HF 1539

2nd Engrossment - 89th Legislature (2015 - 2016) Posted on 04/07/2015 12:29pm

A bill for an act
relating to human services; modifying human services data and background study
provisions; amending Minnesota Statutes 2014, sections 13.46, subdivisions
1, 3, by adding a subdivision; 13.461, subdivision 28; 13.4967, by adding a
subdivision; 13.69, subdivision 1; 119B.02, subdivision 6; 245C.05, subdivisions
2c, 5; 245C.08, subdivisions 1, 2; 256.01, subdivisions 18d, 18e; 256B.04, by
adding a subdivision; 626.557, subdivision 12b.

BE IT ENACTED BY THE LEGISLATURE OF THE STATE OF MINNESOTA:

Section 1.

Minnesota Statutes 2014, section 13.46, subdivision 1, is amended to read:

Subdivision 1.

Definitions.

As used in this section:

(a) "Individual" means an individual according to section 13.02, subdivision 8,
but does not include a vendor of services.

(b) "Program" includes all programs for which authority is vested in a component of
the welfare system according to statute or federal law, including, but not limited to, the
aid to families with dependent children program formerly codified in sections 256.72 to
256.87, Minnesota family investment program, temporary assistance for needy families
program, medical assistance, general assistance, general assistance medical care, child
care assistance program, and child support collections.

(c) "Welfare system" includes new text begin :
new text end

new text begin (1) new text end the Department of Human Services deleted text begin , deleted text end new text begin ;
new text end

new text begin (2) new text end local social services agencies deleted text begin , deleted text end new text begin ;
new text end

new text begin (3) new text end county welfare agencies deleted text begin , deleted text end new text begin ;
new text end

new text begin (4) new text end private licensing agencies deleted text begin , deleted text end new text begin ;
new text end

new text begin (5) new text end the public authority responsible for child support enforcement deleted text begin , deleted text end new text begin ;
new text end

new text begin (6) new text end human services boards deleted text begin , deleted text end new text begin ;
new text end

new text begin (7) new text end community mental health center boards deleted text begin , deleted text end new text begin ;
new text end

new text begin (8) new text end state hospitals deleted text begin , deleted text end new text begin ;
new text end

new text begin (9) new text end state nursing homes deleted text begin , deleted text end new text begin ;
new text end

new text begin (10) new text end the ombudsman for mental health and developmental disabilities deleted text begin , deleted text end new text begin ;
new text end

new text begin (11) tribal social services or welfare agencies that are operated by federally
recognized tribes and that are under contract to any of the above agencies to the extent
specified in the contract; new text end and

new text begin (12) new text end persons, agencies, institutions, organizations, and other entities under contract
to any of the above agencies to the extent specified in the contract.

(d) "Mental health data" means data on individual clients and patients of community
mental health centers, established under section 245.62, mental health divisions of
counties and other providers under contract to deliver mental health services, or the
ombudsman for mental health and developmental disabilities.

(e) "Fugitive felon" means a person who has been convicted of a felony and who has
escaped from confinement or violated the terms of probation or parole for that offense.

(f) "Private licensing agency" means an agency licensed by the commissioner of
human services under chapter 245A to perform the duties under section 245A.16.

Sec. 2.

Minnesota Statutes 2014, section 13.46, is amended by adding a subdivision to
read:

new text begin Subd. 2a. new text end

new text begin Access to welfare system data; audit trail. new text end

new text begin (a) Only individuals with
explicit authorization from the responsible authority may enter, update, or access not
public data that is collected, maintained, or used by the welfare system. The ability of
authorized individuals to enter, update, or access these data must be limited through the
use of role-based access that corresponds to the official duties or training level of the
individual, and the statutory authorization that grants access for that purpose. All queries
and responses, and all actions in which data are entered, updated, accessed, or shared or
disseminated, must be recorded in a data audit trail. Data contained in the audit trail are
public, to the extent that the data are not otherwise classified by law.
new text end

new text begin (b) The authorization of any individual determined to have willfully entered,
updated, accessed, shared, or disseminated data in violation of this section, or any other
provision of law, must be immediately and permanently revoked. If an individual is
determined to have willfully gained access to data without explicit authorization, the
responsible authority must forward the matter to the county attorney for prosecution.
new text end

new text begin EFFECTIVE DATE. new text end

new text begin This section is effective January 1, 2016.
new text end

Sec. 3.

