1st Engrossment - 79th Legislature (1995 - 1996) Posted on 12/15/2009 12:00am
1.1 A bill for an act 1.2 relating to health and human services; reconciling 1.3 various provisions on criminal history background 1.4 checks; amending Minnesota Statutes 1994, section 1.5 144A.46, subdivision 5; Minnesota Statutes 1995 1.6 Supplement, sections 144.057, subdivisions 1 and 4; 1.7 245A.04, subdivision 3; 299C.67, subdivision 5; 1.8 299C.68, subdivisions 2, 5, and 6; and 609.2325, 1.9 subdivision 3; Laws 1995, chapter 229, article 3, 1.10 section 17. 1.11 BE IT ENACTED BY THE LEGISLATURE OF THE STATE OF MINNESOTA: 1.12 Section 1. Minnesota Statutes 1995 Supplement, section 1.13 144.057, subdivision 1, is amended to read: 1.14 Subdivision 1. [BACKGROUND STUDIES REQUIRED.] The 1.15 commissioner of health shall contract with the commissioner of 1.16 human services to conduct background studies of: 1.17 (1) individuals providing services which have direct 1.18 contact, as defined under section 245A.04, subdivision 3, with 1.19 patients and residents in hospitals, boarding care homes, 1.20 outpatient surgical centers licensed under sections 144.50 to 1.21 144.58; nursing homes and home care agencies licensed under 1.22 chapter 144A; residential care homes licensed under chapter 1.23 144B, and board and lodging establishments that are registered 1.24 to provide supportive or health supervision services under 1.25 section
157.031157.17; and 1.26 (2) all other employees in nursing homes and home care 1.27 agencies licensed under chapter 144A, and boarding care homes 1.28 licensed under sections 144.50 to 144.58. A disqualification of 2.1 the individual in this section shall disqualify the individual 2.2 from positions allowing direct contact or access to patients or 2.3 residents receiving services. 2.4 If a facility or program is licensed by the department of 2.5 human services and subject to the background study provisions of 2.6 chapter 245A and is also licensed by the department of health, 2.7 the department of human services is solely responsible for the 2.8 background studies of individuals in the jointly licensed 2.9 programs. 2.10 Sec. 2. Minnesota Statutes 1995 Supplement, section 2.11 144.057, subdivision 4, is amended to read: 2.12 Subd. 4. [RESPONSIBILITIES OF FACILITIES.] Facilities 2.13 described in subdivision 1 shall be responsible for cooperating 2.14 with the departments in implementing the provisions of this 2.15 section. The responsibilities imposed on applicants and 2.16 licensees under chapter 245A and Minnesota Rules, parts 2.17 9543.3000 to 9543.3090, shall apply to these facilities. The 2.18 provision of section 245A.04, subdivision 3, paragraph (d)(e), 2.19 shall apply to applicants, licensees, or an individual's refusal 2.20 to cooperate with the completion of the background studies. 2.21 Sec. 3. Minnesota Statutes 1994, section 144A.46, 2.22 subdivision 5, is amended to read: 2.23 Subd. 5. [PRIOR CRIMINAL CONVICTIONS.] (a) All persons who2.24 have or will have direct contact with clients, including the2.25 home care provider, employees of the provider, and applicants2.26 for employment shall be required to disclose all criminal2.27 convictions. The commissioner may adopt rules that may require2.28 a person who must disclose criminal convictions under this2.29 subdivision to provide fingerprints and releases that authorize2.30 law enforcement agencies, including the bureau of criminal2.31 apprehension and the Federal Bureau of Investigation, to release2.32 information about the person's criminal convictions to the2.33 commissioner and home care providers. The bureau of criminal2.34 apprehension, county sheriffs, and local chiefs of police shall,2.35 if requested, provide the commissioner with criminal conviction2.36 data available from local, state, and national criminal record3.1 repositories, including the criminal justice data communications3.2 network. No person may be employed by a home care provider in a3.3 position that involves contact with recipients of home care3.4 services nor may any person be involved in the management,3.5 operation, or control of a provider, if the person has been3.6 convicted of a crime that relates to the provision of home care3.7 services or to the position, duties, or