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42 U.S.C. § 1320d–5 — General penalty for failure to comply with requirements and standards
Federal law — U.S. Code and appendices · legal_authorities
**(a) General penalty**
(1) **In general** — Except as provided in subsection (b), the Secretary shall impose on any person who violates a provision of this part—
(A) in the case of a violation of such provision in which it is established that the person did not know (and by exercising reasonable diligence would not have known) that such person violated such provision, a penalty for each such violation of an amount that is at least the amount described in paragraph (3)(A) but not to exceed the amount described in paragraph (3)(D);
(B) in the case of a violation of such provision in which it is established that the violation was due to reasonable cause and not to willful neglect, a penalty for each such violation of an amount that is at least the amount described in paragraph (3)(B) but not to exceed the amount described in paragraph (3)(D); and
(C) in the case of a violation of such provision in which it is established that the violation was due to willful neglect—
(i) if the violation is corrected as described in subsection (b)(3)(A),11 So in original. Probably should be “(b)(2)(A),”. a penalty in an amount that is at least the amount described in paragraph (3)(C) but not to exceed the amount described in paragraph (3)(D); and
(ii) if the violation is not corrected as described in such subsection, a penalty in an amount that is at least the amount described in paragraph (3)(D).
In determining the amount of a penalty under this section for a violation, the Secretary shall base such determination on the nature and extent of the violation and the nature and extent of the harm resulting from such violation.
(2) **Procedures** — The provisions of [section 1320a–7a of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title42-se
Source: Supplied U.S. Code snapshot — release unconfirmed · 42 U.S.C. § 1320d–5
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Source file: Laws/federal/codes/united-states-code/title-42/section-1320d5-general-penalty-for-failure-to-comply-with-requirements-and-standards--0d581e98e2.md
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Source location: Title 42, Chapter 7, § 1320d–5; chapter-007-social-security.md
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**(a) General penalty**
(1) **In general** — Except as provided in subsection (b), the Secretary shall impose on any person who violates a provision of this part—
(A) in the case of a violation of such provision in which it is established that the person did not know (and by exercising reasonable diligence would not have known) that such person violated such provision, a penalty for each such violation of an amount that is at least the amount described in paragraph (3)(A) but not to exceed the amount described in paragraph (3)(D);
(B) in the case of a violation of such provision in which it is established that the violation was due to reasonable cause and not to willful neglect, a penalty for each such violation of an amount that is at least the amount described in paragraph (3)(B) but not to exceed the amount described in paragraph (3)(D); and
(C) in the case of a violation of such provision in which it is established that the violation was due to willful neglect—
(i) if the violation is corrected as described in subsection (b)(3)(A),11 So in original. Probably should be “(b)(2)(A),”. a penalty in an amount that is at least the amount described in paragraph (3)(C) but not to exceed the amount described in paragraph (3)(D); and
(ii) if the violation is not corrected as described in such subsection, a penalty in an amount that is at least the amount described in paragraph (3)(D).
In determining the amount of a penalty under this section for a violation, the Secretary shall base such determination on the nature and extent of the violation and the nature and extent of the harm resulting from such violation.
(2) **Procedures** — The provisions of [section 1320a–7a of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title42-section1320a-7a&num=0&edition=prelim) (other than subsections (a) and (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](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title42-section1320a-7a&num=0&edition=prelim).
(3) **Tiers of penalties described** — For purposes of paragraph (1), with respect to a violation by a person of a provision of this part—
(A) the amount described in this subparagraph is $100 for each such violation, except that the total amount imposed on the person for all such violations 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, except that the total amount imposed on the person for all such violations 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, except that the total amount imposed on the person for all such violations 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, except that the total amount imposed on the person for all such violations 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) and no damages obtained under subsection (d) with respect to an act if a penalty has been imposed under [section 1320d–6 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title42-section1320d-6&num=0&edition=prelim) with respect to such act.
(2) **Failures due to reasonable cause**
(A) *In general* — Except as provided in subparagraph (B) or subsection (a)(1)(C), no penalty may be imposed under subsection (a) and no damages obtained under subsection (d) if the failure to comply is corrected during the 30-day period beginning on the first date the person 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 under subsection (a), the period referred to in subparagraph (A) may be extended as determined appropriate by the Secretary based on the nature and extent of the failure to comply.
(ii) *Assistance* — If the Secretary determines that a person failed to comply because the person was unable to comply, the Secretary may provide technical assistance to the person during the period described in subparagraph (A). Such assistance shall be provided in any manner determined appropriate by the Secretary.
(3) **Reduction** — In the case of a failure to comply which is due to reasonable cause and not to willful neglect, any penalty under subsection (a) and any damages under subsection (d) that is 22 So in original. Probably should be “are”. not entirely waived under paragraph (3) 33 So in original. Probably should be “(2)”. may be waived to the extent that the payment of such penalty 44 So in original. The words “or damages” probably should appear after “penalty”. would be excessive relative to the compliance failure involved.
**(c) Noncompliance due to willful neglect**
(1) **In general** — A violation of a provision of this part due to willful neglect is a violation for which the Secretary is required to impose a penalty under subsection (a)(1).
(2) **Required investigation** — For purposes of paragraph (1), the Secretary shall formally investigate any complaint of a violation of a provision of this part if a preliminary investigation of the facts of the complaint indicate such a possible violation due to willful neglect.