Minnesota Statutes 2014, section 13.46, subdivision 3, is amended to read:

Subd. 3.

Investigative data.

(a) Data on persons, including data on vendors of
services, licensees, and applicants that is collected, maintained, used, or disseminated
by the welfare system in an investigation, authorized by statute, and relating to the
enforcement of rules or law are confidential data on individuals pursuant to section 13.02,
subdivision 3, or protected nonpublic data not on individuals pursuant to section 13.02,
subdivision 13, and shall not be disclosed except:

(1) pursuant to section 13.05;

(2) pursuant to statute or valid court order;

(3) to a party named in a civil or criminal proceeding, administrative or judicial, for
preparation of defense; deleted text begin or
deleted text end

(4) to provide notices required or permitted by statute deleted text begin . deleted text end new text begin ; or
new text end

new text begin (5) for purposes of investigation or prosecution under a criminal, civil, or
administrative proceeding related to the administration of a program in the welfare system
to:
new text end

new text begin (i) an agent of the welfare system; or
new text end

new text begin (ii) a law enforcement officer, an investigator, or a prosecutor acting on behalf of a
county, the state, or the federal government.
new text end

The data referred to in this subdivision shall be classified as public data upon
submission to an administrative law judge or court in an administrative or judicial
proceeding. Inactive welfare investigative data shall be treated as provided in section
13.39, subdivision 3.

(b) Notwithstanding any other provision in law, the commissioner of human services
shall provide all active and inactive investigative data, including the name of the reporter
of alleged maltreatment under section 626.556 or 626.557, to the ombudsman for mental
health and developmental disabilities upon the request of the ombudsman.

(c) Notwithstanding paragraph (a) and section 13.39, the existence of an
investigation by the commissioner of possible overpayments of public funds to a service
provider or recipient may be disclosed if the commissioner determines that it will not
compromise the investigation.

Sec. 4.

Minnesota Statutes 2014, section 13.461, subdivision 28, is amended to read:

Subd. 28.

Child care assistance program.

new text begin Child care assistance program payment
data and new text end data collected, maintained, used, or disseminated by the welfare system pertaining
to persons selected as legal nonlicensed child care providers by families receiving child
care assistance are classified under section 119B.02, subdivision 6.

Sec. 5.

Minnesota Statutes 2014, section 13.4967, is amended by adding a subdivision
to read:

new text begin Subd. 9. new text end

new text begin Data on medical assistance applicants and current or former
recipients. new text end

new text begin Certain data on medical assistance applicants and current or former recipients
of medical assistance may be shared according to section 256B.04, subdivision 25.
new text end

Sec. 6.

Minnesota Statutes 2014, section 13.69, subdivision 1, is amended to read:

Subdivision 1.

Classifications.

(a) The following government data of the
Department of Public Safety are private data:

(1) medical data on driving instructors, licensed drivers, and applicants for parking
certificates and special license plates issued to physically disabled persons;

(2) other data on holders of a disability certificate under section 169.345, except that
data that are not medical data may be released to law enforcement agencies;

(3) Social Security numbers in driver's license and motor vehicle registration
records, except that Social Security numbers must be provided to deleted text begin the Department of
Revenue for purposes of tax administration, the Department of Labor and Industry for
purposes of workers' compensation administration and enforcement, and the Department
of Natural Resources for purposes of license application administration; and deleted text end new text begin :
new text end

new text begin (i) the Department of Revenue for purposes of tax administration;
new text end

new text begin (ii) the Department of Labor and Industry for purposes of workers' compensation
administration and enforcement;
new text end

new text begin (iii) the Department of Human Services for purposes of recovering Minnesota health
care program benefits paid for recipients injured in motor vehicle accidents; and
new text end

new text begin (iv) the Department of Natural Resources for purposes of license application
administration; and
new text end

(4) data on persons listed as standby or temporary custodians under section 171.07,
subdivision 11, except that the data must be released to:

(i) law enforcement agencies for the purpose of verifying that an individual is a
designated caregiver; or

(ii) law enforcement agencies who state that the license holder is unable to
communicate at that time and that the information is necessary for notifying the designated
caregiver of the need to care for a child of the license holder.

The department may release the Social Security number only as provided in clause
(3) and must not sell or otherwise provide individual Social Security numbers or lists of
Social Security numbers for any other purpose.

