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1993 SMALL BUSINESS HANDBOOK: LAWS, REGS & TECHNICAL ASSISTANCE SERVICES U.S. Dept of Labor, Robert B. Reich, Secretary

Voice Phone: (202) 219-6197 Telecommunications Device for the Deaf: 1 (800) 326-2577 Acknowledgement This publication was prepared in the Office of the Assistant Secretary for Policy (OASP) under the direction of Roland Droitsch. The material was developed by various DOL agencies, & compiled & organized by Mario DiStasio, Judson MacLaury, & Josephine Pitcher of OASP.

Foreword The DOL is charged w/preparing the American workforce for new & better jobs, & ensuring the adequacy of America's workplaces. It is responsible for the administration & enforcement of over 180 Fed statutes. These legislative mandates, & the regulations produced to implement them, cover a wide variety of workplace activities for nearly 10 million employers & well over 100 million workers. Most business men & women want to do the right thing. Few question the basic goals Fed rules are meant to advance. But even for the best intentioned small business, it may be difficult to be aware of the range of relevant laws & regs. This single publication represents a step towards making it less burdensome for small business to meet their regulatory obligations, so they can spend more of their time doing what they do best -- creating good jobs for American workes. The handbook is designed to provide general info on the laws & regs that the Dept enforces. My hope is that by providing clear & concise descriptions of the Deptal statutes most commonly applicable to small businesses, & by explaining how to obtain assistance from the Dept for complying w/them, small businesses & their workers will both be helped.

Robert B. Reich Secretary

Please Read This

This Handbook on the basic regs & related services administered by DOL is designed primarily for small businesses in general industry. It begins w/a general overview of DOL requirements. This is followed by eleven sections containing info on the specific laws & regs. Read the overview first to find out which requirements apply to your business. For each requirement the overview refers to specific sections or to a DOL office. Employers in certain industries (such as agriculture & mining) or employers working on govt contracts should contact the referenced DOL offices for further info & assistance. Each section discusses: covered employers; basic provisions & requirements; how to obtain info & assistance from DOL; penalties for non-compliance; & relation to state, local & other Fed laws. The section subtitles identify the applicable laws & the associated regs, which can be found in the Code of Fed Regs (CFR). Many sections refer to an appendix which provides additional addresses & phone numbers for obtaining DOL assistance.

You should be aware that other Fed agencies besides DOL enforce laws & regs that affect employers. For example, statutes designed to ensure non-discrimination in employment are generally enforced by the EEOC. Also, the Taft-Hartley Act regulating employer conduct w/regard to employees in a wide range of areas is administered by the NLRB. Please consult these agencies for further info on their requirements.

The info contained in this publication is not to be considered a substitute for any provisions of the laws enforced by the DOL or for any regs issued by the Dept.

CONTENTS
OVERVIEW
Section 1. Minimum Wage & Overtime Pay
Section 2. Child Labor (Nonagriculture)
Section 3. Employment Eligibility of Alien Workers
Section 4. Occupational Safety & Health
Section 5. Employee Benefit Plans
Section 6. Whistleblower Protection
Section 7. Veterans page 43
Section 8. Plant Closings & Mass Layoffs
Section 9. Lie Detector Tests
Section 10. Wage Garnishment
Section 11. Family & Medical Leave APPENDIX

OVERVIEW

MAJOR STATUTES & REGS ADMINISTERED BY THE DOL

I. REQUIREMENTS APPLICABLE TO MOST EMPLOYERS Wages & Hours

The Fair Labor Standards Act (FLSA) prescribes minimum wage & overtime pay (and record-keeping) standards affecting most private & public employment, including homework. This is administered by the Wage & Hour Div. of DOL's Employment Standards Administration (ESA).

1. The Minimum Wage & Overtime provisions of the FLSA require the following from employers of covered employees who are not otherwise exempt:

Until March 31, 1993, employers may pay a training wage, under certain conditions, of at least 85 percent of the minimum wage (but not less than $3.35 an hour) for up to 90 days to employees under age 20.

While not placing a limit on the total hours which may be worked, the Act requires that covered employees, unless otherwise exempt, be paid not less than one & one-half times their regular rates of pay for all hours worked in excess of 40 in a workweek.

2. Homework requirements of the FLSA generally prohibit the performance of certain types of work in an employee's home unless the employer has obtained prior certification from the DOL. See Sec. 1, pg 11, for more detail on wages & hours.

Who May Work, & When (administered by the Wage & Hour Div.)

1. Child Labor provisions of the FLSA (Non-agriculture) include restrictions on the hours of work & occupations for youths under age 16, & these provisions set forth 17 hazardous occupations orders for jobs declared by the Secretary to be too dangerous for minors under age 18 to perform. See Sec. 2, pg 17, for more detail.

2. Immigrant Labor is regulated by the Immigration & Nationality Act (INA). Under the INA, employers may legally hire workers only if they are citizens of the U.S. or aliens authorized to work in the United States. The INA requires that employers verify the employment eligibility of all individuals hired after November 6, 1986. See Sec. 3, pg 20, for more detail.

The Immigration Nursing Relief Act of 1989 (INRA) was enacted to provide relief for the shortage of registered nurses by legalizing current nonimmigrant registered nurses & ensuring employer efforts to attract & develop more U. S. employees to the nursing profession. Contact your local ESA Wage & Hour Div. office for more details (see pg 56).

Workplace Safety & Health

The Occupational Safety & Health Act (OSH Act), which is administered by DOL's Occupational Safety & Health Administration (OSHA) regulates safety & health conditions in most private industries (except those regulated under other Fed statutes, e.g., transportation). Many private employers are regulated through states operating under OSHA-approved plans.

It is the responsibility of employers to become familiar w/standards applicable to their establishments, to eliminate hazardous conditions to the extent possible, & to comply w/the standards. Compliance may include assuring that employees have & use personal protective equipment when required for safety or health. Employees must comply w/all rules & regs that are applicable to their own actions & conduct. Covered employers are required to maintain workplaces that are safe & healthful, including meeting many regulatory requirements. OSHA promulgates safety & health standards, & makes distinctions by type of industry.

Safety standards include regs covering hazards such as falls, explosions, electricity, fires, & cave-ins, as well as machine & vehicle operation & maintenance, etc. Health standards regulate exposures to a variety of health hazards through engineering controls, the use of personal protective equipment (e.g., respirators, ear protection etc.), & work practices.

Where OSHA has not promulgated a specific standard, employers are responsible for complying w/the OSH Act's "general duty" clause [Sec. 5(a)(1)], which 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."

When OSHA develops effective safety & health regs, safety & health regs originally issued under the following laws administered by the DOL are superseded: the Walsh-Healey Act, the Service Contract Act, the Contract Work Hours & Safety Standards Act, the Arts & Humanities Act, & the Longshore & Harbor Workers' Compensation Act. See Sec. 4, pg 22, for more detail.

Pensions & Welfare Benefits

The Employee Retirement Income Security Act (ERISA) regulates employers who have pension or welfare benefit plans. This statute preempts many state laws in this area & is administered by DOL's Pension & Welfare Benefits Administration (PWBA). The statute also provides an insurance mechanism to protect retirement benefits w/employers required to pay annual pension benefit insurance premiums to the Pension Benefits Guarantee Corp. (PBGC), which is associated w/the Dept.

1. Pension Plans must meet a wide range of fiduciary & rpting & disclosure requirements, w/regs defining such concepts as the value of plan assets, what is adequate consideration for the sale of assets, the effects of participants having control over the assets in their plans, etc.

2. Welfare Benefit Plans also must meet a wide range of fiduciary, rpting, & disclosure requirements. In addition, PWBA administers the disclosure & notification requirements for the continuation of health care provisions that were enacted as part of the Consolidated Omnibus Budget Reconciliation Act of 1985 (COBRA). These provisions cover group health plans of employers w/20 or more employees on a typical business day in the previous calendar year. COBRA gives participants & beneficiaries an election to maintain, at their own expense, coverage under the employer's health plan. See Sec. 5, pg 36, for more detail.

3. Pension Insurance info can be obtained from the Pension Benefits Guarantee Corp. by writing PBGC, Coverage & Inquiries Branch (25440), 2020 K Street, N.W., Washington, D.C. 20006-1860, or by calling (202) 778-8800.

Miscellaneous Requirements for Most Employers

1. The Labor-Mgmnt Rpting & Disclosure Act (also known as the Landrum-Griffin Act, LMRDA) deals w/the relationship between a union & its members. It provides for safeguarding of union funds, rpting & disclosure of financial transactions, & administrative practices of union officials, labor consultants, etc. This is administered by DOL's Employment Standards Administration, Office of Labor-Mgmnt Standards (OLMS). Call your local OLMS office for more detail (see pg 68).

2. Employee Protection provisions are built into most labor & public safety statutes, e.g., the FLSA, the OSH Act, ERISA, many environmental protection statutes, etc. These protect employees who exercise their rights under these Acts to complain about employers, ask for info, etc. (remedies can include back wages & reinstatement.) They are normally enforced by the DOL agency most concerned, e.g., OSHA enforces those arising under the OSH Act.

For more info on employee protection under a statute administered by DOL, see the relevant Sec.. For info on employee protection in the environmental context, see Sec. 6, pg 42, for more detail.

3. Veteran's Reemployment Rights ensures that those who serve in the armed forces have a right to reemployment w/the employer they were w/when they went in service, including protection for those called up from the reserves or National Guard. These are administered by DOL's Office of the Assistant Secretary for Veterans' Employment & Training. See Sec. 7, pg 44, for more detail.

4. Plant Closings & Layoffs by employers may be subject to the Worker Adjustment & Retraining Notification Act (WARN) which provides for early warning to employees of the proposed layoffs or plant closings. Questions on WARN may be addressed to DOL's Employment & Training Administration (ETA). See Sec. 8, pg 46, for more detail.

5. The Employee Polygraph Protection Act (EPPA) prohibits most use of lie detectors by employers on their employees. This is administered by the Wage & Hour Div. of ESA. See Sec. 9, pg 48, for more detail.

6. Garnishment of Wages by employers is subject to reg under the Consumer Credit Protection Act. This is administered by the Wage & Hour Div. of ESA. See Sec. 10, pg 50, for more detail.

7. The Family & Medical Leave Act requires employers of 50 or more employees to provide up to 12 weeks of unpaid, job-related leave to eligible employees for the birth of a child or for the serious illness of the employee or a family member. This is administered by the Wage & Hour Div. of ESA. See Sec. 11, pg 52, for more detail.

II. REQUIREMENTS APPLICABLE TO EMPLOYERS BECAUSE OF THE RECEIPT OF GOVT CONTRACTS, GRANTS, OR FINANCIAL ASSISTANCE

1. Wage, Hour, & Fringe Benefit Standards are determined for these contracts under: th Davis-Bacon & related Acts (for construction); the Contract Work, Hours, & Safety Standards Act; the McNamara-O'Hara Service Contract Act (for services); & the Walsh-Healey Public Contracts Act (for manufacturing). The Wage & Hour Div. of ESA both makes the determination of wages & benefits & enforces them. Contact your local ESA Wage & Hour Div. Office for more detail (see pg 56).

2. Safety & Health Standards are also issued under these Acts & are specifically applicable to covered contracts. Contact your local ESA Wage & Hour Div. Office for more detail (see pg 56).

3. Non-discrimination & Affirmative Action Requirements are set under Executive Order 11246, Sec. 503 of the Rehabilitation Act, the Vietnam Veteran's Readjustment Assistance Act (38 U.S.C. 4212), & the Americans w/Disabilities Act. These progs prohibit discrimination & require affirmative action w/regard to race, sex, ethnicity, religion, disability & veterans' status. They are administered by ESA's Office of Fed Contract Compliance Progs (OFCCP). OFCCP works closely w/EEOC to coordinate these efforts. Contact your local ESA Office of Fed Contract Compliance Progs for more detail (see pg 59).

