5th Engrossment - 80th Legislature (1997 - 1998) Posted on 12/15/2009 12:00am
1.1 A bill for an act 1.2 relating to human services; adding provisions for 1.3 licensing programs; imposing and modifying civil 1.4 penalties; requiring reports on nonresidential child 1.5 care programs; providing interim expansion of 1.6 unlicensed child care providers; requiring reports 1.7 from the commissioner of health and the commissioner 1.8 of human services; creating a legislative task force 1.9 to review the background study process; amending 1.10 Minnesota Statutes 1996, sections 144.057, subdivision 1.11 1; 144A.46, subdivision 5; 245A.02, subdivisions 15, 1.12 16, 17, and by adding subdivisions; 245A.03, 1.13 subdivision 2; 245A.04, subdivisions 3, 3a, 3b, 3c, 4, 1.14 5, 6, 7, and by adding a subdivision; 245A.06, 1.15 subdivisions 1, 3, 4, 5, 5a, 6, and 7; 245A.07, 1.16 subdivisions 1 and 3; 245A.08, subdivisions 1 and 2; 1.17 245A.09, subdivision 7; 245A.11, subdivision 2; 1.18 245A.16, subdivision 2; 256E.115; and 364.09; Laws 1.19 1995, chapter 158, section 7; proposing coding for new 1.20 law in Minnesota Statutes, chapter 245A; proposing 1.21 coding for new law as Minnesota Statutes, chapter 1.22 245B; repealing Minnesota Statutes 1996, sections 1.23 245A.091; 245A.20; 245A.21; and 252.53; Laws 1996, 1.24 chapter 408, article 10, section 13; Minnesota Rules, 1.25 parts 4668.0020; 9503.0170, subpart 7; 9525.0215; 1.26 9525.0225; 9525.0235; 9525.0243; 9525.0245; 9525.0255; 1.27 9525.0265; 9525.0275; 9525.0285; 9525.0295; 9525.0305; 1.28 9525.0315; 9525.0325; 9525.0335; 9525.0345; 9525.0355; 1.29 9525.0500; 9525.0510; 9525.0520; 9525.0530; 9525.0540; 1.30 9525.0550; 9525.0560; 9525.0570; 9525.0580; 9525.0590; 1.31 9525.0600; 9525.0610; 9525.0620; 9525.0630; 9525.0640; 1.32 9525.0650; 9525.0660; 9525.1240, subpart 1, item E, 1.33 subitem (6); 9525.1500; 9525.1510; 9525.1520; 1.34 9525.1530; 9525.1540; 9525.1550; 9525.1560; 9525.1570, 1.35 subparts 1, 2, 3, 4, 5, and 6; 9525.1590; 9525.1610; 1.36 9525.1620; 9525.1630; 9525.1640; 9525.1650; 9525.1660; 1.37 9525.1670; 9525.1680; 9525.1690; 9525.2000; 9525.2010; 1.38 9525.2020; 9525.2025; 9525.2030; 9525.2040; 9525.2050; 1.39 9525.2060; 9525.2070; 9525.2080; 9525.2090; 9525.2100; 1.40 9525.2110; 9525.2120; 9525.2130; 9525.2140; 9543.3070; 1.41 9555.8000; 9555.8100; 9555.8200; 9555.8300; 9555.8400; 1.42 and 9555.8500. 1.43 BE IT ENACTED BY THE LEGISLATURE OF THE STATE OF MINNESOTA: 1.44 Section 1. Minnesota Statutes 1996, section 144.057, 2.1 subdivision 1, is amended to read: 2.2 Subdivision 1. [BACKGROUND STUDIES REQUIRED.] The 2.3 commissioner of health shall contract with the commissioner of 2.4 human services to conduct background studies of: 2.5 (1) individuals providing services which have direct 2.6 contact, as defined under section 245A.04, subdivision 3, with 2.7 patients and residents in hospitals, boarding care homes, 2.8 outpatient surgical centers licensed under sections 144.50 to 2.9 144.58; nursing homes and home care agencies licensed under 2.10 chapter 144A; residential care homes licensed under chapter 2.11 144B, and board and lodging establishments that are registered 2.12 to provide supportive or health supervision services under 2.13 section 157.17
.; and 2.14 (2) beginning July 1, 1999, all other employees in nursing 2.15 homes licensed under chapter 144A, and boarding care homes 2.16 licensed under sections 144.50 to 144.58. A disqualification of 2.17 an individual in this section shall disqualify the individual 2.18 from positions allowing direct contact or access to patients or 2.19 residents receiving services. 2.20 If a facility or program is licensed by the department of 2.21 human services and subject to the background study provisions of 2.22 chapter 245A and is also licensed by the department of health, 2.23 the department of human services is solely responsible for the 2.24 background studies of individuals in the jointly licensed 2.25 programs. 2.26 Sec. 2. Minnesota Statutes 1996, section 144A.46, 2.27 subdivision 5, is amended to read: 2.28 Subd. 5. [PRIOR CRIMINAL CONVICTIONS.] (a) Before the 2.29 commissioner issues aan initial or renewal license and, as2.30 defined in the home care licensure rules promulgated by the2.31 commissioner of health, an owner or managerial official shall be 2.32 required to disclose all criminal convictions. The commissioner2.33 may adopt rules that may require a person who must disclose2.34 criminal convictions under this subdivision to provide2.35 fingerprints and releases that authorize law enforcement2.36 agencies, including the bureau of criminal apprehension and the3.1 Federal Bureau of Investigation, to release information about3.2 the person's criminal convictions to the commissioner and home3.3 care providers. The bureau of criminal apprehension, county3.4 sheriffs, and local chiefs of police shall, if requested,3.5 provide the commissioner with criminal conviction data available3.6 from local, state, and national criminal record repositories,3.7 including the criminal justice data communications3.8 networkcomplete a background study under section 144.057. No 3.9 person may be involved in the management, operation, or control 3.10 of a provider, if the person has been convicted of a crime that3.11 relates to the provision of home care services or to the3.12 position, duties, or responsibilities undertaken by that person3.13 in the operation of the home care provider, unless the person3.14 can provide sufficient evidence of rehabilitation. The3.15 commissioner shall adopt rules for determining whether a crime3.16 relates to home care services and what constitutes sufficient3.17 evidence of rehabilitation. The rules must require3.18 consideration of the nature and seriousness of the crime; the3.19 relationship of the crime to the purposes of home care licensure3.20 and regulation; the relationship of the crime to the ability,3.21 capacity, and fitness required to perform the duties and3.22 discharge the responsibilities of the person's position;3.23 mitigating circumstances or social conditions surrounding the3.24 commission of the crime; the length of time elapsed since the3.25 crime was committed; the seriousness of the risk to the home3.26 care client's person or property; and other factors the3.27 commissioner considers appropriatedisqualified under the 3.28 provisions of chapter 245A. Individuals disqualified under 3.29 these