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Recordkeeping, Reporting & Notices Advisor

Recordkeeping, Reporting and Notice Requirements

Results

You have indicated that:

  • You want Recordkeeping, Reporting and Notice Requirements
  • The nature of your business or organization is: Mining, including surface mining
  • The maximum number of employees your business or organization employs or will employ during the calendar year is 150 or more.
  • There are NOT 50 or more employees working at or within a 75-mile radius of the location of your business or organization.
  • You hire or plan to hire disabled workers.
  • Your business or organization currently maintains or plans to maintain a pension plan or a retirement savings program for employees.
  • Your establishment is located in: Indiana, which has its own OSHA state plan.

Based on the information you provided in response to the questions in the Advisor, the following employment laws administered by the Department of Labor (DOL) likely apply to your business or organization. Please note that the Advisor covers only the major employment laws administered by DOL. In addition, the Advisor does not identify laws administered by other Federal agencies that might be applicable to your business or organization. The recordkeeping, reporting and notice requirements, if any, are provided for each of these laws.

In addition to posters of general application, certain organizations may be required to display posters that can only be obtained from DOL's Office of Workers' Compensation Programs (OWCP). More information on these posters is available. Links to Federal employment posters are always available on the Poster Page. Please note that some localities have workplace poster requirements, as do some other Federal agencies such as the Department of Housing and Urban Development which requires certain businesses to post its Equal Housing Opportunity poster.

Thank you for using the Department of Labor's FirstStep Recordkeeping, Reporting and Notice Requirements Advisor. If you need information on state recordkeeping, reporting and notice requirements, including state poster requirements, please contact your state labor office. For information on the Equal Employment Opportunity Commission's recordkeeping requirements, see their recordkeeping and reporting Web page. Please visit the FirstStep Employment Law Overview Advisor if you are interested in all the provisions of a Federal employment law.

Black Lung Benefits Act

The Black Lung Benefits Act (BLBA) provides monthly payments and medical benefits to coal miners who are totally disabled due to pneumoconiosis (black lung disease) arising from employment in or around the nation's coal mines. The BLBA also provides monthly benefit payments to certain eligible survivors of coal miners who died due to pneumoconiosis or who were previously determined to be totally disabled due to pneumoconiosis.

The Division of Coal Mine Workers' Compensation (DCMWC), within the Office of Workers' Compensation Programs (OWCP), adjudicates and processes claims filed by coal miners and their survivors under the BLBA.

Notices/Posters

There are no federal workplace poster or notice requirements under the Black Lung Benefits Act.

Recordkeeping

There are recordkeeping requirements for employers under the BLBA.

Employers that pay benefits are required to keep a receipt for each payment made. A canceled check is sufficient proof of payment. The employer must retain each receipt for at least five years after the receipt was executed and must produce the receipts for inspection upon the request of OWCP.

Any employer permitted to self-insure its liabilities under the Act may be required to submit reports to OWCP concerning its self-insurance status. The employer is expected to maintain any books of account, records or other papers that would verify any financial statement or other information contained in such a report. At the request of OWCP, the employer must produce such material for inspection or examination. The failure to permit such inspection may result in a revocation of the employer's self-insured status.

Reporting

There are reporting requirements for employers, insurance carriers, medical providers, representative payees, and claimants under the BLBA.

Employers. The BLBA imposes numerous reporting obligations. Many of these are related to the BLBA's requirement that coal mine operators (except for coal mine construction or transportation employers) secure the payment of benefits through self-insurance or commercial insurance. A coal mine operator permitted to self-insure must submit any report that OWCP might request, such as, for example, a report addressing the employer's financial condition. The failure to submit any requested report could result in revocation of the employer's self-insurance status.

If an award of benefits is issued against an employer that has neither self-insured nor obtained commercial insurance, OWCP may require the employer to secure the payment of benefits by posting a bond, cash, or negotiable securities. In such a case, the employer is required to submit to OWCP, within 30 days, proof that it has complied with the request.

Any employer ordered to pay benefits under the BLBA must report to OWCP the first payment of benefits and any change (such as suspension, reduction, or increase) in benefits payments thereafter. Employers should use Form CM-908 to report the termination or suspension of benefits and a reduction or increase in benefit amounts. In addition, within 16 days after the final payment of benefits, the employer must file a report with OWCP indicating that fact and listing the name of the beneficiary, the total amount of benefits paid and any other information required by OWCP. OWCP may also require other reports it deems necessary for the efficient administration of the Act. The failure or refusal to file any such report subjects the employer to a civil penalty of up to $550 for each such failure or refusal.

If an employer is ordered to pay benefits to a miner, it must designate a person with decision making authority regarding medical benefits with whom the miner, the miner's providers and OWCP may communicate. The employer must also notify the miner, the miner's providers and OWCP of its designation. OWCP may require the employer or carrier to provide reports concerning the necessity, character or sufficiency of any medical care provided to the miner.

Insurance Carriers. A commercial insurance carrier is required to report each insurance policy or endorsement issued, canceled or renewed by the carrier to an operator. The reports must be sent by the carrier's home office, except that the carrier may authorize its agency or agencies to make such reports. Separate reports are required for each operator covered by a particular policy that is issued or renewed. Notice of cancellation must be given 30 days prior to the date the cancellation is to take effect. Carriers that are liable for benefits on behalf of an employer are required to report to OWCP immediately after making the initial benefit payment and after suspending the payment of benefits. Carriers are also required to provide any additional reports as OWCP may require for the efficient administration of the Act.

Medical Providers. Physicians or medical facilities that provide care for a miner-beneficiary are required, within 30 days of the first medical or surgical treatment, to provide a report of such treatment to the employer and OWCP. In addition, a medical provider may be required to submit additional reports concerning the necessity, character and sufficiency of medical care provided to the miner. The failure to provide any requested report may result in the denial of payment for medical services rendered.

Claimants. Individuals who are entitled to benefits are required to report to OWCP any circumstances that could affect their entitlement to benefits or the amount of benefits received. Claimants are encouraged to contact the Division of Coal Mine Workers' Compensation (DCMWC) with jurisdiction of their claim via telephone or mail immediately when a change occurs. Examples include, but are not limited to, marriage, the death of a dependent, a child no longer attending school as a full-time student, a change of address or the receipt of state workers' compensation benefits for total or partial disability due to pneumoconiosis. Additionally, claimants will receive CM-929 on an annual basis to report any such changes. Also, if a miner-beneficiary returns to coal mining or other comparable and gainful work, the miner must notify both the employer and OWCP immediately.

Representative Payees. If benefits are paid to a representative payee, that individual may be required to submit evidence to OWCP periodically addressing his or her continuing relationship to the claimant, responsibility for care of the claimant, or authority to accept payment. The representative payee may also be required to account for the use of all benefit payments certified to the payee. Representative payees should immediately contact the Division of Coal Mine Workers' Compensation (DCMWC) with jurisdiction of the claim via telephone or mail when any change potentially affecting benefit payments or the representative's status occurs. Examples include, but are not limited to, the claimant's marriage, a change of address for either the claimant or the representative payee or a change in the payee's ability to manage the funds. Additionally, representative payees will receive one of the following forms annually and should report any changes on it: Forms CM-929P, CM 623, or CM-623S. The failure to submit any such evidence or report will result in the termination of the individual's status as representative payee.

Compliance Assistance Available

To obtain additional information, contact the nearest Division of Coal Mine Workers' Compensation (DCMWC) or contact the DCMWC by phone at 1-800-347-2502, by fax at 1-202-693-1395, or by email at DCMWC-public@dol.gov.

In addition, the Department of Labor provides employers, workers, and others with clear and easy-to-access information and assistance on how to comply with the Black Lung Benefits Act. Compliance assistance related to the Act, including a Compliance Guide to the BLBA, forms, Questions and Answers (PDF), and regulatory and interpretive materials, is available on DCMWC's Black Lung Home Page.

DOL Contacts

Office of Workers' Compensation Programs (OWCP), Division of Coal Mine Workers' Compensation(https://www.dol.gov/owcp/dcmwc/districtoffices.htm)
E-mail: DCMWC-Public@dol.gov
Tel: 1-800-347-2502; TTY: 1-877-889-5627

Consumer Credit Protection Act

Title III of the Consumer Credit Protection Act (CCPA) limits the amount of an individual's earnings that may be garnished for certain types of debts. It also protects an employee from being fired because the employee's pay is garnished for only one debt.

Title III is administered by the Wage and Hour Division (WHD) of the Department of Labor. Questions over issues other than the amount being garnished or termination should be referred to the court or agency initiating the withholding action.

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

Compliance Assistance Available

More detailed information, including copies of explanatory brochures and regulatory and interpretative materials such as the Federal Wage Garnishment Law Fact Sheet(https://www.dol.gov/whd/regs/compliance/whdfs30.pdf), may be obtained from the Wage and Hour Division's Web site(https://www.dol.gov/whd/) or by contacting a local Wage and Hour Division office(https://www.dol.gov/agencies/whd/contact/local-offices).

DOL Contacts

Wage and Hour Division(https://www.dol.gov/whd/)
Contact WHD(https://webapps.dol.gov/contactwhd/Default.aspx)
Tel: 1-866-4-US-WAGE (1-866-487-9243)*
*If you are deaf, hard of hearing, or have a speech disability, please dial 7-1-1 to access telecommunications relay services.

The Employee Polygraph Protection Act (EPPA)

The Employee Polygraph Protection Act of 1988 (EPPA) generally prevents private sector employers from using lie detector tests, either for pre-employment screening or during the course of employment, with certain exceptions.  Employers generally may not require or request any employee or job applicant to take a lie detector test, or discharge, discipline, or discriminate against an employee or job applicant for refusing to take a test or for exercising other rights under the Act.