(b) The following government data of the Department of Public Safety are
confidential data: data concerning an individual's driving ability when that data is received
from a member of the individual's family.

Sec. 7.

Minnesota Statutes 2014, section 119B.02, subdivision 6, is amended to read:

Subd. 6.

Data.

new text begin (a) new text end Data collected, maintained, used, or disseminated by the
welfare system pertaining to persons selected as legal nonlicensed child care providers
by families receiving child care assistance shall be treated as licensing data as provided
in section 13.46, subdivision 4.

new text begin (b) Child care assistance program payment data are public when the data relate to a
child care assistance program payment made to a licensed child care center or a child care
center exempt from licensure that meets one or more of the following criteria:
new text end

new text begin (1) the center has been disqualified from receiving payment for child care services
from the child care assistance program under this chapter due to wrongfully obtaining
child care assistance under section 256.98, subdivision 8, paragraph (c);
new text end

new text begin (2) the center has been refused a child care authorization, has had a child care
authorization revoked, has had a payment stopped, or has been denied payment for a bill
under section 119B.13, subdivision 6, paragraph (d); or
new text end

new text begin (3) the center has been investigated for financial misconduct under section 245E.02,
resulting in a finding that financial misconduct occurred.
new text end

new text begin Any payment data that may identify a specific child care assistance recipient or benefits
paid on behalf of a specific child care assistance recipient, as determined by the
commissioner, are private data on individuals. For purposes of this paragraph, "payment
data" means data showing that a child care assistance program payment was made and
the amount of child care assistance program payments made to a child care center over a
specified time period. Payment data may include the numbers of families and children on
whose behalf payments were made over the specified time period.
new text end

Sec. 8.

Minnesota Statutes 2014, section 245C.05, subdivision 2c, is amended to read:

Subd. 2c.

Privacy notice to background study subject.

(a) Prior to initiating each
background study, the entity initiating the study must provide the commissioner's privacy
notice to the background study subject required under section 13.04, subdivision 2. The
notice must be available through the commissioner's electronic NETStudy and NETStudy
2.0 systems and shall include the information in paragraphs (b) and (c).

(b) The background study subject shall be informed that any previous background
studies that received a set-aside will be reviewed, and without further contact with the
background study subject, the commissioner may notify the agency that initiated the
subsequent background study:

(1) that the individual has a disqualification that has been set aside for the program
or agency that initiated the study;

(2) the reason for the disqualification; and

(3) that information about the decision to set aside the disqualification will be
available to the license holder upon request without the consent of the background study
subject.

(c) The background study subject must also be informed that:

(1) the subject's fingerprints collected for purposes of completing the background
study under this chapter must not be retained by the Department of Public Safety, Bureau
of Criminal Apprehension, or by the commissioner, but will be retained by the Federal
Bureau of Investigation;

(2) effective upon implementation of NETStudy 2.0, the subject's photographic
image will be retained by the commissioner, and if the subject has provided the subject's
Social Security number for purposes of the background study, the photographic image will
be available to prospective employers and agencies initiating background studies under
this chapter to verify the identity of the subject of the background study;

(3) the commissioner's authorized fingerprint collection vendor shall, for purposes
of verifying the identity of the background study subject, be able to view the identifying
information entered into NETStudy 2.0 by the entity that initiated the background study,
but shall not retain the subject's fingerprints, photograph, or information from NETStudy
2.0. The authorized fingerprint collection vendor shall retain no more than the subject's
name and the date and time the subject's fingerprints were recorded and sent, only as
necessary for auditing and billing activities;

(4) the commissioner shall provide the subject notice, as required in section 245C.17,
subdivision 1, paragraph (a), when an entity initiates a background study on the individual;

(5) the subject may request in writing a report listing the entities that initiated
a background study on the individual as provided in section 245C.17, subdivision 1,
paragraph (b);

(6) the subject may request in writing that information used to complete the
individual's background study in NETStudy 2.0 be destroyed if the requirements of section
245C.051, paragraph (a), are met; and

(7) notwithstanding clause (6), the commissioner shall destroy:

(i) the subject's photograph after a period of two years when the requirements of
section 245C.051, paragraph (c), are met; and

(ii) any data collected on a subject under this chapter after a period of two years
following the individual's death as provided in section 245C.051, paragraph (d).

new text begin (d) For background study subjects who are younger than age 18, the privacy notice
provided through NETStudy 2.0 shall include a consent form that includes the information
in paragraphs (b) and (c) and requires the signature of a person who has legal responsibility
for the minor, including but not limited to a parent or legal guardian, to consent to the
minor subject's fingerprints and photograph being captured.
new text end

new text begin EFFECTIVE DATE. new text end

new text begin This section is effective the day following final enactment.
new text end

Sec. 9.

Minnesota Statutes 2014, section 245C.05, subdivision 5, is amended to read:

Subd. 5.

Fingerprints and photograph.

(a) Before the implementation of
NETStudy 2.0, except as provided in paragraph (c), for any background study completed
under this chapter, when the commissioner has reasonable cause to believe that further
pertinent information may exist on the subject of the background study, the subject
shall provide the commissioner with a set of classifiable fingerprints obtained from an
authorized agency.

(b) Before the implementation of NETStudy 2.0, for purposes of requiring
fingerprints, the commissioner has reasonable cause when, but not limited to, the:

(1) information from the Bureau of Criminal Apprehension indicates that the subject
is a multistate offender;

(2) information from the Bureau of Criminal Apprehension indicates that multistate
offender status is undetermined; or

(3) commissioner has received a report from the subject or a third party indicating
that the subject has a criminal history in a jurisdiction other than Minnesota.

(c) Notwithstanding paragraph (d), for background studies conducted by the
commissioner for child foster care, adoptions, or a transfer of permanent legal and
physical custody of a child, the subject of the background study, who is 18 years of age
or older, shall provide the commissioner with a set of classifiable fingerprints obtained
from an authorized agency.

(d) For background studies initiated on or after the implementation of NETStudy
2.0, every subject of a background study must provide the commissioner with a set of the
background study subject's classifiable fingerprints and photograph new text begin within 14 days of the
initiation of the background study in NETStudy 2.0 new text end . The photograph and fingerprints must
be recorded at the same time by the commissioner's authorized fingerprint collection vendor
and sent to the commissioner through the commissioner's secure data system described in
section 245C.32, subdivision 1a, paragraph (b). The fingerprints shall not be retained by
the Department of Public Safety, Bureau of Criminal Apprehension, or the commissioner,
but will be retained by the Federal Bureau of Investigation. The commissioner's authorized
fingerprint collection vendor shall, for purposes of verifying the identity of the background
study subject, be able to view the identifying information entered into NETStudy 2.0 by
the entity that initiated the background study, but shall not retain the subject's fingerprints,
photograph, or information from NETStudy 2.0. The authorized fingerprint collection
vendor shall retain no more than the name and date and time the subject's fingerprints were
recorded and sent, only as necessary for auditing and billing activities.

new text begin (e) For background studies completed by county agencies under this chapter for
family child care services, any subject of a background study who has resided in another
state within the five years preceding initiation of the background study must provide the
county agency with a set of the subject's classifiable fingerprints for purposes of obtaining
criminal history data from the National Criminal Records Repository.
new text end

new text begin (f) For background studies initiated on or after the implementation of NETStudy 2.0:
new text end

new text begin (1) the subject must be under continuous, direct supervision of the program that
initiated the background study when providing direct contact services, until a notice
under section 245C.17 is received;
new text end

new text begin (2) the entity that initiated the background study must be notified if seven days have
elapsed and the background study subject has not provided fingerprints and a photograph
under paragraph (d); and
new text end

new text begin (3) if a background study subject fails to provide fingerprints and a photograph
under paragraph (d), the commissioner shall issue the entity that initiated the background
study and the background study subject a notice that the background study has not been
completed and that the subject must be removed from any position allowing direct contact
or access to persons served by the entity.
new text end

new text begin The commissioner may extend the time period for providing fingerprints and a photograph
if the background study subject or the entity that initiated the background study shows
good cause for failure to comply in a timely manner, as determined by the commissioner.
new text end

new text begin EFFECTIVE DATE. new text end

new text begin This section is effective the day following final enactment.
new text end

Sec. 10.

Minnesota Statutes 2014, section 245C.08, subdivision 1, is amended to read:

Subdivision 1.

Background studies conducted by Department of Human
Services.

(a) For a background study conducted by the Department of Human Services,
the commissioner shall review:

(1) information related to names of substantiated perpetrators of maltreatment of
vulnerable adults that has been received by the commissioner as required under section
626.557, subdivision 9c, paragraph (j);

(2) the commissioner's records relating to the maltreatment of minors in licensed
programs, and from findings of maltreatment of minors as indicated through the social
service information system;

(3) information from juvenile courts as required in subdivision 4 for individuals
listed in section 245C.03, subdivision 1, paragraph (a), when there is reasonable cause;

(4) information from the Bureau of Criminal Apprehension, including information
regarding a background study subject's registration in Minnesota as a predatory offender
under section 243.166;

(5) except as provided in clause (6), information from the national crime information
system when the commissioner has reasonable cause as defined under section 245C.05,
subdivision 5; and

(6) for a background study related to a child foster care application for licensure, a
transfer of permanent legal and physical custody of a child under sections 260C.503 to
260C.515, or adoptions, the commissioner shall also review:

(i) information from the child abuse and neglect registry for any state in which the
background study subject has resided for the past five years; and

(ii) information from national crime information databases, when the background
study subject is 18 years of age or older.

(b) Notwithstanding expungement by a court, the commissioner may consider
information obtained under paragraph (a), clauses (3) and (4), unless the commissioner
received notice of the petition for expungement and the court order for expungement is
directed specifically to the commissioner.

(c) The commissioner shall also review criminal case information received according
to section 245C.04, subdivision 4a, from the Minnesota court information system that
relates to individuals who have already been studied under this chapter and who remain
affiliated with the agency that initiated the background study.

new text begin (d) When the commissioner receives information as described in paragraph (c),
the commissioner shall also request updated information from the Bureau of Criminal
Apprehension in order to determine whether there has been a change in the subject's
multistate offender status.
new text end

deleted text begin (d) deleted text end new text begin (e) new text end When the commissioner has reasonable cause to believe that the identity of
a background study subject is uncertain, the commissioner may require the subject to
provide a set of classifiable fingerprints for purposes of completing a fingerprint-based
record check with the Bureau of Criminal Apprehension. Fingerprints collected under this
paragraph shall not be saved by the commissioner after they have been used to verify the
identity of the background study subject against the particular criminal record in question.

Sec. 11.

Minnesota Statutes 2014, section 245C.08, subdivision 2, is amended to read:

Subd. 2.

Background studies conducted by a county agency.

(a) For a
background study conducted by a county agency for family child care services, the
commissioner shall review:

(1) information from the county agency's record of substantiated maltreatment
of adults and the maltreatment of minors;

(2) information from juvenile courts as required in subdivision 4 for:

(i) individuals listed in section 245C.03, subdivision 1, paragraph (a), who are ages
13 through 23 living in the household where the licensed services will be provided; and

(ii) any other individual listed under section 245C.03, subdivision 1, when there
is reasonable cause; deleted text begin and
deleted text end

(3) information from the Bureau of Criminal Apprehension deleted text begin . deleted text end new text begin ; and
new text end

new text begin (4) criminal history data from the National Criminal Records Repository when the
individual has resided in another state within the five years preceding initiation of the
background study.
new text end

(b) If the individual has new text begin not new text end resided in the county for deleted text begin less than deleted text end new text begin the new text end five years
new text begin preceding initiation of the background study new text end , the study shall include the records specified
under paragraph (a) for the new text begin individual's new text end previous county or counties of residence for the
past five years.

(c) Notwithstanding expungement by a court, the county agency may consider
information obtained under paragraph (a), clause (3), unless the commissioner received
notice of the petition for expungement and the court order for expungement is directed
specifically to the commissioner.

new text begin EFFECTIVE DATE. new text end

new text begin This section is effective the day following final enactment.
new text end

Sec. 12.

Minnesota Statutes 2014, section 256.01, subdivision 18d, is amended to read:

Subd. 18d.

Data sharing with Department of Human Services; multiple
identification cards.

(a) The commissioner of public safety shall, on a monthly basis,
provide the commissioner of human services with the first, middle, and last name, the
address, date of birth, new text begin Social Security number, new text end driver's license or state identification
card number, and all photographs or electronically produced images of all applicants
and holders whose drivers' licenses and state identification cards have been canceled
new text begin on or after January 1, 2013, new text end under section 171.14, paragraph (a), clause (2) or (3), by
the commissioner of public safety. After the initial data report has been provided by
the commissioner of public safety to the commissioner of human services under this
paragraph, subsequent reports shall only include cancellations that occurred after the end
date of the cancellations represented in the previous data report.