provisions can request a reconsideration, and if the 3.30 disqualification is set aside are then eligible to be involved 3.31 in the management, operation or control of the provider. For 3.32 purposes of this section, owners of a home care provider subject 3.33 to the background check requirement are those individuals whose 3.34 ownership interest provides sufficient authority or control to 3.35 affect or change decisions related to the operation of the home 3.36 care provider. An owner includes a sole proprietor, a general 4.1 partner, or any other individual whose individual ownership 4.2 interest can affect the management and direction of the policies 4.3 of the home care provider. For the purposes of this section, 4.4 managerial officials subject to the background check requirement 4.5 are those individuals who provide "direct contact" as defined in 4.6 section 245A.04 or those individuals who have the responsibility 4.7 for the ongoing management or direction of the policies, 4.8 services, or employees of the home care provider. Data 4.9 collected under this subdivision shall be classified as private 4.10 data under section 13.02, subdivision 12. 4.11 (b) Employees, contractors, and volunteers of a home care 4.12 provider or hospice are subject to the background study required 4.13 by section 144.057. These individuals shall be disqualified 4.14 under the provisions of chapter 245A and Minnesota Rules, parts 4.15 9543.3000 to 9543.3090. Until October 1, 1997, grounds for4.16 disqualification shall also include the crimes specified under4.17 Minnesota Rules, part 4668.0020, subpart 14, or a comparable4.18 crime or act in another jurisdiction.Nothing in this section 4.19 shall be construed to prohibit a home care provider from 4.20 requiring self-disclosure of criminal conviction information ;4.21 however, compliance with the provisions of section 144.0574.22 constitutes compliance with the provisions of Minnesota Rules,4.23 part 4668.0020, subpart 8. 4.24 (c) Notwithstanding the provisions of Minnesota Rules, part4.25 4668.0020, subparts 12, 13, and 15, disqualifications under4.26 paragraph (b), removal from a direct care position, and the4.27 process for reconsiderations shall be governed by the provisions4.28 of section 144.057.4.29 (d) Unless superseded by the provisions of section 144.0574.30 or this section, the provisions of Minnesota Rules, part4.31 4668.0020, remain in effect.4.32 (e) Termination of an employee in good faith reliance on 4.33 information or records obtained under paragraph (a) or (b) 4.34 regarding a confirmed conviction does not subject the home care 4.35 provider to civil liability or liability for reemployment 4.36 insurance benefits. 5.1 Sec. 3. Minnesota Statutes 1996, section 245A.02, is 5.2 amended by adding a subdivision to read: 5.3 Subd. 6b. [EXPERIENCE.] For purposes of child care 5.4 centers, "experience" includes paid or unpaid employment serving 5.5 children as a teacher, assistant teacher, aide, or a student 5.6 intern in a licensed child care center, in a public or nonpublic 5.7 school, or in a program licensed as a family day care or group 5.8 family day care provider. 5.9 Sec. 4. Minnesota Statutes 1996, section 245A.02, 5.10 subdivision 15, is amended to read: 5.11 Subd. 15. [RESPITE CARE SERVICES.] "Respite care services" 5.12 means temporary services provided to a person due to the absence 5.13 or need for relief of the primary caregiver, the person's family 5.14 member, or legal representative who is the primary caregiver and 5.15 principally responsible for the care and supervision of the 5.16 person. Respite care services are those that provide the level 5.17 of supervision and care that is necessary to ensure the health 5.18 and safety of the person. Respite care services do not include 5.19 services that are specifically directed toward the training and 5.20 habilitation of the person. 5.21 Sec. 5. Minnesota Statutes 1996, section 245A.02, 5.22 subdivision 16, is amended to read: 5.23 Subd. 16. [SCHOOL AGE CHILD.] "School age child," for 5.24 programs licensed or required to be licensed as a child care 5.25 center, means a child who is at least of sufficient age to have 5.26 attended the first day of kindergarten, or is eligible to enter 5.27 kindergarten within the next four months, but is younger than 13 5.28 years of age. 5.29 Sec. 6. Minnesota Statutes 1996, section 245A.02, 5.30 subdivision 17, is amended to read: 5.31 Subd. 17. [SCHOOL AGE CHILD CARE PROGRAM.] "School age 5.32 child care program" means a nonresidentialprogram licensed or 5.33 required to be licensed as a child care center, serving more 5.34 than ten children with the primary purpose of providing child 5.35 care for school age children. School age child care program 5.36 does not include programs such as scouting, boys clubs, girls 6.1 clubs, nor sports or art programs. 6.2 Sec. 7. Minnesota Statutes 1996, section 245A.02, is 6.3 amended by adding a subdivision to read: 6.4 Subd. 18. [SUPERVISION.] For purposes of child care 6.5 centers, "supervision" means when a program staff person is 6.6 within sight and hearing of a child at all times so that the 6.7 program staff can intervene to protect the health and safety of 6.8 the child. When an infant is placed in a crib room to sleep, 6.9 supervision occurs when a staff person is within sight or 6.10 hearing of the infant. When supervision of a crib room is 6.11 provided by sight or hearing, the center must have a plan to 6.12 address the other supervision component. 6.13 Sec. 8. [245A.023] [IN-SERVICE TRAINING.] 6.14 For purposes of child care centers, in-service training 6.15 must be completed within the license period for which it is 6.16 required. In-service training completed by staff persons as 6.17 required must be transferable upon a staff person's change in 6.18 employment to another child care program. License holders shall 6.19 record all staff in-service training on forms prescribed by the 6.20 commissioner of human services. 