144G.31 VIOLATIONS AND FINES
Subdivision 1. Categories of violations. Correction orders for violations are categorized by both level
and scope.
Subd. 2. Levels of violations. Correction orders for violations are categorized by level as follows:
(1) Level 1 is a violation that has no potential to cause more than a minimal impact on the resident and
does not affect health or safety;
(2) Level 2 is a violation that did not harm a resident’s health or safety but had the potential to have
harmed a resident’s health or safety, but was not likely to cause serious injury, impairment, or death;
(3) Level 3 is a violation that harmed a resident’s health orsafety, not including seriousinjury, impairment,
or death, or a violation that has the potential to lead to serious injury, impairment, or death; and
(4) Level 4 is a violation that results in serious injury, impairment, or death.
Subd. 3. Scope of violations. Levels of violations are categorized by scope as follows:
(1) isolated, when one or a limited number of residents are affected or one or a limited number of staff
are involved or the situation has occurred only occasionally;
(2) pattern, when more than a limited number of residents are affected, more than a limited number of
staff are involved, or the situation has occurred repeatedly but is not found to be pervasive; and
(3) widespread, when problems are pervasive or represent a systemic failure that has affected or has the
potential to affect a large portion or all of the residents.
Subd. 4. Fine amounts. (a) Fines and enforcement actions under thissubdivision may be assessed based
on the level and scope of the violations described in subdivisions 2 and 3 as follows and may be imposed
immediately with no opportunity to correct the violation prior to imposition:
(1) Level 1, no fines or enforcement;
(2) Level 2, a fine of $500 per violation, in addition to any enforcement mechanism authorized in section
144G.20 for widespread violations;
(3) Level 3, a fine of $3,000 per violation per incident, in addition to any enforcement mechanism
authorized in section 144G.20;
(4) Level 4, a fine of $5,000 per incident, in addition to any enforcement mechanism authorized in
section 144G.20; and
(5) for maltreatment violations for which the licensee was determined to be responsible for the
maltreatment under section 626.557, subdivision 9c, paragraph (c), a fine of $1,000. A fine of $5,000 may
be imposed if the commissioner determines the licensee is responsible for maltreatment consisting of sexual
assault, death, or abuse resulting in serious injury.
(b) When a fine is assessed against a facility for substantiated maltreatment, the commissioner shall not
also impose an immediate fine under this chapter for the same circumstance.
Subd. 5. Immediate fine; payment. (a) For every Level 3 or Level 4 violation, the commissioner may
issue an immediate fine. The licensee must still correct the violation in the time specified. The issuance of
an immediate fine may occur in addition to any enforcement mechanism authorized under section 144G.20.
The immediate fine may be appealed as allowed under this chapter.
(b) The licensee must pay the fines assessed on or before the payment date specified. If the licensee fails
to fully comply with the order, the commissioner may issue a second fine or suspend the license until the
licensee complies by paying the fine. A timely appeal shall stay payment of the fine until the commissioner
issues a final order.
(c) A licensee shall promptly notify the commissioner in writing when a violation specified in the order
is corrected. If upon reinspection the commissioner determines that a violation has not been corrected as
indicated by the order, the commissioner may issue an additional fine. The commissioner shall notify the
licensee by mail to the last known address in the licensing record that a second fine has been assessed. The
licensee may appeal the second fine as provided under this subdivision.
(d) A facility that has been assessed a fine under this section has a right to a reconsideration or hearing
under this chapter and chapter 14.
Subd. 6. Payment of fines required. When a fine has been assessed, the licensee may not avoid payment
by closing, selling, or otherwise transferring the license to a third party. In such an event, the licensee shall
be liable for payment of the fine.
Subd. 7. Additional penalties. In addition to any fine imposed under this section, the commissioner
may assess a penalty amount based on costs related to an investigation that results in a final order assessing
a fine or other enforcement action authorized by this chapter.
Subd. 8. Deposit of fines. Fines collected under this section shall be deposited in a dedicated special
revenue account. On an annual basis, the balance in the special revenue account shall be appropriated to the
commissioner for special projects to improve home care in Minnesota as recommended by the advisory
144G.32 RECONSIDERATION OF CORRECTION ORDERS AND FINES.
Subdivision 1. Reconsideration process required. The commissioner shall make available to assisted
living facilities a correction order reconsideration process. This process may be used to challenge the
correction order issued, including the level and scope described in section 144G.31, and any fine assessed.
When a licensee requests reconsideration of a correction order, the correction order is not stayed while it is
under reconsideration. The commissioner shall post information on its website that the licensee requested
reconsideration of the correction order and that the review is pending.
Subd. 2. Reconsideration process. An assisted living facility may request from the commissioner, in
writing, a correction order reconsideration regarding any correction order issued to the facility. The written
request for reconsideration must be received by the commissioner within 15 calendar days of the correction
order receipt date. The correction order reconsideration shall not be reviewed by any surveyor, investigator,
or supervisor that participated in writing or reviewing the correction order being disputed. The correction
order reconsiderations may be conducted in person, by telephone, by another electronic form, or in writing,
as determined by the commissioner. The commissioner shall respond in writing to the request from a facility
for a correction order reconsideration within 60 days of the date the facility requests a reconsideration. The
commissioner’s response shall identify the commissioner’s decision regarding each citation challenged by
the facility.
Subd. 3. Findings. The findings of a correction order reconsideration process shall be one or more of
the following:
(1) supported in full: the correction order is supported in full, with no deletion of findings to the citation;
(2) supported in a substance: the correction order is supported, but one or more findings are deleted or
modified without any change in the citation;
(3) correction order cited an incorrect licensing requirement: the correction order is amended by changing
the correction order to the appropriate statute or rule;
(4) correction order was issued under an incorrect citation: the correction order is amended to be issued
under the more appropriate correction order citation;
(5) the correction order is rescinded;
(6) fine is amended: it is determined that the fine assigned to the correction order was applied incorrectly;
or
(7) the level or scope of the citation is modified based on the reconsideration.
Subd. 4. Updating the correction order website. If the correction order findings are changed by the
commissioner, the commissioner shall update the correction order website.
Subd. 5. Exception; provisional licensees. This section does not apply to provisional licensees