments
periodically, promptly, and directly to the person entitled to benefits
under the Act.
Employee Rights
An employer may not discharge or in any manner discriminate against
an employee because he or she has claimed or attempted to claim
compensation, or has participated in a proceeding under this Act. This
prohibition does not prevent discharge of or refusal to employ a person
who has been found to have filed a fraudulent claim for compensation or
who has otherwise made a false statement or misrepresentation.
Any party to a claim has a right to challenge the status quo with respect
to any matter. The OWCP provides mediation services in which it seeks
to informally resolve disagreements. After an informal conference,
Recordkeeping
There are recordkeeping requirements for employers, self-insured
employers and insurance carriers, medical providers, representative
payees, and claimants under the Longshore Act.
Reporting
There are reporting requirements for employers, self-insured employers,
insurance carriers, claimants, and medical providers.
Employers. The Longshore Act imposes numerous reporting obligations
on employers. The carrier may make these reports on behalf of the
insured employer.
Employers must file, with the OWCP district director, an original and one
copy of an Employers First Report of Injury or Occupational Illness
within 10 days of an employees work-related injury or death, or within
10 days of when the employer had knowledge of the injury or death.
Injuries include occupational diseases or infections arising naturally from
employment or as a result of an accidental injury. This reporting
requirement applies to any injury that causes loss of one or more shifts
of work, or death. Employers use Form LS-202 to report this
information.
The employer need not file a first report of injury unless the injury
causes the employee to lose one or more shifts from work. However, the
employer must keep records containing the following information:
Penalties/Sanctions
OWCP may suspend or revoke the authorization of any insurer or selfinsurer. Failure by an insurer or a self-insurer to comply with any
provision or requirement of law or regulations, failure or insolvency of
the surety on his or her indemnity bond, or impairment of financial
responsibility are deemed good causes for suspension or revocation.
Any employer who fails to secure coverage by authorized insurance
carriers or by becoming an authorized self-insurer is subject, upon
conviction, to a fine of not more than $10,000, or by imprisonment for
not more than one year, or both.
Failure to file an Employers Supplementary Report of Accident or
Occupational Illness to provide additional information not contained in
the employers first report, can result in imposition of a civil penalty up
to $11,000 and loss of legal defenses. In addition to reporting injuries,
failure to file a final report regarding payments of compensation can lead
to monetary penalties.
Related Information
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Who Is Covered
Basic Provisions/Requirements
Employee Rights
Recordkeeping, Reporting, Notices and Posters
Notices and Posters
Recordkeeping
Reporting
Penalties/Sanctions
Relation to State, Local, and Other Federal Laws
Compliance Assistance Available
DOL Contacts
Basic Provisions/Requirements
Covered disabled employees receive compensation at the rate of 66 2/3
percent of the employees average weekly wage, subject to specified
weekly maximum rates, for as long as the effects of the injury continue.
Compensation is also available for certain permanent impairments.
Benefits are paid to a surviving spouse at the rate of 50 percent of the
average weekly wage, and if there are surviving children, an additional
16 2/3 percent is payable on their behalf.
If any installment of compensation payable without an award is not paid
within 14 days after it becomes due, an additional 10 percent may be
added to the unpaid installment. OWCP may excuse the employers
failure to pay timely if the employer contacts OWCP and demonstrates
that payment could not be made within the prescribed time period due
to conditions beyond the employers control, especially in the case of
foreign claims due to uncontrollable circumstances of communications,
distance, access to remote locations, and war zone conditions. If any
compensation payable under an award is not paid within 10 days after it
becomes due, an additional 20 percent may be added to the unpaid
installment.
Current benefit levels can be found at OWCPs National Average Weekly
Wages Web page.
Injured employees are also entitled to have their employer pay for all
reasonable and related medical expenses.
Insurance and Self-Insurance
Employee Rights
An employer may not discharge or in any manner discriminate against
an employee because he or she has claimed or attempted to claim
compensation, or has participated in a proceeding under this Act. This
prohibition does not prevent discharge of or refusal to employ a person
who has been found to have filed a fraudulent claim for compensation or
who has otherwise made a false statement or misrepresentation.
Any party to a claim has a right to challenge the status quo with respect
to any matter. The OWCP provides mediation services in which it seeks
to informally resolve disagreements. The OWCP makes every effort to
provide such services to overseas claimants, subject to the restrictions
imposed by communications, distance, and access to remote locations.
After an informal conference, OWCP makes a recommendation to the
parties. If an employee or his or her survivor(s), or an employer or
insurance carrier, disagrees with OWCPs recommendation, a formal
hearing may be requested before an Administrative Law Judge. The
Administrative Law Judge's decision may in turn be reviewed by the
Benefits Review Board. An appeal of the Benefits Review Board's
decision may be taken to the U.S. Court of Appeals and finally to the
U.S. Supreme Court.
Recordkeeping
There are recordkeeping requirements for employers, self-insured
employers and insurance carriers, medical providers, representative
Reporting
There are reporting requirements for employers, self-insured employers,
insurance carriers, claimants, and medical providers.