III. INDUSTRY-SPECIFIC REQUIREMENTS IN ADDITION TO THE ABOVE

Agriculture

Several safety & health standards issued & enforced by OSHA (e.g., field sanitation) & the Environmental Protection Agency (e.g., pesticides) apply to this industry. In addition, several agriculture- specific progs are administered by ETA & ESA's Wage & Hour Div.. For more info on these progs, contact your local ESA office (see pg 56).

1. The Migrant & Seasonal Agricultural Worker Protection Act (MSPA) requires that covered farm labor contractors, agricultural employers & agricultural associations comply w/worker protection applicable to migrant & seasonal agricultural workers whom they recruit, solicit, hire, employ, furnish or transport or, in the case of migrant agricultural workers, to whom they provide housing.

2. The Immigration & Nationality Act (INA) requires that employers wishing to use nonimmigrant workers for temporary agricultural employment apply w/the Employment & Training Administration for a labor certificate showing that there are not sufficient workers in the U.S. able, willing, qualified & available to do the work & that employment of such nonimmigrant workers will not adversely affect the wages & working conditions of workers in the U.S.

3. INA as Amended by the Immigration Reform & Control Act requires all employers of special & replenishment agricultural workers (SAWs & RAWs) to provide certain info on the use of such workers to the Fed govt.

4. The Fair Labor Standards Act (FLSA) contains special child labor regs applicable to agricultural employment. The regs administered & enforced by the DOL agencies apply only to those establishments w/employees (e.g., they do not apply to family-run & family-operated farms that do not hire outside workers). Additionally, in some cases there are minimum employment standards which must be met before an establishment is covered by a reg (e.g., OSHA's field sanitation standard is not enforced at establishments that employ fewer than 11 workers in the field).

Mining Safety & Health

The goal of the Fed Mine Safety & Health Act of 1977 is to improve working conditions in the nation's mines. Its provisions cover all miners & other persons employed to work on mine property, & it is administered by the Labor Dept's Mine Safety & Health Administration (MSHA). This law strengthened an earlier coal mining law & brought metal & nonmetal (non-coal) miners under the same general protections as those afforded coal miners.

Under the Act, the operators of mines, w/the assistance of their employees, have the primary responsibility for ensuring the health & safety of the miners. MSHA is responsible for fully inspecting every underground mine at least four times a year & every surface mine at least twice a year to ensure that these responsibilities are met.

This law also established mandatory miners' training requirements & strengthened health protection measures & gassy mine safety progs. It also included tougher civil dollar penalties for safety or health violations by mine operators. The Act also provided for closure of mines in cases of imminent danger to workers or failure to correct violations within the time allowed, & it called for greater involvement of miners & their reps in processes affecting workers' health than previously had been possible.

Each mine must be legally registered w/MSHA. Many mine operators are required to submit plans to MSHA for approval before beginning operations. Such plans must be followed during mining. Required plans cover operational aspects such as ventilation, roof control, & miner training. Mine operators are required to rpt each individual mine accident or injury to MSHA.

MSHA's Coal Mine Safety & Health Div. enforces law & regs at more than 4,600 underground & surface coal mines. MSHA's Metal & Nonmetal Mine Safety & Health Div. enforces Fed requirements, conducts training, & assists the mining industry in reducing deaths, serious injuries & illnesses at more than 11,000 non-coal mines (including open pit mines, stone quarries, & sand & gravel operations).

Health & safety regs cover numerous hazards, including those associated w/the following: exposure to respirable dust, airborne contaminants & noise design, operation & maintenance requirements for mechanical equipment, including mobile equipment roof falls, & rib & face rolls flammable, explosive & noxious gases, dust & smoke electrical circuits & equipment fires storage, transportation, & use of explosives hoisting access & egress Contact your local MSHA office for more detail (see pg 81).

Construction

Several DOL agencies are involved in administering progs solely related to the construction industry.

1. Safety & Health: OSHA has separate occupational safety & health standards which apply only to the construction industry. See Sec. 4, pg 22, for more detail.

2. Wage & Fringe Benefits: The Davis-Bacon Act & related Acts require most contractors & subcontractors on Fedly assisted contracts in excess of $2,000 to pay the prevailing wage rates & fringe benefits as determined by the Secretary. Contact your local ESA Wage & Hour Div. Office for more detail (see pg 56).

3. Non-discrimination: OFCCP has special regs on non-discrimination & affirmative action which apply only to the construction industry. Contact your local ESA/OFCCP office for more detail (see pg 59).

4. Anti-Kickback: The "Anti-Kickback" Sec. of the Copeland Act applies to all contractors & subcontractors performing on any Fedly funded or assisted contract for the construction, prosecution, completion or repair of any public building or public work -- except contracts for which the only Fed assistance is a loan guarantee. This provision precludes a contractor or subcontractor from inducing an employee -- in any manner -- to give up any part of his/her compensation to which he/she is entitled under his/her contract of employment. Contact your local ESA Wage & Hour Div. office for more detail (see pg 54).

Transportation: Many laws w/labor provisions in them that affect the transportation industry are administered by agencies outside of the Dept. For example, the Railway Labor Act is administered primarily by the Deptof Transportation & the Railway Retirement Board. Special DOL progs for this industry are:

1. Safety & Health: Special longshoring & maritime industry standards issued & enforced by OSHA. See Sec. 4, pg 22, for more detail.

2. Longshoring & Harbor Work: Workers' compensation coverage provided under the Longshore & Harbor Workers' Compensation Act, which is administered by ESA. Employers must meet the coverage, funding, & other requirements needed to provide these benefits. Contact your local ESA/OWCP office for more detail (see pg 84).

SEC.S

1. Minimum Wage & Overtime Pay Fair Labor Standards Act of 1938, as Amended (Title 29, U.S. Code, Sec.s 201 et seq.; 29 CFR 510-800).

*** Who's Covered
The Fair Labor Standards Act (FLSA) establishes minimum wage, overtime pay, record-keeping & child labor standards that affect more than 80 million full- & part-time workers in the private sector & in Fed, state & local govts.

The Act applies to enterprises that have employees who are engaged in interstate commerce, producing goods for interstate commerce, or handling, selling or working on goods or materials that have been moved in or produced for interstate commerce. For most firms, an annual dollar volume of business test of not less than $500,000 applies. The following are covered by the Act 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 & secondary schools & institutions of higher education; & Fed, state & local govt agencies.

Employees of firms that do not meet the $500,000 annual dollar volume test may be individually covered in any workweek in which they are individually engaged in interstate commerce, the production of goods for interstate commerce, or an activity which is closely related & directly essential to the production of such goods. Domestic service workers, such as day workers, housekeepers, chauffeurs, cooks or full-time babysitters, are also covered if they receive at least $50 in cash wages in a calendar quarter from their employers or work a total of more than 8 hours a week for one or more employers.

An enterprise that was covered by the Act on March 31, 1990, & that ceased to be covered because of the increase in the annual dollar volume test to $500,000, as required under the 1989 amendments to the Act, must continue to pay its employees not less than $3.35 an hour (the statutory minimum wage prior to 4/1/90) & continues to be subject to the overtime pay, child labor & record-keeping requirements of the Act.

Some employees are excluded from the Act's minimum wage and/or overtime pay provisions under specific exemptions provided in the law. Because these exemptions are generally narrowly defined, employers should carefully check the exact terms & conditions for each by contacting the Wage & Hour Div. of the Employment Standards Administration (ESA) at the offices referenced below.

The following are examples of employees exempt from both the minimum wage & overtime pay requirements:

The following are examples of employees exempt from the Act's overtime pay requirements only:

Certain employees may be partially exempted from the Act's overtime pay requirements. These include:

*** Basic Provisions
The Act requires employers of covered employees who are not otherwise exempt to pay these employees a minimum wage of not less than $4.25 an hour. The increases in the minimum wage mandated by the 1989 amendments to the Act will be phased in on an industry-by-industry basis in Puerto Rico. All Puerto Rican industries must reach the mainland minimum wage by April 1, 1996. 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. Employers of tipped employees, i.e., employees who customarily & regularly receive more than $30 a month in tips, may consider the tips of these employees as part of their wages.

This tip credit may not, however, exceed 50 percent of the required minimum wage.

Employers may pay a training wage, under certain conditions, of at least 85 percent of the minimum wage (but not less than $3.35 an hour) for up to 90 days to employees under age 20, except for migrant or seasonal agricultural workers & H-2A nonimmigrant agricultural workers performing work of a temporary or seasonal nature. An employee who has been paid at the training wage for 90 days can be employed for 90 additional days at the training wage by a different employer if that employer provides on-the-job training in accordance w/rules of the DOL.

Employers may not displace employees (or reduce their wages or benefits) in order to hire employees at the training wage. These training wage provisions expire on March 31, 1993.

The Act also permits the employment of the following individuals at wage rates below the statutory minimum wage under certificates issued by the Dept:

While not placing a limit on the total hours which may be worked, the Act requires that covered employees, unless otherwise exempt, be paid not less than one & one-half times their regular rates of pay for all hours worked in excess of 40 in a workweek.

Employers are required to keep records on wages, hours & other items as set out in the DOL's regs. Most of this info is of the type generally maintained by employers in ordinary business practice.

Performance of certain types of work in an employee's home is prohibited under the Act unless the employer has obtained prior certification from the DOL. Restrictions apply in the manufacture of knitted outerwear, gloves & mittens, buttons & buckles, handkerchiefs, embroideries & jewelry (where safety & health hazards are not involved). Employers wishing to employ homeworkers in these industries are required to, among other things, provide written assurances to the Deptthat they will comply w/the Act's monetary & other requirements.

The manufacture of women's apparel (and jewelry under hazardous conditions) is generally prohibited, except under special certificates that allow homework in these industries when the homeworker is unable to adjust to factory work because of age or physical or mental disability, or is caring for an invalid in the home.

Special provisions apply to state & local govt employment.

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. The Act also prohibits the shipment of goods in interstate commerce which were produced in violation of the minimum wage, overtime pay, child labor, or special minimum wage provisions.

*** Assistance Available
More detailed info, including copies of explanatory brochures & regulatory & interpretative materials, may be obtained by contacting the offices listed beginning on pg 55 in the appendix.

*** Penalties
Enforcement of the Act is carried out by Wage & Hour Div. compliance officers stationed throughout the country. A variety of remedies are available to the Deptto enforce compliance w/the Act's requirements. When compliance officers encounter violations, they recommend changes in employment practices in order to bring the employer into compliance. Willful violations may be prosecuted criminally & the violators fined up to $10,000. A second conviction may result in imprisonment. Employers who willfully & repeatedly violate the minimum wage or overtime pay requirements are subject to civil money penalties of up to $1,000 per violation. Employers are subject to a civil money penalty of up to $10,000 for each employee employed in violation of the child labor provisions. When a civil money penalty is assessed, employers have the right, within 15 days of receipt of the notice of such penalty, to file an exception to the determination. When an exception is filed, it is referred to an administrative law judge for a hearing & determination as to the appropriateness of the penalty. If an exception is not filed, the penalty becomes final.

The Secretary may also bring suit for back pay & an equal amount in liquidated damages & obtain injunctions to restrain persons from violating the Act. Employees may also bring suit, where the Depthas not done so, for back pay & liquidated damages, as well as attorney's fees & court costs.

Relation to State, Local & Other Fed Laws State laws also apply to employment subject to this Act. When both this Act & a state law apply, the law setting the higher standards must be observed.

2. Child Labor (Nonagriculture) Fair Labor Standards Act of 1938, as Amended (Title 29, U.S. Code, Sec. 201 et seq.; 29 CFR 570-580).

*** Who is Covered
The child labor provisions of the Fair Labor Standards Act (the Act) are designed to protect the educational opportunities of youths & prohibit their employment in jobs & under conditions detrimental to their health & well-being.

In nonagriculture, the child labor provisions apply to enterprises that have employees who are engaged in interstate commerce, producing goods for interstate commerce, or handling, selling or working on goods or materials that have been moved in or produced for interstate commerce. For most firms, an annual dollar volume of business test of not less than $500,000 applies.