6.21 Sec. 9. Minnesota Statutes 1996, section 245A.03, 6.22 subdivision 2, is amended to read: 6.23 Subd. 2. [EXCLUSION FROM LICENSURE.] Sections 245A.01 to 6.24 245A.16 do not apply to: 6.25 (1) residential or nonresidential programs that are 6.26 provided to a person by an individual who is related unless the 6.27 residential program is a foster care placement made by a local 6.28 social services agency or a licensed child-placing agency, 6.29 except as provided in subdivision 2a; 6.30 (2) nonresidential programs that are provided by an 6.31 unrelated individual to persons from a single related family; 6.32 (3) residential or nonresidential programs that are 6.33 provided to adults who do not abuse chemicals or who do not have 6.34 a chemical dependency, a mental illness, mental retardation or a 6.35 related condition, a functional impairment, or a physical 6.36 handicap; 7.1 (4) sheltered workshops or work activity programs that are 7.2 certified by the commissioner of economic security; 7.3 (5) programs for children enrolled in kindergarten to the 7.4 12th grade and prekindergarten special education in a school as 7.5 defined in section 120.101, subdivision 4, and programs serving 7.6 children in combined special education and regular 7.7 prekindergarten programs that are operated or assisted by the 7.8 commissioner of children, families, and learning; 7.9 (6) nonresidential programs primarily for children that 7.10 provide care or supervision, without charge for ten or fewer 7.11 days a year, and for periods of less than three hours a day 7.12 while the child's parent or legal guardian is in the same 7.13 building as the nonresidential program or present within another 7.14 building that is directly contiguous to the building in which 7.15 the nonresidential program is located; 7.16 (7) nursing homes or hospitals licensed by the commissioner 7.17 of health except as specified under section 245A.02; 7.18 (8) board and lodge facilities licensed by the commissioner 7.19 of health that provide services for five or more persons whose 7.20 primary diagnosis is mental illness who have refused an 7.21 appropriate residential program offered by a county agency. 7.22 This exclusion expires on July 1, 1990; 7.23 (9) homes providing programs for persons placed there by a 7.24 licensed agency for legal adoption, unless the adoption is not 7.25 completed within two years; 7.26 (10) programs licensed by the commissioner of corrections; 7.27 (11) recreation programs for children or adults that 7.28 operate for fewer than 40 calendar days in a calendar year or 7.29 programs operated by a park and recreation board of a city of 7.30 the first class whose primary purpose is to provide social and 7.31 recreational activities to school age children, provided the 7.32 program is approved by the park and recreation board; 7.33 (12) programs operated by a school as defined in section 7.34 120.101, subdivision 4, whose primary purpose is to provide 7.35 child care to school-age children, provided the program is 7.36 approved by the district's school board; 8.1 (13) head start nonresidential programs which operate for 8.2 less than 31 days in each calendar year; 8.3 (14) noncertified boarding care homes unless they provide 8.4 services for five or more persons whose primary diagnosis is 8.5 mental illness or mental retardation; 8.6 (15) nonresidential programs for nonhandicapped children 8.7 provided for a cumulative total of less than 30 days in any 8.8 12-month period; 8.9 (16) residential programs for persons with mental illness, 8.10 that are located in hospitals, until the commissioner adopts 8.11 appropriate rules; 8.12 (17) the religious instruction of school-age children; 8.13 Sabbath or Sunday schools; or the congregate care of children by 8.14 a church, congregation, or religious society during the period 8.15 used by the church, congregation, or religious society for its 8.16 regular worship; 8.17 (18) camps licensed by the commissioner of health under 8.18 Minnesota Rules, chapter 4630; 8.19 (19) mental health outpatient services for adults with 8.20 mental illness or children with emotional disturbance; 8.21 (20) residential programs serving school-age children whose 8.22 sole purpose is cultural or educational exchange, until the 8.23 commissioner adopts appropriate rules; 8.24 (21) unrelated individuals who provide out-of-home respite 8.25 care services to persons with mental retardation or related 8.26 conditions from a single related family for no more than 90 days 8.27 in a 12-month period and the respite care services are for the 8.28 temporary relief of the person's family or legal representative; 8.29 (22) respite care services provided as a home and 8.30 community-based service to a person with mental retardation or a 8.31 related condition, in the person's primary residence; 8.32 (23) community support services programs as defined in 8.33 section 245.462, subdivision 6, and family community support 8.34 services as defined in section 245.4871, subdivision 17; or 8.35 (24) the placement of a child by a birth parent or legal 8.36 guardian in a preadoptive home for purposes of adoption as 9.1 authorized by section 259.47. 9.2 For purposes of clause (6), a building is directly 9.3 contiguous to a building in which a nonresidential program is 9.4 located if it shares a common wall with the building in which 9.5 the nonresidential program is located or is attached to that 9.6 building by skyway, tunnel, atrium, or common roof. 9.7 Sec. 10. Minnesota Statutes 1996, section 245A.04, 9.8 subdivision 3, is amended to read: 9.9 Subd. 3. [BACKGROUND STUDY OF THE APPLICANT.] (a) Before 9.10 the commissioner issues a license, the commissioner shall 9.11 conduct a study of the individuals specified in paragraph (c), 9.12 clauses (1) to (5), according to rules of the commissioner. 9.13 Beginning January 1, 1997, the commissioner shall also 9.14 conduct a study of employees providing direct contact services 9.15 for nonlicensed personal care provider organizations described 9.16 in paragraph (c), clause (5). 9.17 The commissioner shall recover the cost of these background 9.18 studies through a fee of no more than $12 per study charged to 9.19 the personal care provider organization. 9.20 Beginning August 1, 1997, the commissioner shall conduct 9.21 all background studies required under this chapter for adult 9.22 foster care providers who are licensed by the commissioner of 9.23 human services and registered under chapter 144D. The 9.24 commissioner shall conduct these background studies in 9.25 accordance with this chapter. The commissioner shall initiate a 9.26 pilot project to conduct up to 5,000 background studies under 9.27 this chapter in programs with joint licensure as home- and 9.28 community-based services and adult foster care for people with 9.29 developmental disabilities when the license holder does not 9.30 reside in the foster care residence. 9.31 (b) Beginning July 1, 19971998, the commissioner shall 9.32 conduct a background study on individuals specified in paragraph 9.33 (c), clauses (1) to (5), who perform direct contact services in 9.34 a nursing home or a home care agency licensed under chapter 144A 9.35 or a boarding care home licensed under sections 144.50 to 9.36 144.58, when the subject of the study resides outside Minnesota; 10.1 the study must be at least as comprehensive as that of a 10.2 Minnesota resident and include a search of information from the 10.3 criminal justice data communications network in the state where 10.4 the subject of the study resides. 10.5 (c) The applicant, license holder, the bureau of criminal 10.6 apprehension, the commissioner of health and county agencies, 10.7 after written notice to the individual who is the subject of the 10.8 study, shall help with the study by giving the commissioner 10.9 criminal conviction data and reports about the maltreatment of 10.10 adults substantiated under section 626.557 and the maltreatment 10.11 of minors in licensed programs substantiated under section 10.12 626.556. The individuals to be studied shall include: 10.13 (1) the applicant; 10.14 (2) persons over the age of 13 living in the household 10.15 where the licensed program will be provided; 10.16 (3) current employees or contractors of the applicant who 10.17 will have direct contact with persons served by the facility, 10.18 agency, or program; 10.19 (4) volunteers or student volunteers who have direct 10.20 contact with persons served by the program to provide program 10.21 services, if the contact is not directly supervised by the 10.22 individuals listed in clause (1) or (3); and 10.23 (5) any person who, as an individual or as a member of an 10.24 organization, exclusively offers, provides, or arranges for 10.25 personal care assistant services under the medical assistance 10.26 program as authorized under sections 256B.04, subdivision 16, 10.27 and 256B.0625, subdivision 19. 10.28 The juvenile courts shall also help with the study by 10.29 giving the commissioner existing juvenile court records on 10.30 individuals described in clause (2) relating to delinquency 10.31 proceedings held within either the five years immediately 10.32 preceding the application or the five years immediately 10.33 preceding the individual's 18th birthday, whichever time period 10.34 is longer. The commissioner shall destroy juvenile records 10.35 obtained pursuant to this subdivision when the subject of the 10.36 records reaches age 23. 11.1 For purposes of this section and Minnesota Rules, part 11.2 9543.3070, a finding that a delinquency petition is proven in 11.3 juvenile court shall be considered a conviction in state 11.4 district court. 11.5 For purposes of this subdivision, "direct contact" means 11.6 providing face-to-face care, training, supervision, counseling, 11.7 consultation, or medication assistance to persons served by a 11.8 program. For purposes of this subdivision, "directly supervised" 11.9 means an individual listed in clause (1), (3), or (5) is within 11.10 sight or hearing of a volunteer to the extent that the 11.11 individual listed in clause (1), (3), or (5) is capable at all 11.12 times of intervening to protect the health and safety of the 11.13 persons served by the program who have direct contact with the 11.14 volunteer. 11.15 A study of an individual in clauses (1) to (5) shall be 11.16 conducted at least upon application for initial license and 11.17 reapplication for a license. The commissioner is not required 11.18 to conduct a study of an individual at the time of reapplication 11.19 for a license or if the individual has been continuously 11.20 affiliated with a foster care provider licensed by the 11.21 commissioner of human services and registered under chapter 11.22 144D, other than a family day care or foster care license, if: 11.23 (i) a study of the individual was conducted either at the time 11.24 of initial licensure or when the individual became affiliated 11.25 with the license holder; (ii) the individual has been 11.26 continuously affiliated with the license holder since the last 11.27 study was conducted; and (iii) the procedure described in 11.28 paragraph (d) has been implemented and was in effect 11.29 continuously since the last study was conducted. For the 11.30 purposes of this section, a physician licensed under chapter 147 11.31 is considered to be continuously affiliated upon the license 11.32 holder's receipt from the commissioner of health or human 11.33 services of the physician's background study results. For 11.34 individuals who are required to have background studies under 11.35 clauses (1) to (5) and who have been continuously affiliated 11.36 with a foster care provider that is licensed in more than one 12.1 county, criminal conviction data may be shared among those 12.2 counties in which the foster care programs are licensed. A 12.3 county agency's receipt of criminal conviction data from another 12.4 county agency shall meet the criminal data background study 12.5 requirements of this section. 12.6 The commissioner may also conduct studies on individuals 12.7 specified in clauses (3) and (4) when the studies are initiated 12.8 by: 12.9 (i) personnel pool agencies; 12.10 (ii) temporary personnel agencies; 12.11 (iii) educational programs that train persons by providing 12.12 direct contact services in licensed programs; and 12.13 (iv) professional services agencies that are not licensed 12.14 and which contract with licensed programs to provide direct 12.15 contact services or individuals who provide direct contact 12.16 services. 12.17 Studies on individuals in items (i) to (iv) must be 12.18 initiated annually by these agencies, programs, and 12.19 individuals. Except for personal care provider organizations, 12.20 no applicant, license holder, or individual who is the subject 12.21 of the study shall pay any fees required to conduct the study. 12.22 (1) At the option of the licensed facility, rather than 12.23 initiating another background study on an individual required to 12.24 be studied who has indicated to the licensed facility that a 12.25 background study by the commissioner was previously completed, 12.26 the facility may make a request to the commissioner for 12.27 documentation of the individual's background study status, 12.28 provided that: 12.29 (i) the facility makes this request using a form provided 12.30 by the commissioner; 12.31 (ii) in making the request the facility informs the 12.32 commissioner that either: 12.33 (A) the individual has been continuously affiliated with a 12.34 licensed facility since the individual's previous background 12.35 study was completed, or since October 1, 1995, whichever is 12.36 shorter; or 13.1 (B) the individual is affiliated only with a personnel pool 13.2 agency, a temporary personnel agency, an educational program 13.3 that trains persons by providing direct contact services in 13.4 licensed programs, or a professional services agency that is not 13.5 licensed and which contracts with licensed programs to provide 13.6 direct contact services or individuals who provide direct 13.7 contact services; and 13.8 (iii) the facility provides notices to the individual as 13.9 required in paragraphs (a) to (d), and that the facility is 13.10 requesting written notification of the individual's background 13.11 study status from the commissioner. 13.12 (2) The commissioner shall respond to each request under 13.13 paragraph (1) with a written or electronic notice to the 13.14 facility and the study subject. If the commissioner determines 13.15 that a background study is necessary, the study shall be 13.16 completed without further request from a licensed agency or 13.17 notifications to the study subject. 13.18 (3) When a background study is being initiated by a 13.19 licensed facility or a foster care provider that is also 13.20 registered under chapter 144D, a study subject affiliated with 13.21 multiple licensed facilities may attach to the background study 13.22 form a cover letter indicating the additional facilities' names, 13.23 addresses, and background study identification numbers. When 13.24 the commissioner receives such notices, each facility identified 13.25 by the background study subject shall be notified of the study 13.26 results. The background study notice sent to the subsequent 13.27 agencies shall satisfy those facilities' responsibilities for 13.28 initiating a background study on that individual. 13.29 (d) If an individual who is affiliated with a program or 13.30 facility regulated by the department of human services or 13.31 department of health or who is affiliated with a nonlicensed 13.32 personal care provider organization, is convicted of a crime 13.33 constituting a disqualification under Minnesota Rules, parts13.34 9543.3000 to 9543.3090subdivision 3d, the probation officer or 13.35 corrections agent shall notify the commissioner of the 13.36 conviction. The commissioner, in consultation with the 14.1 commissioner of corrections, shall develop forms and information 14.2 necessary to implement this paragraph and shall provide the 14.3 forms and information to the commissioner of corrections for 14.4 distribution to local probation officers and corrections 14.5 agents. The commissioner shall inform individuals subject to a 14.6 background study that criminal convictions for disqualifying 14.7 crimes will be reported to the commissioner by the corrections 14.8 system. A probation officer, corrections agent, or corrections 14.9 agency is not civilly or criminally liable for disclosing or 14.10 failing to disclose the information required by this paragraph. 14.11 Upon receipt of disqualifying information, the commissioner 14.12 shall provide the notifications required in subdivision 3a, as 14.13 appropriate to agencies on record as having initiated a 14.14 background study or making a request for documentation of the 14.15 background study status of the individual. This paragraph does 14.16 not apply to family day care and child foster care programs. 14.17 (e) The individual who is the subject of the study must 14.18 provide the applicant or license holder with sufficient 14.19 information to ensure an accurate study including the 14.20 individual's first, middle, and last name; home address, city, 14.21 county, and state of residence for the past five years; zip 14.22 code; sex; date of birth; and driver's license number. The 14.23 applicant or license holder shall provide this information about 14.24 an individual in paragraph (c), clauses (1) to (5), on forms 14.25 prescribed by the commissioner. By January 1, 2000, for 14.26 background studies conducted by the department of human 14.27 services, the commissioner shall implement a system for the 14.28 electronic transmission of: (1) background study information to 14.29 the commissioner; and (2) background study results to the 14.30 license holder. The commissioner may request additional 14.31 information of the individual, which shall be optional for the 14.32 individual to provide, such as the individual's social security 14.33 number or race. 14.34 (f) Except for child foster care, adult foster care, and 14.35 family day care homes, a study must include information related 14.36 to names of substantiated perpetrators of maltreatment of 15.1 vulnerable adults that has been received by the commissioner as 15.2 required under section 626.557, subdivision 9c, paragraph (i), 15.3 and the commissioner's records relating to the maltreatment of 15.4 minors in licensed programs, information from juvenile courts as 15.5 required in paragraph (c) for persons listed in paragraph (c), 15.6 clause (2), and information from the bureau of criminal 15.7 apprehension. For child foster care, adult foster care, and 15.8 family day care homes, the study must include information from 15.9 the county agency's record of substantiated maltreatment of 15.10 adults, and the maltreatment of minors, information from 15.11 juvenile courts as required in paragraph (c) for persons listed 15.12 in paragraph (c), clause (2), and information from the bureau of 15.13 criminal apprehension. The commissioner may also review arrest 15.14 and investigative information from the bureau of criminal 15.15 apprehension, the commissioner of health, a county attorney, 15.16 county sheriff, county agency, local chief of police, other 15.17 states, the courts, or the Federal Bureau of Investigation if 15.18 the commissioner has reasonable cause to believe the information 15.19 is pertinent to the disqualification of an individual listed in 15.20 paragraph (c), clauses (1) to (5). The commissioner is not 15.21 required to conduct more than one review of a subject's records 15.22 from the Federal Bureau of Investigation if a review of the 15.23 subject's criminal history with the Federal Bureau of 15.24 Investigation has already been completed by the commissioner and 15.25 there has been no break in the subject's affiliation with the 15.26 license holder who initiated the background studies. 15.27 When the commissioner has reasonable cause to believe that 15.28 further pertinent information may exist on the subject, the 15.29 subject shall provide a set of classifiable fingerprints 15.30 obtained from an authorized law enforcement agency. For 15.31 purposes of requiring fingerprints, the commissioner shall be 15.32 considered to have reasonable cause under, but not limited to, 15.33 the following circumstances: 15.34 (1) information from the bureau of criminal apprehension 15.35 indicates that the subject is a multistate offender; 15.36 (2) information from the bureau of criminal apprehension 16.1 indicates that multistate offender status is undetermined; or 16.2 (3) the commissioner has received a report from the subject 16.3 or a third party indicating that the subject has a criminal 16.4 history in a jurisdiction other than Minnesota. 16.5 (g) An applicant's or license holder's failure or refusal 16.6 to cooperate with the commissioner is reasonable cause 16.7 to disqualify a subject, deny ana license application or 16.8 immediately suspend, suspend, or revoke a license. Failure or 16.9 refusal of an individual to cooperate with the study is just 16.10 cause for denying or terminating employment of the individual if 16.11 the individual's failure or refusal to cooperate could cause the 16.12 applicant's application to be denied or the license holder's 16.13 license to be immediately suspended, suspended, or revoked. 16.14 (h) The commissioner shall not consider an application to 16.15 be complete until all of the information required to be provided 16.16 under this subdivision has been received. 16.17 (i) No person in paragraph (c), clause (1), (2), (3), (4), 16.18 or (5) who is disqualified as a result of this section may be 16.19 retained by the agency in a position involving direct contact 16.20 with persons served by the program. 16.21 (j) Termination of persons in paragraph (c), clause (1), 16.22 (2), (3), (4), or (5), made in good faith reliance on a notice 16.23 of disqualification provided by the commissioner shall not 16.24 subject the applicant or license holder to civil liability. 16.25 (k) The commissioner may establish records to fulfill the 16.26 requirements of this section. 16.27 (l) The commissioner may not disqualify an individual 16.28 subject to a study under this section because that person has, 16.29 or has had, a mental illness as defined in section 245.462, 16.30 subdivision 20. 16.31 (m) An individual who is subject to an applicant background16.32 study under this section and whose disqualification in16.33 connection with a license would be subject to the limitations on16.34 reconsideration set forth in subdivision 3b, paragraph (c),16.35 shall be disqualified for conviction of the crimes specified in16.36 the manner specified in subdivision 3b, paragraph (c). The17.1 commissioner of human services shall amend Minnesota Rules, part17.2 9543.3070, to conform to this section.17.3 (n)An individual subject to disqualification under this 17.4 subdivision has the applicable rights in subdivision 3a, 3b, or 17.5 3c. 17.6 Sec. 11. Minnesota Statutes 1996, section 245A.04, 17.7 subdivision 3a, is amended to read: 17.8 Subd. 3a. [NOTIFICATION TO SUBJECT AND LICENSE HOLDER OF 17.9 STUDY RESULTS; DETERMINATION OF RISK OF HARM.] (a) The 17.10 commissioner shall notify the applicant or license holder and 17.11 the individual who is the subject of the study, in writing or by 17.12 electronic transmission, of the results of the study. When the 17.13 study is completed, a notice that the study was undertaken and 17.14 completed shall be maintained in the personnel files of the 17.15 program. 17.16 The commissioner shall notify the individual studied if the 17.17 information in the study indicates the individual is 17.18 disqualified from direct contact with persons served by the 17.19 program. The commissioner shall disclose the 17.20 information causing disqualification and instructions on how to 17.21 request a reconsideration of the disqualification to the 17.22 individual studied. An applicant or license holder who is not 17.23 the subject of the study shall be informed that the commissioner 17.24 has found information that disqualifies the subject from direct 17.25 contact with persons served by the program. However, the17.26 applicant or license holder shall not be told what that17.27 information isonly the individual studied must be informed of 17.28 the information contained in the subject's background study 17.29 unless the only basis for the disqualification is failure to 17.30 cooperate, the data practices act provides for release of the 17.31 information, or the individual studied authorizes the release of 17.32 the information. 17.33 (b) If the commissioner determines that the individual 17.34 studied has a disqualifying characteristic, the commissioner 17.35 shall review the information immediately available and make a 17.36 determination as to the subject's immediate risk of harm to 18.1 persons served by the program where the individual studied will 18.2 have direct contact. The commissioner shall consider all 18.3 relevant information available, including the following factors 18.4 in determining the immediate risk of harm: the recency of the 18.5 disqualifying characteristic, the recency of discharge from 18.6 probation for the crimes; the number of disqualifying 18.7 characteristics; the intrusiveness or violence of the 18.8 disqualifying characteristic; the vulnerability of the victim 18.9 involved in the disqualifying characteristic; and the similarity 18.10 of the victim to the persons served by the program where the 18.11 individual studied will have direct contact. The commissioner 18.12 may determine that the evaluation of the information immediately 18.13 available gives the commissioner reason to believe one of the 18.14 following: 18.15 (1) The individual poses an imminent risk of harm to 18.16 persons served by the program where the individual studied will 18.17 have direct contact. If the commissioner determines that an 18.18 individual studied poses an imminent risk of harm to persons 18.19 served by the program where the individual studied will have 18.20 direct contact, the individual and the license holder must be 18.21 sent a notice of disqualification. The commissioner shall order 18.22 the license holder to immediately remove the individual studied 18.23 from direct contact. The notice to the individual studied must 18.24 include an explanation of the basis of this determination. 