EPPA excludes Federal, state and local government agencies from the Act's coverage, with respect to public employees.  Lie detector tests may also be administered by the Federal Government to employees of Federal contractors engaged in national security intelligence or counterintelligence functions.

EPPA includes limited exemptions that allow for the administration of polygraph tests (but no other lie detector tests) by private sector employers:

Subject to restrictions, the Act permits polygraph (a type of lie detector) tests to be administered to certain job applicants of security service firms (armored car, alarm, and guard) and of pharmaceutical manufacturers, distributors, and dispensers.

Subject to restrictions, the Act also permits polygraph testing 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 under the Act, they are subject to strict standards concerning the conduct of the test, including the pre-test, testing, and post-test phases of the examination.

The Wage and Hour Division (WHD) enforces the EPPA.

Notices/Posters

Poster.  Every employer subject to EPPA shall post and keep posted on its premises a notice explaining the Act. The notice must be posted in a prominent and conspicuous place in every establishment of the employer where it can readily be observed by employees and applicants for employment. There is no size requirement for the poster. 

The EPPA poster is available in English(https://www.dol.gov/agencies/whd/posters/employee-polygraph-protection-act) and Spanish(https://www.dol.gov/agencies/whd/posters/employee-polygraph-protection-act/espanol). Posting of the EPPA poster in Spanish is optional.

Notices. There are specific notices that must be given to examinees and examiners in instances where polygraph tests are permitted:

When a polygraph test is administered pursuant to the economic loss or injury exemption, the employer is required to provide the examinee with a statement prior to the test, in a language understood by the examinee, which fully explains the specific incident or activity being investigated and the basis for testing particular employees. The statement must contain, at a minimum, the following information:

  • An identification with particulars of the specific economic loss or injury to the business of the employer
  • A description of the employee's access to the property that is the subject of the investigation
  • A detailed description of the basis of the employer's reasonable suspicion that the employee was involved in the incident or activity under investigation
  • The signature of a person (other than the polygraph examiner) authorized to legally bind the employer

Every employer who requests an employee or prospective employee to submit to a polygraph examination pursuant to the ongoing investigation, drug manufacturer, or security services EPPA exemptions must provide:

  • Reasonable written notice of the date, time, and place of the examination and the examinee's right to consult with legal counsel or an employee representative before each phase of the test
  • Written notice of the nature and characteristics of the polygraph instrument and examination
  • Extensive written notice explaining the examinee's rights, including a list of prohibited questions and topics, the examinee's right to terminate the examination, and the examinee's right to file a complaint with the Department of Labor alleging violations of EPPA

Employers must also provide written notice to the examiner identifying the persons to be examined.

Recordkeeping

In the limited instances where EPPA permits the administration of polygraph tests, recordkeeping requirements apply both to employers and polygraph examiners. Employers and polygraph examiners must retain required records for a minimum of three years from the date the polygraph examination is conducted (or from the date the examination is requested if no examination is conducted). 

Employers investigating an economic loss or injury must maintain a copy of the statement that sets forth the specific incident or activity under investigation and the basis for testing that particular employee and proof of service of that statement to the examinee.

Employers who manufacture, distribute, or dispense controlled substances must maintain records specifically identifying the loss or injury in question and the nature of the employee's access to the person or property that is the subject of the investigation.

Every employer who requests an employee or prospective employee to submit to a polygraph examination pursuant to the ongoing investigation, drug manufacturer, or security services EPPA exemptions must maintain:

  • A copy of the written statement that sets forth the time and place of the examination and the examinee's right to consult with counsel
  • A copy of the written notice provided by the employer to the examiner identifying the persons to be examined
  • Copies of all opinions, reports, or other records furnished to the employer by the examiner relating to such examinations

All polygraph examiners must maintain all opinions, reports, charts, written questions, lists, and other records relating to polygraph tests of such persons, as well as records of the number of examinations conducted during each day, and the duration of each test period.

All exempt private sector employers and polygraph examiners retained to administer examinations to persons identified by employers must keep the required records safe and accessible at the place or places of employment or business or at one or more established central recordkeeping offices where employment or examination records are customarily maintained. If the records are maintained at a central recordkeeping office, other than in the place or places of employment or business, such records must be made available within 72 hours following notice from the Secretary of Labor or an authorized representative such as Wage and Hour Division personnel.

Reporting

There are no reporting requirements under EPPA.

Compliance Assistance Available

More detailed information, including copies of explanatory brochures and regulatory and interpretative materials, may be obtained from a local Wage and Hour office(https://www.dol.gov/agencies/whd/contact/local-offices).

The Department of Labor provides employers, workers, and others with clear and easy-to-access information and assistance on how to comply with the Employee Polygraph Protection Act. Compliance assistance material related to the Act, may be found on the Employee Polygraph Protection Act (EPPA) Fact Sheet(https://www.dol.gov/whd/regs/compliance/whdfs36.pdf).

DOL Contacts

Wage and Hour Division(https://www.dol.gov/whd/)
Contact WHD(https://webapps.dol.gov/contactwhd/Default.aspx)
Tel: 1-866-4-US-WAGE (1-866-487-9243)*
*If you are deaf, hard of hearing, or have a speech disability, please dial 7-1-1 to access telecommunications relay services.

Employee Retirement Income Security Act (ERISA)
Retirement Plans

A pension plan is an employee benefit plan established or maintained by an employer or by an employee organization (such as a union) or both that provides retirement income or defers income until termination of covered employment or beyond. There are several types of retirement plans, including the 401(k) plan and the traditional pension plan, known as a defined benefit plan.

Most private sector pension plans are covered by the Employee Retirement Income Security Act (ERISA).  Governmental plans and most church plans are not covered by ERISA.   Among other things, ERISA provides protections for participants and beneficiaries in employee benefit plans, including providing access to plan information. Also, those individuals who administer plans (and other fiduciaries) must meet certain standards of conduct under the fiduciary responsibilities specified in the law.

The Employee Benefits Security Administration (EBSA) is responsible for administering and enforcing these provisions of ERISA.

Notices/Posters

Posters. There are no Federal poster requirements.

Posters.  There are no Federal poster requirements.

Notices.  ERISA contains several notice requirements for retirement plans, such as the summary plan description, individual benefit statements, and the summary annual report.  The Reporting and Disclosure Guide for Employee Benefit Plans(https://www.dol.gov/sites/dolgov/files/ebsa/about-ebsa/our-activities/resource-center/publications/reporting-and-disclosure-guide-for-employee-benefit-plans.pdf) has been prepared by EBSA with assistance from PBGC. It is intended to be used as a quick reference tool for certain basic disclosure requirements under ERISA.  Not all ERISA disclosure requirements are reflected in this guide. For example, the guide, as a general matter, does not focus on disclosures required by the Internal Revenue Code or the provisions of ERISA for which the IRS has regulatory and interpretive authority. 

Recordkeeping

ERISA contains recordkeeping requirements. An accurate recordkeeping system will track and properly attribute contributions, earnings and losses, plan investments, expenses, and benefit distributions. If a contract administrator or financial institution assists in managing the plan, that entity typically will help keep the required records. In addition, a recordkeeping system will help you, your plan administrator, or financial provider prepare the plan's annual return/report that must be filed with the Federal Government. For more information visit the Compliance Assistance page(https://www.dol.gov/agencies/ebsa/employers-and-advisers/small-business/compliance-assistance).

Reporting

EBSA, in conjunction with the IRS(http://www.irs.gov/) and the Pension Benefit Guaranty Corporation(http://www.pbgc.gov/) (PBGC) publishes the Form 5500 Annual Return/Report(https://www.dol.gov/agencies/ebsa/employers-and-advisers/plan-administration-and-compliance/reporting-and-filing/form-5500). The Form 5500 Annual Return/Report is used by plan administrators to satisfy annual reporting obligations under ERISA and the Internal Revenue Code.  Each year, pension plans are required to file the Form 5500 Annual Return/Report regarding their financial condition, investments, and operations. The instructions for the Form 5500 provide helpful information regarding the filing requirements.  The Form 5500 is filed and processed under the ERISA Filing Acceptance System (EFAST)(http://www.efast.dol.gov/).

In addition, the Reporting and Disclosure Guide for Employee Benefit Plans(https://www.dol.gov/sites/dolgov/files/ebsa/about-ebsa/our-activities/resource-center/publications/reporting-and-disclosure-guide-for-employee-benefit-plans.pdf) can be used as a quick reference tool for certain basic reporting requirements under ERISA.

Compliance Assistance Available

EBSA has numerous general publications designed to help employers and employees understand their obligations and rights under ERISA. A list of EBSA booklets and pamphlets is available from EBSA's Home Page(https://www.dol.gov/ebsa) and through EBSA's toll-free publications line at 1-866-444-EBSA (1-866-444-3272).

EBSA's national offices(https://www.dol.gov/agencies/ebsa/about-ebsa/about-us/organization-chart) and field offices(https://www.dol.gov/agencies/ebsa/about-ebsa/about-us/organization-chart#section13) offer individualized assistance for persons seeking information and assistance on benefits and rights under employee benefit plans. EBSA also issues advisory opinions and information letters in response to requests from individuals and organizations. Advisory opinions apply the law to a specific set of facts, while information letters merely call attention to well-established principles or interpretations. Further information about these programs is contained in EBSA's booklet on "Customer Service Standards."

In addition, employee benefit plan documents and other materials are available from the EBSA Public Disclosure Room. This facility may be used to view and to obtain copies of materials on file. Materials include: Form 5500 Series reports, Apprentice and Other Training Plans notices, "Top Hat" plan statements, advisory opinions, exemptions, announcements, and transcripts of public hearings and proceedings. The EBSA Public Disclosure Room is open to the public Monday through Friday, from 8:30 a.m. to 4:30 p.m., except Federal holidays. Copies of materials are available at a cost of 15 cents per page by ordering in person or writing to:

U.S. Department of Labor
EBSA Public Disclosure Room
200 Constitution Avenue NW, Room N 1515
Washington, D.C. 20210.

