---
kind: "section"
citation: "42 U.S.C. § 1320d–5"
title: "42"
title_heading: "The Public Health and Welfare"
number: "1320d–5"
heading: "General penalty for failure to comply with requirements and standards"
release: "119-102"
date: "2026-07-12"
url: "https://uscodex.org/usc/42/1320d-5"
units:
  - "Chapter 7 — Social Security"
  - "Subchapter XI — General Provisions, Peer Review, and Administrative Simplification"
  - "Part C — Administrative Simplification"
---

# §1320d–5. General penalty for failure to comply with requirements and standards

- (a) **General penalty—**
  - (1) **In general—** Except as provided in [subsection (b)](#b), the [Secretary](/usc/42/1301.md?p=a-6) shall impose on any [person](/usc/42/1301.md?p=a-3) who violates a provision of this part—
    - (A) in the case of a [violation](/usc/42/2000e–16a.md?p=c) of such provision in which it is established that the [person](/usc/42/1301.md?p=a-3) did not know (and by exercising reasonable diligence would not have known) that such [person](/usc/42/1301.md?p=a-3) violated such provision, a penalty for each such [violation](/usc/42/2000e–16a.md?p=c) of an amount that is at least the amount described in [paragraph (3)(A)](#a-3-A) but not to exceed the amount described in [paragraph (3)(D)](#a-3-D);
    - (B) in the case of a [violation](/usc/42/2000e–16a.md?p=c) of such provision in which it is established that the [violation](/usc/42/2000e–16a.md?p=c) was due to reasonable cause and not to willful [neglect](/usc/42/1397j.md?p=16), a penalty for each such [violation](/usc/42/2000e–16a.md?p=c) of an amount that is at least the amount described in [paragraph (3)(B)](#a-3-B) but not to exceed the amount described in [paragraph (3)(D)](#a-3-D); and
    - (C) in the case of a [violation](/usc/42/2000e–16a.md?p=c) of such provision in which it is established that the [violation](/usc/42/2000e–16a.md?p=c) was due to willful [neglect](/usc/42/1397j.md?p=16)—
      - (i) if the [violation](/usc/42/2000e–16a.md?p=c) is corrected as described in subsection (b)(3)(A),[^1] a penalty in an amount that is at least the amount described in [paragraph (3)(C)](#a-3-C) but not to exceed the amount described in [paragraph (3)(D)](#a-3-D); and
      - (ii) if the [violation](/usc/42/2000e–16a.md?p=c) is not corrected as described in such subsection, a penalty in an amount that is at least the amount described in [paragraph (3)(D)](#a-3-D).

      In determining the amount of a penalty under this section for a [violation](/usc/42/2000e–16a.md?p=c), the [Secretary](/usc/42/1301.md?p=a-6) shall base such determination on the nature and extent of the [violation](/usc/42/2000e–16a.md?p=c) and the nature and extent of the harm resulting from such [violation](/usc/42/2000e–16a.md?p=c).