(b) The commissioner of human services shall compare the information provided
under paragraph (a) with the commissioner's data regarding recipients of all public
assistance programs managed by the Department of Human Services to determine whether
any individual with multiple identification cards issued by the Department of Public
Safety has illegally or improperly enrolled in any public assistance program managed by
the Department of Human Services.

(c) If the commissioner of human services determines that an applicant or recipient
has illegally or improperly enrolled in any public assistance program, the commissioner
shall provide all due process protections to the individual before terminating the individual
from the program according to applicable statute and notifying the county attorney.

Sec. 13.

Minnesota Statutes 2014, section 256.01, subdivision 18e, is amended to read:

Subd. 18e.

Data sharing with the Department of Human Services; legal presence
date.

(a) The commissioner of public safety shall, on a monthly basis, provide the
commissioner of human services with the first, middle, and last name, and address, date of
birth, new text begin Social Security number, new text end and driver's license or state identification card number of all
applicants and holders of drivers' licenses and state identification cards whose temporary
legal presence date has expired and as a result the driver's license or identification card has
been accordingly canceled under section 171.14 by the commissioner of public safety.

(b) The commissioner of human services shall use the information provided under
paragraph (a) to determine whether the eligibility of any recipients of public assistance
programs managed by the Department of Human Services has changed as a result of the
status change in the Department of Public Safety data.

(c) If the commissioner of human services determines that a recipient has illegally or
improperly received benefits from any public assistance program, the commissioner shall
provide all due process protections to the individual before terminating the individual from
the program according to applicable statute and notifying the county attorney.

Sec. 14.

Minnesota Statutes 2014, section 256B.04, is amended by adding a
subdivision to read:

new text begin Subd. 25. new text end

new text begin Interagency agreement for data sharing from commissioner
of revenue. new text end

new text begin The commissioner may enter into an interagency agreement with the
commissioner of revenue to allow the Department of Revenue to transmit electronically
to the Department of Human Services certain data on persons who applied for medical
assistance or who are current or former medical assistance recipients. If an interagency
agreement is concluded: (1) the Department of Revenue is authorized to share the
following data with the Department of Human Services: data from the personal or
corporate filings of the medical assistance applicant, recipient, or former recipient; and
data on the medical assistance applicant's, recipient's, or former recipient's wages,
earned and unearned income, assets, and business expenses filed with the Department of
Revenue; and (2) the Department of Human Services, through the medical assistance
application process, must notify all applicants of the data that the commissioner of human
services may obtain from the Department of Revenue that may be used to verify income
and program eligibility and that, through completion of the application, the applicant is
giving consent for this data to be shared.
new text end

Sec. 15.

Minnesota Statutes 2014, section 626.557, subdivision 12b, is amended to read:

Subd. 12b.

Data management.

(a) In performing any of the duties of this section as
a lead investigative agency, the county social service agency shall maintain appropriate
records. Data collected by the county social service agency under this section are welfare
data under section 13.46. Notwithstanding section 13.46, subdivision 1, paragraph (a),
data under this paragraph that are inactive investigative data on an individual who is a
vendor of services are private data on individuals, as defined in section 13.02. The identity
of the reporter may only be disclosed as provided in paragraph (c).

Data maintained by the common entry point are confidential data on individuals or
protected nonpublic data as defined in section 13.02. Notwithstanding section 138.163,
the common entry point shall maintain data for three calendar years after date of receipt
and then destroy the data unless otherwise directed by federal requirements.

(b) The commissioners of health and human services shall prepare an investigation
memorandum for each report alleging maltreatment investigated under this section.
County social service agencies must maintain private data on individuals but are not
required to prepare an investigation memorandum. During an investigation by the
commissioner of health or the commissioner of human services, data collected under this
section are confidential data on individuals or protected nonpublic data as defined in
section 13.02. Upon completion of the investigation, the data are classified as provided in
clauses (1) to (3) and paragraph (c).

(1) The investigation memorandum must contain the following data, which are public:

(i) the name of the facility investigated;

(ii) a statement of the nature of the alleged maltreatment;

(iii) pertinent information obtained from medical or other records reviewed;

(iv) the identity of the investigator;

(v) a summary of the investigation's findings;

(vi) statement of whether the report was found to be substantiated, inconclusive,
false, or that no determination will be made;

(vii) a statement of any action taken by the facility;

(viii) a statement of any action taken by the lead investigative agency; and

(ix) when a lead investigative agency's determination has substantiated maltreatment,
a statement of whether an individual, individuals, or a facility were responsible for the
substantiated maltreatment, if known.