responsibilities3.8 undertaken by that person in the operation of the home care3.9 provider, unless the person can provide sufficient evidence of3.10 rehabilitation. The commissioner shall adopt rules for3.11 determining what types of employment positions, including3.12 volunteer positions, involve contact with recipients of home3.13 care services, and whether a crime relates to home care services3.14 and what constitutes sufficient evidence of rehabilitation. The3.15 rules must require consideration of the nature and seriousness3.16 of the crime; the relationship of the crime to the purposes of3.17 home care licensure and regulation; the relationship of the3.18 crime to the ability, capacity, and fitness required to perform3.19 the duties and discharge the responsibilities of the person's3.20 position; mitigating circumstances or social conditions3.21 surrounding the commission of the crime; the length of time3.22 elapsed since the crime was committed; the seriousness of the3.23 risk to the home care client's person or property; and other3.24 factors the commissioner considers appropriate. Data collected3.25 under this subdivision shall be classified as private data under3.26 section 13.02, subdivision 12.3.27 (a) Before the commissioner issues a license, the applicant 3.28 for a license and, as defined in Minnesota Rules, part 3.29 4668.0003, an owner or managerial official shall be subject to 3.30 the background study required by section 144.057. The 3.31 commissioner shall not issue a license if the applicant for 3.32 license, an owner or a managerial official, has a disqualifying 3.33 characteristic under the provisions of chapter 245A, Minnesota 3.34 Rules, parts 9543.3000 to 9543.3090. Until October 1, 1997, 3.35 grounds for disqualification shall also include the crimes 3.36 specified under Minnesota Rules, part 4668.0020, subpart 14, or 4.1 a comparable crime or act in another jurisdiction, unless the 4.2 disqualification is set aside under the recommendation process 4.3 provided in section 144.057. 4.4 (b) Employees, contractors, volunteers of a home care 4.5 provider or hospice are subject to the background study required 4.6 by section 144.057. These individuals shall be disqualified 4.7 under the provisions of chapter 245A, Minnesota Rules, parts 4.8 9543.3000 to 9543.3090. Until October 1, 1997, grounds for 4.9 disqualification shall also include the crimes specified under 4.10 Minnesota Rules, part 4668.0020, subpart 14, or a comparable 4.11 crime or act in another jurisdiction. Nothing in this section 4.12 shall be construed to prohibit a home care provider from 4.13 requiring self-disclosure of criminal conviction information; 4.14 however, compliance with the provisions of section 144.057 4.15 constitutes compliance with the provisions of Minnesota Rules, 4.16 part 4668.0020, subpart 8. 4.17 (c) Notwithstanding the provisions of Minnesota Rules, part 4.18 4668.0020, subparts 12, 13, and 15, disqualifications under 4.19 paragraph (a) or (b), removal from a direct care position and 4.20 the process for reconsiderations shall be governed by the 4.21 provisions of section 144.057. 4.22 (d) Unless superseded by the provisions of section 144.057 4.23 or this section, the provisions of Minnesota Rules, part 4.24 4668.0020, remain in effect. 4.25 (b)(e) Termination of an employee in good faith reliance 4.26 on information or records obtained under paragraph (a)(b) 4.27 regarding a confirmed conviction does not subject the home care 4.28 provider to civil liability or liability for reemployment 4.29 insurance benefits. 4.30 Sec. 4. Minnesota Statutes 1995 Supplement, section 4.31 245A.04, subdivision 3, is amended to read: 4.32 Subd. 3. [STUDY OF THE APPLICANT.] (a) Before the 4.33 commissioner issues a license, the commissioner shall conduct a 4.34 study of the individuals specified in paragraph (c), clauses (1) 4.35 to (5), according to rules of the commissioner. 4.36 The commissioner shall also conduct a study of employees 5.1 providing direct contact services for nonlicensed personal care 5.2 provider organizations described in paragraph (c), clause (5). 5.3 The commissioner shall recover the cost of these background 5.4 studies through a fee charged to the personal care provider 5.5 organization. 