---
kind: "section"
citation: "42 C.F.R. § 1003.220"
title: "42"
number: "1003.220"
heading: "Determinations regarding the amount of penalties and assessments and the period of exclusion."
url: "https://uscodex.org/cfr/42/1003.220"
---

# §1003.220. Determinations regarding the amount of penalties and assessments and the period of exclusion.


In considering the factors listed in [§ 1003.140](/cfr/42/1003.140.md)—

- (a) It should be considered a mitigating circumstance if all the items or services or violations included in the action brought under this part were of the same type and occurred within a short period of time, there were few such items or services or violations, and the total amount claimed or requested for such items or services was less than $5,000.
- (b) **Aggravating circumstances include—**
  - (1) The violations were of several types or occurred over a lengthy period of time;
  - (2) There were many such items or services or violations (or the nature and circumstances indicate a pattern of claims or requests for payment for such items or services or a pattern of violations);
  - (3) The amount claimed or requested for such items or services, or the amount of the overpayment was $50,000 or more;
  - (4) The violation resulted, or could have resulted, in patient harm, premature discharge, or a need for additional services or subsequent hospital admission; or
  - (5) The amount or type of financial, ownership, or control interest or the degree of responsibility a person has in an entity was substantial with respect to an action brought under [§ 1003.200(b)(3)](/cfr/42/1003.200.md?p=b-3).

## Notes

### Source

Source: 81 FR 88357, Dec. 7, 2016, unless otherwise noted.

### Authority

Authority: 42 U.S.C. 262a, 300jj-52, 1302, 1320a-7, 1320a-7a, 1320b-10, 1395u(j), 1395u(k), 1395cc(j), 1395w-141(i)(3), 1395dd(d)(1), 1395mm, 1395nn(g), 1395ss(d), 1396b(m), 11131(c), and 11137(b)(2).

### Source

Source: 51 FR 34777, Sept. 30, 1986, unless otherwise noted.