The following are covered by the Act regardless of their dollar volume of business:

*** Basic Provisions
The Act's child labor provisions include restrictions on the hours of work & occupations for youths under age 16. These provisions set forth 17 hazardous occupations orders for jobs declared by the Secretary to be too dangerous for minors under age 18 to perform. The Act prohibits the shipment of goods in interstate commerce which were produced in violation of the child labor provisions. It is also 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. The permissible jobs & hours of work, by age, in nonfarm work are as follows:

Detailed info on the occupations determined to be hazardous by the Secretary is available by contacting the Wage & Hour Div. at the offices listed below.

DOL regs require employers to keep records of the date of birth of employees under age 19, including daily starting & quitting times, daily & weekly hours worked, & the employee's occupation.

Employers may protect themselves from unintentional violation of the child labor provisions by keeping on file an employment or age certificate for each youth employed to show that the youth is the minimum age for the job. Certificates issued under most state laws are acceptable for this purpose.

*** Assistance Available
More detailed info, including copies of explanatory brochures & regulatory & interpretative materials, may be obtained by contacting the offices listed beginning on pg 55 in the appendix.

*** Penalties
Employers are subject to a civil money penalty of up to $10,000 for each employee employed in violation of the child labor provisions. When a civil money penalty is assessed, employers have the right, within 15 days of receipt of the notice of such penalty, to file an exception to the determination. When an exception is filed, it is referred to an administrative law judge for a hearing & determination as to the appropriateness of the penalty. Either party may appeal the decision of the administrative law judge to the Secretary. If an exception is not timely filed, the penalty becomes final.

The Act also provides, in the case of a conviction for a willful violation, for a fine of up to $10,000; or, for a second offense committed after the conviction of such person for a similar offense, for a fine of not more than $10,000 & imprisonment for up to six months, or both. The Secretary may also bring suit to obtain injunctions to restrain persons from violating the Act.

Relation to State, Local & Other Fed Laws Many states have child labor laws. When both this Act & a state law apply, the law setting the higher standards must be observed.

3. Employment Eligibility of Alien Workers Immigration & Nationality Act (INA) (8 U.S. Code, Sec. 1186).

*** Who's Covered
The Immigration & Nationality Act (INA) employment eligibility verification & related nondiscrimination provisions apply to all employers.

*** Basic Provisions
Under the INA, employers may legally hire workers only if they are citizens of the U.S. or aliens authorized to work in the United States. For some aliens (students, nurses, "specialty occupations," fashion models) employers must comply w/attestation procedures through the DOL. The INA requires that employers verify the employment eligibility of all individuals hired after November 6, 1986. To do so, employers must require applicants to show proof of their employment eligibility, by requiring completion of the I-9 form. Employers must keep I-9s on file for at least 3 years (or one year after employment ends, whichever is greater). The INA also protects U.S. citizens, & aliens authorized to accept employment in the U.S., from discrimination in hiring or discharge on the basis of national origin & citizenship status.

*** Assistance Available

More detailed info, including copies of explanatory brochures & regulatory & interpretative materials, may be obtained by contacting the offices listed beginning on pg 55 in the appendix.

Penalties Employers who fail to complete and/or retain the I-9 forms are subject to civil fines of up to $1,000 per applicant. Enforcement of the INA requirements on employment eligibility verification comes under the jurisdiction of the Immigration & Naturalization Service (INS). The Justice Deptis responsible for enforcing the anti-discrimination provisions. In conjunction w/their ongoing enforcement efforts, the Employment Standards Administration's Wage & Hour Div. & Office of Fed Contract Compliance Progs conduct inspections of the I-9 forms. Their findings are rpted to the INS & to the Deptof Justice where there is apparent disparate treatment in the verification process.

Relation to State, Local & Other Fed Laws Not Applicable.

4. Occupational Safety & Health

The Occupational Safety & Health Act of 1970 (OSH Act), 29 U.S.C. 651 et seq.; Title 29 Code of Fed Regs, Parts 1900 to end.

*** Who's Covered

In general, coverage of the Act extends to all employers & their employees in the 50 states, the District of Columbia, Puerto Rico, & all other territories under Fed govt jurisdiction. Coverage is provided either directly by the Fed Occupational Safety & Health Administration (OSHA) or through an OSHA-approved state job safety & health prog.

As defined by the Act, an employer is any "person engaged in a business affecting commerce who has employees, but does not include the United States or any state or political subDiv. of a State." Therefore, the Act applies to employers & employees in such varied fields as manufacturing, construction, longshoring, agriculture, law & medicine, charity & disaster relief, organized labor & private education. Such coverage includes religious groups to the extent that they employ workers for secular purposes.

The following are not covered by the Act:

When another Fed agency is authorized to regulate safety & health working conditions in a particular industry, if it does not do so in specific areas, then OSHA requirements apply.

As OSHA develops effective safety & health regs of its own, safety & health regs originally issued under the following laws administered by the DOL are superseded: the Walsh-Healey Act, the Service Contract Act, the Contract Work Hours & Safety Standards Act, the Arts & Humanities Act, & the Longshore & Harbor Workers' Compensation Act.

*** Basic Provisions

The Act assigns to OSHA two principal functions: setting standards & conducting workplace inspections to assure employers are complying w/the standards & providing a safe & healthful workplace. OSHA standards may require conditions, or the adoption or use of one or more practices, means, methods or processes reasonably necessary & appropriate to protect workers on the job.

It is the responsibility of employers to become familiar w/standards applicable to their establishments, to eliminate hazardous conditions to the extent possible, & to comply w/the standards. Compliance may include assuring that employees have & use personal protective equipment when required for safety or health. Employees must comply w/all rules & regs that are applicable to their own actions & conduct.

Where OSHA has not promulgated a specific standard, employers are responsible for complying w/the OSH Act's "general duty" clause.

The general duty clause of the Act [Sec. 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."

States w/OSHA-approved job safety & health progs must set standards that are at least as effective as the equivalent Fed standard. Many state-plan states adopt standards identical to the Fed ones.

Fed OSHA Standards

These fall into four major categories: general industry (29 CFR 1910), construction (29 CFR 1926), maritime - shipyards, marine terminals, longshoring - (29 CFR 1915-19), & agriculture (29 CFR 1928).

Each of these four categories of standards imposes requirements that are, in some cases, identical for each category of employers; in others, they are either absent or vary somewhat.

Among the standards that impose similar requirements on all industry sectors are those for access to medical & exposure records, personal protective equipment, & hazard communication. Access to Medical & Exposure Records: This standard requires that employers grant employees access to any of their medical records maintained by the employer & to any records the employer maintains on the employees' exposure to toxic substances.

Personal Protective Equipment: This standard, included separately in the standards for each industry segment (except agriculture) requires that employers provide employees, at no cost to employees, w/personal protective equipment designed to protect them against certain hazards. This can range from protective helmets in construction & cargo handling work to prevent head injuries, to eye protection, hearing protection, hard-toed shoes, special goggles (for welders, for example) & gauntlets for iron workers.

Hazard Communication: This standard requires that manufacturers & importers of hazardous materials conduct a hazard evaluation of the products they manufacture or import. If the product is found to be hazardous under the terms of the standard, containers of the material must be appropriately labeled & the first shipment of the material to a new customer must be accompanied by a material safety data sheet (MSDS). Receiving employers must train their employees, using the MSDSs they receive, to recognize & avoid the hazards the materials present.

In general, however, all employers should be aware that any hazard not covered by an industry-specific standard may be covered by a general industry standard or by the general duty clause. This coverage becomes important in the enforcement aspects of OSHA's work.

Other types of requirements are imposed by reg rather than by a standard. OSHA regs cover such items as record-keeping, rpting & posting.

Record-keeping: Every employer covered by OSHA who has more than 10 employees must maintain OSHA-specified records of job-related injuries & illnesses. There are two such records, the OSHA Form 200 & the OSHA Form 101.

The OSHA Form 200 is an injury/illness log, w/a separate line entry for each recordable injury or illness (essentially those work-related deaths, injuries & illnesses other than minor injuries that require only first aid treatment & that do not involve medical treatment, loss of consciousness, restriction of work or motion, or transfer to another job). A summary Sec. of the OSHA Form 200, which includes the total of the previous year's injury & illness experience, must be posted in the workplace for the entire month of February each year.

The OSHA Form 101 is an individual incident rpt that provides added detail about each individual recordable injury or illness. A suitable insurance or worker compensation form that provides the same details may be substituted for the OSHA Form 101. Unless an employer has been selected in a particular year to be part of a national survey of workplace injuries & illnesses conducted by the DOL's Bureau of Labor Statistics (BLS), employers w/ten or fewer employees or employers in traditionally low-hazard industries are exempt from maintaining these records; all employers selected for the BLS survey must maintain the records. Employers so selected will be notified before the end of the year to begin keeping records during the coming year, & technical assistance on completing these forms is available from the state offices which select these employers for the survey.

Industries designated as traditionally low hazard include: automobile dealers; apparel & accessory stores; furniture & home furnishing stores; eating & drinking places; finance, insurance, & real estate industries; & service industries, such as personal & business services, legal, educational, social & cultural services & membership organizations.

Rpting: In addition to selected employers each year being required to rpt their injury & illness experience, each employer, regardless of number of employees or industry category, must rpt to the nearest OSHA office within 48 hours any accident that results in one or more fatalities or hospitalization of five or more employees. Such accidents are often investigated by OSHA to determine whether violations of standards contributed to the event.

Workplace Inspections

To enforce its standards, OSHA is authorized under the Act to conduct workplace inspections. Every establishment covered by the Act is subject to inspection by OSHA compliance safety & health officers (CSHOs), who are chosen for their knowledge & experience in the occupational safety & health field. CSHOs are thoroughly trained in OSHA standards & in the recognition of safety & health hazards. Similarly, states w/their own occupational safety & health progs conduct inspections using qualified state CSHOs.

Employee Rights

Employees are granted several important rights by the Act. Among them are the right to: complain to OSHA about safety & health conditions in their workplace & have their identity kept confidential from the employer, contest the time period OSHA allows for correcting standards violations, & participate in OSHA workplace inspections.

Anti-Discrimination Provisions

Private sector employees who exercise their rights under OSHA can be protected against employer reprisal. Employees must notify OSHA within 30 days of the time they learned of the alleged discriminatory action. This notification is followed by an OSHA investigation. If OSHA agrees that discrimination has occurred, the employer will be asked to restore any lost benefits to the affected employee. If necessary, OSHA can take the employer to court. In such cases, the worker pays no legal fees.

*** Assistance Available

Copies of Standards

The Fed Register is one of the best sources of info on standards, since all OSHA standards are published there when adopted, as are all amendments, corrections, insertions or deletions. The Fed Register, published five days a week, is available in many public libraries. Annual subscriptions are available from the Superintendent of Docs, U.S. Govt Printing Office (GPO), Washington, DC 20402. For the current price, contact GPO at (202) 783-3238.

Each year the Office of the Fed Register publishes all current regs & standards in the Code of Fed Regs (CFR), available at many public libraries & from GPO. OSHA's regs & standards are collected in several volumes in Title 29 CFR, Parts 1900-1999.

Since states w/OSHA-approved job safety & health progs adopt & enforce their own standards under state law, copies of these standards can be obtained from the individual states. Addresses & phone numbers are found beginning on pg 61 in the appendix.

Training & Education

OSHA's field offices (more than 70) are full-service centers offering a variety of infoal services such as publications, technical advice, audio-visual aids on workplace hazards, & lecturers for speaking engagements.

The OSHA Training Institute in Des Plaines, IL, provides basic & advanced training & education in safety & health for Fed & state CSHOs; state consultants; other Fed agency personnel; & private sector employers, employees & their reps. Institute courses cover topics such as electrical hazards, machine guarding, ventilation & ergonomics. The Institute facility includes classrooms, laboratories, a library & an audio-visual unit. The laboratories contain various demonstrations & equipment, such as power presses, woodworking & welding shops, a complete industrial ventilation unit, & a noise demonstration laboratory. Sixty-three courses are available for students from the private sector dealing w/subjects such as safety & health in the construction industry & methods of voluntary compliance w/OSHA standards.