5.6 (b) Beginning July 1, 1997, when a background study is 5.7 initiated by either a nursing home or a home care agency 5.8 licensed under chapter 144A or a boarding care home licensed 5.9 under sections 144.50 to 144.58, and the subject of the study 5.10 resides outside Minnesota; the study must be at least as 5.11 comprehensive as that of a Minnesota resident and include a 5.12 search of information from the criminal justice data 5.13 communications network in the state where the subject of the 5.14 study resides. 5.15 (c) The applicant, license holder, the bureau of criminal 5.16 apprehension, the commissioner of health and county agencies, 5.17 after written notice to the individual who is the subject of the 5.18 study, shall help with the study by giving the commissioner 5.19 criminal conviction data and reports about abuse or neglectthe 5.20 maltreatment of adults in licensed programssubstantiated under 5.21 section 626.557 and the maltreatment of minors in licensed 5.22 programs substantiated under section 626.556. The individuals 5.23 to be studied shall include: 5.24 (1) the applicant; 5.25 (2) persons over the age of 13 living in the household 5.26 where the licensed program will be provided; 5.27 (3) current employees or contractors of the applicant who 5.28 will have direct contact with persons served by the facility, 5.29 agency, or program and all other employees in nursing homes and 5.30 home care agencies licensed under chapter 144A, and boarding 5.31 care homes licensed under sections 144.50 to 144.58; 5.32 (4) volunteers who have direct contact with persons served 5.33 by the program to provide program services, if the contact is 5.34 not directly supervised by the individuals listed in clause (1) 5.35 or (3); and 5.36 (5) any person who, as an individual or as a member of an 6.1 organization, exclusively offers, provides, or arranges for 6.2 personal care assistant services under the medical assistance 6.3 program as authorized under sections 256B.04, subdivision 16, 6.4 and 256B.0625, subdivision 19. 6.5 The juvenile courts shall also help with the study by 6.6 giving the commissioner existing juvenile court records on 6.7 individuals described in clause (2) relating to delinquency 6.8 proceedings held within either the five years immediately 6.9 preceding the application or the five years immediately 6.10 preceding the individual's 18th birthday, whichever time period 6.11 is longer. The commissioner shall destroy juvenile records 6.12 obtained pursuant to this subdivision when the subject of the 6.13 records reaches age 23. 6.14 For purposes of this section and Minnesota Rules, part 6.15 9543.3070, a finding that a delinquency petition is proven in 6.16 juvenile court shall be considered a conviction in state 6.17 district court. 6.18 For purposes of this subdivision, "direct contact" means 6.19 providing face-to-face care, training, supervision, counseling, 6.20 consultation, or medication assistance to persons served by a 6.21 program. For purposes of this subdivision, "directly supervised" 6.22 means an individual listed in clause (1), (3), or (5) is within 6.23 sight or hearing of a volunteer to the extent that the 6.24 individual listed in clause (1), (3), or (5) is capable at all 6.25 times of intervening to protect the health and safety of the 6.26 persons served by the program who have direct contact with the 6.27 volunteer. 6.28 A study of an individual in clauses (1) to (5) shall be 6.29 conducted at least upon application for initial license and 6.30 reapplication for a license. The commissioner is not required 6.31 to conduct a study of an individual at the time of reapplication 6.32 for a license, other than a family day care or foster care 6.33 license, if: (i) a study of the individual was conducted either 6.34 at the time of initial licensure or when the individual became 6.35 affiliated with the license holder; (ii) the individual has been 6.36 continuously affiliated with the license holder since the last 7.1 study was conducted; and (iii) the procedure described in 7.2 paragraph (b)(d) has been implemented and was in effect 7.3 continuously since the last study was conducted. 