Fax requests can be sent to 202-501-4098. Requests should include pertinent information to help find documents, such as titles and dates. For 5500 and report searches, the name of the company/entity, the type of plan, the nine-digit EIN and three-digit Plan Number, state, and year(s) requested should be provided. Also include the requestor's name, address, and contact information. Summary Plan Descriptions (SPD) are no longer filed with EBSA. The 1977-1998 collection of SPD records have been transferred to the Pension Benefit Guaranty Corporation (PBGC) and can be requested by submitting a request to spdrequest@pbgc.gov. Given the complexity of ERISA requirements, employers may wish to seek the assistance of an attorney, CPA firm, investment or brokerage firm, and other employee benefit consultants.

The Department of Labor provides employers and others with clear and easy-to-access information and assistance on how to comply with the Employee Retirement Income Security Act. Compliance assistance related to the Act, includes:

DOL Contacts

Employee Benefits Security Administration (EBSA)
Contact EBSA
Tel: 1-866-444-EBSA (1-866-444-3272); TTY: 1-877-889-5627

EEOC Poster Requirement

The Equal Employment Opportunity Commission (EEOC) enforces Title VII of the Civil Rights Act of 1964 and the Americans with Disabilities Act (ADA). These laws cover all private employers, state and local governments, and education institutions that employ 15 or more individuals. These laws also cover private and public employment agencies, labor organizations, and joint labor management committees controlling apprenticeship and training.

Notices/Posters

Employers with 15 or more employees must post notice describing the federal laws prohibiting employment discrimination based on race, color, sex, national origin, religion, age, equal pay, disability and genetic information. The "Know Your Rights" poster summarizes these laws and explains how an employee or applicant can file a complaint if they believe that they have been the victim of discrimination. The poster must be displayed prominently, where it can be readily seen by employees and applicants for employment, e.g., personnel office, work-out facility, lunchroom, or company bulletin board. There is no particular size requirement.

The "Know Your Rights" poster is also available in Spanish. There is no requirement to display the poster in languages other than English.

The Fair Labor Standards Act (FLSA)

The Fair Labor Standards Act (FLSA) establishes minimum wage, overtime pay, recordkeeping, and youth employment standards affecting full-time and part-time workers in the private sector and in Federal, state, and local governments. The FLSA requires employers to pay covered nonexempt employees a minimum wage of not less than $7.25 per hour. For more information, see the Wage and Hour Basic Information Fact Sheet.

An employee may be covered by the FLSA in two ways: "enterprise coverage" and "individual coverage." For more detail on FLSA coverage, see Wage and Hour Division Fact Sheet #14: Coverage Under the Fair Labor Standards Act (FLSA) and Wage and Hour Division Fact Sheet #14A; Nonprofit Organizations and the Fair Labor Standards (FLSA).

Special rules apply to state and local government employment involving fire protection and law enforcement activities, volunteer services, and compensatory time off instead of cash overtime pay.

Some employees are exempt from the FLSA's overtime pay requirements or both the minimum wage and overtime pay requirements. Because exemptions are generally narrowly defined under the FLSA, an employer should carefully check the exact terms and conditions of any exemption that may be applicable. Detailed information is available from the local Wage and Hour Division office.

The Wage and Hour Division of the U.S. Department of Labor administers and enforces the FLSA with respect to private employment, state and local government employment, and Federal employees of the Library of Congress, U.S. Postal Service, Postal Rate Commission, and Tennessee Valley Authority. The U.S. Office of Personnel Management administers the provisions of the FLSA with respect to any person employed by a Federal agency.

Notices/Posters

Every employer of employees subject to the FLSA's minimum wage provisions must post, and keep posted, a notice(https://www.dol.gov/whd/regs/compliance/posters/flsa.htm) explaining the Act in a conspicuous place in all of their establishments. Although there is no size requirement for the poster, employees must be able to readily read it. The FLSA poster is also available in Spanish(https://www.dol.gov/whd/regs/compliance/posters/flsaspan.htm), Chinese(https://www.dol.gov/whd/regs/compliance/posters/minwagecn.pdf), Russian(https://www.dol.gov/whd/regs/compliance/posters/FLSAPosterRuss.pdf), Thai,(https://www.dol.gov/whd/regs/compliance/posters/MinWageThai.pdf) Hmong,(https://www.dol.gov/whd/regs/compliance/posters/MinWageHmong.pdf) Vietnamese(https://www.dol.gov/whd/regs/compliance/posters/minwageViet.pdf), and Korean(https://www.dol.gov/whd/regs/compliance/posters/minwageKorean.pdf).  There is no requirement to post the poster in languages other than English(https://www.dol.gov/whd/regs/compliance/posters/flsa.htm).

Covered employers are required to post the general Fair Labor Standards Act poster. However, certain industries have posters designed specifically for them. Employers of Agricultural Employees (PDF)(https://www.dol.gov/whd/regs/compliance/posters/wh1386Agrcltr.pdf) and State & Local Government Employees (PDF)(https://www.dol.gov/whd/regs/compliance/posters/wh1385State.pdf) can either post the general Fair Labor Standards Act poster(https://www.dol.gov/whd/regs/compliance/posters/flsa.htm) or their specific industry poster. There are also posters for American Samoa (PDF)(https://www.dol.gov/whd/minwage/americanSamoa/ASminwagePoster.pdf) and Northern Mariana Islands (PDF)(https://www.dol.gov/whd/regs/compliance/posters/cnmi.pdf). 

Every employer who employs workers with disabilities under special minimum wage certificates is also required to post the Employee Rights for Workers with Disabilities/Special Minimum Wage Poster(https://www.dol.gov/agencies/whd/posters/section-14c).

Recordkeeping

Every employer covered by the FLSA must keep certain records for each of its covered employees. Employers must keep records on wages, hours, and other information as set forth in the Department of Labor's regulations. Most of this data is the type that employers generally maintain in ordinary business practice.

There is no required form for the records. However, the records must include accurate information about the employee and data about the hours worked and the wages earned. The following is a listing of the basic payroll records that an employer must maintain:

  • Employee's full name, as used for Social Security purposes, and on the same record, the employee's identifying symbol or number if such is used in place of name on any time, work, or payroll records
  • Address, including zip code
  • Birth date, if younger than 19
  • Sex and occupation
  • Time and day of week when employee's workweek begins
    • Total wages paid each pay period
  • Date of payment and the pay period covered by the payment

The following is a listing of some additional information that an employer must maintain unless the employee is an executive, administrative, or professional employee (including teachers and academic administrative personnel in elementary and secondary schools) or outside sales employee who is exempt from the Act's minimum wage and overtime requirements:

  • Hours worked each day and total hours worked each workweek
  • Basis on which employee's wages are paid (e.g., "$9 per hour", "$440 a week", "piecework")
  • Regular hourly pay rate
  • Total daily or weekly straight-time earnings
  • Total overtime earnings for the workweek
  • All additions to or deductions from the employee's wages

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

Reporting

The FLSA does not contain any specific reporting requirements; however, the above referenced records must be open for inspection by the Wage and Hour Division's representatives, who may ask the employer to make extensions, computations, or transcriptions. The records may be kept at the place of employment or in a central records office.

Compliance Assistance Available

More detailed information about the FLSA, including copies of explanatory brochures and regulatory and interpretative materials, is available on the Wage and Hour Division's Web site(https://www.dol.gov/whd/), or by contacting a local Wage and Hour Division office(https://www.dol.gov/agencies/whd/contact/local-offices). Another compliance assistance resource, the elaws Fair Labor Standards Act Advisor(/elaws/flsa.htm), helps answers questions about workers and businesses that are subject to the FLSA.

The Department of Labor provides employers, workers, and others with clear and easy-to-access information and assistance on how to comply with the FLSA. Among the many resources available are:

DOL Contacts

Wage and Hour Division(https://www.dol.gov/whd/)
Contact WHD(https://webapps.dol.gov/contactwhd/Default.aspx)
Tel: 1-866-4-US-WAGE (1-866-487-9243)*
*If you are deaf, hard of hearing, or have a speech disability, please dial 7-1-1 to access telecommunications relay services.

The Fair Labor Standards Act (FLSA) / Child Labor

The Fair Labor Standards Act (FLSA) establishes minimum wage, overtime pay, recordkeeping, and youth employment standards affecting full-time and part-time workers in the private sector and in Federal, state, and local governments. For nonagricultural operations, the FLSA prohibits children under the age of 14 from performing most types of work, restricts the hours and types of jobs that children ages 14 to 16 can work, and forbids the employment of children under age 18 in certain jobs deemed "hazardous" by the Secretary of Labor. For agricultural operations, it prohibits the employment of most children under age 16 during school hours and in certain jobs deemed "hazardous" by the Secretary of Labor.

Section 14(b) of the FLSA authorizes certain types of employers to pay subminimum wages — wages less than the Federal minimum wage — to full-time students, but only after applying for and receiving a certificate from the Department of Labor.

A full-time student for purposes of this exception is an individual who:

  • Receives primarily daytime instruction at the physical location of a bona fide educational institution, in accordance with the institution's accepted definition of a full-time student.
  • Retains that status during the student's holiday recess, summer, and other vacations if local law requires attendance at the end of the vacation period. If attendance is not mandatory, full-time student status is determined by the student's intention stated to the employer.
  • Has graduated from high school and informs the employer of plans to attend a college or university on a full-time basis at the end of the vacation period.

