| ERISA § 209(b) | Failure to furnish reports (e.g., pension benefit statements) to certain former participants and beneficiaries or maintain records. | Up to $37 per employee |
| ERISA § 502(c)(2) | | Up to $2,670 per day |
| ERISA § 502(c)(4) | Failure to notify participants under ERISA § 101(j) of certain benefit restrictions and/or limitations arising under Internal Revenue Code § 436; Failure to furnish certain multiemployer plan financial and actuarial reports upon request under ERISA § 101(k); Failure to furnish estimate of withdrawal liability upon request under ERISA § 101(l); and Failure to furnish automatic contribution arrangement notice under ERISA § 514(e)(3).
Each statutory recipient who is not furnished a timely notice is a separate violation. | Up to $2,112 per day |
| ERISA § 502(c)(5) | Failure of a multiple employer welfare arrangement to file report required by regulations issued under ERISA § 101(g). | Up to $1,942 per day |
| ERISA § 502(c)(6) | Failure to furnish information requested by Secretary of Labor under ERISA § 104(a)(6). | Up to $190 per day not to exceed $1,906 per request |
| ERISA § 502(c)(7) | Failure to furnish a blackout notice under section 101(i) of ERISA or notice of the right to divest employer securities under section 101(m) of ERISA. | Up to $169 per day |
| ERISA § 502(c)(8) | Failure by a plan sponsor of a multiemployer plan in endangered status to adopt a funding improvement plan or a multiemployer plan in critical status to adopt a rehabilitation plan. Penalty also applies to a plan sponsor of an endangered status plan (other than a seriously endangered plan) that fails to meet its benchmark by the end of the funding improvement period. | Up to $1,677 per day |
| ERISA § 502(c)(9)(A) | Failure by an employer to inform employees of CHIP coverage opportunities under ERISA § 701(f)(3)(B)(i)(I) – each employee a separate violation. | Up to $141 per day per employee |
| ERISA § 502(c)(9)(B) | Failure by a plan administrator to timely provide to any State the information required to be disclosed under ERISA § 701(f)(3)(B)(ii), regarding coverage coordination – each participant/beneficiary a separate violation. | Up to $141 per day per individual |
| ERISA § 502(c)(10)(B)(i) | Failure by any plan sponsor of a group health plan, or any health insurance issuer offering health insurance coverage in connection with the plan, to meet the requirements of ERISA §§ 702(a)(1)(F), (b)(3),(c) or (d); or § 701; or § 702(b)(1) with respect to genetic information. | $141 per day per failure during non-compliance period |
| ERISA § 502(c)(10)(C)(i) | Minimum penalty for de minimis failures to meet genetic information requirements not corrected prior to notice from Secretary of Labor. | $3,550 minimum |
| ERISA § 502(c)(10)(C)(ii) | Minimum penalty for failures to meet genetic information requirements which are not corrected prior to notice from Secretary of Labor and are not de minimis. | $21,310 minimum |
| ERISA § 502(c)(10)(D)(iii)(II) | Cap on unintentional failures to meet genetic information requirements. | $710,310 maximum |
| ERISA § 502(c)(12) | Failure of CSEC plan sponsor to establish or update a funding restoration plan. | Up to $130 per day |
| ERISA § 502(m) | Distribution prohibited by ERISA § 206(e). | Up to $20,579 per distribution |
| ERISA § 715 | Failure to provide a participant or beneficiary a Summary of Benefits Coverage under Public Health Services Act section 2715(f), as incorporated into ERISA section § 715 and 29 CFR 2590.715-2715(e). | Up to $1,406 per failure |