7.4 The commissioner may also conduct studies on individuals 7.5 specified in clauses (3) and (4) when the studies are initiated 7.6 by: 7.7 (i) personnel pool agencies; 7.8 (ii) temporary personnel agencies; 7.9 (iii) educational programs that train persons by providing 7.10 direct contact services in licensed programs; and 7.11 (iv) professional services agencies that are not licensed 7.12 and which contract with licensed programs to provide direct 7.13 contact services or individuals who provide direct contact 7.14 services. Studies on individuals must be initiated annually by 7.15 these agencies, programs, and individuals. Except for personal 7.16 care provider organizations, no applicant, license holder, or 7.17 individual who is the subject of the study shall pay any fees 7.18 required to conduct the study .; 7.19 (1) at the option of the licensed facility, rather than 7.20 initiating another background study on an individual required to 7.21 be studied who has indicated to the licensed facility that a 7.22 background study by the commissioner was previously completed, 7.23 the facility may make a request to the commissioner for 7.24 documentation of the individual's background study status, 7.25 provided that: 7.26 (i) the facility makes this request using a form provided 7.27 by the commissioner; 7.28 (ii) in making the request the facility informs the 7.29 commissioner that either: 7.30 (A) the individual has been continuously affiliated with a 7.31 licensed facility since the individual's previous background 7.32 study was completed, or since October 1, 1995, whichever is 7.33 shorter; or 7.34 (B) the individual is affiliated only with a personnel pool 7.35 agency, a temporary personnel agency, an educational program 7.36 that trains persons by providing direct contact services in 8.1 licensed programs, or a professional services agency that is not 8.2 licensed and which contracts with licensed programs to provide 8.3 direct contact services or individuals who provide direct 8.4 contact services; and 8.5 (iii) the facility provides notices to the individual as 8.6 required in paragraphs (a) to (d), and that the facility is 8.7 requesting written notification of the individual's background 8.8 study status from the commissioner; 8.9 (2) the commissioner shall respond to each request with a 8.10 written notice to the facility and the study subject. If the 8.11 commissioner determines that a background study is necessary, 8.12 the study shall be completed without further request from a 8.13 licensed agency or notifications to the study subject; and 8.14 (3) when a background study is being initiated by a 8.15 licensed facility, a study subject affiliated with multiple 8.16 licensed facilities may attach to the background study form a 8.17 cover letter indicating the additional facilities' names, 8.18 addresses, and background study identification numbers. When 8.19 the commissioner receives such notices, each facility identified 8.20 by the background study subject shall be notified of the study 8.21 results. The background study notice sent to the subsequent 8.22 agencies shall satisfy those facilities' responsibilities for 8.23 initiating a background study on that individual. 8.24 (b)(d) If an individual who is affiliated with a program 8.25 or facility regulated by the department of human services or 8.26 department of health is convicted of a crime constituting a 8.27 disqualification under Minnesota Rules, parts 9543.3000 to 8.28 9543.3090, the probation officer or corrections agent shall 8.29 notify the commissioner of the conviction. The commissioner, in 8.30 consultation with the commissioner of corrections, shall develop 8.31 forms and information necessary to implement this paragraph and 8.32 shall provide the forms and information to the commissioner of 8.33 corrections for distribution to local probation officers and 8.34 corrections agents. The commissioner shall inform individuals 8.35 subject to a background study that criminal convictions for 8.36 disqualifying crimes will be reported to the commissioner by the 9.1 corrections system. A probation officer, corrections agent, or 9.2 corrections agency is not civilly or criminally liable for 9.3 disclosing or failing to disclose the information required by 9.4 this paragraph. Upon receipt of disqualifying information, the 9.5 commissioner shall provide the notifications required in 9.6 paragraph (c), as appropriate to agencies on record as having 9.7 initiated a background study or making a request for 9.8 documentation of the background study status of the individual. 9.9 This paragraph does not apply to family day care and foster care 9.10 programs. 9.11 (c)(e) The individual who is the subject of the study must 9.12 provide the applicant or license holder with sufficient 9.13 information to ensure an accurate study including the 9.14 individual's first, middle, and last name; home address, city, 9.15 county, and state of residence for the past five years; zip 9.16 code; sex; date of birth; and driver's license number. The 9.17 applicant or license holder shall provide this information about 9.18 an individual in paragraph (a)(c), clauses (1) to (5), on forms 9.19 prescribed by the commissioner. The commissioner may request 9.20 additional information of the individual, which shall be 9.21 optional for the individual to provide, such as the individual's 9.22 social security number or race. 9.23 (d)(f) Except for child foster care, adult foster care, 9.24 and family day care homes, a study must include information from 9.25 the county agency's record of substantiated abuse or neglect9.26 maltreatment of adults in licensed programs, and the 9.27 maltreatment of minors in licensed programs, information from 9.28 juvenile courts as required in paragraph (a)(c) for persons 9.29 listed in paragraph (a)(c), clause (2), and information from 9.30 the bureau of criminal apprehension. For child foster care, 9.31 adult foster care, and family day care homes, the study must 9.32 include information from the county agency's record of9.33 substantiated abuse or neglect of adultsrelated to names of 9.34 substantiated perpetrators of maltreatment of vulnerable adults 9.35 that has been received by the commissioner as required under 9.36 section 626.557, subdivision 9c, paragraph (i), and 10.1 the commissioner's records relating to the maltreatment of 10.2 minors, information from juvenile courts as required in 10.3 paragraph (a)(c) for persons listed in paragraph (a)(c), 10.4 clause (2), and information from the bureau of criminal 10.5 apprehension. The commissioner may also review arrest and 10.6 investigative information from the bureau of criminal 10.7 apprehension, the commissioner of health, a county attorney, 10.8 county sheriff, county agency, local chief of police, other 10.9 states, the courts, or a national criminal record repositorythe 10.10 Federal Bureau of Investigation if the commissioner has 10.11 reasonable cause to believe the information is pertinent to the 10.12 disqualification of an individual listed in paragraph (a)(c), 10.13 clauses (1) to (5). The commissioner is not required to conduct 10.14 more than one review of a subject's records from the national10.15 criminal record repositoryFederal Bureau of Investigation if a 10.16 review of the subject's criminal history with the national10.17 criminal record repositoryFederal Bureau of Investigation has 10.18 already been completed by the commissioner and there has been no 10.19 break in the subject's affiliation with the license holder who 10.20 initiated the background studies. 10.21 When the commissioner has reasonable cause to believe that 10.22 further pertinent information may exist on the subject, the 10.23 subject shall provide a set of classifiable fingerprints 10.24 obtained from an authorized law enforcement agency. For 10.25 purposes of requiring fingerprints, the commissioner shall be 10.26 considered to have reasonable cause under, but not limited to, 10.27 the following circumstances: (1) information from the bureau of 10.28 criminal apprehension indicates that the subject is a multistate 10.29 offender; (2) information from the bureau of criminal 10.30 apprehension indicates that multistate offender status is 10.31 undetermined; or (3) the commissioner has received a report from 10.32 the subject or a third party indicating that the subject has a 10.33 criminal history in a jurisdiction other than Minnesota. 10.34 (e)(g) An applicant's or license holder's failure or 10.35 refusal to cooperate with the commissioner is reasonable cause 10.36 to deny an application or immediately suspend, suspend, or 11.1 revoke a license. Failure or refusal of an individual to 11.2 cooperate with the study is just cause for denying or 11.3 terminating employment of the individual if the individual's 11.4 failure or refusal to cooperate could cause the applicant's 11.5 application to be denied or the license holder's license to be 11.6 immediately suspended, suspended, or revoked. 11.7 (f)(h) The commissioner shall not consider an application 11.8 to be complete until all of the information required to be 11.9 provided under this subdivision has been received. 11.10 (g)(i) No person in paragraph (a)(c), clause (1), (2), 11.11 (3), (4), or (5) who is disqualified as a result of this section 11.12 may be retained by the agency in a position involving direct 11.13 contact with persons served by the program. 11.14 (h)(j) Termination of persons in paragraph (a)(c), clause 11.15 (1), (2), (3), (4), or (5), made in good faith reliance on a 11.16 notice of disqualification provided by the commissioner shall 11.17 not subject the applicant or license holder to civil liability. 11.18 (i)(k) The commissioner may establish records to fulfill 11.19 the requirements of this section. 11.20 (j)(l) The commissioner may not disqualify an individual 11.21 subject to a study under this section solely because that person 11.22 has, or has had, a mental illness as defined in section 245.462, 11.23 subdivision 20. 11.24 (k)(m) An individual who is subject to an applicant 11.25 background study under this section and whose disqualification 11.26 in connection with a license would be subject to the limitations 11.27 on reconsideration set forth in subdivision 3b, paragraph (c), 11.28 shall be disqualified for conviction of the crimes specified in 11.29 the manner specified in subdivision 3b, paragraph (c). The 11.30 commissioner of human services shall amend Minnesota Rules, part 11.31 9543.3070, to conform to this section. 11.32 (l) An individual must be disqualified if it has been11.33 determined that the individual failed to make required reports11.34 under section 626.556, subdivision 3, or 626.557, subdivision 3,11.35 for incidents in which: (1) the final disposition under section11.36 626.556 or 626.557 was substantiated maltreatment, and (2) the12.1 maltreatment was recurring or serious as defined in Minnesota12.2 Rules, part 9543.3020, subpart 10.12.3 (m)(n) An individual subject to disqualification under 12.4 this subdivision has the applicable rights in subdivision 3a, 12.5 3b, or 3c. 12.6 Sec. 5. Minnesota Statutes 1995 Supplement, section 12.7 299C.67, subdivision 5, is amended to read: 12.8 Subd. 5. [OWNER.] "Owner" has the meaning given in section 12.9 566.18, subdivision 3. However, "owner" does not include a 12.10 person who owns, operates, or is in control of a health care 12.11 facility or a home health agency licensed by the commissioner of 12.12 health or human services under chapter 144, 144A, or144B, 245A, 12.13 or a board and lodging establishment with special services 12.14 registered under section 157.17. 12.15 Sec. 6. Minnesota Statutes 1995 Supplement, section 12.16 299C.68, subdivision 2, is amended to read: 12.17 Subd. 2. [PROCEDURES.] The superintendent shall develop 12.18 procedures to enable an owner to request a background check to 12.19 determine whether a manager is the subject of a reported 12.20 conviction for a background check crime. The superintendent 12.21 shall perform the background check by retrieving and reviewing 12.22 data on background check crimes maintained in the CJIS 12.23 computers. The superintendent shall notify the owner in writing 12.24 of the results of the background check. If the manager has 12.25 resided in Minnesota for less than five years or upon request of 12.26 the owner, the superintendent shall also either: (1) conduct a 12.27 search of the national criminal records repository, including 12.28 the criminal justice data communications network; or (2) conduct 12.29 a search of the criminal justice data communications network 12.30 records in the state or states where the manager has resided for 12.31 the preceding five years. The superintendent is authorized to 12.32 exchange fingerprints with the Federal Bureau of Investigation 12.33 for purposes of the criminal history check. The superintendent 12.34 shall recover the cost of a background check through a fee 12.35 charged to the owner. 