Employers. The Longshore Act imposes numerous reporting obligations
on employers. The carrier may make these reports on behalf of the
insured employer.
Employers must file, with the OWCP district director, an original and one
copy of an Employers First Report of Injury or Occupational Illness
within 10 days of an employees work-related injury or death, or within
10 days of when the employer had knowledge of the injury or death.
Injuries include occupational diseases or infections arising naturally from
employment or as a result of an accidental injury. This reporting
requirement applies to any injury that causes loss of one or more shifts
of work, or death. Employers use Form LS-202 to report this
information.
The employer need not file a first report of injury unless the injury
causes the employee to lose one or more shifts from work. However, the
employer must keep records containing the following information:
Penalties/Sanctions
OWCP may suspend or revoke the authorization of any insurer or selfinsurer. Failure by an insurer or a self-insurer to comply with any
provision or requirement of law or regulations, failure or insolvency of
the surety on his or her indemnity bond, or impairment of financial
responsibility are deemed good causes for suspension or revocation.
Related Information
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Who Is Covered
Basic Provisions/Requirements
Employee Rights
Recordkeeping, Reporting, Notices and Posters
Notices and Posters
Recordkeeping
Reporting
Penalties/Sanctions
Relation to State, Local, and Other Federal Laws
Compliance Assistance Available
DOL Contacts
Basic Provisions/Requirements
The FMLA entitles eligible employees of covered employers to take jobprotected, unpaid leave for specified family and medical reasons.
Eligible employees are entitled to:
Birth and care of the employee's child, within one year of birth
Employee Rights
not eligible, must state at least one reason why the employee is not
eligible.
The Department of Labor makes available a Prototype Eligibility and
Rights and Responsibilities Notice (Form WH-381), which employers may
adapt as appropriate for their use to meet their eligibility and rights and
responsibilities (see below) notice requirements.
Rights and Responsibilities notice. Each time the eligibility notice is
provided, the employer is also required to provide a written notice
detailing the specific expectations and obligations of the employee and
explaining any consequences of a failure to meet these obligations. If
leave has already begun, the employer should mail the notice to the
employees address of record. The employer must translate this notice in
any situation where it is obligated to translate the general notice into a
language in which employees are literate. The written notice must also
include information on:
The specific notice may include other information such as whether the
employer will require periodic reports of the employees status and intent
to return to work, but is not required to do so. The notice of rights and
responsibilities may be accompanied by any required certification form.
If the specific information provided by the notice changes, the employer
must provide written notice referencing the prior notice and setting forth
any of the information that has changed. This notice of changes should
be provided within five business days of receipt of the employee's first
notice of need for leave subsequent to any change.
The Department makes available a Prototype Eligibility and Rights and
Responsibilities Notice (Form WH-381), which employers may adapt as
appropriate for their use to meet their eligibility and rights and
responsibilities notice requirements.
Designation notice. The employer is responsible in all circumstances
for designating leave as FMLA-qualifying and giving notice of the
designation to the employee. When the employer has enough
information to determine whether the leave is being taken for an FMLAqualifying reason, such as after receiving a certification, the employer
must notify the employee whether the leave is designated and will count
as FMLA leave within five business days, absent extenuating
circumstances. Only one designation notice for each FMLA-qualifying
reason per applicable 12-month leave year is required. The employer
must also notify the employee if it determines that the leave is not
FMLA-qualifying and will not be designated as FMLA leave.
If the employer is requiring the employee to submit a fitness-for-duty
certification to be restored to his or her job, the employer must provide
notice of the requirement with the designation notice. If the employer
will require that the fitness-for-duty certification address the employees
ability to perform the essential functions of the employees position, the
employer must indicate so in the designation notice and include a list of
the essential functions. If the employer handbook or other written
documents describing the employer's leave policies clearly provide that a
fitness-for-duty certification will be required in specific circumstances,
the employer is not required to provide written notice of this
requirement, but must provide at least oral notice no later than at the
time off the designation notice.
Recordkeeping
Employers are required to make, keep, and preserve records pertaining
to their obligations under FMLA in accordance with the recordkeeping
requirements of the Fair Labor Standards Act (FLSA). The FMLA does not
require that employers keep their records in any particular order or
form, or revise their computerized payroll or personnel records systems
to comply.
Employers must keep the records for no less than three years and make
them available for inspection, copying, and transcription by Department
of Labor representatives upon request. Records kept in computer form
must be made available for transcription and copying.
Covered employers who have eligible employees must maintain records
that must disclose the following:
Terms of compensation
Reporting
There are no reporting requirements under the FMLA.
Penalties/Sanctions
Covered employers are required to post a notice for employees outlining
the basic provisions of the FMLA and are subject to a $110 civil money
penalty if they willfully fail to post such a notice.
1-866-4USWAGE FREE (
1-866-487-
9243 FREE).
The Department of Labor provides employers, workers, and others with
clear and easy-to-access information and assistance on how to comply
with the Family and Medical Leave Act. Among the many resources
available are: