1.1                          A bill for an act
  1.2             relating to human services; amending data and 
  1.3             licensing definitions; amending Minnesota Statutes 
  1.4             2000, sections 13.41, subdivision 1; 13.46, 
  1.5             subdivision 3; Minnesota Statutes 2001 Supplement, 
  1.6             sections 13.46, subdivisions 1, 4; 245A.04, 
  1.7             subdivision 3. 
  1.8   BE IT ENACTED BY THE LEGISLATURE OF THE STATE OF MINNESOTA: 
  1.9      Section 1.  Minnesota Statutes 2000, section 13.41, 
  1.10  subdivision 1, is amended to read: 
  1.11     Subdivision 1.  [DEFINITION.] As used in this section 
  1.12  "licensing agency" means any board, department or agency of this 
  1.13  state which is given the statutory authority to issue 
  1.14  professional or other types of licenses, except the various 
  1.15  agencies primarily administered by the commissioner of human 
  1.16  services.  Data pertaining to persons or agencies licensed or 
  1.17  registered under authority of the commissioner of human services 
  1.18  shall be administered pursuant to section 13.46, subdivision 4. 
  1.19     Sec. 2.  Minnesota Statutes 2001 Supplement, section 13.46, 
  1.20  subdivision 1, is amended to read: 
  1.21     Subdivision 1.  [DEFINITIONS.] As used in this section: 
  1.22     (a) "Individual" means an individual according to section 
  1.23  13.02, subdivision 8, but does not include a vendor of services. 
  1.24     (b) "Program" includes all programs for which authority is 
  1.25  vested in a component of the welfare system according to statute 
  1.26  or federal law, including, but not limited to, the aid to 
  2.1   families with dependent children program formerly codified in 
  2.2   sections 256.72 to 256.87, Minnesota Family Investment Program, 
  2.3   medical assistance, general assistance, general assistance 
  2.4   medical care, and child support collections.  
  2.5      (c) "Welfare system" includes the department of human 
  2.6   services, local social services agencies, county welfare 
  2.7   agencies, private licensing agencies, the public authority 
  2.8   responsible for child support enforcement, human services 
  2.9   boards, community mental health center boards, state hospitals, 
  2.10  state nursing homes, the ombudsman for mental health and mental 
  2.11  retardation, and persons, agencies, institutions, organizations, 
  2.12  and other entities under contract to any of the above agencies 
  2.13  to the extent specified in the contract. 
  2.14     (d) "Mental health data" means data on individual clients 
  2.15  and patients of community mental health centers, established 
  2.16  under section 245.62, mental health divisions of counties and 
  2.17  other providers under contract to deliver mental health 
  2.18  services, or the ombudsman for mental health and mental 
  2.19  retardation. 
  2.20     (e) "Fugitive felon" means a person who has been convicted 
  2.21  of a felony and who has escaped from confinement or violated the 
  2.22  terms of probation or parole for that offense. 
  2.23     (f) "Private licensing agency" means an agency licensed by 
  2.24  the commissioner of human services under chapter 245A to perform 
  2.25  duties under section 245A.16. 
  2.26     Sec. 3.  Minnesota Statutes 2000, section 13.46, 
  2.27  subdivision 3, is amended to read: 
  2.28     Subd. 3.  [INVESTIGATIVE DATA.] (a) Data on persons, 
  2.29  including data on vendors of services and data on licensees, 
  2.30  that is collected, maintained, used, or disseminated by the 
  2.31  welfare system in an investigation, authorized by statute and 
  2.32  relating to the enforcement of rules or law, is confidential 
  2.33  data on individuals pursuant to section 13.02, subdivision 3, or 
  2.34  protected nonpublic data not on individuals pursuant to section 
  2.35  13.02, subdivision 13, and shall not be disclosed except: 
  2.36     (a) (1) pursuant to section 13.05; 
  3.1      (b) (2) pursuant to statute or valid court order; 
  3.2      (c) (3) to a party named in a civil or criminal proceeding, 
  3.3   administrative or judicial, for preparation of defense; or 
  3.4      (d) (4) to provide notices required or permitted by statute.
  3.5      The data referred to in this subdivision shall be 
  3.6   classified as public data upon its submission to an 
  3.7   administrative law judge or court in an administrative or 
  3.8   judicial proceeding.  Inactive welfare investigative data shall 
  3.9   be treated as provided in section 13.39, subdivision 3. 
  3.10     (b) Notwithstanding any other provision in law, the 
  3.11  commissioner of human services shall provide all active and 
  3.12  inactive investigative data, including the name of the reporter 
  3.13  of alleged maltreatment under section 626.556 or 626.557, to the 
  3.14  ombudsman for mental health and mental retardation upon the 
  3.15  request of the ombudsman. 
  3.16     Sec. 4.  Minnesota Statutes 2001 Supplement, section 13.46, 
  3.17  subdivision 4, is amended to read: 
  3.18     Subd. 4.  [LICENSING DATA.] (a) As used in this subdivision:
  3.19     (1) "licensing data" means all data collected, maintained, 
  3.20  used, or disseminated by the welfare system pertaining to 
  3.21  persons licensed or registered or who apply for licensure or 
  3.22  registration or who formerly were licensed or registered under 
  3.23  the authority of the commissioner of human services; 
  3.24     (2) "client" means a person who is receiving services from 
  3.25  a licensee or from an applicant for licensure; and 
  3.26     (3) "personal and personal financial data" means social 
  3.27  security numbers, identity of and letters of reference, 
  3.28  insurance information, reports from the bureau of criminal 
  3.29  apprehension, health examination reports, and social/home 
  3.30  studies. 
  3.31     (b)(1) Except as provided in paragraph (c), the following 
  3.32  data on current and former licensees are public:  name, address, 
  3.33  telephone number of licensees, date of receipt of a completed 
  3.34  application, dates of licensure, licensed capacity, type of 
  3.35  client preferred, variances granted, type of dwelling, name and 
  3.36  relationship of other family members, previous license history, 
  4.1   class of license, and the existence and status of complaints.  
  4.2   When a correction order or fine has been issued, a license is 
  4.3   suspended, immediately suspended, revoked, denied, or made 
  4.4   conditional, or a complaint is resolved, the following data on 
  4.5   current and former licensees are public:  the substance and 
  4.6   investigative findings of the complaint, licensing violation, or 
  4.7   substantiated maltreatment; the record of informal resolution of 
  4.8   a licensing violation; orders of hearing; findings of fact; 
  4.9   conclusions of law; specifications of the final correction 
  4.10  order, fine, suspension, immediate suspension, revocation, 
  4.11  denial, or conditional license contained in the record of 
  4.12  licensing action; and the status of any appeal of these 
  4.13  actions.  When an individual licensee is a substantiated 
  4.14  perpetrator of maltreatment, and the substantiated maltreatment 
  4.15  is a reason for the licensing action, the identity of the 
  4.16  licensee as a perpetrator is public data.  For purposes of this 
  4.17  clause, a person is a substantiated perpetrator if the 
  4.18  maltreatment determination has been upheld under section 
  4.19  626.556, subdivision 10i, 626.557, subdivision 9d, or 256.045, 
  4.20  or an individual or facility has not timely exercised appeal 
  4.21  rights under these sections. 
  4.22     (2) For applicants who withdraw their application prior to 
  4.23  licensure or denial of a license, the following data are 
  4.24  public:  the name of the applicant, the city and county in which 
  4.25  the applicant was seeking licensure, the dates of the 
  4.26  commissioner's receipt of the initial application and completed 
  4.27  application, the type of license sought, and the date of 
  4.28  withdrawal of the application. 
  4.29     (3) For applicants who are denied a license, the following 
  4.30  data are public:  the name of the applicant, the city and county 
  4.31  in which the applicant was seeking licensure, the dates of the 
  4.32  commissioner's receipt of the initial application and completed 
  4.33  application, the type of license sought, the date of denial of 
  4.34  the application, the nature of the basis for the denial, and the 
  4.35  status of any appeal of the denial. 
  4.36     (4) The following data on persons subject to 
  5.1   disqualification under section 245A.04 in connection with a 
  5.2   license to provide family day care for children, child care 
  5.3   center services, foster care for children in the provider's 
  5.4   home, or foster care or day care services for adults in the 
  5.5   provider's home, are public:  the nature of any disqualification 
  5.6   set aside under section 245A.04, subdivision 3b, and the reasons 
  5.7   for setting aside the disqualification; and the reasons for 
  5.8   granting any variance under section 245A.04, subdivision 9. 