12.36 Sec. 7. Minnesota Statutes 1995 Supplement, section 13.1 299C.68, subdivision 5, is amended to read: 13.2 Subd. 5. [RESPONSE OF BUREAU.] The superintendent shall 13.3 respond in writing to a background check request within a 13.4 reasonable time not to exceed ten working days after receiving 13.5 the signed form under subdivision 3. If a search is being done 13.6 of the national criminal records repository and that portion of 13.7 the background check is not completed, the superintendent shall 13.8 notify the owner that the background check is not complete and 13.9 shall provide that portion of the background check to the owner 13.10 as soon as it is available. The superintendent's response must 13.11 clearly indicate whether the manager has ever been convicted of 13.12 a background check crime and, if so, a description of the crime, 13.13 date and jurisdiction of conviction, and date of discharge of 13.14 the sentence. 13.15 Sec. 8. Minnesota Statutes 1995 Supplement, section 13.16 299C.68, subdivision 6, is amended to read: 13.17 Subd. 6. [EQUIVALENT BACKGROUND CHECK.] (a) An owner may 13.18 satisfy the requirements of this section: (1) by obtaining a 13.19 copy of a completed background check that was required to be 13.20 performed by the department of human services as provided for 13.21 under sections 144.057 and 245A.04, and then placing the copy on 13.22 file with the owner; (2) in the case of a background check 13.23 performed on a manager for one residential setting when multiple 13.24 residential settings are operated by one owner, by placing the 13.25 results in a central location; or (3) by obtaining a background 13.26 check from a private business or a local law enforcement agency 13.27 rather than the superintendent if the scope of the background 13.28 check provided by the private business or local law enforcement 13.29 agency is at least as broad as that of a background check 13.30 performed by the superintendent and the response to the 13.31 background check request occurs within a reasonable time not to 13.32 exceed ten working days after receiving the signed form 13.33 described in subdivision 3. Local law enforcement agencies may 13.34 access the criminal justice data network to perform the 13.35 background check. 13.36 (b) A private business or local law enforcement agency 14.1 providing a background check under this section must use a 14.2 notification form similar to the form described in subdivision 14.3 3, except that the notification form must indicate that the 14.4 background check will be performed by the private business or 14.5 local law enforcement agency using records of the superintendent 14.6 and other data sources. 14.7 Sec. 9. Minnesota Statutes 1995 Supplement, section 14.8 609.2325, subdivision 3, is amended to read: 14.9 Subd. 3. [PENALTIES.] (a) A person who violates 14.10 subdivision 1, paragraph (a), clause (1),may be sentenced as 14.11 follows: 14.12 (1) if the act results in the death of a vulnerable adult, 14.13 imprisonment for not more than 15 years or payment of a fine of 14.14 not more than $30,000, or both; 14.15 (2) if the act results in great bodily harm, imprisonment 14.16 for not more than ten years or payment of a fine of not more 14.17 than $20,000, or both; 14.18 (3) if the act results in substantial bodily harm or the 14.19 risk of death, imprisonment for not more than five years or 14.20 payment of a fine of not more than $10,000, or both; or 14.21 (4) in other cases, imprisonment for not more than one year 14.22 or payment of a fine of not more than $3,000, or both. 14.23 (b) A person who violates subdivision 1, paragraph (a) ,14.24 clause (2),or paragraph(b), may be sentenced to imprisonment 14.25 for not more than one year or to payment of a fine of not more 14.26 than $3,000, or both. 14.27 Sec. 10. Laws 1995, chapter 229, article 3, section 17, is 14.28 amended to read: 14.29 Sec. 17. [REPORT.] 