Employment Law Guide

Employment Law Guide:
Laws, Regulations, and Technical Assistance Services

Prepared by the Office of the Assistant Secretary for Policy
This Guide describes the major statutes and regulations administered by

the U.S. Department of Labor (DOL) that affect businesses and workers.
TheGuide is designed mainly for those needing "hands-on" information
to develop wage, benefit, safety and health, and nondiscrimination
policies for businesses.
Statutory and regulatory changes will occur over time, which may affect
the information in this Guide. For the latest information on all laws
check this site periodically.
Table of contents
Updated: September 2009
Preface
Overview
I.
Wages and Hours Worked

Minimum Wage and Overtime Pay - Fair Labor Standards Act
Wage Garnishment - Consumer Credit Protection Act
Worker Protections in Agriculture - Migrant and Seasonal
Agricultural Worker Protection Act
Child Labor Protections (Nonagricultural Work) - Fair Labor
Standards Act - Child Labor Provisions
Child Labor Protections (Agricultural Work) - Fair Labor Standards
Act - Child Labor Provisions
Workers with Disabilities for the Work Being Performed - Fair Labor
Standards Act - Section 14(c)
II. Safety and Health Standards

Occupational Safety and Health - Occupational Safety and Health
Act
Mine Safety and Health - Mine Safety and Health Act
Child Labor Protections (Nonagricultural Work) - Fair Labor
Standards Act - Child Labor Provisions
III. Health Benefits, Retirement Standards, and Workers'

Compensation
Employee Benefit Plans - Employee Retirement Income Security Act
Black Lung Compensation - Black Lung Benefits Act
Longshore and Harbor Workers' Compensation - Longshore and
Harbor Workers' Compensation Act
Defense Base Compensation - Defense Base Act
Family and Medical Leave - Family and Medical Leave Act
IV. Other Workplace Standards

Lie Detector Tests - Employee Polygraph Protection Act
Whistleblower and Retaliation Protections - Occupational Safety and
Health Act, Surface Transportation Assistance Act
and Other
Statutes
Notices for Plant Closings and Mass Layoffs - Worker Adjustment

and Retraining Notification Act
Union Officer Elections and Financial Controls - Labor-Management

Reporting and Disclosure Act
Reemployment and Nondiscrimination Rights for Uniformed Services

Members - Uniformed Services Employment and Reemployment Rights
Act
V. Work Authorization for non-U.S. citizens

General Information on Immigration, Including I-9
Forms - Immigration and Nationality Act
Temporary Agricultural Workers (H-2A Visas) - Immigration and
Nationality Act - H-2A
Temporary Non-Agricultural Workers (H-2B Visas) - Immigration
and Nationality Act - H-2B
Workers in Professional and Specialty Occupations (H-1B, H-1B1,
and E-3 Visas) - Immigration and Nationality Act - H-1B, H-1B1, E-3
Workers Seeking Permanent Employment in the United
States - Immigration and Nationality Act
Crewmembers (D-1 Visas) - Immigration and Nationality Act - D-1
Registered Nurses (H-1C Visas) - Immigration and Nationality Act H1-C
VI. Federal Contracts: Working Conditions
Wages in Supply & Equipment Contracts - Walsh-Healy Public

Contracts Act
Prevailing Wages in Service Contracts - McNamara-O'Hara Service

Contract Act
Prevailing Wages in Construction Contracts - Davis-Bacon and

Related Acts
Hours and Safety Standards in Construction Contracts - Contract

Work Hours and Safety Standards Act
Prohibition Against "Kickbacks" in Federally Funded - Copeland
"Anti-Kickback" Act
VII. Federal Contracts: Equal Opportunity in Employment
Employment Nondiscrimination and Equal Opportunity in Supply &
Service Contracts - Executive Order 11246 - Supply and Service
Employment Nondiscrimination and Equal Opportunity in
Construction Contracts - Executive Order 11246 - Construction
Contracts
Employment Nondiscrimination and Equal Opportunity for Qualified
Individuals with Disabilities - The Rehabilitation Act of 1973
Employment Nondiscrimination and Equal Opportunity for Covered
Veterans - The Vietnam Era Veterans' Readjustment Assistance Act
INDEX OF LAWS OF PARTICULAR APPLICABILITY TO AN

INDUSTRY
Agriculture


Temporary Agricultural Workers (H-2A Visas) - Immigration and

Nationality Act - H-2A
Note: Under the authority of the Occupational Safety and Health Act,
OSHA has issued a number of safety standards that address such
matters as field sanitation, overhead protection for operators of
agricultural tractors, grain handling facilities, and guarding of farm field
equipment and cotton gins. Contact the local OSHA office for more detail
(
1-800-321-OSHA FREE).
Mining
Mine Safety and Health - Mine Safety and Health Act
Black Lung Compensation - Black Lung Benefits Act

Construction
Prevailing Wages in Construction Contracts - Davis-Bacon and

Related Acts
Hours and Safety Standards in Construction Contracts - Contract

Work Hours and Safety Standards Act
Prohibition Against "Kickbacks" in Federally Funded

Construction - Copeland "Anti-Kickback" Act
Employment Non-Discrimination and Equal Opportunity in

Construction Contracts - Executive Order 11246 - Construction
Contracts
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 (
1-866-487-2365 FREE). All calls are kept
confidential within the bounds of DOL's compliance

assistance confidentiality protocol.
Small Business Regulatory Enforcement Fairness Act of 1996
The Small Business Regulatory Enforcement Fairness Act of 1996
(SBREFA) places obligations on federal agencies and provides rights to
small businesses. The Department of Labor's Office of Small Business
Programs oversees the Department's SBREFA activities. Information on
SBREFA is also available from the Small Business Administration (SBA).
Plain language guides such as this one are created to assist small
businesses comply with federal laws.[1]
Other Information for Employers and Employees
By itself or with other agencies, the Department of Labor administers
several employment programs to assist both employees and employers.
In particular, One-Stop Career Centers established under the
Workforce INVESTMENT Act offer a variety of services for individuals
seeking employment, as well as resources for employers seeking
workers.
Employees who lose their jobs due to changes in business conditions
may wish to file for unemployment insurance benefits, which are
administered by the various states with assistance from the Department
of Labor. Employees who lose their jobs due to increased imports from,
or shifts in production to, foreign countries may be eligible for assistance
under the Trade Adjustment Act program.
Further information about all of these programs and provisions can be
found on the Employment and Training Administration's Web site.
[1] Under SBREFA, the SBA has established an SBA Ombudsman and
SBA Regional Fairness Boards. If you wish to comment directly to SBA
on the enforcement actions of any DOL agency, call
1-888-7343247 FREE. You also may call the Department of Labor's Office of Small
Business Programs at
1-202-693-6460 or your local DOL
Regional Office.
Wages and Hours Worked: Minimum Wage and Overtime Pay
Compliance Assistance By Law

Fair Labor Standards Act FLSA
DOL Agency Assistance

Wage and Hour Division FLSA Page
Related Information
o
o
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
Return to Table of Contents

Fair Labor Standards Act of 1938 (FLSA), as amended

(29 USC 201 et seq.; 29 CFR Parts 510 to 794)
Who is Covered
The Fair Labor Standards Act (FLSA) is administered by the Wage and
Hour Division (WHD). The Act establishes standards for minimum wages,
overtime pay, recordkeeping, and child labor. These standards affect
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:
Executive, administrative, and professional employees (including

teachers and academic administrative personnel in elementary and
secondary schools), outside sales employees, and certain skilled

computer professionals (as defined in the Department of Labor's
regulations) 1
Employees of certain seasonal amusement or recreational
establishments
Employees of certain small newspapers and switchboard operators
of small telephone companies
Seamen employed on foreign vessels
Employees engaged in fishing operations
Employees engaged in newspaper delivery
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:
Certain commissioned employees of retail or service establishments
Auto, truck, trailer, farm implement, boat, or aircraft salespersons

employed by non-manufacturing establishments primarily engaged in
selling these items to ultimate purchasers
Auto, truck, or farm implement parts-clerks and mechanics
employed by non-manufacturing establishments primarily engaged in
selling these items to ultimate purchasers
Railroad and air carrier employees, taxi drivers, certain employees
of motor carriers, seamen on American vessels, and local delivery
employees paid on approved trip rate plans
Announcers, news editors, and chief engineers of certain
non-metropolitan broadcasting stations
Domestic service workers who reside in their employers' residences
Employees of motion picture theaters
Farmworkers
Certain employees may be partially exempt from the overtime pay
requirements. These include:
Employees engaged in certain operations on agricultural

commodities and employees of certain bulk petroleum distributors
Employees of hospitals and residential care establishments that
have agreements with the employees that they will work 14-day
periods in lieu of 7-day workweeks (if the employees are paid overtime
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
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:
Student learners (vocational education students);

Full-time students in retail or service establishments, agriculture, or
institutions of higher education; and
Individuals whose earning or productive capacities for the work to

be performed are impaired by physical or mental disabilities, including
those related to age or injury.
The Act does not limit either the number of hours in a day or the number
of days in a week that an employer may require an employee to work, as
long as the employee is at least 16 years old. Similarly, the Act does not
limit the number of hours of overtime that may be scheduled. However,
the Act requires employers to pay covered employees not less than one
and one-half times their regular rate of pay for all hours worked in
excess of 40 in a workweek, unless the employees are otherwise
exempt. For additional information regarding overtime pay requirements,
see the Wage and Hour Division Fact Sheet #23: Overtime Pay
Requirements of the FLSA.
The Act prohibits performance of certain types of work in an employee's
home unless the employer has obtained prior certification from the
Department of Labor. Restrictions apply in the manufacture of knitted
outerwear, gloves and mittens, buttons and buckles, handkerchiefs,
embroideries, and jewelry (where safety and health hazards are not
involved). Employers wishing to employ homeworkers in these industries
are required to provide written assurances to the Department of Labor
that they will comply with the Act's wage and hour requirements, among
other things.
The Act generally prohibits manufacture of women's apparel (and
jewelry under hazardous conditions) in the home except under special
certificates that may be issued when the employee cannot adjust to
factory work because of age or disability (physical or mental), or must
care for a disabled individual in the home.
Special wage and hour provisions apply to state and local government
employment. For these special provisions, see the Wage and Hour
Division Fact Sheet #7: State and Local Governments Under the FLSA.
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-
9243 FREE). In addition, an employee may file a private suit, generally

for the previous two years of back pay (three years in the case of a
willful violation) and an equal amount as liquidated damages, plus
attorney's fees and court costs.
It is a violation of the Act to fire or in any other manner discriminate
against an employee for filing a complaint or for participating in a legal
proceeding under the Act.
Notices and Posters

Every employer of employees subject to the FLSAs minimum wage
provisions must post, and keep posted, a notice explaining the Act in a
conspicuous place in all of their establishments. Although there is no size
requirement for the poster, employees must be able to readily read it.
The FLSA poster is also available
in Spanish, Chinese, Russian, Thai, Hmong, Vietnamese, and Korean.
There is no requirement to post the poster in languages other
thanEnglish.
Covered employers are required to post the general Fair Labor Standards
Act poster; however, certain industries have posters designed specifically
for them. Employers of Agricultural Employees (PDF) and State & Local
Government Employees (PDF) can either post the general Fair Labor
Standards Act poster or their specific industry poster. There are also
posters for American Samoa (PDF) and Northern Mariana Islands (PDF).
Every employer who employs workers with disabilities under special
minimum wage certificates is also required to post the Employee Rights
for Workers with Disabilities/Special Minimum Wage Poster.
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:
Employee's full name, as used for Social Security purposes, and on

the same record, the employee's identifying symbol or number if such
is used in place of name on any time, work, or payroll records
Address, including zip code
Birth date, if younger than 19
Sex and occupation
Time and day of week when employee's workweek begins
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
Total daily or weekly straight-time earnings
Total overtime earnings for the workweek
All additions to or deductions from the employee's wages
Total wages paid each pay period
Date of payment and the pay period covered by the payment

For a full listing of the basic records that an employer must maintain,
see the Wage and Hour Division Fact Sheet #21: Recordkeeping
Requirements Under the FLSA. Employers are required to preserve for at
least three years payroll records, collective bargaining agreements, and
sales and purchase records. Records on which wage computations are
based should be retained for two years. These include time cards and
piecework tickets, wage rate tables, work and time schedules, and
records of additions to or deductions from wages.
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.

State laws on wages and hours also apply to employment subject to this
Act. When both this Act and a state law apply, the law setting the higher
standards must be observed.

More detailed information about the FLSA, including copies of
explanatory brochures and regulatory and interpretative materials, is
available on theWage and Hour Division's Web site, or by contacting a
local Wage and Hour Division office. Another compliance assistance
resource, the elaws Fair Labor Standards Act Advisor, helps answers
questions about workers and businesses that are subject to the FLSA.
The Department of Labor provides employers, workers, and others with
clear and easy-to-access information and assistance on how to comply
with the FLSA. Among the many resources available are:
The Handy Reference Guide to the FLSA

Fair Labor Standards Act (FLSA) Coverage and Employment Status
Advisor: Helps employers and employees understand and determine
coverage of employees under the FLSA.
Fair Labor Standards Act (FLSA) Hours Worked Advisor: Helps
employers and employees determine which work-related activities are
considered "hours worked" and thus hours for which employees must
be paid.
Fair Labor Standards Act (FLSA) Overtime Security Advisor: Helps
employees and employers determine whether a particular employee is
exempt from the FLSA's minimum wage and overtime pay

requirements.
Fair Labor Standards Act (FLSA) Overtime Calculator Advisor: Helps
employers and employees compute the amount of overtime pay due in
a sample pay period based on information from the user.
FLSA Fact Sheets: Topical Fact Sheet Index
Comprehensive FLSA Presentation (Microsoft PowerPoint)
Additional compliance assistance information is available on
the Compliance Assistance By Law Web page.
Wages and Hours Worked: Wage Garnishment

The Consumer Credit Protection Act

Wage and Hour Division Wage Garnishment Page
Related Information
o
o
o
Who Is Covered
Employee Rights
Notices and Posters
Recordkeeping
Reporting
Penalties/Sanctions
DOL Contacts
Title III, Consumer Credit Protection Act (CCPA)

(15 USC 1671 et seq. (PDF); 29 CFR Part 870)
Who is Covered
Title III of the Consumer Credit Protection Act (CCPA) is administered by
the Wage and Hour Division (WHD). The CCPA protects employees from
discharge by their employers because their wages have been garnished
for any one debt, and it limits the amount of an employee's earnings
that may be garnished in any one week. Title III applies to all employers
and individuals who receive earnings for personal services (including
wages, salaries, commissions, bonuses, and periodic payments from a
pension or retirement program, but ordinarily does not include tips).
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.
Notices and Posters

There are no poster or notice requirements under Title III of the
Consumer Credit Protection Act.
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.

with the Consumer Credit Protection Act on the Compliance Assistance
"By Law" Web page.
More detailed information, including copies of explanatory brochures and
regulatory and interpretative materials such as the Federal Wage
Garnishment Law Fact Sheet, may be obtained from the Wage and Hour
Divisions Web site or by contacting a local Wage and Hour Division
office.
Wages and Hours Worked: Worker Protections in Agriculture
Related Information
The Migrant and Seasonal Agricultural Worker Protection Act

(MSPA)
Wage and Hour Division MSPA Page
Who Is Covered
Employee Rights
Notices and Posters
Recordkeeping
Reporting
Penalties/Sanctions
DOL Contacts
o
o
o

Migrant and Seasonal Agricultural Worker Protection Act

(MSPA),
as amended (29 CFR Part 500)
Who is Covered
The Migrant and Seasonal Agricultural Worker Protection Act (MSPA) is
administered by the Wage and Hour Division (WHD). The Act safeguards
most migrant and seasonal agricultural workers in their interactions with
farm labor contractors, agricultural employers, agricultural associations,
and providers of migrant housing. However, some farm labor
contractors, agricultural employers, agricultural associations, and
providers of migrant housing are exempt from the MSPA under limited
circumstances.
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:
Farm labor contractor registration: Farm labor contractors (and

any employee who performs farm labor contracting functions) must
register with the Department of Labor before recruiting, soliciting,
hiring, employing, furnishing, or transporting any migrant or seasonal
agricultural worker. Agricultural employers and associations (and their
employees) need not register as farm labor contractors.
An agricultural employer or association using the services of a farm
labor contractor must first verify the registration status of the farm
labor contractor. This process includes determining that the contractor
is properly authorized for all activities he or she will undertake. To
verify registration status call
1866-487-9243 FREE).
Employment relationship: Under certain circumstances, the

Department of Labor may determine that an agricultural employer or
association that uses the services of a farm labor contractor is a joint
employer of the agricultural workers furnished by the farm labor
contractor. In joint employment situations, the agricultural employer or
association is equally responsible with the farm labor contractor for
compliance with employment-related MSPA obligations, such as the
proper payment of wages.
Disclosure: Employers must provide each migrant and seasonal

day-haul worker with a written disclosure at the time of recruitment
that describes the terms and conditions of his or her employment.
When offering employment, the employer must provide such disclosure
to all seasonal workers upon request. The disclosure must be written in
the worker's language. The employer must also post in a conspicuous
place at the job site a poster setting forth the rights and protections
that the MSPA affords workers (See notices and posters below). A
housing provider must post or present to each worker a statement of
the terms and conditions of occupancy.
Wages, supplies, and working arrangements: Each person

employing agricultural workers must pay all wages owed when due.
Farm labor contractors, agricultural employers, and associations are
prohibited from requiring workers to purchase goods or services solely

from such contractor, employer, or association, or any person acting as
an agent for such a person. In addition, no farm labor contractor,
agricultural employer, or association may violate the terms of the
working arrangement without adequate justification.
Safety and health of housing: Each person who owns or controls

housing provided to migrant agricultural workers must ensure that the
facility complies with the federal and state safety and health standards
covering that housing. Migrant housing may not be occupied until it has
been inspected and certified to meet these safety and health standards.
The certification of occupancy must be posted at the site.
Transportation safety: Each vehicle used to transport migrant or

seasonal agricultural workers must be properly insured and operated by
a properly licensed driver. Each such vehicle must also meet federal
and state safety standards.
Employer protections: Farm labor contractors must comply with

the terms of any written agreement they make with an agricultural
employer or association.
Enforcement: The Wage and Hour Division enforces the MSPA.

During an MSPA investigation, Wage and Hour investigators may enter
and inspect premises (including vehicles and housing), review and
transcribe payroll and other records, and interview employers and
employees.
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
intimidated, threatened, restrained, coerced, blacklisted, discharged, or

discriminated against in any manner.
Notices and Posters

Posters. Each farm labor contractor, agricultural employer and
agricultural association, that is subject to the MSPA and that employs
any migrant or seasonal agricultural worker is required to post a poster
explaining the rights and protections for workers required under the
MSPA, such as the Migrant and Seasonal Agricultural Worker Protection
Act (MSPA) poster.
The poster must be posted in a conspicuous place at each place of
employment. There
are English/Spanish, English/Haitian, English/Vietnamese, andEnglish/H
mong versions of the poster, all of which can be printed from the Web.
There are no size requirements for these posters. Employers are
encouraged to make the poster available in languages other than
English.
Notice for terms and conditions of housing. Each person or
organization that owns or controls a facility or real property used for
housing migrant workers must comply with federal and state safety and
health standards. A written statement of the terms and conditions
of occupancy must be posted at the housing site where it can be
seen or be given to the workers. The written statement must include the
following information on the terms and conditions of occupancy of such
housing:
The name and address of the farm labor contractor, agricultural

employer, or agricultural association providing the housing
The name and address of the individual in charge of the housing
The mailing address and phone number where persons living in the
housing facility may be reached
Who may live at the housing facility
The charges to be made for housing
The meals to be provided and the charges to be made for them
The charges for utilities
Any other charges or conditions of occupancy

If the terms and conditions of occupancy are posted, the statement must
be displayed and maintained during the entire period of occupancy. If
the terms and conditions of occupancy are provided to the worker
through a statement (rather than through a posting), this statement
must be provided to the worker prior to occupancy. Employers may use
a DOL form, WH Form 521 Housing Terms and Conditions (PDF), to
satisfy this requirement.
Notice of employment terms. Each farm labor contractor, agricultural
employer, and agricultural association that recruits any migrant
agricultural worker must provide the following information at the time of
recruitment, while seasonal workers must be given the information when
they are offered work, in writing, if requested. The information required
to be disclosed includes the following information:
The place of employment (with specifics, such as the name and

address of the employer or the association)
The wage rates (including piece rates) to be paid
The crops and kinds of activities on which the worker may be
employed
The period of employment
The transportation, housing, and any other employee benefits to be
provided, if any, and any costs to be charged for each
Whether state workers' compensation or state unemployment
insurance is provided
Note: If workers' compensation is provided, this information must
include the name of the workers' compensation insurance carrier, the
name of the policyholder, the name and telephone number of each
person who must be notified of an injury or death, and the time period
within which such notice must be given. This requirement in the section
above may be satisfied by giving the worker a photocopy of any workers'
compensation notice required by state law.
Payroll statements for workers. In addition to making records of
payroll information (see Recordkeeping section below), the farm labor
contractor, agricultural employer and agricultural association must

provide each migrant or seasonal agricultural worker a written statement
of this information. This information must be provided at the time of
payment for each pay period which must be no less often than every two
weeks (or semi-monthly). In addition to the payroll information specified
below, such statement shall also include the employer's name, address,
and employer identification number assigned by the Internal Revenue
Service. In the case of a worker who is jointly employed, only one of the
two joint employers needs to provide a written statement to the
workers.
Responsibilities of Joint Employers. Agricultural employers who use
the services of a farm labor contractor are almost always in a situation of
joint employment with the contractor in regard to the employees. Joint
employment means that an individual is employed by two or more
persons at the same time. Where a joint employment relationship exists,
each of the employers must ensure that the employee receives all
employment-related rights granted by the MSPA, such as accurate and
timely disclosure of the terms and conditions of employment, written
payroll records, and payment of wages when due. If either party fails to
comply with the law both parties may be held liable. For more detail on
joint employment see the Wage and Hour Division Fact Sheet #12:
Agricultural Employers Under the Fair Labor Standards Act and Wage and
Hour Division Fact Sheet #35: Joint Employment and Independent
Contractors Under the Migrant and Seasonal Agricultural Worker
Protection Act.
Field Sanitation Standards. In addition, the Occupational Safety and
Health Acts field sanitation standards require covered agricultural
establishments to provide toilets, potable drinking water, and handwashing facilities to hand-laborers in the field; to provide each employee
reasonable use of the above; and to inform each employee of the
importance of good hygiene practices. For more information on the field
sanitation standards see the Wage and Hour Division Fact Sheet #51:
Field Sanitation Standards under the Occupational Safety and Health Act.
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:
Name, permanent address, and Social Security number
Basis on which wages are paid
Number of piecework units earned, if paid on a piecework basis
Number of hours worked
Total pay period earnings
Specific sums withheld and the purpose of each sum withheld
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.

MSPA supplements any state or local laws. Compliance with MSPA does
not excuse violation of applicable state laws or regulations.

The Department of Labor provides employers, workers and others with
with the Migrant and Seasonal Agricultural Worker Protection Act.
Compliance assistance related to the Act - including fact sheets,
explanatory brochures, and regulatory and interpretative materials - is
available on the Compliance Assistance By Law Web page. Information
about farm labor contractor applications is available from the nearest
State Workforce Agency office at
1-866-4USADOL FREE (
866-487-2365 FREE) or Wage and Hour Division office.
Safety and Health Standards: Occupational Safety and Health

The Occupational Safety and Health (OSH) Act

OSHA Compliance Assistance Page
Related Information
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Who Is Covered
Employee Rights
Notices and Posters
Recordkeeping
Reporting
Penalties/Sanctions
1-

DOL Contacts
Occupational Safety and Health Act of 1970 (OSH Act)

Who is Covered
The Occupational Safety and Health Act of 1970 (OSH Act) is
administered by the Occupational Safety and Health Administration
(OSHA). In general, the OSH Act covers all employers and their
employees in the 50 states, the District of Columbia, Puerto Rico, and
other U.S. territories. Coverage is provided either directly by the federal
Occupational Safety and Health Administration or by an OSHA-approved
state job safety and health plan. Employees of the U.S. Postal Service
also are covered.
The Act defines an employer as any "person engaged in a business
affecting commerce who has employees, but does not include the United
States or any state or political subdivision of a State." Therefore, the Act
applies to employers and employees in such varied fields as
manufacturing, construction, longshoring, agriculture, law and medicine,
charity and disaster relief, organized labor, and private education. The
Act establishes a separate program for federal government employees
and extends coverage to state and local government employees only
through the states with OSHA-approved plans.
The Act does not cover:
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
and nuclear weapons manufacture, and many aspects of the

transportation industries; and
Employees of state and local governments, unless they are in one of
the states operating an OSHA-approved state plan.
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.
Access to medical and exposure records: This regulation

provides a right of access to employees, their designated
representatives, and OSHA to relevant medical records, including
records related to that employees exposure to toxic substances.
Personal protective equipment: This standard, which is defined
separately for each segment of industry except agriculture, requires
employers to provide employees with personal equipment designed to
protect them against certain hazards and to ensure that employees
have been effectively trained on the use of the equipment. This
equipment can range from protective helmets to prevent head injuries
in construction and cargo handling work, to eye protection, hearing
protection, hard-toed shoes, special goggles for welders, and gauntlets
for iron workers.
Hazard communication: This standard requires manufacturers
and importers of hazardous materials to conduct hazard evaluations of
the products they manufacture or import. If a product is found to be
hazardous under the terms of the standard, the manufacturer or
importer must so indicate on containers of the material, and the first
shipment of the material to a new customer must include a material
safety data sheet (MSDS). Employers must use these MSDSs to train
their employees to recognize and avoid the hazards presented by the
materials.
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.
Notices and Posters

Poster. All covered employers are required to display and keep
displayed the OSHA Job Safety and Health: Its the Law poster unless
the employers workplace is located in a state that operates an OSHAapproved state plan. There is a separate poster for Federal agencies. The
OSHA poster must be displayed in a conspicuous place where employees
can see it. Reproductions or facsimiles of the poster shall be at least 8
1/2 by 14 inches with 10 point type. This poster is also available
in Spanish. Posting of the notice in languages other than English is not
required.
Each state or territory with a state plan has a poster that employers
covered by the plan must display. State plan OSHA offices can be
contacted to obtain a copy. Contact your Federal OSHA office or your
state plan office to determine coverage.
Notices. Employees, former employees and their representatives have
the right to review the OSHA Form 300, Log of Work-related Illnesses
and Injuries, in its entirety. Employers are required to post the Summary
of Work-related Injuries and Illnesses (Form300A) in a visible location so
that employees are aware of the injuries and illnesses that occur in their
workplace. Employers are required to post the Summary Form (300A) by
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
Apparel and accessory stores
Eating and drinking places
Most FINANCE , insurance, and real estate industries
Certain service industries, such as personal and business services,

medical and dental offices, and legal, educational, and membership
organizations
Business establishments classified in agriculture, mining, construction,
manufacturing, transportation, communication, electric, gas and sanitary
services, or wholesale trade are not eligible for the partial industry
classification exemption.
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
Days away from work
Restricted work activity or job transfer
Medical treatment beyond first aid
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:
Any needle-stick injury or cut from a sharp object that is

contaminated with another persons blood or other potentially infectious
material
Any case requiring an employee to be medically removed under the
requirements of an OSHA health standard
Work-related cases involving hearing loss under certain conditions
Tuberculosis infection as evidenced by a positive skin test or

diagnosis by a physician or other licensed health care professional after
exposure to a known case of active tuberculosis
Employers do not have to record certain injury and illness incidents such
as a visit to a doctor solely for observation and counseling or those
requiring first aid treatment only. For more information see the full list
of Non-recordable Injury and Illness Incidents.
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.
OSHA conducts two general types of inspections: programmed and

unprogrammed. Establishments with high injury rates receive
programmed inspections, while unprogrammed inspections are used in
response to fatalities, catastrophes, and complaints (which are further
addressed by OSHAs complaint policies and procedures). Various OSHA
publications and documents detail OSHAs policies and procedures for
inspections, including OSHAs Field Operations Manual.
Types of violations that may be cited and the penalties that may
be proposed:
The OSH Act authorizes OSHA to treat certain violations, which have no
direct or immediate relationship to safety and health, as de minimus,
requiring no penalty or abatement. OSHA does not issue citations for de
minimus violations.
Other than serious violation: A violation that has a direct relationship
to job safety and health, but probably would not cause death or serious
physical harm. A proposed penalty of up to $7,000 for each violation is
discretionary.
Serious violation: A violation where a substantial probability that death
or serious physical harm could result and where the employer knew, or
should have known, of the hazard. A penalty of up to $7,000 for each
violation must be proposed.
Willful violation: A violation that the employer intentionally and
knowingly commits. The employer either knows that what he or she is
doing constitutes a violation, or is aware that a condition creates a
hazard and has made no reasonable effort to eliminate it. The Act
provides that an employer who willfully violates the Act may be assessed
a civil penalty of not more than $70,000 but not less than $5,000 for
each violation. Proposed penalties for other-than-serious and serious
violations may be adjusted downward depending on the employers good
faith (demonstrated efforts to comply with the Act through the
implementation of an effective health and safety program), history of
violations, and size of business. Proposed penalties for willful violations
may be adjusted downward depending on the size of the business.
Usually no credit is given for good faith.
If an employer is convicted of a willful violation of a standard that has
resulted in the death of an employee, the offense is punishable by a
court imposed fine or by imprisonment for up to six months, or both. A

fine of up to $250,000 for an individual, or $500,000 for an organization
[authorized under the Omnibus Crime Control Act of 1984 (1984 OCCA),
not the OSH Act], may be imposed for a criminal conviction.
Repeat violation: A violation of any standard, regulation, rule, or order
where, upon re-inspection, a substantially similar violation is found.
Repeat violations can bring fines of up to $70,000 for each such
violation. To serve as the basis for a repeat citation, the original citation
must be final; a citation under contest may not serve as the basis for a
subsequent repeat citation.
Failure to abate violation: Failure to correct a prior violation may
bring a civil penalty of up to $7,000 for each day the violation continues
beyond the prescribed abatement date.
Citation and penalty procedures may differ somewhat in states with their
own OSH programs.
Appeals process
The following outlines procedures for appealing OSHA citations and
penalties.
Appeals by employees and employers: If a complaint from an
employee prompted the inspection, the employee or authorized employee
representative may request an informal review of any decision not to
issue a citation.
Employees may not contest citations, amendments to citations,
penalties, or lack of penalties. They may contest the time allowed in the
citation for abatement of a hazardous condition. They also may contest
an employer's Petition for Modification of Abatement (PMA), which
requests an extension of the abatement period. Employees who wish to
contest the PMA must do so within 10 working days of its posting or
within 10 working days after an authorized employee representative has
received a copy.
Within 15 working days of the employer's receipt of the citation, the
employer may submit a written objection to OSHA. If the PMA requests
an abatement date that is two years or less from the issuance date of
the citation, the Area Director has the authority to approve or object to
the petition.
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.
A copy of the Notice of Contest must be given to the employees'

authorized representative. If any affected employees are unrepresented
by a recognized bargaining agent, a copy of the notice must be posted in
a prominent location in the workplace, or else served personally upon
each unrepresented employee.
Appeal review procedure: If the written Notice of Contest has been
filed within 15 working days, the OSHA Area Director forwards the case
to the Occupational Safety and Health Review Commission (OSHRC). The
Commission is an independent agency not associated with OSHA or the
Department of Labor. The Commission assigns the case to an
Administrative Law Judge (ALJ). The ALJ may disallow the contest if it is
found to be legally invalid, or a hearing may be scheduled for a public
place near the employer's workplace. The employer and the employees
have the right to participate in the hearing; the OSHRC does not require
that they be represented by attorneys.
Once the ALJ has ruled, any party to the case may request a further
review by OSHRC. Also, any of the three OSHRC commissioners may
individually move to bring a case before the Commission for review.
Commission rulings may be appealed to the U.S. Courts of Appeals.
Appeals in state plan states: States with their own occupational
safety and health programs have their own systems for review and
appeal of citations, penalties, and abatement periods. The procedures
are generally similar to federal OSHA's, but a state review board or
equivalent authority hears cases.

The OSH Act covers all private sector working conditions that are not
addressed by safety and health regulations of another federal agency
under other legislation. OSHA also has the authority to monitor the
safety and health of federal employees. Federal agency heads are
responsible for the safety and health of federal employees. The OSHAapproved state plan states extend their coverage to state and local
government employees.
Finally, OSHA is also responsible for administering a number of
whistleblower laws relating to safety and health as described in
the Whistleblower Protection section of this Guide and OSHAs

Whistleblower Protection Web page.

with the Occupational Safety and Health Act. Among the many resources
available are:
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.
Because states with OSHA-approved job safety and health programs

adopt and enforce their own standards under state law, copies of these
standards can be obtained from the individual states. Many are available
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:
Recognize the outstanding achievements of those who have

successfully incorporated comprehensive safety and health programs
into their total management systems;
Motivate others to achieve excellent safety and health results in the
same outstanding way; and
Establish a relationship between employers, employees, and OSHA
that is based on cooperation rather than coercion.
An employer may apply for VPP at the nearest OSHA regional office.
OSHA reviews an employer's VPP application and visits the worksite to
verify that the safety and health program described is in effect at the
site. All participants must send their injury information annually to their
OSHA regional offices. Sites participating in the VPP are not scheduled
for programmed inspections. However, OSHA handles any employee
complaints, serious accidents/catastrophes, or fatalities according to
routine procedures.
The VPP is available in states under federal jurisdiction. Some states
operating OSHA-approved state plans have similar programs.
Additionally, all OSHA-approved state plans that cover private-sector
employees in the state operate similar programs. Interested companies
in these states should contact the appropriate state agency for more
information.
Safety and Health Achievement Recognition Program
(SHARP): This program recognizes small employers who operate an
exemplary safety and health management system. Employers who are
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.
Training and education: OSHA has more than 70 full-service field

offices that offer a variety of informational services, such as publications,
technical advice, audio-visual aids on workplace hazards, and lecturers
for speaking engagements. Each of these field offices has an
OSHA Compliance Assistance Specialist (CAS). CASs provide general
information about OSHA standards and compliance assistance resources,
and are available for seminars, workshops, and speaking events. CASs
promote OSHAs cooperative programs and also encourage employers to
take advantage of OSHAs training resources and the tools available on
the OSHA Web site.
The OSHA Training Institute in Arlington Heights, Illinois, provides basic
and advanced training and education in safety and health for federal and
state compliance safety and health officers; state consultants; other
federal agency personnel; and private sector employers, employees, and
their representatives. Course topics include electrical hazards, machine
guarding, ventilation, and ergonomics, among others. The OSHA Training
Institute has partnered with other training and education institutes to
conduct Training Institute courses. These Education Centers, which are
located throughout the country, provide additional opportunities for the
public to receive training on safety and health topics.
Consultation services: Consultation assistance is available to
employers who want help in establishing and maintaining safe and
healthful workplaces. Largely funded by OSHA, the service is available in
every state and territory. It is provided at no cost to the employer.
Primarily targeted toward smaller employers with more hazardous
operations, the consultation service is delivered by state government
agencies or universities employing professional safety and health
consultants. On-site OSHA consultation assistance includes an opening
conference with the employer to explain the ground rules for
consultation, a walk through the workplace to identify specific hazards
and to examine those aspects of the employer's safety and health
program that relate to the scope of the visit, and a closing conference.
Later, the consultant sends a report of findings and recommendations to
the employer. Unlike OSHAs enforcement program, there are no
citations or penalties issued.
This process begins with the employer's request for consultation, which
must include a commitment to correct any serious safety and health
hazards identified. The consultant will not report possible violations of
OSHA standards to OSHA enforcement staff unless the employer fails or
refuses to eliminate or control worker exposure to any identified serious

hazard or imminent danger. Should this occur, OSHA may investigate
and begin enforcement action. The employer must also agree to allow
the consultant to confer freely with employees during the on-site visit.
Additional information about consultation assistance, including a
directory of OSHA funded consultation projects, can be found on OSHA's
Consultation Program Web page.
Information sources: Information about state plans, VPPs,
consultation programs, and inspections can be obtained from the
nearest OSHA regional or area office. Area offices are listed in local
telephone directories under the U.S. Department of Labor. Contact
information for regional and area offices, as well as state plans and
consultation programs can also be found on the OSHA Web site.
OSHAs Office of Small Business Assistance administers OSHAs On-Site
Consultation Program and serves as liaison and point of contact with the
Agency for small businesses. OSHA offers many services designed to
help small businesses and welcomes comments and suggestions from
small business owners and their employees.
Safety and Health Standards: Mine Safety and Health
Related Information

The Federal Mine Safety and Health Act (Mine Act)
MSHA Compliance Assistance Page
Who Is Covered
Employee Rights
Notices and Posters
Recordkeeping
Reporting
Penalties/Sanctions
DOL Contacts
o
o
o

Federal Mine Safety and Health Act of 1977 (Mine Act)

Who is Covered
The Federal Mine Safety and Health Act (Mine Act) is administered by the
Mine Safety and Health Administration (MSHA). The Act covers all mine
operators and miners throughout the U.S., including the District of
Columbia, Puerto Rico, the Virgin Islands, American Samoa, Guam, and
the Trust Territory of the Pacific Islands. Under the Mine Act, a mine
"operator" is defined as: "any owner, lessee, or other person who
operates, controls, or supervises a coal or other mine or any
independent contractor performing service or construction at such
mine." A "miner" is any individual working in a coal or other mine. As of
2009, the Mine Act covered approximately 400,000 miners and almost
15,000 mines.
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
than the same measure of protection afforded by the existing standards,

or that the application of MSHA's standard at the mine will result in a
diminution of safety for miners.
Cooperative program. The Alliance Program enables trade
associations or professional societies, labor organizations, educational
institutions, and other similar stakeholders that share an interest in
miner safety and health to collaborate with MSHA to prevent injuries and
illnesses in the nations mines. MSHA and the organizations sign a
voluntary agreement with goals that address training and education,
outreach and communication and technical assistance, and promote
national dialogue on mine safety and health.
New Requirements for Underground Coal Mines
On June 15, 2006, Congress amended the Mine Act with the Mine
Improvement and New Emergency Response Act of 2006 (MINER Act) to
enhance safety in the nation's underground coal mines by requiring
emergency response planning to provide for the evacuation of miners
who may be endangered in an emergency or, if miners cannot evacuate,
provide for their maintenance underground. The MINER Act's key
provisions:
Require each covered mine to develop and continuously update a

written emergency response plan;
Promote use of equipment and technology that is currently
commercially available;
Require each mine's emergency response plan to be continuously
reviewed, updated and re-certified by MSHA every six months;
Direct the Secretary of Labor to require wireless two-way
communications and an electronic tracking system within three years,
permitting those on the surface to locate persons trapped underground;
Require each mine to make available two experienced rescue teams
capable of a one hour response time;
Require mine operators to make notification of all
incidents/accidents which pose a reasonable risk of death within 15
minutes, and sets a civil penalty of $5,000 to $60,000 for mine
operators who fail to do so;
Require MSHA to establish new seal requirements for abandoned
areas of a mine;
Establish an interagency working group to provide a formal means
of sharing non-classified technology that would have applicability to
mine safety;
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.
Post-accident communications and tracking. By June 15,

2009, the MINER Act requires each operator to have:
Post-accident communication between underground and
surface personnel via wireless or alternative to wireless; and
o
Electronic tracking system to determine location of persons
trapped underground.
o
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.
Post-accident breathable air. In a mines ERP, a mine operator

must provide two self-contained self-rescuers (SCSRs) for each miner
or section. The ERP also must contain provisions for:
o
Additional SCSRs. The mine operator shall provide for

storage of SCSRs at 30 minute intervals in escapeways. In addition,
the mine operator must provide storage of at least one SCSR at no
further than 30 minute travel distances for the evacuation of miners
such as pumpers or examiners working in remote areas at locations
accessible to these personnel in bleeders and other remote areas of
the mine.
Refuge alternatives. On December 31, 2008, MSHA issued

a final rule on Refuge Alternatives for Underground Coal Mines which
includes requirements for:
Testing and approval of refuge alternatives and

components of refuge alternatives
Assuring that refuge alternatives are readily available,

capable of sustaining trapped miners for 96 hours, and maintained
in operating condition
Training miners to locate, use, maintain, and transport

refuge alternatives
Lifelines. The MINER Act required mine operators shall provide
flame-resistant directional lifelines in escapeways no later than June
15, 2009.
Training. MSHA has issued final rules under the MINER Act with
provisions for training in evacuation procedures for all persons.
o
Mine emergency evacuation training and drills. Each

miner must participate quarterly in training and drills that require the
miner to:
Physically locate the stored SCSRs and refuge

alternatives;
Physically locate and practices using the continuous
directional lifelines or equivalent devices and tethers;
Don and transfer SCSRs;
Practice a realistic escapeway drill;
Review mine and escapeway maps;
Locate escapeways, exits, routes of travel to the

surface, abandoned areas, and refuge alternatives;
Review the procedures for deploying refuge alternatives

and components; and
Review the procedures for use of the refuge alternatives

and components.
o
Annual expectations training. Over the course of each
year, each miner shall participate in expectations training that
includes:
Donning and transferring SCSRs in smoke, simulated

smoke, or an equivalent environment
Breathing through a realistic SCSR training unit that
provides the sensation of SCSR airflow resistance and heat
Deployment and use of refuge alternatives similar to

those in use at the mine, including:
Deployment and operation of component systems;
and
Instruction on when to use refuge alternatives

during a mine emergency, emphasizing that it is the last resort
when escape is impossible.
A miner shall participate in expectations training within

one quarter of being employed at the mine
Local emergency coordination. The mine operator shall include

procedures in the emergency response plan for:
Notifying key personnel, such as a call list for mine rescue
teams, local emergency responders, mine personnel, state and
federal officials, and other parties that may be required;
o
Familiarizing local emergency responders with surface
functions that may be required in the course of mine rescue work,
such as logistics, traffic control, and supplies on the surface; and
o
Arranging, if possible, on-site visits by local emergency
responders to familiarize them with the surface facilities at the mine
and the functions that may be required of the responders.
o
Sealing of abandoned mine areas. The final regulation addresses

sealing abandoned areas in underground coal mines. It includes
requirements for seal strength, design, construction, maintenance, and
repair of seals and monitoring and control of atmospheres behind seals
in order to reduce the risk of explosions in abandoned areas of
underground mines. It also addresses the level of overpressure for new
seals.
The regulation for underground mine seals includes a requirement

for seals designed to 50 psi if the atmosphere behind the seal is inert
and requires seals designed to at least 120 psi if the atmosphere is not
inert.
Sealed areas shall be monitored, whether ingassing or outgassing,

for methane and oxygen concentrations and the direction of leakage.
Atmospheres with seals of 120 psi or greater shall be sampled until the
design strength is reached. Atmospheres with seals less than 120 psi
shall be monitored and maintained inert.
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:
Designate a representative to accompany federal inspectors during

inspections at a mine;
Obtain an inspection of the mine where reasonable grounds exist to
believe that an imminent danger, or a violation of the Act or of a safety
or health standard exists;
Receive health and safety training;
Be paid during certain periods of time when a mine or part of a
mine has been closed because of a withdrawal order;
Be protected against discrimination based on the exercise of rights
under the Act; and
Be informed of, and participate in, enforcement and legal
proceedings under the Act.
Moreover, applicants for mine work have the right not to be
discriminated against in hiring because they have previously exercised
rights provided under the Act.
Miners' representatives also have specific rights under the Act in addition
to those rights given to individual miners. Miners representatives are
entitled to a copy of the following plans and plan revisions prior to a
mine operators submittal of such plan for MSHA approval:
Part 46 Training Plan
Part 48 Training Plan
Roof Control Plan
Mine Ventilation Plan
Mine Emergency Evacuation and Firefighting Program of Instruction
Emergency Response Plan
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.
Notices and Posters

There is no workplace poster requirement under the Mine Act.
Mine operators have the following notice requirements:
Notification of representatives of miners. A mine operator is
required to post information regarding the representative of the miners,
including the name, address, and telephone number of the
representative. If the representative is an organization, the name,
address, and telephone number of the organization and the title and
phone number of the person serving as the representative must also be
posted.
Petitions of modifications of safety standards. The mine operator
must post on the mine bulletin board a copy of any petition for
modification of application of a mandatory safety standard, and maintain
the posting as long as the modification is effective.
Noise control procedures. When a mine operator uses administrative

controls to reduce miners exposure to noise, the mine operator must
post the procedures for such controls on the mine bulletin board and
provide a copy to the affected miners.
Warning signs. Where danger of fire or explosion exists, mine
operators are required to post signs warning against smoking or carrying
smoking materials, matches or lighters. These areas include:
Any underground space or area
In or around explosives magazines
Near storage and dispensing areas for flammable or combustible

materials
Near storage and dispensing areas for grease
Near storage and dispensing areas for flammable gases
Near areas where flammable gases or combustible liquids are
transported
In vehicles transporting flammable liquids
Warning signs must be posted so that they are readily visible in such
areas, and must be adequate to inform a reasonable person that
smoking or carrying smoking materials, matches or lighters is hazardous
and prohibited.
Mine rescue plan. Each underground mine operator shall have a mine
rescue notification plan outlining the procedures to follow in notifying the
mine rescue teams when there is an emergency that requires their
services. A copy of the mine rescue notification plan shall be posted at
the mine for the miners information and shall be given to the miners
representative.
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
other specific information related to this exposure. The records are to be

kept on MSHA Form 4000-9, or an equivalent form acceptable to MSHA.
Where uranium is mined, the complete individual exposures of all mine
personnel working underground must be calculated and recorded. Where
uranium is not mined, the complete individual exposure of all mine
personnel working in active working areas with radon daughter
concentrations in excess of 0.3 WL must be calculated and recorded.
Records must be maintained by the mine operator and made available
for examination by authorized representatives of the Department of
Labor and by representatives of the official mine inspection agency of
the state in which the mine is located.
Establish mine rescue teams. Except where alternative compliance is
permitted for small and remote mines or those mines operating under
special mining conditions, every operator of an underground mine shall
establish at least two mine rescue teams to be available at all times
when miners are underground. Alternatively, the operator may enter into
an arrangement for mine rescue services that assures that at least two
teams are available at all times miners are underground.
Each mine rescue team member must be examined by a physician within
60 days prior to scheduled initial training, and annually thereafter.
An MSHA Form 5000-3, Certificate of Physical Qualification for Mine
Rescue Work must be completed and signed by the examining physician
for each team member. These forms must be kept on file at the mine
rescue station for a period of one year.
For each underground coal mine, an operator must certify initially, and
then annually, that each mine rescue team is qualified. The mine
operator may use MSHA Form for Operators Annual Certification of
Mine Rescue Team Qualifications. If the MSHA optional form is not
used, a mine operator shall send an annual statement to the District
Manager certifying for each mine rescue team that each member:
Is properly trained
Is familiar with the operations of each covered mine
Has participated in two local mine rescue contests
Has participated in mine rescue training at each covered mine
Is knowledgeable about the operations and ventilation of each

covered mine
Certify completion of training. Upon a miner's completion of

each MSHA approved training program, the mine operator is required to
record and certify on MSHA Form 5000-23 that the miner has received
the specified training. A copy of the training certificate must be given to
the miner at the completion of the training. The training certificates for
each miner must be available at the mine site for inspection by MSHA
and for examination by the miners, the miners' representative, and state
inspection agencies for a period of two years, or for 60 days after
termination of employment. When a miner leaves the operator's
employment, the miner is entitled to a copy of his training certificates.
Maintain accident and investigation reports. Mine operators must
maintain reports of accidents, illness or injury filed with MSHA and any
resulting MSHA reports at the mine office closest to the mine. These
records must be kept for five years after the accident or injury occurred
or the illness was diagnosed. Form 7000-1, Mine Accident, Injury and
Illness Report can be filed online electronically or the form fill version
can be completed, printed (or printed and filled in manually) and sent to
MSHA.
Establish and maintain training plans. Each U.S. mine operator must
have an approved plan for training that may include:
New miners with no underground experience
New miners having no surface mining experience
Annual training for all miners
A new task for which a miner has no previous work experience
Shaft and slope construction miners

Except for the annual refresher training, mine operators shall include a
period of training as closely related as is practicable to the work in which
the miner is to be engaged. For more information see mandatory health
and safety training. MSHA also provides a Training Compliance Checklist
for Part 46 (PDF).
Note: These plans may not be the only training plans that a mine
operator is required to submit or prepare. For example, underground
coal mine operators must submit a mine emergency evacuation and
firefighting program of instruction.
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 (
1-800-746-1553 FREE). Callers should include as much of the

following information as possible:
Name of company
Name of mine
Location of mine (city/town)
State where mine is located
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).
The complaint form is intended for reporting hazardous conditions at

mine sites only, and is not to be used for any other purpose.
Report accidents, injuries, and illnesses. Incidents of accident,
injury, or illness are to be reported to MSHA using Form 7000-1, whether
the workers involved are employees of the mine operator or employees
of a contractor. For incidents or accidents which pose a reasonable risk of
death, mine operators must report them within 15 minutes. Otherwise,
the form must be completed and mailed or submitted online within 10
working days after an accident or occupational injury occurs, or an
occupational illness is diagnosed. The principal officer in charge of health
and safety at the mine or the supervisor of the mine area where the
incident occurred is responsible for completing the Form 7000-1. A
separate Form 7000-1 is required on each accident, whether a person
was injured or not. A form is required for each individual who became
injured or ill, even when several individuals were injured or made ill in a
single occurrence.
Mine operators must call immediately, but not later than 15 minutes
from the time they know or should know that an accident has
occurred. To report these immediately reportable accidents, and
injuries call
1-800-746-1553 FREE. "Immediately Reportable
Accidents and Injuries" include:
A death of an individual at a mine

An injury to an individual at a mine which has a reasonable
potential to cause death
An entrapment of an individual for more than thirty minutes or
which has a reasonable potential to cause death
An unplanned inundation of a mine by a liquid or gas
An unplanned ignition or explosion of gas or dust
In underground mines, an unplanned fire not extinguished within 10
minutes of discovery; in surface mines and surface areas of
underground mines, an unplanned fire not extinguished within 30
minutes of discovery
An unplanned ignition or explosion of a blasting agent or an
explosive
An unplanned roof fall at or above the anchorage zone in active
workings where roof bolts are in use; or, an unplanned roof or rib fall in
active workings that impairs ventilation or impedes passage
A coal or rock outburst that causes withdrawal of miners or which

disrupts regular mining activity for more than one hour
An unstable condition at an impoundment, refuse pile, or culm bank
which requires emergency action in order to prevent failure, or which
causes individuals to evacuate an area; or, failure of an impoundment,
refuse pile, or culm bank
Damage to hoisting equipment in a shaft or slope which endangers
an individual or which interferes with use of the equipment for more
than thirty minutes
An event at a mine which causes death or bodily injury to an
individual not at the mine at the time the event occurs
Note: Injuries not related to one of the twelve types of accidents, such
as ordinary sprains, strains, minor cuts, minor burns, bruises or other
injuries that are not life-threatening, do not require immediate
notification. These types of injuries should be reported via the 70001 form.
Failure to report an accident, injury or illness can result in a citation and
assessment of a civil penalty against a mine operator.
Report Self-Contained Self-Rescuers (SCSRs). A mine operator is
required to file a report of inventory of all SCSRs used or stored at a
mine. A mine operator may use MSHA Form 2000-222. A mine operator
also shall report to MSHA any defect, performance problem, or
malfunction with the use of an SCSR. The report shall include a detailed
description of the problem and, for each SCSR involved. An operator
must retain the problem SCSR for 60 days.
Report individual exposure to Radon Daughters. Each mine
operator must report individual exposure to radon daughters on or
before February 15 of each calendar year, or within 45 days after the
shutdown of mining operations for the calendar year. Each mine operator
is required to submit to MSHA a copy of Form 4000-9 (or acceptable
equivalent form), for all personnel for whom calculation and recording of
exposure was required during the previous calendar year.
Independent contractors are required to:
Report MSHA contractor identification. Independent contractors are

required to apply for an MSHA contractor identification number using
the Contractor Identification (ID) Report (MSHA Form 7000-52). An MSHA
ID is required for each contractor operating a mine site and must be

issued before they begin specific activities.
Report accidents, injuries, and illnesses. If an accident, injury or
illness occurs at or in conjunction with activity at a mine, independent
contractors are required to report the circumstances of the incident to
MSHA using Form 7000-1, The Mine Accident, Injury and Illness Report.
Report immediately reportable accidents and injuries. An
independent contractor must call immediately, but not later than 15
minutes from the time they know or should have known that an accident
has occurred. To report these immediately reportable accidents
and injuries call
1-800-746-1553 FREE.
Report employment and production information. Independent

contractors are also required to report employment and production
information to MSHA using Quarterly Mine Employment and Coal
Production Report (MSHA Form 7000-2) for each quarter of operation
and at each mine at which activity is performed.
Approved MSHA Instructors are required to:
Report electrical training. Approved MSHA instructors are required to
submit the names of persons who have satisfactorily completed
the Certificate of Electrical/Noise Training (MSHA Form 5000-1).
Report mine foreman training. Approved MSHA instructors are
required to submit the names of persons who have satisfactorily
completed mine foreman and pre-shift examiner or hoisting certification
training using Health Activity Certification or Hoisting Engineers
Qualification Request (MSHA Form 5000-41).
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 appropriateness of the penalty to the size of the business of the

operator charged;
The operator's history of previous violations;
Whether the operator was negligent;
The gravity of the violation;
The demonstrated good faith of the operator charged in attempting
to achieve rapid compliance after notification of a violation; and
The effect of the penalty on the operator's ability to continue in
business.
The higher penalties in the final rule are intended to increase the
incentives for mine operators to prevent and correct violations.
Penalties, however, increase more significantly for large mine operators,
operators with a history of repeated violations of the same standard, and
for operators whose violations involve high degrees of negligence or
gravity. The maximum penalty for a regular assessment is now
$70,000.
Some violations are of such a nature or seriousness that use of the
formula would not result in an appropriate penalty. In these cases
most often involving fatalities, serious injuries, and unwarranted failure
to comply with standards MSHA may waive the formula and propose a
"special assessment." In developing such an amount, the facts are
independently reviewed to determine a penalty amount that will have
the deterrent effect contemplated by the Mine Act. Title 30, Section
100.5 of the Code of Federal Regulations contains the regulations
governing this civil penalty process.
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.

The Mine Act does not give MSHA the authority to cede its
responsibilities to states or any other political subdivisions. The Mine Act
does not preempt state mine safety and health laws, except insofar as
they may conflict with the Mine Act or MSHA's regulations. States may
have more stringent health and safety standards.