OSHA also provides funds to nonprofit organizations to conduct workplace training & education in subjects where OSHA believes there is a current lack of workplace training. OSHA identifies areas of unmet needs for safety & health education in the workplace annually & invites grant applications to address these needs. The Training Institute is OSHA's point of contact for learning about the many valuable training products & materials developed under such grants.

Organizations awarded grants use funds to develop training & educational progs, reach out to workers & employers for whom their prog is appropriate, & provide these progs to employers & employees.

Grants are awarded annually, w/a one-year renewal possible. Grant recipients are expected to contribute 20 percent of the total grant cost.

While OSHA does not provide grant materials directly, it will provide addresses & phone numbers of contact persons from whom the public can order such materials for its use. Contact the OSHA Training Institute at (708) 297-4810.

Consultation Assistance

Consultation assistance is available to employers who want help in establishing & maintaining a safe & healthful workplace. Largely funded by OSHA, the service is provided at no cost to the employer.

No penalties are proposed or citations issued for hazards identified by the consultant.

The service is provided to the employer w/the assurance that his or her name & firm & any info about the workplace will not be routinely rpted to OSHA inspection staff. Besides helping employers identify & correct specific hazards, consultation can include assistance in developing & implementing effective workplace safety & health progs w/emphasis on the prevention of worker injuries & illnesses. Limited assistance such as training & education services, is also provided away from the worksite.

Primarily targeted for smaller employers w/more hazardous operations, the consultation service is delivered by state govt agencies or universities employing professional safety consultants & health consultants. When delivered at the worksite, consultation assistance includes an opening conference w/the employer to explain the ground rules for consultation, a walk through the workplace to identify any specific hazards & to examine those aspects of the employer's safety & health prog which relate to the scope of the visit, & a closing conference followed by a written rpt to the employer of the consultant's findings & recommendations.

This process begins w/the employer's request for consultation & the commitment to correct any serious job safety & health hazards identified by the consultant. Possible violations of OSHA standards will not be rpted to OSHA enforcement staff unless the employer fails or refuses to eliminate or control worker exposure to any identified serious hazard or imminent danger situation. In such unusual circumstances, OSHA may investigate & begin enforcement action.

Employers who receive a comprehensive consultation visit, correct all identified hazards, & demonstrate that an effective safety & health prog is in operation may be exempted from OSHA general schedule enforcement inspections (not complaint or accident investigations) for a period of one year. Comprehensive consultation assistance includes an appraisal of all work practices; mechanical, physical, & environmental hazards in the workplace; and, all aspects of the employer's present job safety & health prog.

Additional info concerning consultation assistance, including a directory of OSHA-funded consultation projects, can be obtained by requesting OSHA publication No. 3047, Consultation Services for the Employer.

Voluntary Protection Progs

The Voluntary Protection Progs (VPPs) represent one part of OSHA's effort to extend worker protection beyond the minimum required by OSHA standards. These progs, along w/others such as expanded on-site consultation services & full-service area offices, are cooperative approaches which, when coupled w/an effective enforcement prog, expand worker protection to help meet the goals of the Occupational Safety & Health Act of 1970.

The VPPs are designed to:

Recognize outstanding achievement of those who have successfully incorporated comprehensive safety & health progs into their total mgmnt system

Motivate others to achieve excellent safety & health results in the same outstanding way

Establish a relationship between employers, employees, & OSHA that is based on cooperation rather than coercion OSHA reviews an employer's VPP application & conducts an on-site review to verify that the safety & health prog described is in operation at the site. Evaluations are conducted on a regular basis, annually for Merit & Demonstration progs, & triennially for Star. All participants must send their injury info annually to their OSHA regional office.

Sites participating in the VPP are not scheduled for progmed inspections; however, any employee complaints, serious accidents or significant chemical releases that may occur are handled according to routine enforcement procedures.

An employer may make application for any VPP at the nearest OSHA regional office. Once OSHA is satisfied that, on paper, the employer qualifies for the prog, an onsite review will be scheduled. The review team presents its findings in a written rpt for the company's review prior to submission to the Assistant Secretary, who heads OSHA. If approved, the employer receives a letter from the Assistant Secretary informing the site of its participation in the VPP. A certificate of approval & flag are presented at a ceremony held at or near the approved worksite. Star sites receiving reapproval after each triennial evaluation receive plaques at similar ceremonies.

The VPPs described are available in states under Fed jurisdiction. Some states w/their own safety & health progs have similar progs. Interested companies in these states should contact the appropriate state agency for more info (see list beginning on pg 61).

Info Sources

Info about state progs, VPP, consultation progs, & inspections can be obtained from the nearest OSHA field office, or from one of the 10 regional OSHA offices listed, beginning on pg 65 in the appendix. The listing indicates the states & territories under the jurisdiction of each regional office. Area offices under regional office jurisdiction are listed in local phone directories under U.S. Govt listings for the U.S DOL.

Other Sources

A single free copy of an OSHA catalog, OSHA 2019, "OSHA Publications & Audiovisual Progs," may be obtained by mailing a self-addressed mailing label to the OSHA Publications Office, Room N3101, US DOL, Washington, DC 20210; telephone (202) 219-9667. Descriptions of & ordering info for all OSHA publications & audiovisual progs are contained in this catalog.

Questions about OSHA progs, the status of ongoing standards-setting activities, & general inquiries about OSHA may be addressed to the OSHA Office of Info & Consumer Affairs, Room N3637, DOL, Washington, DC 20210; telephone (202) 219-8151.

Those who are interested in following OSHA activities more closely may be interested in subscribing to OSHA's official magazine, Job Safety & Health Quarterly. Subscription orders may be placed w/the Superintendent of Docs, Govt Printing Office, Washington, DC 20402; telephone (202) 783-3238. Orders by phone may be charged to VISA or MASTERCARD. Written orders should be accompanied by a check or money order made payable to "Superintendent of Docs" in the amount of $5.50 (international orders add 25%).

*** Penalties

These are the types of violations that may be cited & the penalties that may be proposed:

Other-Than-Serious Violation: A violation that has a direct relationship to job safety & health, but probably would not cause death or serious physical harm. A proposed penalty of up to $7,000 for each violation is discretionary. A penalty for an other-than-serious violation may be adjusted downward by as much as 95 percent, depending on the employer's good faith (demonstrated efforts to comply w/the Act), history of previous violations, & size of business. When the adjusted penalty amounts to less than $50, no penalty is proposed.

Serious Violation: A violation where there is substantial probability that death or serious physical harm could result & that the employer knew, or should have known, of the hazard. A mandatory penalty of up to $7,000 for each violation is proposed. A penalty for a serious violation may be adjusted downward, based on the employer's good faith, history of previous violations, the gravity of the alleged violation, & size of business.

Willful Violation: A violation that the employer intentionally & knowingly commits. The employer either knows that what he or she is doing constitutes a violation, or is aware that a hazardous condition existed & 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. A proposed penalty for a willful violation may be adjusted downward, depending on the size of the business & its history of previous violations. 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 a corp. [authorized under the Comprehensive Crime Control Act of 1984 (1984 CCA), not the OSH Act], may be imposed for a criminal conviction.

Repeated Violation: A violation of any standard, reg, rule or order where, upon reinspection, a substantially similar violation is found. Repeated violations can bring a fine of up to $70,000 for each such violation. To be the basis of 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 Correct Prior 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.

Additional violations for which citations & proposed penalties may be issued are as follows:

Falsifying records, rpts or applications upon conviction can bring a fine of $10,000 or up to six months in jail, or both Violations of posting requirements can bring a civil penalty of up to $7,000

Assaulting a compliance officer, or otherwise resisting, opposing, intimidating, or interfering w/a compliance officer in the performance of his or her duties is a criminal offense, subject to a fine of not more than $250,000 for an individual & $500,000 for a corp. (1984 CCA) & imprisonment for not more than three years

Citation & penalty procedures may differ somewhat in states w/their own occupational safety & health progs.

Appeals Process

Appeals by Employees: If an inspection was initiated due to an employee complaint, the employee or authorized employee rep 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 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 must contest the PMA within 10 working days of its posting or within 10 working days after an authorized employee rep has received a copy.

Within 15 working days of the employer's receipt of the citation, the employee may submit a written objection to OSHA. The OSHA area director forwards the objection to the Occupational Safety & Health Review Commission, which operates independently of OSHA.

Employees may request an informal conference w/OSHA to discuss any issues raised by an inspection, citation, notice of proposed penalty or employer's notice of intention to contest. Appeals by Employers: When issued a citation or notice of a proposed penalty, an employer may request an informal meeting w/OSHA's area director to discuss the case. Employee reps may be invited to attend the meeting. The area director is authorized to enter into settlement agreements that revise citations & penalties to avoid prolonged legal disputes.

Petition for Modification of Abatement (PMA): Upon receiving a citation, the employer must correct the cited hazard by the prescribed date unless he or she contests the citation or abatement date. If factors beyond the employer's reasonable control prevent the completion of corrections by that date, the employer who has made a good faith effort to comply may file a PMA for an extended date.

The written petition should specify all steps taken to achieve compliance, the additional time needed to achieve complete compliance, the reasons this additional time is needed, & all temporary steps being taken to safeguard employees against the cited hazard during the intervening period. It should also indicate that a copy of the PMA was posted in a conspicuous place at or near each place where a violation occurred, & that the employee rep (if there is one) received a copy of the petition.

Notice of Contest: If the employer decides to contest either the citation, the time set for abatement, or the proposed penalty, he or she has 15 working days from the time the citation & 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.

A copy of the Notice of Contest must be given to the employees' authorized rep. If any affected employees are not represented 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 the required 15 working days, the OSHA area director forwards the case to the Occupational Safety & Health Review Commission (OSHRC). The Commission is an independent agency not associated w/OSHA or the DOL. The Commission assigns the case to an administrative law judge.

The judge 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 & the employees have the right to participate in the hearing; the OSHRC does not require that they be represented by attorneys.

Once the administrative law judge has ruled, any party to the case may request a further review by OSHRC. Any of the three OSHRC commissioners also may, at his or her own motion, bring a case before the Commission for review. Commission rulings may be appealed to the appropriate U.S. Court of Appeals.

Appeals In State-Plan States

States w/their own occupational safety & health progs have a state system for review & appeal of citations, penalties, & abatement periods. The procedures are generally similar to Fed OSHA's, but cases are heard by a state review board or equivalent authority.

*** Relation to Other Laws

As discussed above in the Sec. titled "Who is Covered," Fed OSHA has jurisdiction over workplace safety & health issues in all states that do not operate their own OSHA-approved progs. In fact, any occupational safety & health issues regulated by a state that does not have an OSHA-approved prog are preempted by OSHA jurisdiction.

The agency also covers all working conditions that are not covered by safety & health regs of some other Fed agency under other legislation. Industries where such regs frequently apply include most transportation industries (rail, air & highway safety are under the Deptof Transportation), nuclear industries (covered either by the Deptof Energy or the Nuclear Regulatory commission) & mining (covered by the DOL's Mine Safety & Health Administration, & discussed elsewhere in this publication). OSHA also has the authority to monitor the safety & health of Fed employees.

5. Employee Benefit Plans

Employee Retirement Income Security Act (ERISA), 29 USC 1001 et seq., 29 CFR 2509 et seq.

*** Who's Covered

The provisions of Title I of ERISA are intended to require compliance from most private sector employee benefit plans. Employee benefit plans are voluntarily established & maintained by an employer, an employee organization, or jointly by one or more such employers & the employee organization. Employee benefit plans which are pension plans are established & maintained to provide retirement income or to defer income to termination of covered employment or beyond. Employee benefit plans which are welfare plans are established & maintained to provide, through insurance or otherwise, health benefits, disability benefits, death benefits, prepaid legal services, vacation benefits, day care centers, scholarship funds, apprenticeship & training benefits, or other similar benefits.

In general, ERISA does not cover plans established or maintained by govtal entities or churches for their employees, or plans which are maintained solely to comply w/applicable 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.