18.25 (2) The individual poses a risk of harm requiring 18.26 continuous supervision while providing direct contact services 18.27 during the period in which the subject may request a 18.28 reconsideration. If the commissioner determines that an 18.29 individual studied poses a risk of harm that requires continuous 18.30 supervision, the individual and the license holder must be sent 18.31 a notice of disqualification. The commissioner shall order the 18.32 license holder to immediately remove the individual studied from 18.33 direct contact services or assure that the individual studied is 18.34 within sight or hearing of another staff person when providing 18.35 direct contact services during the period in which the 18.36 individual may request a reconsideration of the 19.1 disqualification. If the individual studied does not submit a 19.2 timely request for reconsideration, or the individual submits a 19.3 timely request for reconsideration, but the disqualification is 19.4 not set aside for that license holder, the license holder will 19.5 be notified of the disqualification and ordered to immediately 19.6 remove the individual from any position allowing direct contact 19.7 with persons receiving services from the license holder. 19.8 (3) The individual does not pose an imminent risk of harm 19.9 or a risk of harm requiring continuous supervision while 19.10 providing direct contact services during the period in which the 19.11 subject may request a reconsideration. If the commissioner 19.12 determines that an individual studied does not pose a risk of 19.13 harm that requires continuous supervision, only the individual 19.14 must be sent a notice of disqualification. The license holder 19.15 must be sent a notice that more time is needed to complete the 19.16 individual's background study. If the individual studied 19.17 submits a timely request for reconsideration, and if the 19.18 disqualification is set aside for that license holder, the 19.19 license holder will receive the same notification received by 19.20 license holders in cases where the individual studied has no 19.21 disqualifying characteristic. If the individual studied does 19.22 not submit a timely request for reconsideration, or the 19.23 individual submits a timely request for reconsideration, but the 19.24 disqualification is not set aside for that license holder, the 19.25 license holder will be notified of the disqualification and 19.26 ordered to immediately remove the individual from any position 19.27 allowing direct contact with persons receiving services from the 19.28 license holder. 19.29 Sec. 12. Minnesota Statutes 1996, section 245A.04, 19.30 subdivision 3b, is amended to read: 19.31 Subd. 3b. [RECONSIDERATION OF DISQUALIFICATION.] (a) 19.32 Within 30 days after receiving notice of disqualification under19.33 subdivision 3a,The individual who is the subject of the study19.34 disqualification may request a reconsideration of the notice of19.35 disqualification. 19.36 The individual must submit the request for reconsideration 20.1 to the commissioner in writing. A request for reconsideration 20.2 for an individual who has been sent a notice of disqualification 20.3 under subdivision 3a, paragraph (b), clause (1) or (2), must be 20.4 submitted within 30 calendar days of the disqualified 20.5 individual's receipt of the notice of disqualification. A 20.6 request for reconsideration for an individual who has been sent 20.7 a notice of disqualification under subdivision 3a, paragraph 20.8 (b), clause (3), must be submitted within 15 calendar days of 20.9 the disqualified individual's receipt of the notice of 20.10 disqualification. Removal of a disqualified individual from 20.11 direct contact shall be ordered if the individual does not 20.12 request reconsideration within the prescribed time, and for an 20.13 individual who submits a timely request for reconsideration, if 20.14 the disqualification is not set aside. The individual must 20.15 present information to showshowing that: 20.16 (1) the information the commissioner relied upon is 20.17 incorrect or inaccurate. If the basis of a reconsideration 20.18 request is that a maltreatment determination or disposition 20.19 under section 626.556 or 626.557 is incorrect, and the 20.20 commissioner has issued a final order in an appeal of that 20.21 determination or disposition under section 256.045, the 20.22 commissioner's order is conclusive on the issue of maltreatment; 20.23 or 20.24 (2) the subject of the study does not pose a risk of harm 20.25 to any person served by the applicant or license holder. 20.26 (b) The commissioner may set aside the disqualification 20.27 under this section if the commissioner finds that the 20.28 information the commissioner relied upon is incorrect or the 20.29 individual does not pose a risk of harm to any person served by 20.30 the applicant or license holder. In determining that an 20.31 individual does not pose a risk of harm, the commissioner shall 20.32 reviewconsider the consequences of the event or events 20.33 that couldlead to disqualification, whether there is more than 20.34 one disqualifying event, the vulnerability of the victim at the 20.35 time of the event, the time elapsed without a repeat of the same 20.36 or similar event, anddocumentation of successful completion by 21.1 the individual studied of training or rehabilitation pertinent 21.2 to the event, and any other information relevant to 21.3 reconsideration. In reviewing a disqualification under this 21.4 section, the commissioner shall give preeminent weight to the 21.5 safety of each person to be served by the license holder or 21.6 applicant over the interests of the license holder or applicant. 