  - (2) **Procedures—** The provisions of [section 1320a–7a of this title](/usc/42/1320a–7a.md) (other than subsections [(a)](#a) and [(b)](#b) and the second sentence of subsection (f)) shall apply to the imposition of a civil money penalty under this subsection in the same manner as such provisions apply to the imposition of a penalty under such [section 1320a–7a of this title](/usc/42/1320a–7a.md).
  - (3) **Tiers of penalties described—** For purposes of [paragraph (1)](#a-1), with respect to a [violation](/usc/42/2000e–16a.md?p=c) by a [person](/usc/42/1301.md?p=a-3) of a provision of this part—
    - (A) the amount described in this subparagraph is $100 for each such [violation](/usc/42/2000e–16a.md?p=c), except that the total amount imposed on the [person](/usc/42/1301.md?p=a-3) for all such [violations](/usc/42/2000e–16a.md?p=c) of an identical requirement or prohibition during a calendar year may not exceed $25,000;
    - (B) the amount described in this subparagraph is $1,000 for each such [violation](/usc/42/2000e–16a.md?p=c), except that the total amount imposed on the [person](/usc/42/1301.md?p=a-3) for all such [violations](/usc/42/2000e–16a.md?p=c) of an identical requirement or prohibition during a calendar year may not exceed $100,000;
    - (C) the amount described in this subparagraph is $10,000 for each such [violation](/usc/42/2000e–16a.md?p=c), except that the total amount imposed on the [person](/usc/42/1301.md?p=a-3) for all such [violations](/usc/42/2000e–16a.md?p=c) of an identical requirement or prohibition during a calendar year may not exceed $250,000; and
    - (D) the amount described in this subparagraph is $50,000 for each such [violation](/usc/42/2000e–16a.md?p=c), except that the total amount imposed on the [person](/usc/42/1301.md?p=a-3) for all such [violations](/usc/42/2000e–16a.md?p=c) of an identical requirement or prohibition during a calendar year may not exceed $1,500,000.
- (b) **Limitations—**
  - (1) **Offenses otherwise punishable—** No penalty may be imposed under [subsection (a)](#a) and no damages obtained under [subsection (d)](#d) with respect to an act if a penalty has been imposed under [section 1320d–6 of this title](/usc/42/1320d–6.md) with respect to such act.
  - (2) **Failures due to reasonable cause—**
    - (A) **In general—** Except as provided in [subparagraph (B)](#b-2-B) or [subsection (a)(1)(C)](#a-1-C), no penalty may be imposed under [subsection (a)](#a) and no damages obtained under [subsection (d)](#d) if the failure to comply is corrected during the 30-day period beginning on the first date the [person](/usc/42/1301.md?p=a-3) liable for the penalty or damages knew, or by exercising reasonable diligence would have known, that the failure to comply occurred.
    - (B) **Extension of period—**
      - (i) **No penalty—** With respect to the imposition of a penalty by the [Secretary](/usc/42/1301.md?p=a-6) under [subsection (a)](#a), the period referred to in [subparagraph (A)](#b-2-A) may be extended as determined appropriate by the [Secretary](/usc/42/1301.md?p=a-6) based on the nature and extent of the failure to comply.
      - (ii) **Assistance—** If the [Secretary](/usc/42/1301.md?p=a-6) determines that a [person](/usc/42/1301.md?p=a-3) failed to comply because the [person](/usc/42/1301.md?p=a-3) was unable to comply, the [Secretary](/usc/42/1301.md?p=a-6) may provide technical assistance to the [person](/usc/42/1301.md?p=a-3) during the period described in [subparagraph (A)](#b-2-A). Such assistance shall be provided in any manner determined appropriate by the [Secretary](/usc/42/1301.md?p=a-6).
  - (3) **Reduction—** In the case of a failure to comply which is due to reasonable cause and not to willful [neglect](/usc/42/1397j.md?p=16), any penalty under [subsection (a)](#a) and any damages under [subsection (d)](#d) that is[^2] not entirely waived under [paragraph (3)](#b-3)[^3] may be waived to the extent that the payment of such penalty[^4] would be excessive relative to the compliance failure involved.
- (c) **Noncompliance due to willful neglect—**
  - (1) **In general—** A [violation](/usc/42/2000e–16a.md?p=c) of a provision of this part due to willful [neglect](/usc/42/1397j.md?p=16) is a [violation](/usc/42/2000e–16a.md?p=c) for which the [Secretary](/usc/42/1301.md?p=a-6) is required to impose a penalty under [subsection (a)(1)](#a-1).
  - (2) **Required investigation—** For purposes of [paragraph (1)](#c-1), the [Secretary](/usc/42/1301.md?p=a-6) shall formally investigate any complaint of a [violation](/usc/42/2000e–16a.md?p=c) of a provision of this part if a preliminary investigation of the facts of the complaint indicate such a possible [violation](/usc/42/2000e–16a.md?p=c) due to willful [neglect](/usc/42/1397j.md?p=16).
- (d) **Enforcement by State attorneys general—**