  5.9      (5) When maltreatment is substantiated under section 
  5.10  626.556 or 626.557 and the victim and the substantiated 
  5.11  perpetrator are affiliated with a program licensed under chapter 
  5.12  245A, the commissioner of human services, local social services 
  5.13  agency, or county welfare agency may inform the license holder 
  5.14  where the maltreatment occurred of the identity of the 
  5.15  substantiated perpetrator and the victim. 
  5.16     (c) The following are private data on individuals under 
  5.17  section 13.02, subdivision 12, or nonpublic data under section 
  5.18  13.02, subdivision 9:  personal and personal financial data on 
  5.19  family day care program and family foster care program 
  5.20  applicants and licensees and their family members who provide 
  5.21  services under the license. 
  5.22     (d) The following are private data on individuals:  the 
  5.23  identity of persons who have made reports concerning licensees 
  5.24  or applicants that appear in inactive investigative data, and 
  5.25  the records of clients or employees of the licensee or applicant 
  5.26  for licensure whose records are received by the licensing agency 
  5.27  for purposes of review or in anticipation of a contested 
  5.28  matter.  The names of reporters under sections 626.556 and 
  5.29  626.557 may be disclosed only as provided in section 626.556, 
  5.30  subdivision 11, or 626.557, subdivision 12b. 
  5.31     (e) Data classified as private, confidential, nonpublic, or 
  5.32  protected nonpublic under this subdivision become public data if 
  5.33  submitted to a court or administrative law judge as part of a 
  5.34  disciplinary proceeding in which there is a public hearing 
  5.35  concerning a license which has been suspended, immediately 
  5.36  suspended, revoked, or denied. 
  6.1      (f) Data generated in the course of licensing 
  6.2   investigations that relate to an alleged violation of law are 
  6.3   investigative data under subdivision 3. 
  6.4      (g) Data that are not public data collected, maintained, 
  6.5   used, or disseminated under this subdivision that relate to or 
  6.6   are derived from a report as defined in section 626.556, 
  6.7   subdivision 2, or 626.5572, subdivision 18, are subject to the 
  6.8   destruction provisions of sections 626.556, subdivision 11c, and 
  6.9   626.557, subdivision 12b.  
  6.10     (h) Upon request, not public data collected, maintained, 
  6.11  used, or disseminated under this subdivision that relate to or 
  6.12  are derived from a report of substantiated maltreatment as 
  6.13  defined in section 626.556 or 626.557 may be exchanged with the 
  6.14  department of health for purposes of completing background 
  6.15  studies pursuant to section 144.057 and with the department of 
  6.16  corrections for purposes of completing background studies 
  6.17  pursuant to section 241.021. 
  6.18     (i) Data on individuals collected according to licensing 
  6.19  activities under chapter 245A, and data on individuals collected 
  6.20  by the commissioner of human services according to maltreatment 
  6.21  investigations under sections 626.556 and 626.557, may be shared 
  6.22  with the department of human rights, the department of health, 
  6.23  the department of corrections, the ombudsman for mental health 
  6.24  and retardation, and the individual's professional regulatory 
  6.25  board when there is reason to believe that laws or standards 
  6.26  under the jurisdiction of those agencies may have been violated. 
  6.27     (j) In addition to the notice of determinations required 
  6.28  under section 626.556, subdivision 10f, if the commissioner or 
  6.29  the local social services agency has determined that an 
  6.30  individual is a substantiated perpetrator of maltreatment of a 
  6.31  child based on sexual abuse, as defined in section 626.556, 
  6.32  subdivision 2, and the commissioner or local social services 
  6.33  agency knows that the individual is a person responsible for a 
  6.34  child's care in another facility, the commissioner or local 
  6.35  social services agency shall notify the head of that facility of 
  6.36  this determination.  The notification must include an 
  7.1   explanation of the individual's available appeal rights and the 
  7.2   status of any appeal.  If a notice is given under this 
  7.3   paragraph, the government entity making the notification shall 
  7.4   provide a copy of the notice to the individual who is the 
  7.5   subject of the notice. 
  7.6      Sec. 5.  Minnesota Statutes 2001 Supplement, section 
  7.7   245A.04, subdivision 3, is amended to read: 
  7.8      Subd. 3.  [BACKGROUND STUDY OF THE APPLICANT; DEFINITIONS.] 
  7.9   (a) Individuals and organizations that are required in statute 
  7.10  to initiate background studies under this section shall comply 
  7.11  with the following requirements: 
  7.12     (1) Applicants for licensure, license holders, and other 
  7.13  entities as provided in this section must submit completed 
  7.14  background study forms to the commissioner before individuals 
  7.15  specified in paragraph (c), clauses (1) to (4), (6), and (7), 
  7.16  begin positions allowing direct contact in any licensed program. 
  7.17     (2) Applicants and license holders under the jurisdiction 
  7.18  of other state agencies who are required in other statutory 
  7.19  sections to initiate background studies under this section must 
  7.20  submit completed background study forms to the commissioner 
  7.21  prior to the background study subject beginning in a position 
  7.22  allowing direct contact in the licensed program, or where 
  7.23  applicable, prior to being employed. 
  7.24     (3) Organizations required to initiate background studies 
  7.25  under section 256B.0627 for individuals described in paragraph 
  7.26  (c), clause (5), must submit a completed background study form 
  7.27  to the commissioner before those individuals begin a position 
  7.28  allowing direct contact with persons served by the 
  7.29  organization.  The commissioner shall recover the cost of these 
  7.30  background studies through a fee of no more than $12 per study 
  7.31  charged to the organization responsible for submitting the 
  7.32  background study form.  The fees collected under this paragraph 
  7.33  are appropriated to the commissioner for the purpose of 
  7.34  conducting background studies.  
  7.35     Upon receipt of the background study forms from the 
  7.36  entities in clauses (1) to (3), the commissioner shall complete 
  8.1   the background study as specified under this section and provide 
  8.2   notices required in subdivision 3a.  Unless otherwise specified, 
  8.3   the subject of a background study may have direct contact with 
  8.4   persons served by a program after the background study form is 
  8.5   mailed or submitted to the commissioner pending notification of 
  8.6   the study results under subdivision 3a.  A county agency may 
  8.7   accept a background study completed by the commissioner under 
  8.8   this section in place of the background study required under 
  8.9   section 245A.16, subdivision 3, in programs with joint licensure 
  8.10  as home and community-based services and adult foster care for 
  8.11  people with developmental disabilities when the license holder 
  8.12  does not reside in the foster care residence and the subject of 
  8.13  the study has been continuously affiliated with the license 
  8.14  holder since the date of the commissioner's study. 
  8.15     (b) The definitions in this paragraph apply only to 
  8.16  subdivisions 3 to 3e. 
  8.17     (1) "Background study" means the review of records 
  8.18  conducted by the commissioner to determine whether a subject is 
  8.19  disqualified from direct contact with persons served by a 
  8.20  program, and where specifically provided in statutes, whether a 
  8.21  subject is disqualified from having access to persons served by 
  8.22  a program. 
  8.23     (2) "Continuous, direct supervision" means an individual is 
  8.24  within sight or hearing of the supervising person to the extent 
  8.25  that supervising person is capable at all times of intervening 
  8.26  to protect the health and safety of the persons served by the 
  8.27  program. 
  8.28     (3) "Contractor" means any person, regardless of employer, 
  8.29  who is providing program services for hire under the control of 
  8.30  the provider. 
  8.31     (4) "Direct contact" means providing face-to-face care, 
  8.32  training, supervision, counseling, consultation, or medication 
  8.33  assistance to persons served by the program. 
  8.34     (5) "Reasonable cause" means information or circumstances 
  8.35  exist which provide the commissioner with articulable suspicion 
  8.36  that further pertinent information may exist concerning a 
  9.1   subject.  The commissioner has reasonable cause when, but not 
  9.2   limited to, the commissioner has received a report from the 
  9.3   subject, the license holder, or a third party indicating that 
  9.4   the subject has a history that would disqualify the person or 
  9.5   that may pose a risk to the health or safety of persons 
  9.6   receiving services. 
  9.7      (6) "Subject of a background study" means an individual on 
  9.8   whom a background study is required or completed. 
  9.9      (c) The applicant, license holder, registrant under section 
  9.10  144A.71, subdivision 1, bureau of criminal apprehension, 
  9.11  commissioner of health, and county agencies, after written 
  9.12  notice to the individual who is the subject of the study, shall 
  9.13  help with the study by giving the commissioner criminal 
  9.14  conviction data and reports about the maltreatment of adults 
  9.15  substantiated under section 626.557 and the maltreatment of 
  9.16  minors in licensed programs substantiated under section 
  9.17  626.556.  The individuals to be studied shall include: 
  9.18     (1) the applicant; 
  9.19     (2) persons age 13 and over living in the household where 
  9.20  the licensed program will be provided; 
  9.21     (3) current employees or contractors of the applicant who 
  9.22  will have direct contact with persons served by the facility, 
  9.23  agency, or program; 
  9.24     (4) volunteers or student volunteers who have direct 
  9.25  contact with persons served by the program to provide program 
  9.26  services, if the contact is not directly supervised by the 
  9.27  individuals listed in clause (1) or (3); 
  9.28     (5) any person required under section 256B.0627 to have a 
  9.29  background study completed under this section; 
  9.30     (6) persons ages 10 to 12 living in the household where the 
  9.31  licensed services will be provided when the commissioner has 
  9.32  reasonable cause; and 
  9.33     (7) persons who, without providing direct contact services 
  9.34  at a licensed program, may have unsupervised access to children 
  9.35  or vulnerable adults receiving services from the program 
  9.36  licensed to provide family child care for children, foster care 
 10.1   for children in the provider's own home, or foster care or day 
 10.2   care services for adults in the provider's own home when the 
 10.3   commissioner has reasonable cause. 
 10.4      (d) According to paragraph (c), clauses (2) and (6), the 
 10.5   commissioner shall review records from the juvenile courts.  For 
 10.6   persons under paragraph (c), clauses (1), (3), (4), (5), and 
 10.7   (7), who are ages 13 to 17, the commissioner shall review 
 10.8   records from the juvenile courts when the commissioner has 
 10.9   reasonable cause.  The juvenile courts shall help with the study 
 10.10  by giving the commissioner existing juvenile court records on 
 10.11  individuals described in paragraph (c), clauses (2), (6), and 
 10.12  (7), relating to delinquency proceedings held within either the 
 10.13  five years immediately preceding the background study or the 
 10.14  five years immediately preceding the individual's 18th birthday, 
 10.15  whichever time period is longer.  The commissioner shall destroy 
 10.16  juvenile records obtained pursuant to this subdivision when the 
 10.17  subject of the records reaches age 23. 
 10.18     (e) Beginning August 1, 2001, the commissioner shall 
 10.19  conduct all background studies required under this chapter and 
 10.20  initiated by supplemental nursing services agencies registered 
 10.21  under section 144A.71, subdivision 1.  Studies for the agencies 
 10.22  must be initiated annually by each agency.  The commissioner 
 10.23  shall conduct the background studies according to this chapter.  
 10.24  The commissioner shall recover the cost of the background 
 10.25  studies through a fee of no more than $8 per study, charged to 
 10.26  the supplemental nursing services agency.  The fees collected 
 10.27  under this paragraph are appropriated to the commissioner for 
 10.28  the purpose of conducting background studies. 
 10.29     (f) For purposes of this section, a finding that a 
 10.30  delinquency petition is proven in juvenile court shall be 
 10.31  considered a conviction in state district court. 
 10.32     (g) A study of an individual in paragraph (c), clauses (1) 
 10.33  to (7), shall be conducted at least upon application for initial 
 10.34  license for all license types or registration under section 
 10.35  144A.71, subdivision 1, and at reapplication for a license or 
 10.36  registration for family child care, child foster care, and adult 
 11.1   foster care.  The commissioner is not required to conduct a 
 11.2   study of an individual at the time of reapplication for a 
 11.3   license or if the individual has been continuously affiliated 
 11.4   with a foster care provider licensed by the commissioner of 
 11.5   human services and registered under chapter 144D, other than a 
 11.6   family day care or foster care license, if:  (i) a study of the 
 11.7   individual was conducted either at the time of initial licensure 
 11.8   or when the individual became affiliated with the license 
 11.9   holder; (ii) the individual has been continuously affiliated 
 11.10  with the license holder since the last study was conducted; and 
 11.11  (iii) the procedure described in paragraph (j) has been 
 11.12  implemented and was in effect continuously since the last study 
 11.13  was conducted.  For the purposes of this section, a physician 
 11.14  licensed under chapter 147 is considered to be continuously 
 11.15  affiliated upon the license holder's receipt from the 
 11.16  commissioner of health or human services of the physician's 
 11.17  background study results.  For individuals who are required to 
 11.18  have background studies under paragraph (c) and who have been 
 11.19  continuously affiliated with a foster care provider that is 
 11.20  licensed in more than one county, criminal conviction data may 
 11.21  be shared among those counties in which the foster care programs 
 11.22  are licensed.  A county agency's receipt of criminal conviction 
 11.23  data from another county agency shall meet the criminal data 
 11.24  background study requirements of this section. 
 11.25     (h) The commissioner may also conduct studies on 
 11.26  individuals specified in paragraph (c), clauses (3) and (4), 
 11.27  when the studies are initiated by: 
 11.28     (i) personnel pool agencies; 
 11.29     (ii) temporary personnel agencies; 
 11.30     (iii) educational programs that train persons by providing 
 11.31  direct contact services in licensed programs; and 
 11.32     (iv) professional services agencies that are not licensed 
 11.33  and which contract with licensed programs to provide direct 
 11.34  contact services or individuals who provide direct contact 
 11.35  services. 
 11.36     (i) Studies on individuals in paragraph (h), items (i) to 
 12.1   (iv), must be initiated annually by these agencies, programs, 
 12.2   and individuals.  Except as provided in paragraph (a), clause 
 12.3   (3), no applicant, license holder, or individual who is the 
 12.4   subject of the study shall pay any fees required to conduct the 
 12.5   study. 
 12.6      (1) At the option of the licensed facility, rather than 
 12.7   initiating another background study on an individual required to 
 12.8   be studied who has indicated to the licensed facility that a 
 12.9   background study by the commissioner was previously completed, 
 12.10  the facility may make a request to the commissioner for 
 12.11  documentation of the individual's background study status, 
 12.12  provided that: 
 12.13     (i) the facility makes this request using a form provided 
 12.14  by the commissioner; 
 12.15     (ii) in making the request the facility informs the 
 12.16  commissioner that either: 
 12.17     (A) the individual has been continuously affiliated with a 
 12.18  licensed facility since the individual's previous background 
 12.19  study was completed, or since October 1, 1995, whichever is 
 12.20  shorter; or 
 12.21     (B) the individual is affiliated only with a personnel pool 
 12.22  agency, a temporary personnel agency, an educational program 
 12.23  that trains persons by providing direct contact services in 
 12.24  licensed programs, or a professional services agency that is not 
 12.25  licensed and which contracts with licensed programs to provide 
 12.26  direct contact services or individuals who provide direct 
 12.27  contact services; and 
 12.28     (iii) the facility provides notices to the individual as 
 12.29  required in paragraphs (a) to (j), and that the facility is 
 12.30  requesting written notification of the individual's background 
 12.31  study status from the commissioner.  
 12.32     (2) The commissioner shall respond to each request under 
 12.33  paragraph (1) with a written or electronic notice to the 
 12.34  facility and the study subject.  If the commissioner determines 
 12.35  that a background study is necessary, the study shall be 
 12.36  completed without further request from a licensed agency or 
 13.1   notifications to the study subject.  
 13.2      (3) When a background study is being initiated by a 
 13.3   licensed facility or a foster care provider that is also 
 13.4   registered under chapter 144D, a study subject affiliated with 
 13.5   multiple licensed facilities may attach to the background study 
 13.6   form a cover letter indicating the additional facilities' names, 
 13.7   addresses, and background study identification numbers.  When 
 13.8   the commissioner receives such notices, each facility identified 
 13.9   by the background study subject shall be notified of the study 
 13.10  results.  The background study notice sent to the subsequent 
 13.11  agencies shall satisfy those facilities' responsibilities for 
 13.12  initiating a background study on that individual. 