Basic Provisions/Requirements

ERISA sets uniform minimum standards to assure the equitable character of employee benefit plans & their financial soundness to provide workers w/benefits promised by their employers. In addition, employers have an obligation to provide promised benefits & satisfy ERISA's requirements on managing & administering private pension & welfare plans. The Dept's Pension & Welfare Benefits Administration (PWBA), together w/the IRS (IRS), carries out its statutory & regulatory authority to assure that workers receive the promised benefits.

The Depthas principal jurisdiction over Title I of ERISA, which requires persons & entities who manage & control plan funds to:

Carry out their duties in a prudent manner & refrain from conflict-of-interest transactions expressly prohibited by law, for the exclusive benefit of participants & beneficiaries Comply w/limitations on certain plans' investments in employer securities & properties

Fund benefits in accordance w/the law & plan rules Rpt & disclose info on the operations & financial condition of plans to the govt & participants Provide docs required in the conduct of investigations to assure compliance w/the law

The IRS administers Title II of ERISA, which includes vesting participation, discrimination & funding standards.

Rpting & Disclosure

Part 1 of Title I requires the administrator of an employee benefit plan to furnish participants & beneficiaries w/a summary plan description (SPD), describing in understandable terms, their rights, benefits & responsibilities under the plan. Plan administrators are also required to furnish participants w/a summary of any material changes to the plan or changes to the info contained in the summary plan description. Generally, copies of these docs must be filed w/the Dept. In addition, the administrator must file an annual rpt (Form 5500 Series) each year containing financial & other info concerning the operation of the plan. Plans w/100 or more participants must file the Form 5500. Plans w/fewer than 100 participants file the Form 5500-C at least every third year & may file a Form 5500-R, an abbreviated rpt, in the two intervening years. The forms are filed w/the IRS, which furnishes the info to the DOL. Welfare benefit plans w/fewer than 100 participants that are fully insured or unfunded (i.e., benefits are provided exclusively through insurance contracts where the premiums are paid directly from the general assets of the employer or the benefits are paid from the general assets of the employer) are not required to file an annual rpt under regs issued by the Dept. Plan administrators must furnish participants & beneficiaries w/a summary of the info in the annual rpt.

The Dept's regs governing rpting & disclosure requirements are set forth at 29 CFR 2520.101-1 et seq.

Fiduciary Standards

Part 4 sets forth standards & rules governing the conduct of plan fiduciaries. In general, persons who exercise discretionary authority or control regarding mgmnt 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 & beneficiaries & for the exclusive purpose of providing benefits & defraying reasonable expenses of administering the plan. In discharging their duties, fiduciaries must act prudently & in accordance w/docs governing the plan, to the extent such docs are consistent w/ERISA. Certain transactions between an employee benefit plan & "parties in interest," which include the employer & others who may be in a position to exercise improper influence over the plan, are prohibited by ERISA. Most of these transactions are also prohibited by the Internal Revenue Code ("Code"). The Code imposes an excise tax on "disqualified persons" -- whose definition generally parallels that of parties in interest -- who participate in such transactions.

*** Exemptions

Both ERISA & the Code contain various statutory exemptions from the prohibited transaction rules & give the Depts of Labor & Treasury, respectively, authority to grant administrative exemptions & establish exemption procedures. Reorganization Plan No. 4 of 1978 transferred the authority of the Treasury Deptover prohibited transaction exemptions, w/certain exceptions, to the Labor Dept.

The statutory exemptions generally include loans to participants, the provision of services necessary for operation of a plan for reasonable compensation, loans to employee stock ownership plans, & investment w/certain financial institutions regulated by other State or Fed agencies. (See ERISA Sec. 408 for the conditions of the exemptions.) Administrative exemptions may be granted by the Depton a class or individual basis for a wide variety of proposed transactions w/a plan. Applications for individual exemptions must include, among other info: Percentage of assets involved in the exemption transaction The names of persons w/investment discretion Extent of plan assets already invested in loans to, property leased by, & securities issued by parties in interest involved in the transaction

Copies of all contracts, agreements, instruments & relevant portions of plan docs & trust agreements bearing on the exemption transaction

Info regarding plan participation in pooled funds when the exemption transaction involves such funds Declaration, under penalty of perjury by the applicant, 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 Deptas part of an exemption application

The Dept's exemption procedures are set forth at 29 CFR 2570.30 through 2570.51.

Enforcement

ERISA imposes substantial law enforcement responsibilities on the Dept. Part 5 of ERISA Title I gives the Deptauthority to bring a civil action to correct violations of the law, gives investigative authority to determine whether any person has violated Title I, & imposes criminal penalties on any person who willfully violates any provision of Part 1 of Title V.

Continuation Health Coverage

Continuation health care provisions were enacted as part of the Consolidated Omnibus Budget Reconciliation Act of 1985 (COBRA). These provisions cover group health plans of employers w/20 or more employees on a typical working day in the previous calendar year. COBRA gives participants & beneficiaries an election to maintain at their own expense coverage under their health plan at a cost that is comparable to what it would be if they were still members of the employer's group. Employers & plan administrators have an obligation to determine specific rights of beneficiaries w/respect to election, notification & type of coverage options. (See 29 USC 1161 through 1168). Plans must give covered individuals an initial general notice informing them of their rights under COBRA & describing the law. Plan administrators are required to provide specific notices when certain events occur.

In most instances of employee death, termination, reduced hours of employment, entitlement to Medicare, or bankruptcy, it becomes the employer's responsibility to provide a specific notice to the plan administrator.

The Depthas limited regulatory & interpretative jurisdiction over COBRA provisions. Its responsibility includes the COBRA notification & disclosure provisions.

Jurisdiction of the IRS

The IRS has regulatory & interpretative responsibility for all provisions of COBRA not under DOL's jurisdiction. (See IRS proposed regs in the Fed Register of June 14, 1987 (52 FR 22716).) In addition, ERISA provisions relating to participation, vesting, funding & benefit accrual, contained in parts 2 & 3 of Title I, are generally administered & interpreted by the IRS.

*** Assistance

PWBA has numerous general publications designed to assist employers & employees in understanding their obligations & rights under ERISA. Publications -- a listing of PWBA booklets & pamphlets -- is available by writing to: Publications Desk, PWBA, Div. of Public Affairs, Room N-5511, 200 Constitution Ave., NW, Washington, DC 20210.

In addition, employee benefit plan docs & other materials are available from the PWBA Public Disclosure Room. This facility may be used to view & to obtain copies of materials on file. Materials include: summary plan descriptions, Form 5500 Series rpts, Master Trust rpts, 103-12 Investment Entity Rpts, Common or Collective Trust or Pooled Separate Account direct filings, Apprentice & Other Training Plans notices, "Top Hat" plan statements, advisory opinions, announcements & transcripts of public hearings & proceedings.

The PWBA 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 pg by ordering in person or writing to: PWBA Public Disclosure Room, DOL, Room N-5507, 200 Constitution Ave., NW, Washington, DC 20210. Given the complexity of ERISA requirements, employers may seek the assistance of an attorney, CPA firm, investment or brokerage firm, & other employee benefit consultants in complying w/the law.

*** Penalties

PWBA has authority to assess civil penalties for rpting violations & prohibited transactions involving a plan under ERISA Sec. 502(c). A penalty of up to $1,000 per day may be assessed against plan administrators who fail to or refuse to comply w/annual rpting requirements. Sec. 502(i) gives the agency authority to assess civil penalties against parties in interest who engage in prohibited transactions w/welfare & nonqualified pension 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 & service providers, who engage in prohibited transactions w/tax-qualified pension & profit sharing plans. Finally, the Deptis required under Sec. 502(l) to assess mandatory civil penalties equal to 20 percent of any amount recovered w/respect to fiduciary breaches resulting from either a settlement agreement w/the Deptor a court order as the result of a lawsuit by the Dept.

*** Relation to Other Laws

Part 5 of Title I provides that the provisions of ERISA Titles I & IV supersede state & local laws which "relate to" an employee benefit plan. ERISA, however, saves certain state & local laws from ERISA preemption, including certain exceptions for state insurance reg 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 pension benefits does not apply to qualified domestic relations orders. These orders must be made pursuant to state domestic relations law & 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). Plan administrators must comply w/the terms of such orders.

6. Whistleblower Protection

Employee Protection (Whistleblower) Provisions -- Clean Air Act (Title 42 U.S. Code, Sec. 7622); Comprehensive Environmental Response, Compensation & Liability Act (Title 42 U.S. Code, Sec. 9610); Energy Reorganization Act of 1974 (Title 42 U.S. Code, Sec. 5851); Safe Drinking Water Act (Title 42 U.S. Code, Sec. 300j-9(i)); Solid Waste Disposal Act (Title 42 U.S. Code, Sec. 6971); Toxic Substances Control Act (Title 15 U.S. Code, Sec. 2622); Fed Water Pollution Control Act (Title 33 U.S. Code, Sec. 1367); 29 CFR 24.

*** Who's Covered

These environmental Acts provide protection from discharge or other discriminatory actions by employers in retaliation for employees' good faith complaints about safety & health hazards in the workplace. The Acts cover all private sector employers.

*** Basic Provisions

The employee protection provisions of these Acts prohibit employers from discharging or otherwise discriminating against employees in retaliation for their disclosure of safety & health hazards to the employer or to the appropriate Fed agency. They also protect employee participation in formal govt proceedings in connection w/safety & health hazards. The Acts specifically exclude from protection the disclosure of hazards deliberately caused by an employee. Additionally, the statutes do not protect "frivolous" complaints. Employees have the right under the Acts to refuse to work in hazardous or unsafe situations.

Employees who believe they have been discriminated against in violation of these protective provisions may file a complaint, within 30 days of the alleged violation, w/the Employment Standards Administration's Wage & Hour Div..

*** Assistance Available

More detailed info, including copies of explanatory brochures & regulatory & interpretative materials, may be obtained by contacting the offices listed beginning on pg 55 in the appendix.

*** Penalties

Upon receipt of a complaint, the Wage & Hour Div. conducts an investigation to determine whether a violation has occurred. When a violation has occurred, the employer is notified of the violation determination & efforts are made to conciliate the situation.

The employer may appeal a violation determination to an administrative law judge, if done within 5 calendar days of the notification of the determination. The administrative law judge's decision is referred to the Secretary for a final order. The Secretary may affirm or set aside the administrative law judge's decision. Where the Secretary concludes that a violation has occurred, his/her final order may instruct the employer to take affirmative action to abate the violation & provide for appropriate relief, which may include restoration of back pay, employment status & benefits. The Secretary may also order the employer to provide compensatory damages to the employee. If dissatisfied w/the Secretary's decision, the employer may appeal in Fed court. Final determinations on violations are enforceable through the courts. The employee is entitled to similar appeal rights under the Acts.

Relation to State, Local & Other Fed Laws

The current whistleblower progs do not preempt existing state statutes & common law claims. All provisions contained in the progs are in addition to protection provided by state laws.

7. Veterans Veterans' Reemployment Rights Act (VRR).

*** Who's Covered

VRR applies to persons who are inducted into the Armed Forces, to persons who volunteer directly for active duty & to Reservists & members of the National Guard who are called to active duty either voluntarily or involuntarily. In addition, VRR covers members of the Reserves & National Guard during initial active duty training, active duty for training & inactive duty training.

Basic Provisions/Requirements Veterans returning from active duty must meet the following five eligibility requirements to be covered by VRR: Held an "other than temporary" (not necessarily "permanent") civilian job

Left the civilian job for the purpose of going on active duty Did not remain on active duty longer than 4 years, unless the period beyond 4 years (up to an additional year) was "at the request & for convenience of the Fed Govt" Was discharged or released from active duty "under honorable conditions"

Applied for reemployment w/the pre-service employer or successor in interest within 90 days after separation from active duty Eligible veterans are entitled to reinstatement within a reasonable time to a position of like seniority, status & pay. In addition, the returning veterans do not step back on the seniority escalator at the point they stepped off. Rather the veterans step back on at the precise point that they would have occupied had they kept the position continuously during the military service.