  - (1) **Civil action—** Except as provided in [subsection (b)](#b), in any case in which the attorney general of a [State](/usc/42/619.md?p=5) has reason to believe that an interest of one or more of the residents of that [State](/usc/42/619.md?p=5) has been or is threatened or adversely affected by any [person](/usc/42/1301.md?p=a-3) who violates a provision of this part, the attorney general of the [State](/usc/42/619.md?p=5), as parens patriae, may bring a civil action on behalf of such residents of the [State](/usc/42/619.md?p=5) in a district court of the [United States](/usc/42/1301.md?p=a-2) of appropriate jurisdiction—
    - (A) to enjoin further such [violation](/usc/42/2000e–16a.md?p=c) by the defendant; or
    - (B) to obtain damages on behalf of such residents of the [State](/usc/42/619.md?p=5), in an amount equal to the amount determined under [paragraph (2)](#d-2).
  - (2) **Statutory damages—**
    - (A) **In general—** For purposes of [paragraph (1)(B)](#d-1-B), the amount determined under this paragraph is the amount calculated by multiplying the number of [violations](/usc/42/2000e–16a.md?p=c) by up to $100. For purposes of the preceding sentence, in the case of a continuing [violation](/usc/42/2000e–16a.md?p=c), the number of [violations](/usc/42/2000e–16a.md?p=c) shall be determined consistent with the HIPAA privacy regulations (as defined in [section 1320d–9(b)(3) of this title](/usc/42/1320d–9.md?p=b-3)) for [violations](/usc/42/2000e–16a.md?p=c) of [subsection (a)](#a).
    - (B) **Limitation—** The total amount of damages imposed on the [person](/usc/42/1301.md?p=a-3) for all [violations](/usc/42/2000e–16a.md?p=c) of an identical requirement or prohibition during a calendar year may not exceed $25,000.
    - (C) **Reduction of damages—** In assessing damages under [subparagraph (A)](#d-2-A), the court may consider the factors the [Secretary](/usc/42/1301.md?p=a-6) may consider in determining the amount of a civil money penalty under [subsection (a)](#a) under the HIPAA privacy regulations.
  - (3) **Attorney fees—** In the case of any successful action under [paragraph (1)](#d-1), the court, in its discretion, may award the costs of the action and reasonable attorney fees to the [State](/usc/42/619.md?p=5).
  - (4) **Notice to Secretary—** The [State](/usc/42/619.md?p=5) shall serve prior written notice of any action under [paragraph (1)](#d-1) upon the [Secretary](/usc/42/1301.md?p=a-6) and provide the [Secretary](/usc/42/1301.md?p=a-6) with a copy of its complaint, except in any case in which such prior notice is not feasible, in which case the [State](/usc/42/619.md?p=5) shall serve such notice immediately upon instituting such action. The [Secretary](/usc/42/1301.md?p=a-6) shall have the right—
    - (A) to intervene in the action;
    - (B) upon so intervening, to be heard on all matters arising therein; and
    - (C) to file petitions for appeal.
  - (5) **Construction—** For purposes of bringing any civil action under [paragraph (1)](#d-1), nothing in this section shall be construed to prevent an attorney general of a [State](/usc/42/619.md?p=5) from exercising the powers conferred on the attorney general by the laws of that [State](/usc/42/619.md?p=5).
  - (6) **Venue; service of process—**
    - (A) **Venue—** Any action brought under [paragraph (1)](#d-1) may be brought in the district court of the [United States](/usc/42/1301.md?p=a-2) that meets applicable requirements relating to venue under [section 1391 of title 28](/usc/28/1391.md).
    - (B) **Service of process—** In an action brought under [paragraph (1)](#d-1), process may be served in any district in which the defendant—
      - (i) is an inhabitant; or
      - (ii) maintains a physical place of business.
  - (7) **Limitation on State action while Federal action is pending—** If the [Secretary](/usc/42/1301.md?p=a-6) has instituted an action against a [person](/usc/42/1301.md?p=a-3) under [subsection (a)](#a) with respect to a specific [violation](/usc/42/2000e–16a.md?p=c) of this part, no [State](/usc/42/619.md?p=5) attorney general may bring an action under this subsection against the [person](/usc/42/1301.md?p=a-3) with respect to such [violation](/usc/42/2000e–16a.md?p=c) during the pendency of that action.
  - (8) **Application of CMP statute of limitation—** A civil action may not be instituted with respect to a [violation](/usc/42/2000e–16a.md?p=c) of this part unless an action to impose a civil money penalty may be instituted under [subsection (a)](#a) with respect to such [violation](/usc/42/2000e–16a.md?p=c) consistent with the second sentence of [section 1320a–7a(c)(1) of this title](/usc/42/1320a–7a.md?p=c-1).
- (e) **Allowing continued use of corrective action—** Nothing in this section shall be construed as preventing the Office for Civil Rights of the Department of Health and Human Services from continuing, in its discretion, to use corrective action without a penalty in cases where the [person](/usc/42/1301.md?p=a-3) did not know (and by exercising reasonable diligence would not have known) of the [violation](/usc/42/2000e–16a.md?p=c) involved.