 13.13     (j) If an individual who is affiliated with a program or 
 13.14  facility regulated by the department of human services or 
 13.15  department of health or who is affiliated with any type of home 
 13.16  care agency or provider of personal care assistance services, is 
 13.17  convicted of a crime constituting a disqualification under 
 13.18  subdivision 3d, the probation officer or corrections agent shall 
 13.19  notify the commissioner of the conviction.  For the purpose of 
 13.20  this paragraph, "conviction" has the meaning given it in section 
 13.21  609.02, subdivision 5.  The commissioner, in consultation with 
 13.22  the commissioner of corrections, shall develop forms and 
 13.23  information necessary to implement this paragraph and shall 
 13.24  provide the forms and information to the commissioner of 
 13.25  corrections for distribution to local probation officers and 
 13.26  corrections agents.  The commissioner shall inform individuals 
 13.27  subject to a background study that criminal convictions for 
 13.28  disqualifying crimes will be reported to the commissioner by the 
 13.29  corrections system.  A probation officer, corrections agent, or 
 13.30  corrections agency is not civilly or criminally liable for 
 13.31  disclosing or failing to disclose the information required by 
 13.32  this paragraph.  Upon receipt of disqualifying information, the 
 13.33  commissioner shall provide the notifications required in 
 13.34  subdivision 3a, as appropriate to agencies on record as having 
 13.35  initiated a background study or making a request for 
 13.36  documentation of the background study status of the individual.  
 14.1   This paragraph does not apply to family day care and child 
 14.2   foster care programs. 
 14.3      (k) The individual who is the subject of the study must 
 14.4   provide the applicant or license holder with sufficient 
 14.5   information to ensure an accurate study including the 
 14.6   individual's first, middle, and last name and all other names by 
 14.7   which the individual has been known; home address, city, county, 
 14.8   and state of residence for the past five years; zip code; sex; 
 14.9   date of birth; and driver's license number or state 
 14.10  identification number.  The applicant or license holder shall 
 14.11  provide this information about an individual in paragraph (c), 
 14.12  clauses (1) to (7), on forms prescribed by the commissioner.  By 
 14.13  January 1, 2000, for background studies conducted by the 
 14.14  department of human services, the commissioner shall implement a 
 14.15  system for the electronic transmission of:  (1) background study 
 14.16  information to the commissioner; and (2) background study 
 14.17  results to the license holder.  The commissioner may request 
 14.18  additional information of the individual, which shall be 
 14.19  optional for the individual to provide, such as the individual's 
 14.20  social security number or race. 
 14.21     (l) For programs directly licensed by the commissioner, a 
 14.22  study must include information related to names of substantiated 
 14.23  perpetrators of maltreatment of vulnerable adults that has been 
 14.24  received by the commissioner as required under section 626.557, 
 14.25  subdivision 9c, paragraph (i), and the commissioner's records 
 14.26  relating to the maltreatment of minors in licensed programs, 
 14.27  information from juvenile courts as required in paragraph (c) 
 14.28  for persons listed in paragraph (c), clauses (2), (6), and (7), 
 14.29  and information from the bureau of criminal apprehension.  For 
 14.30  child foster care, adult foster care, and family day care homes, 
 14.31  the study must include information from the county agency's 
 14.32  record of substantiated maltreatment of adults, and the 
 14.33  maltreatment of minors, information from juvenile courts as 
 14.34  required in paragraph (c) for persons listed in paragraph (c), 
 14.35  clauses (2), (6), and (7), and information from the bureau of 
 14.36  criminal apprehension.  The commissioner may also review arrest 
 15.1   and investigative information from the bureau of criminal 
 15.2   apprehension, the commissioner of health, a county attorney, 
 15.3   county sheriff, county agency, local chief of police, other 
 15.4   states, the courts, or the Federal Bureau of Investigation if 
 15.5   the commissioner has reasonable cause to believe the information 
 15.6   is pertinent to the disqualification of an individual listed in 
 15.7   paragraph (c), clauses (1) to (7).  The commissioner is not 
 15.8   required to conduct more than one review of a subject's records 
 15.9   from the Federal Bureau of Investigation if a review of the 
 15.10  subject's criminal history with the Federal Bureau of 
 15.11  Investigation has already been completed by the commissioner and 
 15.12  there has been no break in the subject's affiliation with the 
 15.13  license holder who initiated the background study. 