14.30 By January 15, 1997, the commissioner of human services 14.31 shall report to the legislature on the implementation of the 14.32 process for reporting convictions under Minnesota Statutes, 14.33 section 245A.04, subdivision 3, paragraph (b)(d). The report 14.34 must include an analysis of any reduction in the cost of 14.35 performing background studies resulting from implementing the 14.36 process and any recommendations for modification of the fee 15.1 increases in article 4, section 21, based on a reduction in 15.2 costs. 15.3 As part of this report, the commissioner shall make 15.4 recommendations for using any cost savings to begin conducting 15.5 comparable background studies of individuals who reside outside 15.6 Minnesota but are employed or perform direct contact services in 15.7 a nursing home, home care agency, or boarding care home located 15.8 in Minnesota. 15.9 Sec. 11. [UNCODIFIED LANGUAGE CHANGES AND RULE CHANGES.] 15.10 The commissioner shall amend Minnesota Rules, part 15.11 9543.3070, subpart 1, to include the following offenses to 15.12 disqualify a person applying for a license for a program serving 15.13 children or adults: 15.14 (a) An individual must be disqualified if it has been 15.15 determined that the individual failed to make required reports 15.16 under Minnesota Statutes, section 626.556, subdivision 3, or 15.17 626.557, subdivision 3, for incidents in which: (1) the final 15.18 disposition under Minnesota Statutes, section 626.556 or 15.19 626.557, was substantiated maltreatment, and (2) the 15.20 maltreatment was recurring or serious as defined in Minnesota 15.21 Rules, part 9543.3020, subpart 10. 15.22 (b) An individual must be disqualified if the individual 15.23 has been convicted for any of the following reasons: (1) 15.24 criminal abuse of a vulnerable adult under Minnesota Statutes, 15.25 section 609.2325; (2) criminal neglect of a vulnerable adult 15.26 under Minnesota Statutes, section 609.233; (3) financial 15.27 exploitation of a vulnerable adult under Minnesota Statutes, 15.28 section 609.2335; (4) failure to report under Minnesota 15.29 Statutes, section 609.234; or (5) stalking under Minnesota 15.30 Statutes, section 609.749. 15.31 (c) Both the commissioner's authority to make the rule 15.32 changes and the substantive language in paragraphs (a) and (b) 15.33 are effective the day following final enactment. The rule 15.34 changes described in paragraphs (a) and (b) are not subject to 15.35 the rulemaking provisions of Minnesota Statutes, chapter 14, but 15.36 the commissioner must comply with Minnesota Statutes, section 16.1 14.38, subdivision 7, in adopting the amendment. 16.2 Sec. 12. [STANDARDIZING OF CRIMINAL DISQUALIFICATION 16.3 PLAN.] 16.4 The commissioner of health, in consultation with the 16.5 commissioner of human services and the attorney general, shall 16.6 convene an advisory workgroup to develop a plan for presentation 16.7 to the 1997 legislature to standardize, as appropriate, the 16.8 criminal disqualification classifications for application to 16.9 those required to comply with the applicant background study 16.10 requirements under the human services licensing act, Minnesota 16.11 Statutes, chapter 245A, the Kari Koskinen act, Minnesota 16.12 Statutes, sections 299C.67 and 299C.71, the home care rule, 16.13 Minnesota Rules, part 4668.0020, and the personal care provider 16.14 organizations, Minnesota Statutes, sections 256B.04, subdivision 16.15 16, and 256B.0625, subdivision 19a, and make recommendations for 16.16 legislation to replace current disqualification crimes under all 16.17 systems. 16.18 The plan shall provide for a review of the appropriateness 16.19 of standardizing disqualification classifications relative to 16.20 type of care setting, the nature of the crime, and time from the 16.21 date of discharge for the crime for which an individual can be 16.22 disqualified. 16.23 The advisory workgroup shall include representatives of 16.24 health care providers, state agencies, the attorney general's 16.25 office, and consumer groups. 16.26 The plan must be reported to the chairs of the senate crime 16.27 prevention committee and the house of representatives judiciary 16.28 committee by January 15, 1997. 16.29 Sec. 13. [EFFECTIVE DATE.] 16.30 (a) Background studies for personal care provider 16.31 organizations described in section 4 are effective January 1, 16.32 1997. 16.33 (b) Sections 2, 8, 9, and 11 are effective the day 16.34 following final enactment.