Full-time students may be employed under the subminimum (below minimum) wage provisions of Section 14(b) in retail or service establishments or in agriculture. An institution of higher education may also employ its full-time students at subminimum wages after making proper application. Such employment is permitted to the extent necessary so that employment opportunities for full-time students will not be curtailed.

Employers with proper certification must pay full-time students at least 85 percent of the applicable statutory minimum wage. There are restrictions of the number of hours that an individual full-time student may be employed at subminimum wages.

The Wage and Hour Division of the U.S. Department of Labor administers and enforces the FLSA with respect to private employment, state and local government employment, and Federal employees of the Library of Congress, U.S. Postal Service, Postal Rate Commission, and Tennessee Valley Authority.

Notices/Posters

Every employer of employees subject to the FLSA's minimum wage provisions must post, and keep posted, a notice(https://www.dol.gov/whd/regs/compliance/posters/flsa.htm) explaining the Act in a conspicuous place in all of their establishments. Although there is no size requirement for the poster, employees must be able to readily read it. The FLSA poster is also available in Spanish(https://www.dol.gov/whd/regs/compliance/posters/flsaspan.htm), Chinese(https://www.dol.gov/whd/regs/compliance/posters/minwagecn.pdf), Russian(https://www.dol.gov/whd/regs/compliance/posters/FLSAPosterRuss.pdf), Thai,(https://www.dol.gov/whd/regs/compliance/posters/MinWageThai.pdf) Hmong,(https://www.dol.gov/whd/regs/compliance/posters/MinWageHmong.pdf) Vietnamese(https://www.dol.gov/whd/regs/compliance/posters/minwageViet.pdf), and Korean(https://www.dol.gov/whd/regs/compliance/posters/minwageKorean.pdf).  There is no requirement to post the poster in languages other than English(https://www.dol.gov/whd/regs/compliance/posters/flsa.htm).

Covered employers are required to post the general Fair Labor Standards Act poster; however, certain industries have posters designed specifically for them.  Employers of Agricultural Employees (PDF)(https://www.dol.gov/whd/regs/compliance/posters/wh1386Agrcltr.pdf) and State & Local Government Employees (PDF)(https://www.dol.gov/whd/regs/compliance/posters/wh1385State.pdf) can either post the general Fair Labor Standards Act poster(https://www.dol.gov/whd/regs/compliance/posters/flsa.htm) or their specific industry poster.  There are also posters for American Samoa (PDF)(https://www.dol.gov/whd/minwage/americanSamoa/ASminwagePoster.pdf) and Northern Mariana Islands (PDF)(https://www.dol.gov/whd/regs/compliance/posters/cnmi.pdf). 

Every employer who employs workers with disabilities under special minimum wage certificates is also required to post the Employee Rights for Workers with Disabilities/Special Minimum Wage Poster(https://www.dol.gov/agencies/whd/posters/section-14c).

Recordkeeping

Every employer covered by the Fair Labor Standards Act (FLSA) must keep certain records for each covered(/elaws/whd/flsa/overtime/glossary.htm?wd=covered), nonexempt(/elaws/whd/flsa/overtime/glossary.htm?wd=non_exempt) worker.

There is no required form for the records. However, the records must include accurate information about the employee and data about the hours worked and the wages earned. The following is a listing of the basic payroll records that an employer must maintain:

  • Employee's full name, as used for Social Security purposes, and on the same record, the employee's identifying symbol or number if such is used in place of name on any time, work, or payroll records
  • Address, including zip code
  • Birth date, if younger than 19
  • Sex and occupation
  • Time and day of week when employee's workweek begins
  • Hours worked each day and total hours worked each workweek
  • Basis on which employee's wages are paid (e.g., "$9 per hour", "$440 a week", "piecework")
  • Regular hourly pay rate
  • Total daily or weekly straight-time earnings
  • Total overtime earnings for the workweek
  • All additions to or deductions from the employee's wages
  • Total wages paid each pay period
  • Date of payment and the pay period covered by the payment

For a full listing of the basic records that an employer must maintain, see the Wage and Hour Division Fact Sheet #21: Recordkeeping Requirements under the FLSA(https://www.dol.gov/whd/regs/compliance/whdfs21.pdf). Employers are required to preserve for at least three years payroll records, collective bargaining agreements, and sales and purchase records. Records on which wage computations are based should be retained for two years. These include time cards and piecework tickets, wage rate tables, work and time schedules, and records of additions to or deductions from wages.

Reporting

The FLSA does not contain any specific reporting requirements; however, the above referenced records must be open for inspection by the Wage and Hour Division's representatives, who may ask the employer to make extensions, computations, or transcriptions. The records may be kept at the place of employment or in a central records office.

Compliance Assistance Available

The Department of Labor provides employers, workers, and others with clear and easy-to-access information and assistance on how to comply with the FLSA. Among the many resources available are:

Additional compliance assistance, including explanatory brochures, fact sheets, and regulatory and interpretive materials, is available on the Wage and Hour Division Home Page(https://www.dol.gov/whd).

DOL Contacts

Wage and Hour Division(https://www.dol.gov/whd/)
Contact WHD(https://webapps.dol.gov/contactwhd/Default.aspx)
Tel: 1-866-4-US-WAGE (1-866-487-9243)*
*If you are deaf, hard of hearing, or have a speech disability, please dial 7-1-1 to access telecommunications relay services.

The Fair Labor Standards Act (FLSA) / Section 14(c)

The Fair Labor Standards Act (FLSA) establishes minimum wage, overtime pay, recordkeeping, and youth employment standards generally affecting full-time and part-time workers in the private sector and in Federal, state, and local governments.

Section 14 (c) of the FLSA authorizes employers, after receiving a certificate from the Wage and Hour Division, to pay subminimum wages - wages less than the Federal minimum wage - to workers who have disabilities for the work being performed. The certificate also allows the payment of wages that are less than the applicable prevailing wage to workers who have disabilities for the work being performed on contracts subject to the McNamara-O'Hara Service Contract Act (SCA) and the Walsh-Healey Public Contracts Act (PCA). Payment of wages under a Section 14(c) certificate may be subject to the requirements of Executive Order 13658, which establishes a minimum wage for work performed on or in connection with certain covered government contracts.

Notices/Posters

Notices. Each worker with a disability receiving a subminimum wage under FLSA Section 14(c), and, where appropriate, the parent or guardian of such worker, shall be informed orally and in writing by the employer of the terms of the certificate under which such worker is employed. In addition, employers of workers with disabilities receiving subminimum wages must display the Wage and Hour Division poster, Employee Rights for Workers with Disabilities Paid at Special Minimum Wages (WH Publication 1284). This poster explains the conditions under which subminimum wages may be paid. The poster must be posted in a conspicuous place on the employer's premises where employees and the parents and guardians of workers with disabilities can readily see it.

Additionally, each worker with a disability and, where appropriate, a parent or guardian of the worker, must be informed, orally and in writing, of the terms of the certificate under which the worker is employed. This requirement may be satisfied by making copies of the certificate available.

Posters.  Every employer of employees subject to the FLSA's minimum wage provisions must post, and keep posted, a notice(https://www.dol.gov/whd/regs/compliance/posters/flsa.htm) explaining the Act in a conspicuous place in all of their establishments. Although there is no size requirement for the poster, employees must be able to readily read it. The FLSA poster is also available in Spanish(https://www.dol.gov/whd/regs/compliance/posters/flsaspan.htm), Chinese(https://www.dol.gov/whd/regs/compliance/posters/minwagecn.pdf), Russian(https://www.dol.gov/whd/regs/compliance/posters/FLSAPosterRuss.pdf), Thai,(https://www.dol.gov/whd/regs/compliance/posters/MinWageThai.pdf) Hmong,(https://www.dol.gov/whd/regs/compliance/posters/MinWageHmong.pdf) Vietnamese(https://www.dol.gov/whd/regs/compliance/posters/minwageViet.pdf), and Korean(https://www.dol.gov/whd/regs/compliance/posters/minwageKorean.pdf).  There is no requirement to post the poster in languages other than English(https://www.dol.gov/whd/regs/compliance/posters/flsa.htm).

Certain industries have posters designed specifically for them.  Employers of Agricultural Employees (PDF)(https://www.dol.gov/whd/regs/compliance/posters/wh1386Agrcltr.pdf) and State & Local Government Employees (PDF)(https://www.dol.gov/whd/regs/compliance/posters/wh1385State.pdf) can either post the general Fair Labor Standards Act poster(https://www.dol.gov/whd/regs/compliance/posters/flsa.htm) or their specific industry poster.  There are also posters for American Samoa (PDF)(https://www.dol.gov/whd/minwage/americanSamoa/ASminwagePoster.pdf) and the Commonwealth Northern Mariana Islands (PDF)(https://www.dol.gov/whd/regs/compliance/posters/cnmi.pdf).

As discussed above, under FLSA Section 14(c), employers of workers with disabilities who are paid subminimum wages are also required to post the "Employee Rights for Workers with Disabilities Paid at Special Minimum Wages" poster

.

Recordkeeping

There are no special recordkeeping requirements for Section 14 (c). See the FLSA section above for the FLSA recordkeeping requirements.

Reporting

There are no special reporting requirements for Section 14 (c). See the FLSA section above for the FLSA reporting requirements.

Compliance Assistance Available

The Department of Labor provides employers, workers, and others with clear and easy-to-access information and assistance on how to comply with the Fair Labor Standards Act. Among the many resources available are:

DOL Contacts

Wage and Hour Division(https://www.dol.gov/whd/)
Contact WHD(https://webapps.dol.gov/contactwhd/Default.aspx)
Tel: 1-866-4-US-WAGE (1-866-487-9243)*
*If you are deaf, hard of hearing, or have a speech disability, please dial 7-1-1 to access telecommunications relay services.