 15.14     (m) When the commissioner has reasonable cause to believe 
 15.15  that further pertinent information may exist on the subject, the 
 15.16  subject shall provide a set of classifiable fingerprints 
 15.17  obtained from an authorized law enforcement agency.  For 
 15.18  purposes of requiring fingerprints, the commissioner shall be 
 15.19  considered to have reasonable cause under, but not limited to, 
 15.20  the following circumstances: 
 15.21     (1) information from the bureau of criminal apprehension 
 15.22  indicates that the subject is a multistate offender; 
 15.23     (2) information from the bureau of criminal apprehension 
 15.24  indicates that multistate offender status is undetermined; or 
 15.25     (3) the commissioner has received a report from the subject 
 15.26  or a third party indicating that the subject has a criminal 
 15.27  history in a jurisdiction other than Minnesota. 
 15.28     (n) The failure or refusal of an applicant, license holder, 
 15.29  or registrant under section 144A.71, subdivision 1, to cooperate 
 15.30  with the commissioner is reasonable cause to disqualify a 
 15.31  subject, deny a license application or immediately suspend, 
 15.32  suspend, or revoke a license or registration.  Failure or 
 15.33  refusal of an individual to cooperate with the study is just 
 15.34  cause for denying or terminating employment of the individual if 
 15.35  the individual's failure or refusal to cooperate could cause the 
 15.36  applicant's application to be denied or the license holder's 
 16.1   license to be immediately suspended, suspended, or revoked. 
 16.2      (o) The commissioner shall not consider an application to 
 16.3   be complete until all of the information required to be provided 
 16.4   under this subdivision has been received.  
 16.5      (p) No person in paragraph (c), clauses (1) to (7), who is 
 16.6   disqualified as a result of this section may be retained by the 
 16.7   agency in a position involving direct contact with persons 
 16.8   served by the program or in a position allowing access to 
 16.9   persons served by the program as provided for in statutes, 
 16.10  unless the commissioner has provided written notice to the 
 16.11  agency stating that: 
 16.12     (1) the individual may remain in direct contact during the 
 16.13  period in which the individual may request reconsideration as 
 16.14  provided in subdivision 3a, paragraph (b), clause (2) or (3); 
 16.15     (2) the individual's disqualification has been set aside 
 16.16  for that agency as provided in subdivision 3b, paragraph (b); or 
 16.17     (3) the license holder has been granted a variance for the 
 16.18  disqualified individual under subdivision 3e. 
 16.19     (q) Termination of persons in paragraph (c), clauses (1) to 
 16.20  (7), made in good faith reliance on a notice of disqualification 
 16.21  provided by the commissioner shall not subject the applicant or 
 16.22  license holder to civil liability. 
 16.23     (r) The commissioner may establish records to fulfill the 
 16.24  requirements of this section. 
 16.25     (s) The commissioner may not disqualify an individual 
 16.26  subject to a study under this section because that person has, 
 16.27  or has had, a mental illness as defined in section 245.462, 
 16.28  subdivision 20. 
 16.29     (t) An individual subject to disqualification under this 
 16.30  subdivision has the applicable rights in subdivision 3a, 3b, or 
 16.31  3c. 
 16.32     (u) For the purposes of background studies completed by 
 16.33  tribal organizations performing licensing activities otherwise 
 16.34  required of the commissioner under this chapter, after obtaining 
 16.35  consent from the background study subject, tribal licensing 
 16.36  agencies shall have access to criminal history data in the same 
 17.1   manner as county licensing agencies and private licensing 
 17.2   agencies under this chapter. 
 17.3      (v) County agencies shall have access to the criminal 
 17.4   history data in the same manner as county licensing agencies 
 17.5   under this chapter for purposes of background studies completed 
 17.6   by county agencies on legal nonlicensed child care providers to 
 17.7   determine eligibility for child care funds under chapter 119B.