VRR provides that a reservist or member of the National Guard shall upon request be granted a leave of absence by such person's employer to perform active duty training or inactive duty training & that the employee shall not be denied retention in employment or any promotion or other incident or advantage of employment because of any obligation as a member of a Reserve component of the Armed Forces. In addition, while the employer is not required to pay the Reservist or National Guard member for the hours or days not worked because of military training obligations, it is unlawful to require the employee to use earned vacation time for military training.

A person who leaves a civilian job in order to perform active duty is not required to request a leave of absence or even to notify the employer that military service is the reason for leaving the job, although such a person is encouraged to provide the employer w/as much info as possible. However, a Reservist or member of the National Guard must request a leave of absence when leaving the civilian job to perform active duty training or inactive duty training.

VRR is enforced by DOL's Veterans' Employment & Training Service (VETS).

*** Assistance Available

VETS has published two fact sheets covering the veteran reemployment & job rights. These are OASVET 90-09 entitled "Job Rights for Reservists & Members of the National Guard" & OAVET 90-10 entitled "Reemployment Rights for Returning Veterans." Copies of these & other VETS' publications or answers to questions on VRR may be obtained from the nearest VETS office, as listed beginning on pg 71 in the appendix.

*** Penalties
Not Applicable.

Relation to State, Local & Other Fed Laws The VRR does not preempt state laws providing greater or additional rights, but it does preempt state laws providing lesser rights or imposing additional eligibility criteria.

8. Plant Closings & Mass Layoffs Worker Adjustment & Retraining Notification (WARN) Act, 29 U.S.C. 2101 et seq.; 20 CFR Part 639.

Who is Covered

In general, employers are covered by WARN if they have 100 or more employees, not counting employees who have worked less than 6 months in the last 12 months & not counting employees who work an average of less than 20 hours a week. Regular Fed, state & local govt entities which provide public services are not covered. Employees entitled to notice under WARN include hourly & salaried workers, as well as managerial & supervisory employees.

Basic Provisions/Requirements

WARN requires employers to provide notice 60 days in advance of covered plant closings & covered mass layoffs. This notice must be provided to affected workers or their reps (e.g., a labor union), to the state dislocated worker unit, & to the appropriate local govt.

A covered plant closing occurs when a facility or operating unit is shut down for more than 6 months, & 50 or more workers lose their jobs as a result during a 30-day period. A covered mass layoff occurs when a layoff of 6 months or longer affects 500 or more workers, or 33 percent or more of the employer's workforce when the layoffs affect between 50 & 499 workers. The number of affected workers is the total number laid off during a 30-, or in some cases 90-, day period.

WARN does not apply to the closing of temporary facilities, or the completion of an activity when the workers were hired only for the duration of that activity. WARN also provides for less than 60 days notice when the layoffs were the result of the closing a faltering company, unforeseeable business circumstances, or a natural disaster.

*** Assistance Available

The DOL has published a pamphlet entitled "A Guide to Advance Notice of Closings & Layoffs," which describes the Worker Adjustment & Retraining Notification Act. Requests for copies of the pamphlet, or general questions on the regs, may be addressed to:

DOL Employment & Training Administration Office of Work-Based Learning Room N-4469 200 Constitution Avenue, N.W. Washington, DC 20210 (202) 219-5577 (not a toll-free number)

The Dept, since it does not have administrative or enforcement authority under WARN, cannot provide specific advice or guidance w/respect to individual situations.

*** Penalties

An employer who violates the WARN provisions is liable to each employee for an amount equal to back pay & benefits for the period of the violation, up to 60 days. This may be reduced by the period of any notice that was given, & any voluntary payments made by the employer to the employee.

An employer who fails to provide the required notice to the unit of local govt is subject to a civil penalty not to exceed $500 for each day of violation. This may be avoided if the employer satisfies the liability to each employee within 3 weeks after the closing or layoff.

Enforcement of WARN requirements is through the United States district courts. Workers, or their reps, & units of local govt may bring individual or class action suits. The Court may allow reasonable attorney's fees as part of any final judgement.

Relation to State, Local & Other Fed Laws WARN is in addition to, & does not preempt any other Fed, state or local law, or any employer/employee agreement which requires other notification or benefit.

9. Lie Detector Tests Employee Polygraph Protection Act of 1988 (29 U.S. Code, Sec. 2001 et seq.; 29 CFR Part 801).

Who is Covered

The Employee Polygraph Protection Act (EPPA) applies to most private employers. Fed, state & local govts are not covered by the law.

*** Basic Provisions

The EPPA prohibits most private employers from using lie detector tests either for pre-employment screening or during the course of employment.

Employers are generally prohibited from requiring or requesting any employee or job applicant to take a lie detector test, & from discharging, disciplining, or discriminating against an employee or prospective employee for refusing to take a test or for exercising other rights under the Act. Employers may not use or inquire about the results of a lie detector test or discharge or discriminate against an employee, a prospective employee, or a former employee for refusal to take a test, on the basis of the results of a test, or for filing a complaint, or participating in a proceeding under the Act.

The Act permits polygraph (a type of lie detector) tests to be administered, subject to restrictions, to certain prospective employees of security service firms (armored car, alarm, & guard), & of pharmaceutical manufacturers, distributors & dispensers.

The Act also permits polygraph testing, subject to restrictions, of certain employees of private firms who are reasonably suspected of involvement in a workplace incident (theft, embezzlement, etc.) that resulted in specific economic loss or injury to the employer. Where polygraph examinations are permitted, they are subject to strict standards concerning the conduct of the test, including the pretest, testing & post-testing phases. An examiner must also be licensed & bonded or have professional liability coverage. The Act strictly limits the disclosure of info obtained during a polygraph test.

*** Assistance Available

The Act is administered & enforced by the Employment Standards Administration's Wage & Hour Div.. More detailed info, including copies of explanatory brochures & regulatory & interpretative materials, may be obtained by contacting the offices listed beginning on pg 55 in the appendix.

*** Penalties

The Secretary can bring court action to restrain violators & assess civil money penalties up to $10,000 per violation against violators. Employers who violate the law may be liable to the employee or prospective employee for legal & equitable relief, including employment, reinstatement, promotion & payment of lost wages & benefits. Any person against whom a civil money penalty is assessed may, within 30 days of the notice of assessment, request a hearing before an administrative law judge. If dissatisfied w/the administrative law judge's decision, such person may request a review of the decision by the Secretary. Final determinations on violations are enforceable through the courts.

Relation to State, Local & Other Fed Laws

The law does not preempt any provision of any state or local law or any collective bargaining agreement which is more restrictive w/respect to lie detector tests.

10. Wage Garnishment Title III, Consumer Credit Protection Act (15 U.S. Code, Sec.s 1671 et seq; 29 CFR 870).

*** Who's Covered

Title III of the Consumer Credit Protection Act (CCPA) protects employees from being discharged by their employers because of garnishment for any one indebtedness & limits the amount of employees' earnings which may be garnished in any one week. Title III applies to all individuals who receive personal earnings & to their employers. Personal earnings include wages, salaries, commissions, bonuses & income from a pension or retirement prog but does not ordinarily include tips.

The law applies in all 50 states, the District of Columbia, Puerto Rico & all U.S. territories & possessions.

*** Basic Provisions

Wage garnishment is a legal procedure through which the earnings of an individual are required by court order to be withheld by an employer for the payment of a debt. Title III prohibits an employer from discharging an employee whose earnings have been subject to garnishment for any one debt, regardless of the number of levies made or proceedings brought to collect it. It does not, however, protect an employee from discharge if the employee's earnings have been subject to garnishment for a second or subsequent debts. Title III also protects employees by limiting the amount of their 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 Fed minimum hourly wage prescribed by Sec. 6(a)(1) of the Fair Labor Standards Act of 1938. This limit applies regardless of the number of garnishment orders received by an employer. The Fed minimum wage is $4.25 per hour.

In court orders for child support or alimony, Title III allows up to 50 percent of an employee's disposable earnings to be garnished if the employee is supporting another spouse or child, & up to 60 percent for an employee who is not. An additional 5 percent may be garnished for support payments which are more than 12 weeks in arrears.

"Disposable earnings" is the amount of employee earnings left after legally required deductions have been made for Fed, state & local taxes, Social Security, unemployment insurance & state employee retirement systems. Other deductions which are not required by law, e.g., union dues, health & life insurance, & charitable contributions, are not subtracted from gross earnings when calculating the amount of disposable earnings for garnishment purposes.

Title III specifies that garnishment restrictions do not apply to bankruptcy court orders & debts due for Fed & state taxes. Nor does it affect voluntary wage assignments, i.e., situations in which workers voluntarily agree that their employers may turn over some specified amount of their earnings to a creditor or creditors.

*** Assistance Available

Title III is administered & enforced by the Employment Standards Administration's Wage & Hour Div.. More detailed info, including copies of explanatory brochures & regulatory & interpretative materials, may be obtained by contacting the offices listed beginning on pg 55 in the appendix.

*** Penalties

Violations of Title III may result in the reinstatement of a discharged employee, w/back pay, & the correction of improper garnishment amounts. Where violations cannot be resolved through informal means, court action may be initiated to restrain & remedy violations. Employers who willfully violate the discharge provisions of the law may be prosecuted criminally & fined up to $1,000, or imprisoned for not more than one year, or both.

Relation to State, Local & Other Fed Laws

If a state wage garnishment law differs from Title III, the law resulting in the smaller garnishment, or prohibiting the discharge of any employee because his or her earnings have been subject to garnishment for more than one indebtedness must be observed.

11. Family & Medical Leave Family & Medical Leave Act of 1993, Public Law 103-3, 29 CFR 825

*** Who's Covered

The Family & Medical Leave Act (FMLA) is intended to provide a means for employees to balance their work & family life by taking reasonable unpaid leave for certain reasons. The Act is intended to promote both the stability & economic security of families, & the national interests in preserving family integrity.

The FMLA is applicable to any employer, which includes integrated employers & successors in interest, who is engaged in commerce or in any industry or activity affecting commerce, & who has 50 or more employees for each working day during at least 20 calendar weeks or more in the current or preceding calendar year.

All public agencies (state & local govt), some Fed agencies & local education agencies (schools) are covered. Employers do not need to meet the 50 employee test. Most Fed employees are covered by Title II of FMLA & are subject to regs issued by the Office of Personnel Mgmnt.

In order to be "eligible" for FMLA leave an employee must be employed by a covered employer, & work at a worksite where at least 50 employees are employed at or within 75 miles (road - surface miles); must have worked at least 12 months (do not have to be consecutive) for the employer; and, must have worked at least 1250 hours during the 12 months immediately preceding the date of commencement of FMLA leave.

*** Basic Provisions

The FMLA provides an entitlement of up to 12 weeks of unpaid leave during any 12 months for the following reasons: Birth or placement for adoption or foster care of a child; To care for an immediate family member (spouse, child, parent) who has a serious health condition; or For the employee's own serious health condition.

An employer must maintain group health benefits that an employee was receiving at the time leave begins, during periods of unpaid FMLA leave, at the same level & in the same manner as if the employee had continued to work. Under most circumstances, an employee may elect or the employer may require the use of any accrued paid leave (vacation, sick, personal, etc.) for periods of unpaid FMLA leave. FMLA leave may be taken in blocks of time less than the full 12 weeks on an intermittent or reduced leave basis.

Taking of intermittent leave for the birth, placement for adoption, or foster care of a child must be approved by the employer. When leave is foreseeable, an employee must provide the employer w/at least 30 days notice of the need for leave. If the leave is not forseeable, then notice must be given as soon as practicable. An employer may require medical certification of a serious health condition from the employee, & may require periodic rpts during the period of leave of the employee's status & intent to return to work, as well as "fitness-for-duty" certification upon return to work in appropriate situations.