The investigation memorandum must be written in a manner which protects the
identity of the reporter and of the vulnerable adult and may not contain the names or, to
the extent possible, data on individuals or private data listed in clause (2).

(2) Data on individuals collected and maintained in the investigation memorandum
are private data, including:

(i) the name of the vulnerable adult;

(ii) the identity of the individual alleged to be the perpetrator;

(iii) the identity of the individual substantiated as the perpetrator; and

(iv) the identity of all individuals interviewed as part of the investigation.

(3) Other data on individuals maintained as part of an investigation under this section
are private data on individuals upon completion of the investigation.

(c) After the assessment or investigation is completed, the name of the reporter
must be confidential. The subject of the report may compel disclosure of the name of the
reporter only with the consent of the reporter or upon a written finding by a court that
the report was false and there is evidence that the report was made in bad faith. This
subdivision does not alter disclosure responsibilities or obligations under the Rules of
Criminal Procedure, except that where the identity of the reporter is relevant to a criminal
prosecution, the district court shall do an in-camera review prior to determining whether
to order disclosure of the identity of the reporter.

(d) Notwithstanding section 138.163, data maintained under this section by the
commissioners of health and human services must be maintained under the following
schedule and then destroyed unless otherwise directed by federal requirements:

(1) data from reports determined to be false, maintained for three years after the
finding was made;

(2) data from reports determined to be inconclusive, maintained for four years after
the finding was made;

(3) data from reports determined to be substantiated, maintained for seven years
after the finding was made; and

(4) data from reports which were not investigated by a lead investigative agency and
for which there is no final disposition, maintained for three years from the date of the report.

(e) The commissioners of health and human services shall annually publish on their
Web sites the number and type of reports of alleged maltreatment involving licensed
facilities reported under this section, the number of those requiring investigation under this
section, and the resolution of those investigations. On a biennial basis, the commissioners
of health and human services shall jointly report the following information to the
legislature and the governor:

(1) the number and type of reports of alleged maltreatment involving licensed
facilities reported under this section, the number of those requiring investigations under
this section, the resolution of those investigations, and which of the two lead agencies
was responsible;

(2) trends about types of substantiated maltreatment found in the reporting period;

(3) if there are upward trends for types of maltreatment substantiated,
recommendations for addressing and responding to them;

(4) efforts undertaken or recommended to improve the protection of vulnerable adults;

(5) whether and where backlogs of cases result in a failure to conform with statutory
time frames and recommendations for reducing backlogs if applicable;

(6) recommended changes to statutes affecting the protection of vulnerable adults; and

(7) any other information that is relevant to the report trends and findings.

(f) Each lead investigative agency must have a record retention policy.

(g) new text begin The common entry point, new text end lead investigative agencies, new text begin county agencies or their
designees, new text end prosecuting authorities, deleted text begin and deleted text end law enforcement agencies new text begin , state agencies, and
tribes new text end may exchange not public data, as defined in section 13.02, if the agency or authority
deleted text begin requesting deleted text end new text begin providing new text end the data determines that the data are pertinent and necessary to the
deleted text begin requesting deleted text end agency new text begin or authority for the provision of protective services or new text end in initiating,
furthering, or completing an investigation under this section. Data collected under this
section must be made available to prosecuting authorities and law enforcement officials,
local county agencies, and licensing agencies investigating the alleged maltreatment
under this section. The lead investigative agency shall exchange not public data with the
vulnerable adult maltreatment review panel established in section 256.021 if the data
are pertinent and necessary for a review requested under that section. Notwithstanding
section 138.17, upon completion of the review, not public data received by the review
panel must be destroyed.

(h) Each lead investigative agency shall keep records of the length of time it takes to
complete its investigations.

(i) A lead investigative agency may notify other affected parties and their authorized
representative if the lead investigative agency has reason to believe maltreatment has
occurred and determines the information will safeguard the well-being of the affected
parties or dispel widespread rumor or unrest in the affected facility.

(j) Under any notification provision of this section, where federal law specifically
prohibits the disclosure of patient identifying information, a lead investigative agency may
not provide any notice unless the vulnerable adult has consented to disclosure in a manner
which conforms to federal requirements.