The Federal Mine Safety and Health Act

The mission of the Mine Safety and Health Administration (MSHA) is to administer the provisions of the Federal Mine Safety and Health Act of 1977 (Mine Act), as amended by the Mine Improvement and New Emergency Response Act of 2006 (MINER Act). 

The Mine Act requires MSHA to inspect all mines each year to ensure safe and healthy work environments for miners.  MSHA has set safety and health standards for:

  • Preventing hazardous and unhealthy conditions
  • Training miners on proper mine safety and health; and
  • Requiring mine operators to immediately notify MSHA of accidents, injuries, and illnesses at the mine.

In fact, mine operators must call immediately, but no later than 15 minutes from the time they know or should know that an accident has occurred.  To report these immediately reportable accidents and injuries call 1-800-746-1553.

Notices/Posters

There is no workplace poster requirement under the Mine Act.

Unlike the Occupational Safety and Health Act of 1970, there is no workplace poster requirement which informs miners of their rights under the Mine Act. However, the Mine Act includes the following posting requirements for mine operators.

Section 101(e) of the Mine Act requires that MSHA send a copy of every proposed mandatory health or safety standard or regulation at the time of publication in the Federal Register to the operator of each mine and the representative of the miners at such mine and that the mine operator immediately post the standard or regulation on the mine bulletin board.

Section 109(a) of the Mine Act requires a mine operator to maintain at each mine an office with a conspicuous sign designating it as the office of such mine. In addition, a mine operator must maintain a bulletin board at the mine office or at a conspicuous place near an entrance of the mine and must post and protect from damage and unauthorized removal orders, citations, notices and decisions required by law or regulation to be posted.

In addition to the Mine Act posting requirements, several MSHA standards and regulations require mine operators to post notices or warnings. These requirements can be found here.

Recordkeeping

Section 103(d) requires recordkeeping regarding all accidents, including unintentional roof falls (except in any abandoned panels or in areas which are inaccessible or unsafe for inspections). The accidents must be investigated by the mine operator or his agent to determine the cause and the means of preventing a recurrence. Records of such accidents and investigations must be kept and the information must be made available to MSHA and the appropriate State agency. The records must be open for inspection by interested persons, include man-hours worked, be reported at a frequency determined by MSHA, but at least annually.

In addition to the Mine Act recordkeeping requirement, MSHA's regulations and mandatory safety and health standards published in Title 30 of the Code of Federal Regulations contain recordkeeping and reporting requirements. Recordkeeping forms can be found here.

Reporting

There are reporting requirements for Mine Operators, Independent Contractors, and approved Training Instructors. 

Mine operators are required to:

Apply for a mine identification number(https://www.msha.gov/support-resources/forms-online-filing/2018/05/23/mine-id-request). All mines are required to apply for an MSHA mine identification number. An MSHA ID is required for each mine site and must be issued before any operations may begin.  The MSHA Identification (ID) Request(https://www.msha.gov/support-resources/forms-online-filing/2018/05/23/mine-id-request) (MSHA Form 7000-51) can be filed on-line or by contacting the local MSHA district office.(https://www.msha.gov/about/program-areas/coal-mine-safety-and-health#FO) 

File a legal identification number(https://www.msha.gov/support-resources/forms-online-filing/2018/05/23/legal-identification-report). Within 30 days of applying for a Mine ID or when there are any changes to the legal ownership structure for a mine, a mine operator must file a Legal Identification Report with MSHA. The MSHA Form 2000-7(https://www.msha.gov/support-resources/forms-online-filing/2018/05/23/legal-identification-report) can be filed online or by contacting the local MSHA district office. A mine operator must provide a Taxpayer Identification Number(https://www.msha.gov/support-resources/forms-online-filing/2018/05/23/legal-identification-report).

File a mine employment and coal production report(https://www.msha.gov/support-resources/forms-online-filing/2015/04/15/quarterly-mine-employment-and-coal-production). The Quarterly Mine Employment and Coal Production Report (MSHA Form 7000-2(https://www.msha.gov/support-resources/forms-online-filing/2015/04/15/quarterly-mine-employment-and-coal-production)) must be filed within 15 days after the close of each calendar quarter. Written forms filed after the 15 day period will be considered late; however, online filing for this form is open for a period of 25 days from January 1, April 1, July 1, and October 1 of each year. 

Report hazardous conditions.  All impoundment and dust fraud inquiries/complaints can be made to the MSHA Codeaphone line(https://www.msha.gov/about/contact/emergencies) (1-800-746-1553). Callers should include as much of the following information as possible:

  • Name of company
  • Name of mine
  • Location of mine (city/town)
  • State where mine is located
  • The MSHA ID for the mine if known.  A search can be done for an MSHA ID by either mine name or company name using MSHA's Data Retrieval System(https://www.msha.gov/mine-data-retrieval-system) (DRS).

The complaint form is intended for reporting hazardous conditions at mine sites only, and is not to be used for any other purpose.

Report accidents, injuries, and illnesses. Incidents of accident, injury, or illness are to be reported to MSHA using Form 7000-1(https://www.msha.gov/support-resources/forms-online-filing/2015/04/14/mine-accident-injury-and-illness-report), whether the workers involved are employees of the mine operator or employees of a contractor. For incidents or accidents which pose a reasonable risk of death, mine operators must report them within 15 minutes. Otherwise, the form must be completed and mailed or submitted online within 10 working days after an accident or occupational injury occurs, or an occupational illness is diagnosed. The principal officer in charge of health and safety at the mine or the supervisor of the mine area where the incident occurred is responsible for completing the Form 7000-1. A separate Form 7000-1 is required on each accident, whether a person was injured or not. A form is required for each individual who became injured or ill, even when several individuals were injured or made ill in a single occurrence.

Mine operators must call immediately, but not later than 15 minutes from the time they know or should know that an accident has occurred. To report these immediately reportable accidents, and injuries(https://www.msha.gov/about/contact/emergencies) call 1-800-746-1553.  "Immediately Reportable Accidents and Injuries" include:

  • A death of an individual at a mine
  • An injury to an individual at a mine which has a reasonable potential to cause death
  • An entrapment of an individual for more than thirty minutes or which has a reasonable potential to cause death
  • An unplanned inundation of a mine by a liquid or gas
  • An unplanned ignition or explosion of gas or dust
  • In underground mines, an unplanned fire not extinguished within 10 minutes of discovery; in surface mines and surface areas of underground mines, an unplanned fire not extinguished within 30 minutes of discovery
  • An unplanned ignition or explosion of a blasting agent or an explosive
  • An unplanned roof fall at or above the anchorage zone in active workings where roof bolts are in use; or, an unplanned roof or rib fall in active workings that impairs ventilation or impedes passage
  • A coal or rock outburst that causes withdrawal of miners or which disrupts regular mining activity for more than one hour
  • An unstable condition at an impoundment, refuse pile, or culm bank which requires emergency action in order to prevent failure, or which causes individuals to evacuate an area; or, failure of an impoundment, refuse pile, or culm bank
  • Damage to hoisting equipment in a shaft or slope which endangers an individual or which interferes with use of the equipment for more than thirty minutes
  • An event at a mine which causes death or bodily injury to an individual not at the mine at the time the event occurs

Note: Injuries not related to one of the twelve types of accidents(https://www.ecfr.gov/cgi-bin/text-idx?SID=6f47826642f2eb11e0180229ca01fa87&mc=true&node=pt30.1.50&rgn=div5#se30.1.50_12), such as ordinary sprains, strains, minor cuts, minor burns, bruises or other injuries that are not life-threatening, do not require immediate notification. These types of injuries should be reported via the 7000-1(https://www.msha.gov/support-resources/forms-online-filing/2015/04/14/mine-accident-injury-and-illness-report) form.

Failure to report an accident, injury or illness can result in a citation and assessment of a civil penalty against a mine operator(https://www.dol.gov/compliance/guide/msha.htm#who).

Report Self-Contained Self-Rescuers (SCSRs).  A mine operator is required to file a report of inventory of all SCSRs used or stored at a mine.  A mine operator may use MSHA Form 2000-222(https://www.msha.gov/support-resources/forms-online-filing/2015/04/15/self-contained-self-rescuer-scsr-inventory-and).  A mine operator also shall report to MSHA any defect, performance problem, or malfunction with the use of an SCSR.  The report shall include a detailed description of the problem and, for each SCSR involved.  An operator must retain the problem SCSR for 60 days.

Report individual exposure to Radon Daughters. Each mine operator must report individual exposure to radon daughters(https://www.msha.gov/support-resources/forms-online-filing/2018/05/23/record-individual-exposure-radon-daughters) on or before February 15 of each calendar year, or within 45 days after the shutdown of mining operations for the calendar year. Each mine operator is required to submit to MSHA a copy of Form 4000-9(https://www.msha.gov/support-resources/forms-online-filing/2018/05/23/record-individual-exposure-radon-daughters) (or acceptable equivalent form), for all personnel for whom calculation and recording of exposure was required during the previous calendar year.

Independent contractors are required to:

Report MSHA contractor identification. Independent contractors are required to apply for an MSHA contractor identification number using the Contractor Identification (ID) Report(https://www.msha.gov/support-resources/forms-online-filing/2015/04/15/contractor-id-request) (MSHA Form 7000-52). An MSHA ID is required for each contractor operating a mine site and must be issued before they begin specific activities.

Report accidents, injuries, and illnesses. If an accident, injury or illness occurs at or in conjunction with activity at a mine, independent contractors are required to report the circumstances of the incident to MSHA using Form 7000-1, The Mine Accident, Injury and Illness Report(https://www.msha.gov/support-resources/forms-online-filing/2015/04/14/mine-accident-injury-and-illness-report).

Report immediately reportable accidents and injuries.  An independent contractor must call immediately, but not later than 15 minutes from the time they know or should have known that an accident has occurred.  To report these immediately reportable accidents and injuries call 1-800-746-1553.