When the employee returns from FMLA leave the employee is entitled to be restored to the same job the employee left when leave commenced. In the event the same job is not available, the employer must place the employee in an equivalent job w/equivalent pay, benefits, responsibilities, etc. The employee is not entitled to accrue benefits during periods of unpaid FMLA leave, but must be returned to employment w/the same benefits at the same levels as existed when leave commenced. Any benefits accrued at the time leave began are retained by the employee.

Employers are required to post a notice for employees that outlines the basic provisions of FMLA & are subject to a civil money penalty for willfully failing to post such notice. Employers are prohibited from discriminating against or interfering w/employees who take FMLA leave.

*** Assistance Available

FMLA is administered by the Employment Standards Administration's Wage & Hour Div.. More detailed info, including copies of explanatory brochures, may be obtained by contacting the offices listed beginning on pg __ in the Appendix.

*** Penalties

Employees or any person may file penalties or complaints w/the Employment Standards Administration, DOL (usually through the nearest office of the Wage & Hour Div.). Employees have private rights of action without involvement of the Deptto correct violations & recover damages. The Secretary may file suit to insure compliance & recover damages if a complaint cannot be resolved adminis- tratively.

Relation to State, Local & Other Fed Laws

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, & employers must comply w/the more beneffficial provision. Under some circumstances, an employee w/a disability may have rights under the Americans w/Disabilities Act.

Appendix

Wage & Hour Div. National Office Office of Prog Operations Wage & Hour Div. Employment Standards Administration DOL, Room S-3028 200 Constitution Ave., N.W. Washington, D.C. 20210 (202) 219-8353

Div. of Farm Labor, Child Labor, & Polygraph Standards Wage & Hour Div. Employment Standards Administration DOL, Room S-3510 200 Constitution Ave., N.W. Washington, D.C. 20210 (202) 219-4670

Div. of Contract Standards Operations Wage & Hour Div. Employment Standards Administration DOL, Room S-3018 200 Constitution Ave., N.W. Washington, D.C. 20210 (202) 219-7541

Div. of Fair Labor Standards Act Operations Wage & Hour Div. Employment Standards Administration DOL, Room S-3516 200 Constitution Ave., N.W. Washington, D.C. 20210 (202) 219-1407

Div. of Wage Determinations Wage & Hour Div. Employment Standards Administration DOL, Room S-3014 200 Constitution Ave., N.W. Washington, D.C. 20210 (202) 219-7531

Regional Administrators

Wage & Hour Div. Employment Standards Administration DOL, Room 750 201 Varick St. New York, New York 10014 (212) 337-2000

Wage & Hour Div. Employment Standards Administration DOL, Room 662 1375 Peachtree St., N.E. Atlanta, Georgia 30367 (404) 347-4801

Wage & Hour Div. Employment Standards Administration DOL Fed Building, S. 800 525 S. Griffin St. Dallas, Texas 75202 (214) 767-6894

Wage & Hour Div. Employment Standards Administration DOL Fed Office Building 1801 California St., S. 930 Denver, Colorado 80202-2614 (303) 391-6780

Wage & Hour Div. Employment Standards Administration DOL 1111 Third Ave., S. 600 Seattle, Washington 98101 (206) 553-1914

Wage & Hour Div. Employment Standards Administration DOL One Congress St., 11th Fl. Boston, Massachusetts 02114 (617) 565-2066

Wage & Hour Div. Employment Standards Administration DOL, Room 15230 Gateway Building 3535 Market St. Philadelphia, Pennsylvania 19104 (215) 596-1185

Wage & Hour Div. Employment Standards Administration DOL, Room 820 230 South Dearborn St. Chicago, Illinois 60604 (312) 353-7280

Wage & Hour Div. Employment Standards Administration DOL Fed Office Building, Room 2000 911 Walnut St. Kansas City, Missouri 64106 (816) 426-5381

Wage & Hour Div. Employment Standards Administration DOL, S. 930 71 Stevenson St. San Francisco, California 94105 (415) 744-6645

Office of Fed Contract Compliance Progs

OFCCP/ESA DOL 200 Constitution Ave., N.W. Washington, DC 20210 (202) 219-9475

OFCCP/ESA DOL One Congress St., 11th Fl. Boston, MA 02114 (617) 565-2055

OFCCP/ESA DOL 201 Varick St., Room 750 New York, NY 10014 (212) 337-2006

OFCCP/ESA DOL Gateway Building, Room 15340 3535 Market St. Philadelphia, PA 19104 (215) 596-6168

OFCCP/ESA DOL, S. 678 1375 Peachtree St., N.E. Atlanta, GA 30367 (404) 347-3200

OFCCP/ESA DOL New Fed Building, Room 570 230 South Dearborn St. Chicago, IL 60604 (312) 353-0335

OFCCP/ESA DOL Fed Building, Room 840 525 South Griffin St. Dallas, TX 75202 (214) 767-4771

OFCCP/ESA DOL 911 Walnut St., Room 2011 Kansas City, MO 64106 (816) 426-5384

OFCCP/ESA DOL Fed Office Building, S. 935 1801 California St. Denver, CO 80202 (303) 844-5011

OFCCP/ESA DOL 71 Stevenson St., S. 910 San Francisco, CA 94105 (415) 744-6640

OFCCP/ESA DOL, S. 610 1111 Third Ave. Seattle, WA 98101 (206) 553-4508

Occupational Safety & Health Administration

State Prog Offices

Alaska DOL 1111 West 8th St., Room 306 Juneau, AK 99802 (907) 465-2700

Industrial Comm. of Arizona 800 W. Washington Phoenix, AZ 85007 (602) 542-5795

California Dept. of Industrial Relations 455 Golden Gate Ave., 4th Fl. San Francisco, CA 94102 (415) 703-4590

Connecticut Dept. of Labor 200 Folly Brook Blvd. Wethersfield, CT 06109 (203) 566-5123

Hawaii Dept. of Labor & Industrial Relations 830 Punchbowl St. Honolulu, HI 96813 (808) 586-8844

Indiana Dept. of Labor State Office Bldg., Room W-195 402 West Washington St. Indianapolis, IN 46204 (317) 232-2378

Iowa Div. of Labor Services 1000 E. Grand Ave. Des Moines, IA 50319 (515) 281-3447

Kentucky Labor Cabinet 1049 US Highway 127 South Frankfort, KY 40601 (502) 564-3070

Maryland Div. of Labor & Industry Dept of Licensing & Regs 501 St. Paul Pl., 2nd Fl. Baltimore, MD 21202 (301) 333-4179

Michigan Dept. of Labor P.O. Box 30015 Victor Office Center 201 N. Washington Square Lansing, MI 48933 (517) 373-9600

Michigan Dept. of Public Health P.O. Box 30195 3423 N. Logan St. Lansing, MI 48909 (517) 335-8022

Minnesota Dept. of Labor & Industry 443 Lafayette Rd. St. Paul, MN 55155 (612) 296-2342

Nevada Deptof Industrial Relations Div. of Occupational Safety & Health Capitol Complex 1370 S. Curry St. Carson City, NV 89710 (702) 687-3032

New Mexico Environment Dept. Occupational Health & Safety Bureau P.O. Box 26110 1190 St. Francis Dr. Santa Fe, NM 87502 (505) 827-2850

New York Dept. of Labor State Office Building Campus 12, Room 457 Albany, NY 12240 (518) 457-2741

North Carolina Dept. of Labor 4 W. Edenton St. Raleigh, NC 27601 (919) 733-0360

Oregon Occupational Safety & Health Div. Dept. of Insurance & Finance, Room 160 21 Labor & Industry Bldg. Summer & Chemekita Sts., N.E. Salem, OR 97310 (503) 378-3272

Puerto Rico Dept. of Labor & Human Resources 505 Munoz Rivera Ave. Hato Rey, PR 00918 (809) 754-2119

South Carolina Dept. of Labor P.O. Box 11329 3600 Forest Dr. Columbia, SC 29211 (803) 734-9594

Tennessee Dept. of Labor 501 Union Bldg, 2nd Fl., S. "A" Nashville, TN 37243 (615) 741-2582

Utah Occupational Safety & Health 160 E. 300 South P.O. Box 5800 Salt Lake City, UT 84110 (801) 530-6900

Vermont Dept. of Labor & Industry 120 State St. Montpelier, VT 05620 (802) 828-2288

Virgin Islands Dept. of Labor 2131 Hospital St. Christiansted, St Croix VI 00840 (809) 773-1994

Virginia Dept. of Labor & Industry Powers-Taylor Bldg. 13 S. 13th St. Richmond, VA 23219 (804) 786-2376

Washington Dept. of Labor & Industries P.O. Box 44001 Olympia, WA 98504 (206) 956-4200

Wyoming Dept. of Employment Occupational Health & Safety Administration Herschler Bldg, 2nd Fl. East 122 West 25th St Cheyenne, WY 82002 (307) 777-7672

Regional OSHA Offices

Region I (CT**, MA, ME, NH, RI, VT*) Occupational Safety & Health Administration DOL 133 Portland St., 1st Fl. Boston, MA 02114 (617) 565-7164

Region II (NJ, NY**, PR*, VI*) Occupational Safety & Health Administration DOL 201 Varick St., Room 670 New York, NY 10014 (212) 337-2378

Region III (DC, DE, MD*, PA, VA*, WV) Occupational Safety & Health Administration DOL 3535 Market St., S. 2100 Philadelphia, PA 19104 (215) 596-1201

Region IV (AL, FL, GA, KY*, MS, NC*, SC*, TN*) Occupational Safety & Health Administration DOL 1375 Peachtree St., N.E., Room 587 Atlanta, GA 30367 (404) 347-3573

Region V (IL, IN*, MI*, MN*, OH, WI) Occupational Safety & Health Administration DOL 230 S. Dearborn St., Room 3244 Chicago, IL 60604 (312) 353-2220

Region VI (AR, LA, NM*, OK, TX) Occupational Safety & Health Administration DOL 525 Griffin St, Room 602 Dallas, TX 75202 (214) 767-4731

Region VII (IA*, KS, MO, NE) Occupational Safety & Health Administration DOL 911 Walnut St., Room 406 Kansas City, MO 64106 (816) 426-5861

Region VIII (CO, MT, ND, SD, UT*, WY*) Occupational Safety & Health Administration DOL 1961 Stout St., Room 1576 Denver, CO 80294 (303) 844-3061

Region IX (American Samoa, AZ*, CA*, Guam, HI*, NV*, Pacific Trust Territories) Occupational Safety & Health Administration DOL 71 Stevenson St., 4th Flr. San Francisco, CA 94105 (415) 744-6670

Region X (AK*, ID, OR*, WA*) Occupational Safety & Health Administration DOL 1111 Third Ave., Room 715 Seattle, WA 98101-3212 (206) 553-5930

*State operates an OSHA-approved prog in both the public & private sectors. **State operates a public employee-only prog (NY & CT).