MSHA develops safety and health training programs in cooperation with
industry and labor; tests new mining equipment; works with other
agencies to advance safety and health research programs; and compiles
and analyzes accident, injury, and illness data to better address serious
workplace hazards.
MSHA has developed booklets, pamphlets, and pocket-size laminated
cards, that address known safety and health hazards and identify
acceptable compliance processes. MSHA routinely distributes its accident
prevention materials to the mining industry at large, or to those sectors
of the industry that are experiencing the injuries addressed by the
materials. MSHA also has a number of elaws Advisors that provide
assistance in understanding and applying MSHAs regulations.
MSHA's Web site contains compliance assistance information, guidance,
and helpful tips for the mining community. For example, it lists upcoming
seminars designed for mine operators and others to receive the latest
information about the requirements of a rule or to hear about solutions

to various safety and health problems. Also, the Web site provides
model forms, records, and plans for the mine operator to use to comply
with MSHA requirements, thus avoiding the need for the operator to
create these items independently. Through the Web site, mine operators
may file various reports directly with MSHA.
Among the many resources available are:
MSHA Online Forms: Provides access to MSHA forms and online

filings.
elaws MSHA Online Forms Advisor: Allows users to learn about and
access the MSHA forms that can be filed online or accessed and
completed online.
Safety and Health Topics: Provides links to specific compliance
information on various safety and health issues found in the mining
industry, including those related to equipment, chemicals, and working
conditions (e.g., mine safety control systems, mercury and heavy
metals, and noise).
Interactive Training Products: Provides training exercises that
promote health and safety in mining.
MSHA Fact Sheets: Covers topics such as training programs and
mine injury fact sheets.
Additional compliance assistance including explanatory brochures, fact
sheets, and regulatory and interpretive materials is available on
the Compliance Assistance By Law Web page. MSHA maintains a 24hour toll-free telephone number that can be used to report accidents and
hazardous conditions. That number is
1-800-746-1553 FREE. For
reporting hazardous conditions, the caller need not identify himself or

herself.
Training and education. MSHA's Mine Health and Safety Academy,
located in Beckley, West Virginia, develops and provides safety and
health training courses for its own inspectors as well as for industry and
labor. A "Mine Simulation Laboratory," located on the Academy grounds,
provides hands-on training in rescue and recovery operations for certain
mine emergencies.
MSHA's Approval and Certification Center (A&CC), located near
Wheeling, West Virginia, houses laboratories, equipment and personnel
to test equipment that must be approved before it can be used in certain

areas of gassy underground mines. The A&CC also is responsible for
monitoring the performance of approved products to ensure that they
meet the standards under which they were originally approved.
Consultation services. MSHAs Small Mine Office (SMO) works closely,
on-site, with mine operators having five or fewer employees to develop
and implement health and safety programs tailored to identify and
eliminate hazards at their operations. The wide variety of health and
safety services offered include a worksite analysis of safety and health
conditions, assistance in developing a written health and safety program,
and safety and health toolbox talks for training employees.
The Brookwood-Sago grant program. The MINER Act established a
competitive grant to provide funding for education and training programs
to help identify, avoid and prevent unsafe working conditions in and
around mines. These grants are awarded to public and private nonprofits on annual basis to provide education and training programs or to
develop training materials for employers and miners on MSHAemphasized topics.
Health Benefits, Retirement Standards, and Workers Compensation:

Employee Benefit Plans
Related Information

The Employee Retirement Income Security Act (ERISA)
EBSA Compliance Assistance Page
Who Is Covered
Employee Rights
Notices and Posters
Recordkeeping
Reporting
Penalties/Sanctions
DOL Contacts
o
o
o

Employee Retirement Income Security Act (ERISA),

(29 USC 1001 et seq., 29 CFR Part 2509 et seq.)
Who is Covered
The Employee Retirement Income Security Act (ERISA) is administered
by the Employee Benefits Security Administration (EBSA). The
provisions of Title I of ERISA cover most private sector employee benefit
plans. Such plans are voluntarily established and maintained by an
employer, an employee organization, or jointly by one or more such
employers and an employee organization.
Retirement plans, a type of employee benefit plan, are established and
maintained to provide retirement income or to defer income until
termination of covered employment or beyond. Other employee benefit
plans, called welfare plans, are established and maintained to provide
health benefits, disability benefits, death benefits, prepaid legal services,
vacation benefits, day care centers, scholarship funds, apprenticeship
and training benefits, or other similar benefits.
In general, ERISA does not cover plans established or maintained by

government entities or churches for their employees, or plans which are
maintained solely to comply with workers compensation,
unemployment, or disability laws. ERISA also does not cover plans
maintained outside the United States primarily for the benefit of
nonresident aliens or unfunded excess benefit plans.
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:
Manage plans for the exclusive benefit of participants and

beneficiaries;
Carry out their duties in a prudent manner and refrain from conflict
of interest transactions expressly prohibited by law;
Comply with limitations on certain plans' INVESTMENTS in
employer securities and properties;
Fund benefits in accordance with the law and plan rules;
Report and disclose information on the operations and financial
condition of plans to the government and participants; and
Provide documents required in the conduct of investigations to
ensure compliance with the law.
The Department of Labor also has jurisdiction over the prohibited
transaction provisions of Title II of ERISA. However, the IRS generally
administers the rest of Title II of ERISA, as well as the standards of Title
I of ERISA that address vesting, participation, nondiscrimination, and
funding.
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:
A detailed description of the exemption transaction and the parties

for whom an exemption is requested
The reasons a plan would have for entering into the transaction
The percentage of assets involved in the exemption transaction
The names of persons with INVESTMENT discretion
The extent of plan assets already INVESTED in loans to, property

leased by, and securities issued by parties in interest involved in the
transaction
Copies of all contracts, agreements, instruments, and relevant
portions of plan documents and trust agreements bearing on the
exemption transaction
Information about plan participation in pooled funds when the
exemption transaction involves such funds
A declaration by the applicant, under penalty of perjury, attesting to
the truth of representations made in such exemption submissions
Statement of consent by third-party experts acknowledging that
their statement is being submitted to the Department as part of an
exemption application
The Department's exemption procedures are set forth at 29 CFR 2570.30
through 2570.51.
Continuation of Health Coverage. The Consolidated Omnibus Budget
Reconciliation Act of 1985 (COBRA) included provisions for continuing
health care coverage. These provisions, which are codified in Part 6 of
Title I of ERISA, apply to group health plans of employers with 20 or
more employees on a typical working day in the previous calendar year.
COBRA contains provisions giving certain former employees, retirees,
spouses, former spouses, and dependent children (qualified
beneficiaries) the right to temporary continuation of health coverage at
group rates. This coverage, however, is only available when coverage is
lost due to certain specific events (qualifying events) such as
termination of employment. Group health coverage for COBRA
participants is usually more expensive than health coverage for active
employees, since usually the employer pays a part of the premium for
active employees while COBRA participants generally pay the entire
premium themselves. It is ordinarily less expensive, though, than
individual health coverage.
Plans must give covered individuals an initial general notice informing
them of their rights under COBRA and describing the law. The law also
obliges plan administrators, employers, and qualified beneficiaries to
provide notice of certain "qualifying events." In most instances of
employee death, termination, reduced hours of employment, entitlement
to Medicare, or bankruptcy, the employer must provide a specific notice

to the plan administrator. The plan administrator must then advise the
qualified beneficiaries of the opportunity to elect continuation coverage.
The American Recovery and Reinvestment Act of 2009 (ARRA) added
provisions to provide for premium reductions and additional election
opportunities for health benefits under COBRA. Eligible individuals pay
only 35 percent of their COBRA premiums and the remaining 65 percent
is reimbursed to the coverage provider through a tax credit. The
premium reduction applies to periods of health coverage beginning on or
after February 17, 2009 and lasts for up to nine months for those eligible
for COBRA during the period beginning September 1, 2008 and ending
December 31, 2009 due to an involuntary termination of employment
that occurred during that period.
The Department of Labor's regulatory and interpretive jurisdiction over
the COBRA provisions is limited to the COBRA notification and disclosure
provisions.
Jurisdiction of the Internal Revenue Service. The IRS has
regulatory and interpretive responsibility for all provisions of COBRA not
under the Department of Labor's jurisdiction. In addition, the IRS
generally administers and interprets the ERISA provisions relating to
participation, vesting, funding, and benefit accrual, contained in parts 2
and 3 of Title I.
Health Insurance Portability and Accountability Act of 1996. The
Health Insurance Portability and Accountability Act of 1996 (HIPAA)
amended ERISA to provide for improved portability and continuity of
health coverage connected with employment, among other things. The
HIPAA portability provisions relating to group health plans and health
insurance coverage offered in connection with group health plans are set
forth under Part 7 of Subtitle B of Title I of ERISA. These provisions
include rules relating to exclusions of preexisting conditions, special
enrollment rights, and prohibition of discrimination against individuals
based on health status-related factors.
The Newborns' and Mothers' Health Protection Act of 1996 (Newborns
Act) requires plans that offer maternity coverage to pay for at least a 48
hour hospital stay following childbirth (a 96 hour stay when a cesarean
section is performed).
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
in the plan to enroll when the employee or dependent is covered under

Medicaid or CHIP and loses that coverage as a result of loss of eligibility
or when the employee or dependent becomes eligible for Medicaid or
CHIP assistance with respect to coverage under the group health plan.
CHIPRA also created new notice requirements related to these special
enrollment rights.
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, Reporting, Notices and Posters (Health Plans)
Notices and Posters

Posters. There are no federal poster requirements.
Notices. ERISA contains several notice requirements for health plans
including, but not limited to, a Summary Plan Description (SPD), special
enrollment notice, and certificates of creditable coverage. Other notices
required by COBRA, HIPAA, WHCRA, the Newborns Act, and Michelles
Law may be required depending on the number of employees and the
benefits offered by the plan. The Reporting and Disclosure Guide for
Employee Benefit Planscan be used as a quick reference tool for certain
basic disclosure requirements under ERISA. This publication reflects the
law prior to the enactment of Michelles Law.
EBSA has also created several sample and model notices:
Notices required under HIPAA, WHCRA, and the Newborns Act
COBRA general notice

COBRA election notice
COBRA ARRA notices
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, Reporting, Notices and Posters (Retirement Plans)
Notices and Posters

Posters. There are no federal poster requirements.
Notices. ERISA contains several notice requirements for retirement
plans, such as the summary plan description, individual benefit
statements, and the summary annual report. The Reporting and
Disclosure Guide for Employee Benefit Plans has been prepared by EBSA
with assistance from PBGC. It is intended to be used as a quick
reference tool for certain basic disclosure requirements under ERISA.
Not all ERISA disclosure requirements are reflected in this guide. For
example, the guide, as a general matter, does not focus on disclosures
required by the Internal Revenue Code or the provisions of ERISA for
which the IRS has regulatory and interpretive authority.
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.

Part 5 of Title I states that the provisions of ERISA Titles I and IV
supersede state and local laws which "relate to" an employee benefit
plan. ERISA, however, does not preempt certain state and local laws,
including state insurance regulation of multiple employer welfare
arrangements (MEWAs). MEWAs generally constitute employee welfare
benefit plans or other arrangements providing welfare benefits to
employees of more than one employer, not pursuant to a collective

bargaining agreement.
In addition, ERISA's general prohibitions against assignment or
alienation of retirement benefits do not apply to qualified domestic
relations orders. Plan administrators must comply with the terms of
qualifying orders made pursuant to state domestic relations laws that
award all or part of a participant's benefit in the form of child support,
alimony, or marital property rights to an alternative payee (spouse,
former spouse, child, or other dependent). Finally, group health plans
covered by ERISA must provide benefits in accordance with the
requirements of qualified medical child support orders issued under state
domestic relations laws.

EBSA has numerous general publications designed to help employers and
employees understand their obligations and rights under ERISA. A list of
EBSA booklets and pamphlets is available from EBSA's Home Page and
through EBSA's toll-free publications line at
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
reports, 103-12 INVESTMENT Entity reports, Common or Collective

Trust or Pooled Separate Account direct filings, Apprentice and Other
Training Plans notices, "Top Hat" plan statements, advisory opinions,
exemptions, announcements, and transcripts of public hearings and
proceedings. The EBSA Public Disclosure Room is open to the public
Monday through Friday, from 8:30 a.m. to 4:30 p.m. Copies of materials
are available at a cost of 15 cents per page by ordering in person or
writing to: U.S. Department of Labor, EBSA Public Disclosure Room,
Room N-1513, 200 Constitution Avenue NW, Washington, D.C. 20210.
Given the complexity of ERISA requirements, employers may wish to
seek the assistance of an attorney, CPA firm, INVESTMENT or
brokerage firm, and other employee benefit consultants.
The Department of Labor provides employers and others with clear and
easy-to-access information and assistance on how to comply with the
Employee Retirement Income Security Act. Compliance assistance
related to the Act, includes:
Small Business Retirement Savings Advisor: The Advisor provides

answers to a variety of questions about retirement savings options for
small business employers and determines which program is most
appropriate for a business.
ERISA Fiduciary Advisor: The Advisor provides information and
answers to a variety of questions about who is a fiduciary and their
responsibilities under ERISA.
Health Benefits Advisor: The Advisor helps workers and their
families better understand employer and employee organization
provided group health benefits and the laws that govern them,
especially when they experience changes in their life and work
situations.
An Employer's Guide to Group Health Continuation Coverage Under
COBRA (PDF) Compliance Assistance Guide - Health Benefits Coverage
Under Federal Law (PDF):Includes general descriptions of the four
health care laws and FAQs.
Understanding Your Fiduciary Responsibilities Under a Group Health
Plan - This publication provides an overview of the basic fiduciary
responsibilities applicable to health plans under ERISA.
Meeting Your Fiduciary Responsibilities - This publication provides
an overview of the basic fiduciary responsibilities applicable to
retirement plans under the law.
Understanding Retirement Plan Fees and Expenses - This booklet
will help retirement plan sponsors better understand and evaluate their
plan's fees and expenses.
Selecting an Auditor for Your Employee Benefit Plan - Federal law

requires employee benefit plans with 100 or more participants to have
an audit as part of their obligation to file the Form 5500. This booklet
will assist plan administrators in selecting an auditor and reviewing the
audit work and report.
Employee Benefits Security Administration (EBSA) Compliance
Assistance Portal
Frequently Asked Questions
Additional compliance assistance, including explanatory brochures, fact
sheets, and regulatory and interpretive materials, is available on
theCompliance Assistance "By Law" Web page.