**(d) Enforcement by State attorneys general**
(1) **Civil action** — Except as provided in subsection (b), in any case in which the attorney general of a State has reason to believe that an interest of one or more of the residents of that State has been or is threatened or adversely affected by any person who violates a provision of this part, the attorney general of the State, as parens patriae, may bring a civil action on behalf of such residents of the State in a district court of the United States of appropriate jurisdiction—
(A) to enjoin further such violation by the defendant; or
(B) to obtain damages on behalf of such residents of the State, in an amount equal to the amount determined under paragraph (2).
(2) **Statutory damages**
(A) *In general* — For purposes of paragraph (1)(B), the amount determined under this paragraph is the amount calculated by multiplying the number of violations by up to $100. For purposes of the preceding sentence, in the case of a continuing violation, the number of violations shall be determined consistent with the HIPAA privacy regulations (as defined in [section 1320d–9(b)(3) of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title42-section1320d–9/b/3&num=0&edition=prelim)) for violations of subsection (a).
(B) *Limitation* — The total amount of damages imposed on the person for all violations 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), the court may consider the factors the Secretary may consider in determining the amount of a civil money penalty under subsection (a) under the HIPAA privacy regulations.
(3) **Attorney fees** — In the case of any successful action under paragraph (1), the court, in its discretion, may award the costs of the action and reasonable attorney fees to the State.
(4) **Notice to Secretary** — The State shall serve prior written notice of any action under paragraph (1) upon the Secretary and provide the Secretary with a copy of its complaint, except in any case in which such prior notice is not feasible, in which case the State shall serve such notice immediately upon instituting such action. The Secretary 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), nothing in this section shall be construed to prevent an attorney general of a State from exercising the powers conferred on the attorney general by the laws of that State.
(6) **Venue; service of process**
(A) *Venue* — Any action brought under paragraph (1) may be brought in the district court of the United States that meets applicable requirements relating to venue under [section 1391 of title 28](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title28-section1391&num=0&edition=prelim).
(B) *Service of process* — In an action brought under paragraph (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 has instituted an action against a person under subsection (a) with respect to a specific violation of this part, no State attorney general may bring an action under this subsection against the person with respect to such violation 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 of this part unless an action to impose a civil money penalty may be instituted under subsection (a) with respect to such violation consistent with the second sentence of [section 1320a–7a(c)(1) of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title42-section1320a–7a/c/1&num=0&edition=prelim).
**(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 did not know (and by exercising reasonable diligence would not have known) of the violation involved.
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Federal law — U.S. Code and appendices · legal_authorities
In this subchapter, except as specified otherwise:
(1) **Breach**
(A) *In general* — The term “breach” means the unauthorized acquisition, access, use, or disclosure of protected health information which compromises the security or privacy of such information, except where an unauthorized person to whom such information is disclosed would not reasonably have been able to retain such information.
(B) *Exceptions* — The term “breach” does not include—
(i) any unintentional acquisition, access, or use of protected health information by an employee or individual acting under the authority of a covered entity or business associate if—
(I) such acquisition, access, or use was made in good faith and within the course and scope of the employment or other professional relationship of such employee or individual, respectively, with the covered entity or business associate; and
(II) such information is not further acquired, accessed, used, or disclosed by any person; or
(ii) any inadvertent disclosure from an individual who is otherwise authorized to access protected health information at a facility operated by a covered entity or business associate to another similarly situated individual at 11 So in original. Probably should be followed by “the”. same facility; and
(iii) any such information received as a result of such disclosure is not further acquired, accessed, used, or disclosed without authorization by any person.
(2) **Business associate** — The term “business associate” has the meaning given such term in section 160.103 of title 45, Code of Federal Regulations.
(3) **Covered entity** — The term “covered entity” has the meaning given such term in section 160.103 of title 45, Code of Federal Regulations.
(4) **Disclose** — The terms “
Source: Supplied U.S. Code snapshot — release unconfirmed · 42 U.S.C. § 17931
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Applicability of Section.—** Except as otherwise provided by law—
(1) this section shall govern the venue of all civil actions brought in district courts of the United States; and
(2) the proper venue for a civil action shall be determined without regard to whether the action is local or transitory in nature.
**(b) Venue in General.—** A civil action may be brought in—
(1) a judicial district in which any defendant resides, if all defendants are residents of the State in which the district is located;
(2) a judicial district in which a substantial part of the events or omissions giving rise to the claim occurred, or a substantial part of property that is the subject of the action is situated; or
(3) if there is no district in which an action may otherwise be brought as provided in this section, any judicial district in which any defendant is subject to the court’s personal jurisdiction with respect to such action.
**(c) Residency.—** For all venue purposes—
(1) a natural person, including an alien lawfully admitted for permanent residence in the United States, shall be deemed to reside in the judicial district in which that person is domiciled;
(2) an entity with the capacity to sue and be sued in its common name under applicable law, whether or not incorporated, shall be deemed to reside, if a defendant, in any judicial district in which such defendant is subject to the court’s personal jurisdiction with respect to the civil action in question and, if a plaintiff, only in the judicial district in which it maintains its principal place of business; and
(3) a defendant not resident in the United States may be sued in any judicial district, and the joinder of such a defendant shall be disregarded in determining where the action may be brought with respect
Source: Supplied U.S. Code snapshot — release unconfirmed · 28 U.S.C. § 1391
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