Report employment and production information. Independent contractors are also required to report employment and production information to MSHA using Quarterly Mine Employment and Coal Production Report (MSHA Form 7000-2)(https://www.msha.gov/support-resources/forms-online-filing/2015/04/15/quarterly-mine-employment-and-coal-production) for each quarter of operation and at each mine at which activity is performed.

Approved MSHA Instructors are required to:

Report electrical training. Approved MSHA instructors are required to submit the names of persons who have satisfactorily completed the Certificate of Electrical/Noise Training (MSHA Form 5000-1).(https://www.msha.gov/support-resources/forms-online-filing/2015/04/15/certificate-electricalnoise-training)

Report mine foreman training. Approved MSHA instructors are required to submit the names of persons who have satisfactorily completed mine foreman and pre-shift examiner or hoisting certification training using Health Activity Certification or Hoisting Engineers Qualification Request (MSHA Form 5000-41)(https://www.msha.gov/support-resources/forms-online-filing/2018/05/23/health-activity-certification-or-hoisting-engineers).

Compliance Assistance Available

MSHA develops safety and health training programs in cooperation with industry and labor; tests new mining equipment; works with other agencies to advance safety and health research programs; and compiles and analyzes accident, injury, and illness data to better address serious workplace hazards. MSHA has developed booklets, pamphlets, and pocket-size laminated cards that address known safety and health hazards and identify acceptable compliance processes. MSHA routinely distributes its accident prevention materials to the mining industry at large, or to those sectors of the industry that are experiencing the injuries addressed by the materials. MSHA also has a number of elaws Advisors that provide assistance in understanding and applying MSHA's regulations.

MSHA's Web site contains compliance assistance information, guidance, and helpful tips for the mining community. For example, it lists upcoming seminars designed for mine operators and others to receive the latest information about the requirements of a rule or to hear about solutions to various safety and health problems. Also, the website provides model forms, records, and plans for the mine operator to use to comply with MSHA requirements, thus avoiding the need for the operator to create these items independently. Through the Web site, mine operators may file various reports directly with MSHA.

Among the many resources available are:

  • MSHA Online Forms: Provides access to MSHA forms and online filings.
  • elaws MSHA Online Forms Advisor: Allows users to learn about and access the MSHA forms that can be filed online or accessed and completed online.
  • Safety and Health Topics: Provides links to specific compliance information on various safety and health issues found in the mining industry, including those related to equipment, chemicals, and working conditions (e.g., mine safety control systems, mercury and heavy metals, and noise).
  • Interactive Training Products: Provides training exercises that promote health and safety in mining.

Additional compliance assistance including explanatory brochures, fact sheets, and regulatory and interpretive materials is available on MSHA's Compliance Assistance page.

Training and education. The National Mine Safety and Health Academy, is in Beckley, West Virginia. The mission of the Academy is to reduce accidents and improve health conditions in the mining industry through education and training. To fulfill this mission, the Academy conducts a variety of education and training programs in health and safety and related subjects for Federal mine inspectors and other government mining and industry personnel. A "Mine Simulation Laboratory," located on the Academy grounds, provides hands-on training in rescue and recovery operations for certain mine emergencies."

MSHA's Approval and Certification Center (A&CC), located near Wheeling, West Virginia, approves and certifies certain mining products for use in underground coal and gassy underground metal and nonmetal mines. The A&CC also is responsible for monitoring the performance of approved products to ensure that they meet the standards under which they were originally approved.

Consultation services. MSHA's Educational Field and Small Mine Services (EFSMS) Division provides assistance in the development or improvement of the health and safety programs of mine operators and contractors in the mining community. The EFSMS specializes in developing programs tailored to reduce the number of injuries and illness' in the mining industry. Additionally, the EFSMS group evaluates industry instructors to ensure miners receive quality and effective training. EFSMS staff are located in 35 states and travel extensively to mines and training centers to provide assistance that will strengthen and modernize training.

The Brookwood-Sago grant program. The Brookwood-Sago Grants Program was established by the Mine Improvement and New Emergency Response Act of 2006 (MINER Act). It was named in remembrance of 13 men who died in two explosions at the Jim Walter Resources Inc.'s No. 5 Mine in Brookwood, Alabama, in 2001 and 12 men who died in an explosion at Wolf Run Mining Company's Sago Mine in Tallmansville, West Virginia in 2006. The funds are used to develop and implement training and related materials for mine emergency preparedness as well as for the prevention of accidents in underground mines. MSHA publishes a "Solicitation for Grant Application" in the Federal Register notifying the public when grant funds are available and posts a notice on its website.

DOL Contacts

Mine Safety and Health Administration (MSHA)(http://www.msha.gov)
Contact MSHA(https://www.msha.gov/about/contact-msha)
Tel: 1-800-746-1553; TTY: 1-877-889-5627

The Occupational Safety and Health (OSH) Act

The Occupational Safety and Health (OSH) Act was enacted to "assure safe and healthful working conditions for working men and women" by setting and enforcing standards and providing training, outreach, education and compliance assistance. The OSH Act created the Occupational Safety and Health Administration (OSHA) at the Federal level and provided that states could run their own safety and health programs as long as those programs were at least as effective as the Federal program.

Enforcement and administration of the OSH Act in states under Federal jurisdiction is handled primarily by OSHA. Safety and health standards related to field sanitation and certain temporary labor camps in the agriculture industry are enforced by the Wage and Hour Division (WHD) in states under Federal jurisdiction.

You have indicated that your establishment is in Indiana, which operates an OSHA-approved State Plan. Please contact the safety and health office in Indiana to obtain information on your state's job safety and health standards. State plans may not cover all employers in the state and coverage varies by state. For example, the types of employment that may not be covered under a state plan may include parts of the maritime industry and shipbuilding, or contractors operating on military bases or on other Federally owned land. State plans extend coverage to State and local government employers and employees. In general, employers not covered under the state plan must comply with Federal safety and health requirements.

Notices/Posters

Poster. All covered employers are required to display and keep displayed the OSHA Job Safety and Health: It's the Law poster. Employers in states with an OSHA-approved state plan may be required to post a state version of the OSHA poster. There is a separate poster for Federal agencies. The OSHA poster must be displayed in a conspicuous place where employees can see it. Copies of the poster shall be at least 8 1/2 by 14 inches with 10 point type. The poster is available in English, Spanish, and several other languages. Posting of the notice in languages other than English is not required, but OSHA encourages employers with workers that speak other languages to also display the other relevant versions of the poster.

Notices. Employees, former employees and their representatives have the right to review the OSHA Form 300, Log of Work-related Illnesses and Injuries, in its entirety. Employers are required to post the Summary of Work-related Injuries and Illnesses (Form 300A) in a visible location so that employees are aware of the injuries and illnesses that occur in their workplace. Employers are required to post the Summary Form (300A) by February 1 of the year following the year covered by the form and keep it posted until April 30 of that year.

Recordkeeping

OSHA-approved state plan states must adopt occupational injury and illness recording requirements that are substantially identical to the Federal OSHA requirements. Since each state plan's requirements may differ slightly, the Federal OSHA requirements are described below.

Records for employers with 10 or fewer employees. Employers with 10 or fewer employees at all times during the last calendar year do not need to keep OSHA injury and illness records unless OSHA or the Bureau of Labor Statistics (BLS) informs them in writing that records must be kept. However, all employers covered by the OSH Act must report to OSHA any workplace incident that results in a fatality, an amputation, the loss of an eye, or the in-patient hospitalization of one or more employees.

Records for employers in certain industries. If an employer's business is in an industry that is classified as low hazard, the employer does not need to keep records unless OSHA or the BLS asks them to do so in writing. The partial industry classification exemption applies to individual establishments. If a company has several establishments engaged in different classes of business activities, some of the company's establishments may be required to keep records, while others may be exempt. Industries currently designated as low-hazard include:

  • Certain retail stores
  • Eating and drinking places
  • Most finance, insurance, and real estate industries
  • Certain service industries, such as personal and business services, medical and dental offices, and legal, educational, and membership organizations

Business establishments classified in agriculture, mining, utilities, construction, manufacturing, or wholesale trade are not eligible for the partial industry classification exemption.

All other employers. Employers are required to use the Form 300 Log of Work-Related Injuries and Illnesses to classify work-related injuries and illnesses and to note the extent and severity of each case. When an incident occurs, the Log is used to record specific details about what happened and how it happened.

If the employer has more than one establishment or site, separate records for each physical location that is expected to remain in operation for one year or longer must be kept.

Employers are required to keep a separate Log (Form 300) and Summary of Work-Related Injuries and Illnesses (Form 300A) for each physical location that is expected to be in operation for one year or longer. The Injury and Illness Incident Report (Form 301) is filled out when a recordable work-related injury or illness has occurred. Together with the Form 300 and Form 300A, these forms help the employer and OSHA develop a picture of the extent and severity of work-related incidents.

Employers must record work-related injuries and illnesses that result in:

  • Death
  • Days away from work
  • Restricted work activity or job transfer
  • Medical treatment beyond first aid
  • Loss of consciousness

Employers must record any significant work-related injuries and illnesses that are diagnosed by a physician or other licensed health care professional, such as any work-related case involving cancer, chronic irreversible disease, a fractured or cracked bone or a punctured eardrum.

Employers must record the following conditions when they are work-related:

  • Any needle-stick injury or cut from a sharp object that is contaminated with another person's blood or other potentially infectious material
  • Any case requiring an employee to be medically removed under the requirements of an OSHA health standard
  • Work-related cases involving hearing loss under certain conditions
  • Tuberculosis infection as evidenced by a positive skin test or diagnosis by a physician or other licensed health care professional after exposure to a known case of active tuberculosis

Employers do not have to record certain injury and illness incidents such as a visit to a doctor solely for observation and counseling or those requiring first aid treatment only. For more information see the full list of Non-recordable Injury and Illness Incidents.