## Footnotes

[^1]: So in original. Probably should be “(b)(2)(A),”.
[^2]: So in original. Probably should be “are”.
[^3]: So in original. Probably should be “(2)”.
[^4]: So in original. The words “or damages” probably should appear after “penalty”.

## Source credit

(Aug. 14, 1935, ch. 531, title XI, § 1176, as added Pub. L. 104–191, title II, § 262(a), Aug. 21, 1996, 110 Stat. 2028; amended Pub. L. 111–5, div. A, title XIII, § 13410(a)(1), (d)(1)–(3), (e)(1), (2), (f), Feb. 17, 2009, 123 Stat. 271–276.)

## Notes

### Editorial Notes

### Amendments

2009—Subsec. (a)(1). Pub. L. 111–5, § 13410(d)(1), substituted “who violates a provision of this part—” for “who violates a provision of this part a penalty of not more than $100 for each such violation, except that the total amount imposed on the person for all violations of an identical requirement or prohibition during a calendar year may not exceed $25,000.”, added subpars. (A) to (C), and inserted concluding provisions.

Subsec. (a)(3). Pub. L. 111–5, § 13410(d)(2), added par. (3).

Subsec. (b)(1). Pub. L. 111–5, § 13410(e)(2)(A), substituted “No penalty may be imposed under subsection (a) and no damages obtained under subsection (d)” for “A penalty may not be imposed under subsection (a)”.

Pub. L. 111–5, § 13410(a)(1)(A), substituted “a penalty has been imposed under section 1320d–6 of this title with respect to such act” for “the act constitutes an offense punishable under section 1320d–6 of this title”.

Subsec. (b)(2). Pub. L. 111–5, § 13410(d)(3)(A), redesignated par. (3) as (2) and struck out former par. (2). Prior to amendment, text of par. (2) read as follows: “A penalty may not be imposed under subsection (a) of this section with respect to a provision of this part if it is established to the satisfaction of the Secretary that the person liable for the penalty did not know, and by exercising reasonable diligence would not have known, that such person violated the provision.”

Subsec. (b)(2)(A). Pub. L. 111–5, § 13410(e)(2)(B)(ii), which directed amendment of cl. (ii) of subpar. (A) by inserting “or damages” after “the penalty”, was executed by making the insertion in subpar. (A) to reflect the probable intent of Congress and the intervening amendment by Pub. L. 111–5, § 13410(d)(3)(B)(i), which struck out the cl. (ii) designation. See below.

Pub. L. 111–5, § 13410(e)(2)(B)(i), substituted “no penalty may be imposed under subsection (a) and no damages obtained under subsection (d)” for “a penalty may not be imposed under subsection (a)”.

Pub. L. 111–5, § 13410(d)(3)(B)(i), substituted “in subparagraph (B) or subsection (a)(1)(C), a penalty may not be imposed under subsection (a) if the failure to comply is corrected” for “in subparagraph (B), a penalty may not be imposed under subsection (a) of this section if—

“(i) the failure to comply was due to reasonable cause and not to willful neglect; and

“(ii) the failure to comply is corrected”.

Subsec. (b)(2)(B). Pub. L. 111–5, § 13410(d)(3)(B)(ii), substituted “(A)” for “(A)(ii)” in two places.

Subsec. (b)(2)(B)(i). Pub. L. 111–5, § 13410(e)(2)(C), substituted “With respect to the imposition of a penalty by the Secretary under subsection (a), the period” for “The period”.

Subsec. (b)(3). Pub. L. 111–5, § 13410(e)(2)(D), inserted “and any damages under subsection (d)” after “any penalty under subsection (a)”.

Pub. L. 111–5, § 13410(d)(3)(A), redesignated par. (4) as (3). Former par. (3) redesignated (2).

Subsec. (b)(4). Pub. L. 111–5, § 13410(d)(3)(A), redesignated par. (4) as (3).

Subsec. (c). Pub. L. 111–5, § 13410(a)(1)(B), added subsec. (c).

Subsec. (d). Pub. L. 111–5, § 13410(e)(1), added subsec. (d).

Subsec. (e). Pub. L. 111–5, § 13410(f), added subsec. (e).

### Statutory Notes and Related Subsidiaries

### Effective Date of 2009 Amendment

Amendment by Pub. L. 111–5 effective 12 months after Feb. 17, 2009, except as otherwise specifically provided, see section 13423 of Pub. L. 111–5, set out as an Effective Date note under section 17931 of this title.

Amendment by section 13410(a)(1) of Pub. L. 111–5 applicable to penalties imposed on or after the date that is 24 months after Feb. 17, 2009, see section 17939(b)(1) of this title.

Amendment by section 13410(d)(1)–(3) of Pub. L. 111–5 applicable to violations occurring after Feb. 17, 2009, see section 17939(d)(4) of this title.

Amendment by section 13410(e)(1), (2) of Pub. L. 111–5 applicable to violations occurring after Feb. 17, 2009, see section 17939(e)(3) of this title.