Black Lung Compensation

The Black Lung Benefits Act (BLBA)

Black Lung Web Site
Related Information
o
o
Who Is Covered
Employee Rights
Notices and Posters
Recordkeeping
Reporting
Penalties/Sanctions
DOL Contacts

Title IV, Federal Mine Safety and Health Act of 1977, as

amended
(30 USC 901 et seq.; 20 CFR Parts 718, 722, 725, 726, and 727)
Who is Covered
The Black Lung Benefits Act (BLBA) is administered by the Office of
Workers Compensation Programs (OWCP). The Act provides for
monthly payments to and medical treatment for coal miners totally
disabled from pneumoconiosis (black lung disease) arising from
employment in or around the nation's coal mines. The BLBA also
provides for monthly payments to certain survivors of miners who died
due to pneumoconiosis. Current and former coal miners (including
certain coal transportation and coal mine construction workers who were
exposed to coal mine dust) and their surviving dependents, including
surviving spouses, orphaned children, and totally dependent parents,
brothers, and sisters, may file claims for black lung benefits.
Individual coal mine operators are liable for the payment of benefits to
miners/employees. For purposes of determining responsibility for paying
benefits, a coal mine operator includes: any owner, lessee, or other
person who operates, controls, or supervises a coal mine or preparation
plant; or any independent contractor performing services or construction
at a mine; or certain entities involved in coal transportation.
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
employee. A chart of benefit rates can be found at the Department of

Labor's Black Lung Home Page. Benefit payments may be augmented for
up to three dependents. Benefit payments are reduced by the amounts
received for pneumoconiosis under state workers' compensation awards
and, in some cases, by excess earnings. Benefits rates are adjusted
periodically according to the percentage increase of federal pay rates.
Medical payments are limited to the treatment of conditions directly
related to black lung disease, and only totally disabled former miners
can qualify for this benefit. The BLBA covers certain medical, surgical,
and other expenses, such as hospital and nursing care, rehabilitation
services, and drug and equipment charges.
Each coal mine operator is required to pay an excise tax on coal sold.
The current tax rate is $1.10 per ton for underground-mined coal and
$.55 for surface-mined coal, subject to a cap of 4.4 percent of the sales
price. Proceeds from this tax FINANCE the Black Lung Disability Trust
Fund, which pays the cost of administering the BLBA and, in certain
cases, benefits to eligible claimants. The Trust Fund pays the cost of
black lung claims: where the miners last coal mine employment was
before January 1, 1970; or where no responsible coal mine operator has
been identified in claims where the miners last coal employment was
after December 31, 1969; or where the responsible coal mine operator
has defaulted on the payment of such benefits.
Coal mine operators (other than transportation and construction
employers) must secure payment of benefits for which they are liable
either by qualifying as a self-insurer or by obtaining insurance through a
commercial insurance carrier or a state agency. Operators must obtain
approval from the Department of Labor to become self-insurers. To
qualify, they must have been in the business of coal mining for at least
three years, demonstrate the ability to service black lung claims and
agree to service claims in a timely manner, meet minimum asset
requirements, and obtain an indemnity bond or post other security to
secure payment of benefits, among other things. Operators whose
applications to self-insure are denied may request reconsideration of that
decision. When operators obtain commercial insurance, their obligations
with regard to the payment of benefits and the provision of medical
treatment are binding on the insurance carriers.
Coal mine operators are required to begin paying benefits within 30 days
of a final determination of their liability for the benefits. Where payment
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.
Notices and Posters

There are no federal workplace poster or notice requirements under the
Black Lung Benefits Act.
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
necessary for the efficient administration of the Act. The failure or

refusal to file any such report subjects the employer to a civil penalty of
up to $550 for each such failure or refusal.
If an employer is ordered to pay benefits to a miner, it must designate a
person with decision making authority regarding medical benefits with
whom the miner, the miner's providers and OWCP may communicate.
The employer must also notify the miner, the miner's providers and
OWCP of its designation. OWCP may require the employer or carrier to
provide reports concerning the necessity, character or sufficiency of any
medical care provided to the miner.
Insurance Carriers. A commercial insurance carrier is required to
report each insurance policy or endorsement issued, cancelled or
renewed by the carrier to an operator. The reports must be sent by the
carrier's home office, except that the carrier may authorize its agency or
agencies to make such reports. Separate reports are required for each
operator covered by a particular policy that is issued or renewed. Notice
of cancellation must be given 30 days prior to the date the cancellation
is to take effect. Carriers that are liable for benefits on behalf of an
employer are required to report to OWCP immediately after making the
initial benefit payment and after suspending the payment of benefits.
Carriers are also required to provide any additional reports as OWCP
may require for the efficient administration of the Act.
Medical Providers. Physicians or medical facilities that provide care for
a miner-beneficiary are required, within 30 days of the first medical or
surgical treatment, to provide a report of such treatment to the
employer and OWCP. In addition, a medical provider may be required to
submit additional reports concerning the necessity, character and
sufficiency of medical care provided to the miner. The failure to provide
any requested report may result in the denial of payment for medical
services rendered.
Claimants. Individuals who are entitled to benefits are required to
report to OWCP any circumstances that could affect their entitlement to
benefits or the amount of benefits received. Claimants should use Form
CM-929 to report this information. In addition, if a miner-beneficiary
returns to coal mining or other comparable and gainful work, the miner
must notify both the employer and OWCP.
Representative Payees. If benefits are paid to a representative payee,

that individual may be required to submit evidence to OWCP periodically
addressing his or her continuing relationship to the claimant,
responsibility for care of the claimant, or authority to accept payment.
The representative payee may also be required to account for the use of
all benefit payments certified to the payee. Representative payees
should use Forms CM-929p, CM 623, or CM 623s to report this
information. The failure to submit any such evidence or report will result
in the termination of the individuals status as representative payee.
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.

Federal black lung benefits are offset by state workers' compensation
benefits for the same disease. If state black lung benefits are less than
federal black lung benefits, the federal black lung program covers the
difference. Social Security disability benefits are also reduced by the
amount of black lung benefits received.

To obtain additional information, contact the nearest Black Lung District
Office, visit the DCMWCs Black Lung Home Page or contact the DCMWC
by phone at
1-202-693-0047 or by fax at 1-202-693-1398.

with the Black Lung Benefits Act. Compliance assistance related to the
Act, including a Compliance Guide to the BLBA, fact
sheets, forms, Questions and Answers (PDF), and regulatory and
interpretive materials, is available on the Compliance Assistance By
Law Web page.

Longshore and Harbor Workers' Compensation
Related Information

The Longshore and Harbor Workers Compensation Act (LHWCA)
Longshore Web Site
Who Is Covered
Employee Rights
Notices and Posters
Recordkeeping
Reporting
Penalties/Sanctions
DOL Contacts
o
o
o

Longshore and Harbor Workers Compensation Act (LHWCA) (33

USC 901 et seq.; 20 CFR Parts 701 to 704)
Who is Covered
The Longshore and Harbor Workers' Compensation Act (LHWCA or
Longshore Act) is a workers compensation program administered by the
Office of Workers Compensation Programs (OWCP). The Act provides
for compensation and medical care to employees disabled from injuries
that occur on the navigable waters of the United States, or in adjoining
areas used in loading, unloading, repairing, or building certain vessels.
The Act also provides benefits to specific survivors and dependents if the
injury causes the employee's death. The term "injury" includes
occupational disease arising out of employment.
The Act covers workers employed in maritime occupations, including
longshore workers or other persons in longshore operations, and any
harbor workers, including ship repairers, shipbuilders, and shipbreakers.
The Act excludes certain workers, however, even if they are injured on
navigable waters or an area adjoining those waters. These excluded

workers include masters or members of a crew of a vessel and any
officer or employee of the United States or of any state or foreign
government. Certain other individuals may also be excluded, only if
they are covered by a state workers compensation law.
In addition, the provisions of the LHWCA are incorporated into several
other statutes providing workers compensation for other types of
employees. For example, the Defense Base Act covers employees of
U.S. contractors working outside the United States, while the
Nonappropriated Fund Instrumentalities Act provides for benefits for
civilian employees of post exchanges, service clubs, etc. of the Armed
Forces. The Outer Continental Shelf Lands Act provides coverage to
employees of private industry conducting certain operations on the Outer
Continental Shelf of the United States.
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,
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.
Notices and Posters

Poster. There is no federal DOL poster requirement.
Notices. The Longshore Act imposes a notice requirement. An
employer must post printed notices, in a form prescribed by the
Department, to advise employees what to do when they are injured at
work. Notices must be posted in a conspicuous place or places at each
worksite. In the notice, the employer must: 1) designate by name (or
title), location and phone number of the employer's official responsible
for receiving all notices of injury or death from employees or survivors;
and 2) state that the employer has secured its payment of compensation
under the Longshore Act and its extensions. Self-insured employers use
Form LS-242 and employers insured by an insurance carrier use Form
LS-241. For insured employers, the notice must contain the name and
address of the carrier and the date its policy expires. Forms LS-242 and
LS-241 are not currently available online. Contact the LHWCA national
office for additional information.
Recordkeeping
There are recordkeeping requirements for employers, self-insured
employers and insurance carriers, medical providers, representative
payees, and claimants under the Longshore Act.
Employers. The Longshore Act imposes recordkeeping requirements on

employers. Employers must maintain records of injuries sustained by
employees for the past three years; this record includes both lost-time
and no-lost-time injuries.
Self-insured employers. There are additional recordkeeping
requirements for self-insured employers. Any employer authorized to
self-insure its liabilities under the Act may be required to submit reports
to OWCP concerning its self-insurance status. These reports may
include:
A certified financial statement of the self-insurer's assets and

liabilities or a balance sheet;
Information about the classification and payroll of employees
covered by the Longshore Act;
List of death and injury cases occurring during the prior six months
and each cases current status; and
An audit by a Certified Public Accountant of the self-insurer's
financial status.
OWCP may also require a self-insurer to provide information relevant to
the self-insured's special fund responsibilities. The self-insurer is
expected to maintain accounting books, records or other papers that
would verify financial statements or other required reports. At the
request of OWCP, the self-insurer must produce such material for
inspection or examination. The failure to permit inspection may result in
revocation of the employers authority to self-insure.
Insurance Carriers. The Longshore Act imposes some recordkeeping
requirements on insurance carriers authorized to issue policies covering
Longshore Act liabilities. These requirements are similar to those
imposed upon self-insured employers. Required reports may include:
A certified financial statement of the carriers assets and liabilities or

a balance sheet;
Statement listing the carriers open death and injury cases by state;
Report of all outstanding claims and their status; and
An audit by a Certified Public Accountant of the carriers financial
status.
OWCP may also require a carrier to provide information relevant to the
carrier's special fund responsibilities. The carrier is expected to maintain
accounting books, records, or other papers that would verify financial
statements or other information contained in these reports. At the

request of OWCP, the carrier must produce such material for inspection
or examination. The failure to permit inspection may result in revocation
of the carriers authorization to write Longshore Act insurance.
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:
Name, address, and occupation of the employer
Name, address, and occupation of the employee
The cause, nature, and other relevant circumstances of the injury or

death
Year, month, day, and hour when, and the particular locality where,
the injury or death occurred
Other information as OWCP may require
Every employer shall maintain adequate records of injuries sustained by
employees, including information on the disease, other impairments or
disabilities, or death relating to the injury. Employers must make such
records available for inspection by OWCP or by any state authority, and

they should retain records for three years after the date of injury.
The employer must also file with OWCP an Employers Supplementary
Report of Accident or Occupational Illness where its first report did not
include the date the injured employee returned to work, or the injured
employee returned to work but later became disabled for work.
Employers use Form LS-210to report this additional information.
In addition to reporting injuries, the Longshore Act requires employers to
report payments of compensation to the district director, OWCP. These
reports must be made when the employer makes its first voluntary
compensation payment and when the employer suspends compensation
payments for any reason. Employers use Form LS-206 and Form LS208 to report this payment information. In addition, within 16 days
after making the final compensation payment to an employee or other
claimant, the employer must report the final payment to OWCP, the total
amount of compensation paid, and other information about the claim.
Employers use Form LS-208 to report this information.
If an employer declines to voluntarily pay compensation or otherwise
disputes compensation claimed, it must file with the district director,
OWCP, a Notice of Controversion of Right to Compensation within 14
days of when the employer learned of the injury or death. Employers
use Form LS-207 for this purpose. Failure to file a timely controversion
may lead to additional compensation liability.
Self-insured employers. There are additional reporting requirements
for self-insured employers.
An employer authorized to self-insure must annually file with OWCP two
separate reports summarizing its aggregate Longshore Act liabilities. The
first, called a Report of Payments, details the total amount of benefits
the self-insurer paid during the preceding year. Self-insurers use Form
LS-513 to report this information. The second, called a Report of Injury
Experience, provides details about all open claims against the selfinsurer and the self-insurers estimated future payment liability on those
claims. Self-insurers use Form LS-274 to report this information. In
addition, a self-insurer must submit any report that OWCP might
request, such as, for example, a report addressing the self-insurer's
financial condition. The failure to submit any requested report could
result in revocation of the employers authority to self-insure.
Insurance Carriers. The Longshore Act imposes numerous reporting

obligations on insurers.
Like a self-insured employer, an authorized insurance carrier must
submit any report that OWCP might request, such as, for example, a
report addressing the carriers financial condition or listing information
pertaining to the carrier's special fund liabilities. The failure to submit
any requested report could result in revocation of the carriers authority
to write insurance under the Longshore Act.
An insurance carrier must report to OWCP each contract of insurance it
issues (or renews) to cover an employers liabilities under the Longshore
Act or its extensions. The reports must be sent by the carrier's home
office, except that the carrier may authorize its agency or agencies to
make such reports. Separate reports are required for each employer
covered by a particular policy that is issued or renewed. Notice of
cancellation must be given 30 days prior to the date the cancellation is
to take effect. Carriers use Form LS-570 (called a Card Report of
Insurance) to report this information. Contact the OWCP national
In addition, a carrier must annually file with OWCP two separate reports
summarizing its aggregate Longshore Act liabilities. The first, called a
Report of Payments, details the total amount of benefits the carrier paid
during the preceding year. Carriers use Form LS-513 to report this
information. The second report, called a Report of Injury Experience,
provides details about all open claims against the carrier and the
carriers estimated future payment liability on those claims. Carriers
use Form LS-274 to report this information. Contact the OWCP national
office for any additional information.
Claimants. The Longshore Act and its extensions impose several
reporting obligations on benefits claimants. A claimant must file with the
employer (and may also file with the district director, OWCP) a written
Notice of Employees Injury or Death describing the causes and effects of
the injury. The time frame for filing this notice varies depending on the
nature of the injury. Claimants use Form LS-201 to report this
information. A claimant must file with the District Director a written
notice of a claim. Claimants use Form LS-203 to report this information.
The time frame for filing this notice varies depending on the nature of
the claim.
Upon the request of the employer, insurance carrier, or the Department

of Labor, employees receiving compensation must file a Report of
Earnings. This report lists any employment earnings the employee has
received during the period specified in the request and must be filed
within thirty days of when the employee receives the request.
Employees use Form LS-200 to report this information. An employee
who does not complete and file this report could forfeit compensation
payments.
Medical Providers. Physicians who provide care for an injured
employee are required, within 10 days of the first medical or surgical
treatment, to provide a report of the injury or treatment to the employer
and the district director. Physicians use Form LS-1 to report this
information. In addition, a medical provider may be required to submit
additional reports concerning the necessity, character, and sufficiency of
medical care provided to the employee. Physicians use Form LS-204 to
report this information. The failure to provide any requested report may
result in revocation of authorization to treat the employee and the denial
of payment for medical services rendered.
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.
Any employer who discriminates against an employee may be subject to

a penalty of not less than $1,000 or more than $5,000, and may be
required to restore that employee to his or her employment along with
all wages lost due to the discrimination unless that employee is no
longer qualified to perform the duties of the employment.