Office of Labor-Mgmnt Standards

OLMS/ESA DOL S. 600 1365 Peachtree St., NE Atlanta, GA 30367 (404) 347-4237

OLMS/ESA DOL S. 302 121 High St. Boston, MA 02110 (617) 565-8130

OLMS/ESA DOL S. 774 Fed Office Building 230 S. Dearborn St. Chicago, IL 60604 (312) 353-7264

OLMS/ESA DOL S. 831 Fed Office Building 1240 East 9th St. Cleveland, OH 44199 (216) 522-3855

OLMS/ESA DOL S. 300 525 Griffin Square Bldg. Griffin & Young Streets Dallas, TX 75202 (214) 767-6834

OLMS/ESA DOL S. 300 525 Griffin Square Bldg. Griffin & Young Streets Dallas, TX 75202 (214) 767-6834

OLMS/ESA DOL S. 1606 Fed Office Building Kansas City, MO 64106 (816) 426-2547

OLMS/ESA DOL S. 878 201 Varick St. New York, NY 10014 (212) 337-2580

OLMS/ESA DOL S. 9452 William Green Fed Building 600 Arch St. Philadelphia, PA 19106 (215) 597-4960

OLMS/ESA DOL S. 725 71 Stevenson St. San Francisco, CA 94105 (415) 744-6669

OLMS/ESA DOL S. 558 Ridell Building 1730 K St., N.W. Washington, DC 20006 (202) 254-6510

Veterans Employment & Training Service

VETS DOL 649 Monroe St. MONTGOMERY, ALABAMA 36130 (205) 223-7677

VETS DOL 1111 West 8th St. JUNEAU, ALASKA 99802 (907) 465-2723

VETS DOL 1300 West Washington PHOENIX, ARIZONA 85005 (602) 261-4961

VETS DOL Employment Security Bldg. State Capitol Mall, Rm. G-12 LITTLE ROCK, ARKANSAS 72201 (501) 682-3786

VETS DOL P. O. Box 942880 800 Capitol Mall, Room W1142 SACRAMENTO, CALIFORNIA 94280 (916) 654-8178

VETS DOL 71 Stevenson St., S. 705 SAN FRANCISCO, CALIFORNIA 94105 (415) 744-6677

VETS DOL 600 Grant St., S. 900 DENVER, COLORADO 80203 (303) 866-1114

VETS DOL CT DOL Building 200 Folly Brook Boulevard WETHERSFIELD, CONNECTICUT 06109 (203) 566-3326

VETS DOL Stockton Building, Room 104 100 Chapman Rd. NEWARK, DELAWARE 19702 (302) 368-6898

VETS DOL 500 C St., N.W., Room 108 WASHINGTON, D.C. 20001 (202) 727-3342

VETS DOL S. 102, Atkins Building 1320 Executive Center Dr. TALLAHASSEE, FLORIDA 32399 (904) 488-2967

VETS DOL Sussex Place, S. 504 148 International Blvd, N.E. ATLANTA, GEORGIA 30303 (404) 656-3127

VETS DOL 830 Punchbowl St. Room 232A HONOLULU, HAWAII 96813 (808) 541-1780

VETS DOL 317 Main St., Room 303 BOISE, IDAHO 83735 (208) 334-6164 or 6163

VETS DOL 401 South State St., 2 North CHICAGO, ILLINOIS 60605 (312) 793-3433

VETS DOL 10 North Senate Ave., Room 203 INDIANAPOLIS, INDIANA 46204 (317) 232-6804

VETS DOL 1000 East Grand Ave. DES MOINES, IOWA 50319 (515) 281-5106

VETS DOL 1309 Topeka Boulevard TOPEKA, KANSAS 66612 (913) 296-5032

VETS DOL c/o Deptfor Employment Services 275 East Main St. FRANKFORT, KENTUCKY 40621 (502) 564-7062

VETS DOL Louisiana DOL Employment Security Bldg. Room 174, 1001 N. 23rd St. BATON ROUGE, LOUISIANA 70804 (504) 342-5691

VETS DOL 522 Lisbon St. LEWISTON, MAINE 04243 (207) 783-5352

VETS DOL 1100 North Eutaw St. Room 205 BALTIMORE, MARYLAND 21201 (410) 333-5194

VETS DOL Room 506, JFK Fed Building BOSTON, MASSACHUSETTS 02203 (617) 565-2081

VETS DOL 7310 Woodward Ave. S. 407 DETROIT, MICHIGAN 48202 (313) 876-5613, 5614, or 5615

VETS DOL 390 North Robert, 1st Fl. ST. PAUL, MINNESOTA 55101 (612) 296-3665

VETS DOL 1520 West Capitol St. JACKSON, MISSISSIPPI 39215 (601) 961-7588

VETS DOL 421 East Dunklin St. JEFFERSON CITY, MISSOURI 65104 (314) 751-9231

VETS DOL 515 North Sanders HELENA, MONTANA 59624 (406) 449-5431

VETS DOL 550 South 16th St. LINCOLN, NEBRASKA 68509 (402) 437-5289

VETS DOL 500 East Third St. CARSON CITY, NEVADA 89710 (702) 885-4632

VETS DOL 55 Pleasant St., Room 325 CONCORD, NEW HAMPSHIRE 03301 (603) 225-1424 or 235-1425

VETS DOL 28 Yard Ave., Room 200 TRENTON, NEW JERSEY 08609 (609) 292-2930

VETS DOL 1st National Bank Building, East 5301 Central, N.E., Room 1214 ALBUQUERQUE, NEW MEXICO 87108 (505) 841-4592

VETS DOL Harriman State Campus Building 12, Room 518 ALBANY, NEW YORK 12240 (518) 457-7465

VETS DOL 700 Wade Ave. RALEIGH, NORTH CAROLINA 27605 (919) 733-7402

VETS DOL 1000 Divide Ave. BISMARCK, NORTH DAKOTA 58501 (701) 224-2865

VETS DOL 2728 Euclid Ave., 2nd Fl. CLEVELAND, OHIO 44115 (216) 622-3084

VETS DOL OBES Building 145 South Front St. COLUMBUS, OHIO 43216 (614) 466-2768

VETS DOL Will Rogers Memorial Office Building, Room 301 OKLAHOMA CITY, OKLAHOMA 73105 (405) 557-7189

VETS DOL 312 Employment Div. Building 875 Union St., N.E. SALEM, OREGON 97311 (503) 378-3338

VETS DOL Labor & Industry Building Room 625 Seventh & Forster Streets HARRISBURG, PENNSYLVANIA 17121 (717) 787-5834

VETS DOL Puerto Rico DOL & Human Resources Building HATO REY, PUERTO RICO 00918 505 Munoz Rivera Ave. 15th Fl. (809) 754-5391

VETS DOL 507 Fed Building & Courthouse PROVIDENCE, RHODE ISLAND 02903 (401) 528-5134

VETS DOL 914 Richland St., S. 101 COLUMBIA, SOUTH CAROLINA 29201 (803) 253-7649

VETS DOL 420 South Roosevelt P. O. Box 4730 ABERDEEN, SOUTH DAKOTA 57402 (605) 226-7289

VETS DOL 301 James Robertson Parkway Room 317 NASHVILLE, TENNESSEE 37201 (615) 741-2135

VETS DOL TEC Building, Room 516-B Trinity & 12th St. AUSTIN, TEXAS 78701 (512) 463-2207

VETS DOL 140 E. 300 South SALT LAKE CITY, UTAH 84111 (801) 524-5703 or 524-5704

VETS DOL Post Office Building 87 State St., Room 303 MONTPELIER, VERMONT 05602 (802) 828-4441 or 828-4437

VETS DOL 701 East Franklin St., S. 1409 RICHMOND, VIRGINIA 23219 (804) 786-7269

VETS DOL 605 Woodview Dr., S.E. LACEY, WASHINGTON 98503 (206) 438-4600

VETS DOL 112 California Ave., Room 212 Capitol Complex CHARLESTON, WEST VIRGINIA 25305 (304) 348-4001 or 347-5290

VETS DOL GEF I, 201 E. Washington Ave. Room 250 MADISON, WISCONSIN 53701 (608) 266-3110

VETS DOL 100 West Midwest Ave. CASPER, WYOMING 82602 (307) 235-3281 or 235-3282

Mine Safety & Health Administration Coal Mining

MSHA District 1 Office Penn Place 20 N. Pennsylvania Ave. Wilkes-Barre, PA 18701. (717) 826-6321
MSHA District 2 Office R.R. 1, Box 736 Hunker, PA 15639 (412) 925-5150
MSHA District 5 Office P.O. Box 560 Norton, VA 24273 (703) 679-0230
MSHA District 8 Office 501 Busseron St. Vincennes, IN 47591 (812) 882-7617
MSHA District 3 Office 5012 Mountaineer Mall Morgantown, WV 26505 (304) 291-4277
MSHA District 4 Office 100 Bluestone Rd. Mt. Hope, WV 25880 (304) 877-3900
MSHA District 6 Office 219 Ratliff Creek Rd. Pikeville, KY 41501 (606) 432-0943
MSHA District 7 Office HC 66, Box 1762 Barbourville, KY 40906 (606) 546-5123
MSHA District 10 Office 100 YMCA Dr. Madisonville, KY 42431 (502) 821-4180
MSHA District 9 Office P.O. Box 25367 Denver, CO 80225 (303) 231-5468

Metal & Nonmetal Mining

MSHA Northeastern District Office 230 Executive Dr. Mars, PA 16046 (412) 772-2333
MSHA Southeastern District Office 35 Gemini Circle, S. 212 Birmingham, AL 35209 (205) 290-7294
MSHA North Central District Office 515 W. First St. No. 228 Duluth, MN 55802 (218) 720-5448
MSHA South Central District Office 1100 Commerce St., Room 4650 Dallas, TX 75242 (214) 767-8401
MSHA Rocky Mountain District Office P.O. Box 25367 Denver, CO 80225 (303) 231-5465
MSHA Western District Office 3333 Vaca Valley Parkway, S. 600 Vacaville, CA 95688 (707) 447-9844

Longshore & Harbor Workers

OWCP/DLHWC DOL, ESA Room C-4315 200 Constitution Ave., N.W. Washington, D.C. 20210 (202) 219-8572
District NO. 1 (MA, ME, NH, VT, RI, & CT) OWCP/DLHWC DOL, ESA One Congress St., 11th Fl. Boston, MA 02114 (617) 565-2103
District NO. 2 (NY, NJ, & Puerto Rico) OWCP/DLHWC DOL, ESA P.O. Box 249 201 Varick St., Room 750 New York, NY 10014 (212) 337-2033
District NO. 3 (PA, DE, & WV) OWCP,DLHWC DOL, ESA P.O. Box 7336 Gateway Building, Room 13180 3535 Market St. Philadelphia, PA 19104 (215) 596-5570
District NO. 7 (LA & AR) OWCP/DLHWC DOL, ESA Room 13032 701 Loyola Ave. New Orleans, LA 70113 (504) 589-3664
District NO. 8 (TX, OK, & NM) OWCP/DLHWC DOL, ESA One South Green Building, Room 105 12600 N. Featherwood Dr. Houston, TX 77034 (713) 481-9750
District No. 10 (IL, IN, IA, KS, MI, MN, MO, NE, OH, & WI) OWCP/DLHWC DOL, ESA Room 800 230 South Dearborn St. Chicago, IL 60604 (312) 353-8883
District NO. 18 (That part of the State of California south of the northern boundaries of the counties of San Luis Obispo, Kern, & San Bernardino) OWCP/DLHWC DOL, ESA S. 720 401 E. Ocean Boulevard Long Beach, CA 90802 (213) 514-6226
District NO. 40 (Processes cases under the District of Columbia Workmen's Compensation Act of 1928)

Labor Standards

D.C. Dept of Employment Services 1200 Upshur St., N.W. Washington, DC 20011 (202) 576-6265
District NO. 4 (MD & DC) OWCP/DLHWC DOL, ESA Fed Building, Room 1026 31 Hopkins Plaza Baltimore, MD 21201 (410) 962-3677
District NO. 5 (VA) OWCP/DLHWC DOL, ESA Fed Building, Room 212 200 Granby Mall Norfolk, VA 23510 (804) 441-3071
District NO. 6 (FL, NC, KY, TN, SC, GA, AL, & MS) OWCP/DLHWC DOL, ESA Edward Ball Building, Fl. 10 214 Hogan St. Jacksonville, FL 32202 (904) 791-2881
District No. 13 (AZ NV, & that part of the State of California north of the northern boundaries of the counties of San Luis Obispo, Kern, & San Bernardino) OWCP/DLHWC DOL, ESA P.O. Box 3770 71 Stevenson St., Room 210 San Francisco, CA 94119 (415) 744-6869
District NO. 14 (AK, CO, ID, MT, ND, SD, OR, UT, WA, & WY) OWCP/DLHWC DOL, ESA 1111 3rd. Ave., S. 620 Seattle, WA 98101 (206) 442-4471 Dallas Office OWCP DOL, ESA Griffin Square Building, Room 407 525 Griffin Square Dallas, TX 75202 (214) 767-4712
District NO. 15 (Hawaii) OWCP/DLHWC DOL, ESA P.O. Box 50209, Room 5108 300 Ala Moana Boulevard Honolulu, HI 96850 (808) 551-1983

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