Electronic Injury Reporting. Certain employers must electronically submit to OSHA information about recordable injuries and illnesses entered on their previous calendar year's OSHA Forms 300A, 300, and 301 using Injury Tracking Application (ITA)'. Establishments covered by Federal OSHA can use the ITA Coverage Application to determine if they are required to electronically submit their injury and illness information to OSHA. Establishments covered by an OSHA-approved State Plan should directly contact their State Plan.

Reporting

OSHA-approved state plan states must adopt occupational injury and illness reporting requirements that are substantially identical to the Federal OSHA requirements. Since each state plan's requirements may differ slightly, the Federal OSHA requirements are described below.

Employers must report to OSHA work-related fatalities within 8 hours of finding out about it.

For any in-patient hospitalization, amputation, or eye loss employers must report the incident to OSHA within 24 hours of learning about it.

Only fatalities occurring within 30 days of the work-related incident must be reported to OSHA. Further, for an inpatient hospitalization, amputation or loss of an eye, the incidents must be reported to OSHA only if they occur within 24 hours of the work-related incident.

Employers have three options for reporting the event:

Compliance Assistance Available

The Department of Labor provides employers, workers, and others with clear and easy-to-access information and assistance on how to comply with the Occupational Safety and Health Act. Among the many resources available are:

  • OSHA Publications: Provides fact sheets, booklets, and other publications sorted by topic, publication type, and language.
  • Compliance Assistance Quick Start: Provides introductory step-by-step instruction to Occupational Safety and Health Administration (OSHA) compliance assistance resources.
  • OSHA eTools: Provides links to e-tools and Expert Advisors
  • OSHA Safety and Health Topics Pages: Provide information on specific safety and health hazards, and specific hazard information on different industries. These pages provide information on hazard identification and control and applicable OSHA standards.
  • OSHA's Help for Employers Page: Provides a portal to OSHA's compliance assistance resources.
  • OSHA Frequently Asked Questions: Highlights topics and specific questions that are often asked of OSHA.

Because states with OSHA-approved job safety and health programs adopt and enforce their own standards under state law, copies of these standards can be obtained from the individual states. Many are available through state Web sites, which are linked from OSHA's State Occupational Safety and Health Plans webpage.

Cooperative Programs. OSHA offers a number of opportunities for employers, employees, and organizations to work cooperatively with the Agency. OSHA's major cooperative programs are the Voluntary Protections Program (VPP), the Safety and Health Achievement Recognition Program (SHARP), OSHA Challenge, the Alliance Program, and the OSHA Strategic Partnership Program (OSPP).

Voluntary Protection Programs: The Voluntary Protection Programs (VPP) are aimed at extending worker protection beyond the minimum required by OSHA standards. The VPP is designed to:

  • Recognize the outstanding achievements of those who have successfully incorporated comprehensive safety and health programs into their total management systems;
  • Motivate others to achieve excellent safety and health results in the same outstanding way; and
  • Establish a relationship between employers, employees, and OSHA that is based on cooperation rather than coercion.

An employer may apply for VPP at the nearest OSHA regional office. OSHA reviews an employer's VPP application and visits the worksite to verify that the safety and health program described is in effect at the site. All participants must send their injury information annually to their OSHA regional offices. Sites participating in the VPP are not scheduled for programmed inspections. However, OSHA handles any employee complaints, serious accidents/catastrophes, or fatalities according to routine procedures.

The VPP is available in states under federal jurisdiction. Additionally, all OSHA-approved state plans that cover private-sector employees in the state operate similar programs. Interested companies in these states should contact the appropriate state agency for more information.

Safety and Health Achievement Recognition Program (SHARP): This program recognizes small employers who operate an exemplary safety and health management system. Employers who are accepted into SHARP are recognized as models for worksite safety and health. Upon receiving SHARP recognition, the worksite will be exempt from programmed inspections during the period that the SHARP certification is valid. To participate in SHARP, an employer must contact its state's Consultation Program and request a free consultation visit that involves a complete hazard identification survey.

OSHA Challenge: This program provides opportunities for employers to work with OSHA and qualified volunteers (Challenge Administrators) to develop safety and health management systems (SHMS) on par with VPP and SHARP. OSHA Challenge breaks down SHMS implementation in three stages. For each stage, the participants identify actions, documentation, and outcomes. Unique aspects of OSHA Challenge include: no application prerequisites for participants except for a letter of commitment stating that they will follow the program and strive for safety and health excellence; no time constraints to complete the stages, which allows participants to work at their own level and pace; and the use of Challenge Administrators experienced in SHMS to assist participants, which limits the OSHA resources needed to manage the program.

Alliance Program: Through the Alliance Program, OSHA works with businesses, trade and professional organizations, unions, educational institutions, and other government agencies. Alliance Program participants work with OSHA to leverage resources and expertise to help develop compliance assistance tools, training opportunities, and other information to help employers and employees prevent on-the-job injuries, illnesses, and fatalities. OSHA's Alliances with organizations in industries such as plastics, healthcare, maritime, chemical, construction, paper and telecommunications, among others, are working to address safety and health hazards with at-risk audiences, such as youth, immigrant workers, and small business.

Strategic Partnership Program: In this program, OSHA enters into an extended, voluntary, cooperative relationship with employers, associations, unions, and/or councils. Partnerships often cover multiple worksites, and in some instances, affect entire industries. Partner worksites may be very large, but most often they are small businesses averaging 50 or fewer employees. Strategic Partnerships are designed to encourage, assist, and recognize efforts to eliminate serious hazards and achieve a high level of worker safety and health. All Partnerships emphasize sustained efforts and continuing results beyond the typical three-year duration of the agreement.

Training and education: OSHA has 85 full-service field offices (called Area Offices) that offer a variety of informational services, such as publications, technical advice, audio-visual aids on workplace hazards, and lecturers for speaking engagements. Most of these field offices have an OSHA Compliance Assistance Specialist (CAS). CASs provide general information about OSHA standards and compliance assistance resources, and are available for seminars, workshops, and speaking events. CASs promote OSHA's cooperative programs and also encourage employers to take advantage of OSHA's training resources and the tools available on the OSHA website.

The OSHA Training Institute in Arlington Heights, Illinois, provides basic and advanced training and education in safety and health for federal and state compliance safety and health officers; state consultants; other federal agency personnel; and private sector employers, employees, and their representatives. Course topics include electrical hazards, machine guarding, ventilation, and ergonomics, among others. The OSHA Training Institute has partnered with other training and education institutes to conduct Training Institute courses. These Education Centers, which are located throughout the country, provide additional opportunities for the public to receive training on safety and health topics.

The OSHA Outreach Training Program provides training for workers and employers on the recognition, avoidance, abatement, and prevention of safety and health hazards in workplaces. The program also provides information regarding workers' rights, employer responsibilities, and how to file a complaint. This is a voluntary program and does not meet training requirements for any OSHA standards. Through this program, workers can attend 10-hour or 30-hour classes delivered by OSHA-authorized trainers. The 10-hour class is intended for entry level workers, while the 30-hour class is more appropriate for workers with some safety responsibility.

Consultation services: OSHA's On-Site Consultation Program offers free and confidential safety and occupational health advice to small and medium-sized businesses in all states across the country, with priority given to high-hazard worksites. On-Site Consultation services are separate from enforcement and do not result in penalties or citations. Consultants from state agencies or universities work with employers to identify workplace hazards, provide advice on compliance with OSHA standards, and assist in establishing injury and illness prevention programs.

On-site OSHA consultation assistance includes an opening conference with the employer to explain the ground rules for consultation, a walk through the workplace to identify specific hazards and to examine those aspects of the employer's safety and health program that relate to the scope of the visit, and a closing conference. Later, the consultant sends a report of findings and recommendations to the employer. This process begins with the employer's request for consultation, which must include a commitment to correct any serious safety and health hazards identified. The consultant will not report possible violations of OSHA standards to OSHA enforcement staff unless the employer fails or refuses to eliminate or control worker exposure to any identified serious hazard or imminent danger. Should this occur, OSHA may investigate and begin enforcement action. The employer must also agree to allow the consultant to confer freely with employees during the on-site visit.

Additional information about consultation assistance, including a directory of OSHA funded consultation projects, can be found on OSHA's Consultation Program webpage.

Information sources: Information about state plans, VPPs, consultation programs, and inspections can be obtained from the nearest OSHA regional or area office. Area offices are listed in local telephone directories under the U.S. Department of Labor. Contact information for regional and area offices, as well as state plans and consultation programs can also be found on the OSHA website.

OSHA's Office of Small Business Assistance administers OSHA's On-Site Consultation Program and serves as liaison and point of contact with the Agency for small businesses. OSHA offers many services designed to help small businesses and welcomes comments and suggestions from small business owners and their employees.

DOL Contacts

Occupational Safety and Health Administration (OSHA)
Contact OSHA
Tel.: 1-800-321-OSHA (1-800-321-6742); TTY: 1-877-889-5627

Uniformed Services Employment and Reemployment Rights Act (USERRA)

The Uniformed Services Employment and Reemployment Rights Act (USERRA) protects service members’ reemployment rights when returning from a period of service in the uniformed services, including those called up from the reserves or National Guard, and prohibits employer discrimination based on military service or obligation.

The Veterans’ Employment and Training Service (VETS) enforces USERRA.

Notices/Posters

Employers are required to provide to persons covered by USERRA a notice of the rights, benefits, and obligations of the employees and employers under USERRA.  To do this, employers may post the notice entitled "Your Rights Under USERRA" where employer notices are customarily placed, mail it, or by distributing it via electronic mail. There is no size requirement for the poster version of the notice.