Benefits may be received concurrently under state and federal workers
compensation systems but any amounts paid for the same injury,
disability, or death are offset against benefits paid under the Act.
Amounts recovered under the Jones Act for a seamans disability or
death are also offset against Longshore benefits.

with the Longshore and Harbor Workers Compensation Act. Among the
many resources are:
LHWCA Home Page

Longshore Forms

Defense Base Compensation

The Longshore and Harbor Workers' Compensation Act (LHWCA)

Division of Longshore and Harbor Workers' Compensation (DLHWC)
Related Information
o
o
o
Who Is Covered
Employee Rights
Notices and Posters
Recordkeeping
Reporting
Penalties/Sanctions
DOL Contacts

Defense Base Act(42 USC S 1651-54.; 20 CFR Parts 701 to 704)

Who is Covered
The Defense Base Act (DBA) is a workers compensation program
administered by the Office of Workers Compensation Programs
(OWCP). The Act is an extension of the Longshore and Harbor Workers
Compensation Act (LHWCA or Longshore Act) and provides for
compensation and medical care to employees disabled from injuries that
occur while working under federal contracts on military bases, occupied
territories, and certain other overseas locations. The Act also provides
benefits to specific survivors and dependents if the injury causes the
employee's death. The term "injury" includes occupational disease

arising out of employment.
The Act covers workers employed in most occupations and under most
federal contracts, including any subcontractor or subordinate contract,
except where waived by the U.S. Department of Labor. The Department
agrees to waive the application of the DBA only where a local alternative
workers compensation program applies.
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
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
DBA insurance or obtain the Department of Labors authorization to selfinsure. 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 DBA. 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.
The employer or insurance carrier must pay compensation payments
periodically, promptly and directly to the person entitled to benefits
under the Act. Ongoing benefit payments to foreign workers may be
subject to commutation at the insurers option.
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.
Notices and Posters

Poster. There is no federal DOL poster requirement.
Notices. The DBA, as an extension of the Longshore Act, imposes a
notice requirement, although the nature of overseas employment,
especially in war zones, makes this impractical in some circumstances.
Workers are advised to talk with their employers about the workers
compensation protections provided. An employer is required to post
printed notices when practical, in a form prescribed by the Department,
to advise employees what to do when they are injured at work. At a
minimum, employees must be instructed who to notify in case of injury.
Notices must be posted in a conspicuous place or places at each
worksite. In the notice, the employer must: 1) designate by name (or
title), location and phone number of the employer's official responsible
for receiving all notices of injury or death from employees or survivors;
and 2) state that the employer has secured its payment of compensation
under the Defense Base Act. Self-insured employers use Form LS-242
and employers insured by an insurance carrier use Form LS-241. For
insured employers, the notice must contain the name and address of the
carrier and the date its policy expires. The Form LS-242 and LS-241 are
sent to each self-insurer and carrier, when authorized. These are
customized by them for each location. Contact the LHWCA national
Recordkeeping
There are recordkeeping requirements for employers, self-insured
employers and insurance carriers, medical providers, representative
payees, and claimants under the Defense Base Act as an extension of

the Longshore Act.
Employers. The Longshore Act imposes recordkeeping requirements on
employers. Employers must maintain records of injuries sustained by
employees for the past three years; this record includes both lost-time
and no-lost-time injuries.
Self-insured employers. There are additional recordkeeping
requirements for self-insured employers. Any employer authorized to
self-insure its liabilities under the Act may be required to submit reports
to OWCP concerning its self-insurance status. These reports may
include:
A certified financial statement of the self-insurer's assets and

liabilities or a balance sheet;
Information about the classification and payroll of employees
covered by the Defense Base Act;
List of death and injury cases occurring during the prior six months
and each cases current status; and
An audit by a Certified Public Accountant of the self-insurer's
financial status.
OWCP may also require a self-insurer to provide information relevant to
the self-insured's special fund responsibilities. The self-insurer is
expected to maintain accounting books, records or other papers that
would verify financial statements or other required reports. At the
request of OWCP, the self-insurer must produce such material for
inspection or examination. The failure to permit inspection may result in
revocation of the employers authority to self-insure.
Insurance Carriers. The Longshore Act imposes some recordkeeping
requirements on insurance carriers authorized to issue policies covering
Defense Base Act liabilities. These requirements are similar to those
imposed upon self-insured employers. Required reports may include:
A certified financial statement of the carriers assets and liabilities or

a balance sheet;
Statement listing the carriers open death and injury cases by state;
Report of all outstanding claims and their status; and
CPA audit of the carriers financial status.
OWCP may also require a carrier to provide information relevant to the

carrier's special fund responsibilities. The carrier is expected to maintain
accounting books, records, or other papers that would verify financial
statement or other information contained in these reports. At the
request of OWCP, the carrier must produce such material for inspection
or examination. The failure to permit inspection may result in revocation
of the carriers authorization to write Defense Base Act insurance.
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:
Name, address, and occupation of the employer
Name, address, and occupation of the employee
the cause, nature, and other relevant circumstances of the injury or

death
Year, month, day, and hour when, and the particular locality where,
the injury or death occurred
Other information as OWCP may require
Every employer shall maintain adequate records of injuries sustained by

employees, including information on the disease, other impairments or
disabilities, or death relating to the injury. Employers must make such
records available for inspection by OWCP or by any state authority, and
they should retain records for three years after the date of injury.
The employer must also file with OWCP an Employers Supplementary
Report of Accident or Occupational Illness where its first report did not
include the date the injured employee returned to work, or the injured
employee returned to work but later became disabled for work.
Employers use Form LS-210to report this additional information.
In addition to reporting injuries, the Longshore Act requires employers to
report payments of compensation to the district director, OWCP. These
reports must be made when the employer makes its first voluntary
compensation payment and when the employer suspends compensation
payments for any reason. Employers use Form LS-206 and Form LS208 to report this payment information. In addition, within 16 days
after making the final compensation payment to an employee or other
claimant, the employer must report the final payment to OWCP, the total
amount of compensation paid, and other information about the claim.
Employers use Form LS-208 to report this information.
If an employer declines to voluntarily pay compensation or otherwise
disputes compensation claimed, it must file with the district director,
OWCP, a Notice of Controversion of Right to Compensation within 14
days of when the employer learned of the injury or death. Employers
use Form LS-207 for this purpose. Failure to file a timely controversion
may lead to additional compensation liability.
Self-insured employers. There are additional reporting requirements
for self-insured employers.
An employer authorized to self-insure must annually file with OWCP two
separate reports summarizing its aggregate Defense Base Act
liabilities. The first, called a Report of Payments, details the total amount
of benefits the self-insurer paid during the preceding year. Self-insurers
use Form LS-513, which is mailed by OWCP to each self-insurer each
year, to report this information. The second, called a Report of Injury
Experience, provides details about all open claims against the selfinsurer and the self-insurers estimated future payment liability on those
claims. Self-insurers use Form LS-274 to report this information. In
addition, a self-insurer must submit any report that OWCP might

request, such as, for example, a report addressing the self-insurer's
financial condition. The failure to submit any requested report could
result in revocation of the employers authority to self-insure.
Insurance Carriers. The Longshore Act imposes numerous reporting
obligations on insurers.
Like a self-insured employer, an authorized insurance carrier must
submit any report that OWCP might request, such as, for example, a
report addressing the carriers financial condition or listing information
pertaining to the carrier's special fund liabilities. The failure to submit
any requested report could result in revocation of the carriers authority
to write insurance under the Defense Base Act.
An insurance carrier must report to OWCP each contract of insurance it
issues (or renews) to cover an employers liabilities under the Longshore
Act or its extensions. The reports must be sent by the carrier's home
office, except that the carrier may authorize its agency or agencies to
make such reports. Separate reports are required for each employer
covered by a particular policy that is issued or renewed. Notice of
cancellation must be given 30 days prior to the date the cancellation is
to take effect. Carriers use Form LS-570 (called a Card Report of
Insurance) to report this information. Contact the OWCP national
In addition, a carrier must annually file with OWCP two separate reports
summarizing its aggregate Defense Base Act liabilities. The first, called a
Report of Payments, details the total amount of benefits the carrier paid
during the preceding year. Carriers use Form LS-513, which is mailed by
OWCP to each carrier each year, to report this information. The second
report, called a Report of Injury Experience, provides details about all
open claims against the carrier and the carriers estimated future
payment liability on those claims. Carriers use Form LS-274 to report
this information. Contact the OWCPnational office for any additional
information.
Claimants. The Longshore Act and its extensions impose several
reporting obligations on benefits claimants. A claimant must file with the
employer (and may also file with the district director, OWCP) a written
Notice of Employees Injury or Death describing the causes and effects of
the injury. The time frame for filing this notice varies depending on the
nature of the injury. Claimants use Form LS-201 to report this

information. A claimant must file with the District Director a written
notice of a claim. Claimants use Form LS-203 to report this information.
The time frame for filing this notice varies depending on the nature of
the claim. The nature of injuries arising overseas under conditions found
in war zones may make these reporting requirements impractical, in
which case verbal notification to the employer, followed up as soon as
possible by written confirmation, is sufficient to file a claim.
Upon the request of the employer, insurance carrier, or the Department
of Labor, employees receiving compensation must file a Report of
Earnings. This report lists any employment earnings the employee has
received during the period specified in the request and must be filed
within thirty days of when the employee receives the request.
Employees use Form LS-200 to report this information. An employee
who does not complete and file this report could forfeit compensation
payments.
Medical Providers. Physicians who provide care for an injured
employee are required, within 10 days of the first medical or surgical
treatment, to provide a report of the injury or treatment to the employer
and the district director. Physicians use Form LS-1 to report this
information. In addition, a medical provider may be required to submit
additional reports concerning the necessity, character, and sufficiency of
medical care provided to the employee. Physicians use Form LS-204 to
report this information. The failure to provide any requested report may
result in revocation of authorization to treat the employee and the denial
of payment for medical services rendered. The timeline obligations for
medical reporting may be negated by the practicality of treatments
provided overseas in foreign medical care facilities. The insurer or selfinsured employer will pursue the needed medical reports.
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.
Any employer who discriminates against an employee may be subject to
a penalty of not less than $1,000 or more than $5,000, and may be
required to restore that employee to his or her employment along with
all wages lost due to the discrimination unless that employee is no
longer qualified to perform the duties of the employment.

