---
kind: "section"
citation: "42 C.F.R. § 1003.420"
title: "42"
number: "1003.420"
heading: "Determinations regarding the amount of penalties and assessments."
url: "https://uscodex.org/cfr/42/1003.420"
---

# §1003.420. Determinations regarding the amount of penalties and assessments.


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

- (a) Such violations were of several types or occurred over a lengthy period of time;
- (b) There were many such violations (or the nature and circumstances indicate a pattern of incidents);
- (c) The amount of money, remuneration, damages, or tainted claims involved in the violation was $15,000 or more; or
- (d) Patient harm, premature discharge, or a need for additional services or subsequent hospital admission resulted, or could have resulted, from the incident; and
- (e) The contracting organization knowingly or routinely engaged in any prohibited practice that acted as an inducement to reduce or limit medically necessary services provided with respect to a specific enrollee in the organization.

## 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.