Recordkeeping

There are no required records under USERRA.

Reporting

There are no required reports under USERRA.

Compliance Assistance Available

Compliance assistance information is available on the VETS Web site(https://www.dol.gov/agencies/vets). Specific compliance assistance materials available include: the Department of Labor USERRA regulations (20 CFR Part 1002)(https://www.ecfr.gov/cgi-bin/text-idx?SID=2cd11f170ae3875e6bd2fa46cec6402e&mc=true&node=pt20.4.1002&rgn=div5), which implement the law for non-Federal employers; a fact sheet (https://www.dol.gov/agencies/vets/programs/userra/userra_fs) about USERRA; and the notice/poster(https://www.dol.gov/agencies/vets/programs/userra/resources) to employees of their rights, benefits, and obligations under USERRA. Copies of VETS publications, or answers to questions about USERRA, may also be obtained from a local VETS office(https://www.dol.gov/agencies/vets/about/regionaloffices).

Another compliance assistance resource, the elaws Uniformed Services Employment and Reemployment Rights Act (USERRA) Advisor(/elaws/userra.htm), helps veterans understand employee eligibility and job entitlements, employer obligations, benefits, and remedies under the Act.

The Department of Labor provides employers, workers, and others with clear and easy-to-access information and assistance on how to comply with the Uniformed Services Employment and Reemployment Rights Act. Among the many resources are Frequently Asked Questions for Reservists being Called to Active Duty(https://www.dol.gov/sites/default/files/ebsa/about-ebsa/our-activities/resource-center/faqs/reservists-being-called-to-active-duty.pdf), explanatory brochures, fact sheets, and regulatory and interpretive materials are available.

DOL Contacts

Veterans' Employment and Training Service (VETS)
Contact VETS
Tel: 1-866-237-0275; TTY: 1-877-889-5627

Whistleblower Protection Provisions

The Occupational Safety and Health Act (OSH Act) and twenty-one other statutes with whistleblower provisions protect workers against retaliation for filing certain complaints with their employers, unions, the Occupational Safety and Health Administration (OSHA), or other government agencies. These protections cover complaints about workplace safety and health; the environment; pipeline safety; aviation safety; nuclear safety; asbestos in schools; corporate fraud; SEC rules or regulations; commercial motor vehicle safety, health, or security; public transportation safety or security; railroad safety or security; or fraud, waste, or abuse of public funds intended to be used for public transportation or railroad safety or security; as well as other related protected activities. Retaliation may include employment termination or layoff, reductions in pay or hours, demotion, discipline, blacklisting, denial of overtime or promotion, failure to hire or rehire, or denial of benefits.

The Occupational Safety and Health Administration administers and enforces the whistleblowing provisions of the OSH Act and the twenty one other statutes.

Notices/Posters

Posters. Although there is no specific Whistleblower Poster, the Whistleblower Protection provisions have the following poster requirements under the Occupational Safety and Health Act (OSH Act) and the Energy Reorganization Act of 1974 (ERA):

All employers covered by the OSH Act are required to display and keep displayed the OSHA "Job Safety and Health: It's the Law(http://www.osha.gov/Publications/poster.html)" poster. The poster is also available in Spanish(http://www.osha.gov/Publications/osha3167.pdf). There is a separate poster for Federal agencies(http://www.osha.gov/Publications/fedposter.html). This poster informs employees of their right to file a retaliation or discrimination complaint with OSHA for making safety and health complaints or for exercising rights under the OSH Act.

The poster must be displayed in a conspicuous place where employees and applicants for employment can see it.  Reproductions or facsimiles of the poster shall be at least 8 1/2 by 14 inches with 10 point type.  Posting of the notice in languages other than English is not required.

Employers covered by the Energy Reorganization Act of 1974 (ERA) must display the poster, "Your Rights Under the Energy Reorganization Act," where employees can readily see it.

Notices.  There are generally no notice requirements for employers under most of the Whistleblower Protection provisions administered and enforced by OSHA. For other notice requirements under the OSH Act, see the OSHA Injury and Illness Recordkeeping and Reporting Requirements.

Notices. There are generally no notice requirements for employers under most of the Whistleblower Protection provisions administered and enforced by OSHA.  For other notice requirements under the OSH Act, see the OSHA Recordkeeping, Reporting, Poster, and Other Notice Requirements page.

Recordkeeping

There are generally no recordkeeping requirements for employers under most of the Whistleblower Protection provisions administered and enforced by OSHA. For other recordkeeping requirements under the OSH Act, see the OSHA Recordkeeping, Reporting, Poster, and Other Notice Requirements page.

Reporting

There are generally no reporting requirements for employers under most of the Whistleblower Protection provisions administered and enforced by OSHA.  For other reporting requirements under the OSH Act, see the OSHA Recordkeeping, Reporting, Poster, and Other Notice Requirements page.

Compliance Assistance Available

The Department of Labor provides employers, workers, and others with clear and easy-to-access information and assistance on how to comply with the Whistleblower Protection provisions, at OSHA's Whistleblower Program website.

DOL Contacts

Occupational Safety and Health Administration (OSHA)
Contact OSHA
Tel.: 1-800-321-OSHA (1-800-321-6742); TTY: 1-877-889-5627

Worker Adjustment and Retraining Notification Act (WARN)

The Worker Adjustment and Retraining Notification Act (WARN) protects workers, their families, and communities by requiring most employers with 100 or more employees to provide notification 60 calendar days in advance of plant closings and mass layoffs.

WARN is enforced through private lawsuits in the Federal Courts. The Employment and Training Administration (ETA) provides informal advice about WARN at the Federal level. Some states have plant closure laws of their own. A State Dislocated Worker Unit Coordinator can provide more information on notice requirements in a specific area.

Notices/Posters

There are no workplace poster requirements under the WARN Act.

Employers do have notice requirements under the WARN Act. 

If an employer orders a plant closing or mass layoff, it is required to provide notification to the employees or their representatives, the state dislocated worker units, (so that they can promptly offer dislocated worker assistance), and the chief elected officials of local governments.

Notices to employees or their representatives.  WARN requires employers to notify either the individual employees affected by a plant closing or mass layoff or their representatives at least 60 calendar days prior to any planned plant closing or mass layoff.  If employees are terminated on different dates, the date of the first individual termination within the statutory 30-day or 90-day period triggers the 60-day notice requirement.

Notices to representatives.  These notices must contain the following:

  • The name and address of the employment site where the plant closing or mass layoff will occur, and the name and telephone number of a company official to contact for further information
  • A statement about whether the planned action is expected to be permanent or temporary and, if the entire plant is to be closed, a statement to that effect
  • The expected date of the first separation and the anticipated schedule for making separations
  • The job titles of positions to be affected and the names of the workers currently holding affected jobs

Notices to individual employees.  If the affected employees do not have a representative, the notice is to be written in language understandable to the employees and is to contain:

  • A statement about whether the planned action is expected to be permanent or temporary and, if the entire plant is to be closed, a statement to that effect
  • The expected date when the plant closing or mass layoff will begin, and the expected date when the individual employee will be separated
  • An indication whether or not bumping rights exist
  • The name and telephone number of a company official to contact for further information

The notice may include additional information useful to the employees such as information on available dislocated worker assistance, and, if the planned action is expected to be temporary, the estimated duration.

Notices to State Dislocated Worker Units and the chief elected officials of local governments.  WARN requires employers to separately provide notices to the state dislocated worker unit and to the chief elected official of the unit of local government in which the affected plant is located.  The notice should contain:

  • The name and address of the employment site where the plant closing or mass layoff will occur, and the name and telephone number of a company official to contact for further information
  • A statement as to whether the planned action is expected to be permanent or temporary and, if the entire plant is to be closed, a statement to that effect
  • The expected date of the first separation, and the anticipated schedule for making separations
  • The job titles of positions to be affected, and the number of affected employees in each job classification
  • An indication as to whether or not bumping rights exist
  • The name of each union representing affected employees, and the name and address of the chief elected officer of each union

The notice may include additional information useful to the employees such as a statement of whether the planned action is expected to be temporary and, if so, its expected duration.  As an alternative, an employer may give notice to the state dislocated worker unit and to the unit of local government by providing them with a written notice stating:

  • The name and address of the employment site where the plant closing or mass layoff will occur
  • The name and telephone number of a company official to contact for further information
  • The expected date of the first separation
  • The number of affected employees

If the employer chooses the alternative notice, the information required for the longer form of notice must be maintained on-site where it is readily accessible to the state dislocated worker unit and to the unit of local government.

Recordkeeping

There are no recordkeeping requirements.

Reporting

There are no reporting requirements.

Compliance Assistance Available

General information about WARN, worker's guide (PDF), and employer's guide (PDF) are available from the Employment and Training Administration's website. Specific requirements of WARN may be found in the Act itself and the regulations at 20 CFR Part 639.

The Department of Labor provides employers, workers, and others with clear and easy-to-access information and assistance on how to comply with the Worker Adjustment and Retraining Notification Act. Compliance assistance related to the Act, including the WARN e-laws Advisor is available on the Worker Adjustment and Retraining Notification (WARN) Act Compliance Assistance Materials webpage.

DOL Contacts

Employment and Training Administration (ETA)
Office of Policy Development and Research
Tel: 1-877-US-2-JOBS (1-877-872-5627)

For questions on other DOL laws, please call DOL's Toll-Free Help Line at 1-866-4-USA-DOL (1-866-487-2365). Live assistance is available in English and Spanish, Monday through Friday from 8:00 a.m. to 8:00 p.m. Eastern Time. Additional service is available in more than 140 languages through a translation service.

UNITED STATES
DEPARTMENT OF LABOR