Benefits may be received concurrently under state, foreign and federal
workers compensation systems but any amounts paid for the same
injury, disability or death are offset against benefits paid under the
Defense Base Act.

with the Longshore and Harbor Workers Compensation Act. Among the
many resources are:
LHWCA Home Page

Longshore Forms

Family and Medical Leave

The Family and Medical Leave Act (FMLA)

Wage and Hour Division FMLA Page
Related Information
o
o
o
Who Is Covered
Employee Rights
Notices and Posters
Recordkeeping
Reporting
Penalties/Sanctions
DOL Contacts

Family and Medical Leave Act of 1993 (FMLA)

(29 USC 2601 et seq.; 29 CFR Part 825)
Who is Covered
The Family and Medical Leave Act (FMLA) is administered by the Wage
and Hour Division (WHD). The FMLA provides a means for employees to
balance their work and family responsibilities by taking unpaid leave for
certain reasons. The Act is intended to promote the stability and
economic security of families as well as the nation's interest in
preserving the integrity of families.
The FMLA applies to any employer in the private sector who engages in
commerce, or in any industry or activity affecting commerce, and who
has 50 or more employees each working day during at least 20 calendar
weeks in the current or preceding calendar year.
The law also covers all public agencies (state and local governments)
and local education agencies (schools, whether public or private). These
employers do not need to meet the "50 employee" test. Title II of FMLA
covers most federal employees, who are subject to regulations issued by
the Office of Personnel Management.
To be eligible for FMLA leave, an individual must meet the following
criteria:
Be employed by a covered employer and work at a worksite within

75 miles of which that employer employs at least 50 people;
Have worked at least 12 months (which do not have to be
consecutive) for the employer; and
Have worked at least 1,250 hours during the 12 months
immediately before the date FMLA leave begins.
An employer need not count employment prior to a break in service of
seven years or more unless there was a written agreement between the
employer and employee (including a collective bargaining agreement) to
rehire the employee, or the break in service was due to fulfillment of
military service in the National Guard or Reserves.
The FMLA entitles eligible employees of covered employers to take jobprotected, unpaid leave for specified family and medical reasons.
Eligible employees are entitled to:
Twelve workweeks of leave in any 12-month period for:

o
Birth and care of the employee's child, within one year of birth
Placement with the employee of a child for adoption or foster

care, within one year of the placement
o
Care of an immediate family member (spouse, child, parent)
who has a serious health condition
o
For the employee's own serious health condition that makes
the employee unable to perform the essential functions of his or her
job
o
Any qualifying exigency arising out of the fact that the
employees spouse, son, daughter, or parent is on active duty or has
been notified of an impending call or order to active duty in the U.S.
National Guard or Reserves in support of a contingency operation
o
Twenty-six workweeks of leave during a single 12-month period to

care for a covered servicemember with a serious injury or illness if the
employee is the spouse, son, daughter, parent, or next of kin of the
servicemember (Military Caregiver Leave)
If an employee was receiving group health benefits when leave began,
an employer must maintain them at the same level and in the same
manner during periods of FMLA leave as if the employee had continued
to work. An employee may elect (or the employer may require) the
substitution of any accrued paid leave (vacation, sick, personal, etc.) for
periods of unpaid FMLA leave. Substitution means the accrued paid
leave runs concurrently with the FMLA leave period. An employees
ability to substitute accrued paid leave is determined by the terms and
conditions of the employers normal leave policy.
Employees may take FMLA leave intermittently or on a reduced leave
schedule (that is, in blocks of time less than the full amount of the
entitlement) when medically necessary or when the leave is due to a
qualifying exigency. Taking intermittent leave for the placement for
adoption or foster care of a child is subject to the employer's approval.
Intermittent leave taken for the birth of a child is also subject to the
employer's approval. However, employer approval is not required for
intermittent or reduced schedule leave that is medically necessary due to
pregnancy, a serious health condition, or the serious illness or injury of a
covered servicemember. Employer approval also is not required when

intermittent or reduced schedule leave is necessary due to a qualifying
exigency.
When the need for leave is foreseeable, an employee must give the
employer at least 30 days notice, or as much notice as is practicable.
When the leave is not foreseeable, the employee must provide notice as
soon as practicable in the particular circumstances. An employee must
comply with the employers usual and customary notice and procedural
requirements for requesting leave, absent unusual circumstances. In
requesting leave an employee must provide sufficient information for the
employer to reasonably determine whether the FMLA may apply to the
leave request. When the employee seeks leave for a qualifying reason
for which the employer has previously provided the employee FMLAprotected leave, the employee must specifically reference the qualifying
reason for the leave or the need for FMLA leave.
An employer may require that a serious health condition, or a serious
illness or injury of a covered servicemember, be supported by a
certification from the employee's health care provider, the employees
family members health care provider, or an authorized health care
provider of the covered servicemember. An employer may also require
periodic reports of the employee's status and intent to return to work
during the leave. Additionally, under certain conditions, an employer
may require that an employee who takes FMLA leave for his or her own
serious health condition submit a certification from the employees
health care provider that the employee is able to return to work, a
"fitness-for-duty" certification.
An employee who returns from FMLA leave is entitled to be restored to
the same or an equivalent job with equivalent pay, benefits, and other
terms and conditions of employment. The employee may, but is not
entitled to, accrue additional benefits during periods of unpaid FMLA
leave. However, the employer must return him or her to employment
with the same benefits at the same levels as existed when leave began.
Employee Rights
The FMLA provides that eligible employees of covered employers have a

right to take job-protected leave for qualifying events without
interference or restraint from their employers. An eligible employee has
the right to have group health insurance maintained during a period of
FMLA leave under the same terms and conditions as if the employee had
not taken leave and has the right to be restored to the same or an
equivalent position at the end of the FMLA leave.
The FMLA also gives employees 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), and testify or cooperate in other ways
with an investigation or lawsuit without being fired or discriminated
against in any other manner.
Employees and other persons may file complaints with a local Wage and
Hour Division office. The Department of Labor may file suit to ensure
compliance and recover damages if a complaint cannot be resolved
administratively. Most employees also have private rights of action,
without involvement of the Department of Labor, to correct violations
and recover damages through the courts.
Failure on the part of employers to follow the FMLA notice requirements,
may constitute an interference with, restraint, or denial of the exercise
of an employees FMLA rights.
Notices and Posters

Poster. All covered employers are required to display and keep on
display a poster explaining the provisions of the FMLA and telling
employees how to file a complaint with the Wage and Hour Division of
violations of the Act. The poster must be displayed prominently where
employees and applicants for employment can see it .The poster and all
the text must be large enough to be easily read and contain fully legible
text. Covered employers must display the poster even if no employees
are eligible for FMLA leave.
Where the employers workforce is comprised of a significant portion of

workers who are not literate in English, the employer is required to
provide the notice in a language in which the employees are literate. To
meet the posting requirements, employers may use the prototype poster
prepared by the Department or may use another format so long as the
information provided includes, at a minimum, all of the information
contained in that notice. Electronic posting is permitted as long as it
meets all of the posting requirements.
The Departments FMLA prototype poster is available
in English and Spanish.
Employer notices. Covered employers are required to post a notice for
employees outlining the basic provisions of the FMLA. Employers are also
required to provide notice of an employees eligibility and rights and
responsibilities under the FMLA and to designate qualifying leave as
FMLA and provide notice of that designation, including the amount of
leave that will count against the employees FMLA entitlement to the
employee.
General notice. If a covered employer has any eligible employees, it
must also provide general notice to each employee by including the
notice in employee handbooks or other written guidance to employees
concerning benefits or leave rights if such written materials exist. If
such written materials do not exist, the employer may accomplish this
by distributing a copy of the general notice to each new employee upon
hire. In either case, distribution may be accomplished electronically.
An employer may duplicate the text of the Poster to meet this general
notice requirement, or may use another format so long as the
information provided includes, at a minimum, all of the information
contained in that notice. Where an employers workforce is comprised of
a significant portion of workers who are not literate in English, the
employer must provide the general notice in a language in which the
employees are literate.
Eligibility notice. When an employee requests FMLA leave or the
employer acquires knowledge that an employees leave may be for an
FMLA-qualifying reason, the employer must notify the employee of the
employees eligibility to take FMLA leave within five business days,
absent extenuating circumstances. The eligibility notice must state
whether the employee is eligible for FMLA leave, and if the employee is
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:
Leave designated and counted against the employees annual FMLA

leave entitlement if it qualifies as FMLA leave
The applicable 12-month period for the FMLA entitlement
Requirements for the employee to furnish certification of a serious
health condition, serious injury or illness, or qualifying exigency arising
out of active duty or call to active duty status, and the consequences of
failing to do so
Employees right to substitute paid leave, whether the employer will
require the substitution of paid leave, the conditions related to any
substitution, and the employees entitlement to take unpaid FMLA leave
if the employee does not meet the conditions for paid leave
Requirement for the employee to make any premium payments to
maintain health benefits, the arrangements for making such payments,
and the possible consequences of the failure to make such payments on
a timely basis
Employees status as a key employee and the potential
consequence that restoration may be denied following FMLA leave,
explaining the conditions required for such denial
Employees rights to maintenance of benefits during the FMLA leave
and to restoration to the same or an equivalent job upon return from
leave
Employees potential liability for payment of health insurance
premiums paid by the employer during the employees unpaid FMLA
leave if the employee fails to return to work after taking FMLA leave
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.
The designation notice must be in writing. The Department of Labor

makes available a prototype Designation Notice (Form WH-382) for
employers use. If the leave is not designated as FMLA leave because it
does not meet the requirements for FMLA protection, the notice that the
leave is not designated FMLA may be in the form of a simple written
statement. If the information provided by the employer to the employee
in the designation notice changes, the employer must provide written
notice of the change within five business days of receipt of the
employees first notice of need for leave subsequent to the change.
Additionally, the employer must notify the employee of the amount of
leave counted against his or her FMLA entitlement. If known at the time
the leave is designated, the employer must notify the employee of the
number of hours, days, or weeks that will be counted against the
employees FMLA entitlement. If it is not possible to provide the hours,
days, or weeks that will be counted against the entitlement (such as in
the case of unforeseeable, intermittent leave), then the employer must
provide notice of the amount of leave counted against the FMLA leave
entitlement at the request of the employee, but no more often than once
in a 30-day period and only if leave was taken in that period. Notice of
the amount of leave taken may be oral, but if oral, must be confirmed in
writing, generally by no later than the following payday; such written
notice may be in any form, including a pay stub notation.
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:
Basic payroll and identifying information (including name, address,

and occupation)
Rate or basis of pay
Terms of compensation
Daily and weekly hours worked per pay period
Additions to or deductions from wages
Total compensation paid

In addition, covered employers who have eligible employees must also
maintain records detailing:
Dates of FMLA leave taken by FMLA eligible employees. Leave must

be designated in records as FMLA leave, and may not include leave
required under state law or an employer plan which is not also covered
by FMLA.
Hours of FMLA leave taken by FMLA eligible employees, if leave is
taken in increments of less than one full day
Copies of employee notices of leave furnished to the employer
Copies of all written notices given to employees as required under
FMLA
Documents describing employee benefits or employer paid and
unpaid leave policies and practices
Premium payments of employee benefits
Records of disputes between the employer and the employee
regarding FMLA
Records and documents relating to medical certifications, recertifications or medical histories of employees or employees family
members, created for purposes of FMLA, are required to be maintained
as confidential medical records in separate files/records from the usual
personnel files. If the Americans with Disabilities Act (ADA) applies, then
these records must comply with the ADA confidentiality requirements.
Supervisors and managers may be informed regarding necessary
restrictions on the work or duties of an employee and necessary
accommodations. First aid and safety personnel may be informed, where
appropriate, if the employees physical or medical condition might
require emergency treatment. Government officials investigating
compliance must be provided access to relevant information.
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.

A number of states have family leave statutes. Nothing in the FMLA
supersedes a provision of state law that is more beneficial to the
employee, and employers must comply with the more beneficial
provision. Under some circumstances, an employee with a disability may
have rights under the Americans with Disabilities Act.

More detailed information, including copies of explanatory brochures,
may be obtained by contacting the local Wage and Hour Division office.
Compliance assistance information is also available from the Wage and
Hour Division's Web site. For additional assistance, contact the Wage and
Hour Division at
1-866-487-
9243 FREE).
with the Family and Medical Leave Act. Among the many resources
available are:
Family and Medical Leave Act Advisor: This interactive Web-based

tool provides general information about application of the FMLA,
including valid reasons for leave, employee/employer notification
responsibilities, and employee rights and benefits.
Fact Sheet on Family and Medical Leave Act
Fact Sheet 28A: Family and Medical Leave Act Military Leave
Entitlements
FMLA Compliance Guide: Summarizes FMLA provisions and
regulations and provides answers to the most frequently asked
questions.
Memo: Protection of Uniformed Servicemembers' Rights to Family
and Medical Leave: Provides information on FMLA eligibility rules for
reservists returning to private employment.
Additional compliance assistance inclu

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Employment Law Guide:

Laws, Regulations, and Technical Assistance Services

This Guide describes the major statutes and regulations administered by

Wages and Hours Worked

II. Safety and Health Standards

III. Health Benefits, Retirement Standards, and Workers'

IV. Other Workplace Standards

Notices for Plant Closings and Mass Layoffs - Worker Adjustment

Union Officer Elections and Financial Controls - Labor-Management

Reemployment and Nondiscrimination Rights for Uniformed Services

V. Work Authorization for non-U.S. citizens

VI. Federal Contracts: Working Conditions

Wages in Supply & Equipment Contracts - Walsh-Healy Public

Prevailing Wages in Service Contracts - McNamara-O'Hara Service

Prevailing Wages in Construction Contracts - Davis-Bacon and

Hours and Safety Standards in Construction Contracts - Contract

INDEX OF LAWS OF PARTICULAR APPLICABILITY TO AN

Worker Protections in Agriculture - Migrant and Seasonal

Child Labor Protections (Agricultural Work) - Fair Labor Standards

Temporary Agricultural Workers (H-2A Visas) - Immigration and

Mine Safety and Health - Mine Safety and Health Act

Black Lung Compensation - Black Lung Benefits Act

Prevailing Wages in Construction Contracts - Davis-Bacon and

Hours and Safety Standards in Construction Contracts - Contract

Prohibition Against "Kickbacks" in Federally Funded

Employment Non-Discrimination and Equal Opportunity in

1-866-487-2365 FREE). All calls are kept

confidential within the bounds of DOL's compliance

Wages and Hours Worked: Minimum Wage and Overtime Pay

Compliance Assistance By Law

DOL Agency Assistance

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Fair Labor Standards Act of 1938 (FLSA), as amended

Executive, administrative, and professional employees (including

secondary schools), outside sales employees, and certain skilled

Employees engaged in fishing operations

Employees engaged in newspaper delivery

Certain commissioned employees of retail or service establishments

Auto, truck, trailer, farm implement, boat, or aircraft salespersons

Employees of motion picture theaters

Employees engaged in certain operations on agricultural

Student learners (vocational education students);

Individuals whose earning or productive capacities for the work to

9243 FREE). In addition, an employee may file a private suit, generally

Recordkeeping, Reporting, Notices and Posters

Notices and Posters

Employee's full name, as used for Social Security purposes, and on

Birth date, if younger than 19

Sex and occupation

Time and day of week when employee's workweek begins

Total daily or weekly straight-time earnings

Total overtime earnings for the workweek

All additions to or deductions from the employee's wages

Total wages paid each pay period

Date of payment and the pay period covered by the payment

Relation to State, Local, and Other Federal Laws

Compliance Assistance Available

The Handy Reference Guide to the FLSA

exempt from the FLSA's minimum wage and overtime pay

Wages and Hours Worked: Wage Garnishment

Compliance Assistance By Law

DOL Agency Assistance

Title III, Consumer Credit Protection Act (CCPA)

Recordkeeping, Reporting, Notices and Posters