21.7 (c) Unless the information the commissioner relied on in 21.8 disqualifying an individual is incorrect, the commissioner may 21.9 not set aside the disqualification of an individual in 21.10 connection with a license to provide family day care for 21.11 children, foster care for children in the provider's own home, 21.12 or foster care or day care services for adults in the provider's 21.13 own home if: 21.14 (1) less than ten years have passed since the discharge of 21.15 the sentence imposed for the offense; and the individual has 21.16 been convicted of a violation of any offense listed in 21.17 sectionsections 609.20 (manslaughter in the first degree), 21.18 609.205 (manslaughter in the second degree), criminal vehicular 21.19 homicide under 609.21 (criminal vehicular homicide and injury), 21.20 609.215 (aiding suicide or aiding attempted suicide), felony 21.21 violations under 609.221 to 609.2231 ( felony violations of21.22 assault in the first, second, third, or fourth degree), 609.713 21.23 (terroristic threats), 609.235 (use of drugs to injure or to 21.24 facilitate crime), 609.24 (simple robbery), 609.245 (aggravated 21.25 robbery), 609.25 (kidnapping), 609.255 (false imprisonment), 21.26 609.561 or 609.562 (arson in the first or second degree), 609.71 21.27 (riot), burglary in the first or second degree under 609.582 21.28 (burglary in the first or second degree), 609.66 ( reckless use21.29 of a gun ordangerous weapon or intentionally pointing a gun at21.30 or towards a human being), 609.665 ( setting aspring gunguns), 21.31 609.67 ( unlawfully owning, possessing, or operating amachine 21.32 gunguns and short-barreled shotguns), 609.749 (harassment; 21.33 stalking), 152.021 or 152.022 (controlled substance crime in the 21.34 first or second degree), 152.023, subdivision 1, clause (3) or 21.35 (4), or subdivision 2, clause (4) (controlled substance crime in 21.36 the third degree), 152.024, subdivision 1, clause (2), (3), or 22.1 (4) (controlled substance crime in the fourth degree), 609.224, 22.2 subdivision 2, paragraph (c) (fifth-degree assault by a 22.3 caregiver against a vulnerable adult), 609.228 (great bodily 22.4 harm caused by distribution of drugs), 609.23 (mistreatment of 22.5 persons confined), 609.231 (mistreatment of residents or 22.6 patients), 609.2325 (criminal abuse of a vulnerable adult), 22.7 609.233 (criminal neglect of a vulnerable adult), 609.2335 22.8 (financial exploitation of a vulnerable adult), 609.234 (failure 22.9 to report), 609.265 (abduction), 609.2664 to 609.2665 22.10 (manslaughter of an unborn child in the first or second degree), 22.11 609.267 to 609.2672 (assault of an unborn child in the first, 22.12 second, or third degree), 609.268 (injury or death of an unborn 22.13 child in the commission of a crime), 617.293 (disseminating or 22.14 displaying harmful material to minors), 609.378 (neglect or 22.15 endangerment of a child), a gross misdemeanor offense under 22.16 609.377 ( a gross misdemeanor offense ofmalicious punishment of 22.17 a child), 609.72, subdivision 3 (disorderly conduct against a 22.18 vulnerable adult); or an attempt or conspiracy to commit any of 22.19 these offenses, as each of these offenses is defined in 22.20 Minnesota Statutes; or an offense in any other state, the 22.21 elements of which are substantially similar to the elements of 22.22 any of the foregoing offenses; 22.23 (2) regardless of how much time has passed since the 22.24 discharge of the sentence imposed for the offense, the 22.25 individual was convicted of a violation of any offense listed in 22.26 sections 609.185 to 609.195 (murder in the first, second, or 22.27 third degree), 609.2661 to 609.2663 (murder of an unborn child 22.28 in the first, second, or third degree), a felony offense under 22.29 609.377 ( a felony offense ofmalicious punishment of a child), 22.30 609.322 ( solicitingsolicitation, inducement, orand promotion 22.31 of prostitution), 609.323 (receiving profit derived from 22.32 prostitution), 609.342 to 609.345 (criminal sexual conduct in 22.33 the first, second, third, or fourth degree), 609.352 22.34 (solicitation of children to engage in sexual conduct), 617.246 22.35 (use of minors in a sexual performance), 617.247 (possession of 22.36 pictorial representations of a minor), 609.365 (incest), or an 23.1 attempt or conspiracy to commit any of these offenses as defined 23.2 in Minnesota Statutes, or an offense in any other state, the 23.3 elements of which are substantially similar to any of the 23.4 foregoing offenses; 23.5 (3) within the seven years preceding the study, the 23.6 individual committed an act that constitutes maltreatment of a 23.7 child under section 626.556, subdivision 10e, and that resulted 23.8 in substantial bodily harm as defined in section 609.02, 23.9 subdivision 7a, or substantial mental or emotional harm as 23.10 supported by competent psychological or psychiatric evidence; or 23.11 (4) within the seven years preceding the study, the 23.12 individual was determined under section 626.557 to be the 23.13 perpetrator of a substantiated incident of abusemaltreatment of 23.14 a vulnerable adult that resulted in substantial bodily harm as 23.15 defined in section 609.02, subdivision 7a, or substantial mental 23.16 or emotional harm as supported by competent psychological or 23.17 psychiatric evidence. 23.18 In the case of any ground for disqualification under 23.19 clauses (1) to (4), if the act was committed by an individual 23.20 other than the applicant or license holder residing in the 23.21 applicant's or license holder's home, the applicant or license 23.22 holder may seek reconsideration when the individual who 23.23 committed the act no longer resides in the home. 23.24 The disqualification periods provided under clauses (1), 23.25 (3), and (4) are the minimum applicable disqualification 23.26 periods. The commissioner may determine that an individual 23.27 should continue to be disqualified from licensure because the 23.28 license holder or applicant poses a risk of harm to a person 23.29 served by that individual after the minimum disqualification 23.30 period has passed. 23.31 (d) The commissioner shall respond in writing or by 23.32 electronic transmission to all reconsideration requests for 23.33 which the basis for the request is that the information relied 23.34 upon by the commissioner to disqualify is incorrect or 23.35 inaccurate within 30 working days of receipt of a request and 23.36 all relevant information. If the basis for the request is that 24.1 the individual does not pose a risk of harm, the commissioner 24.2 shall respond to the request within 15 working days after 24.3 receiving the request for reconsideration and all relevant 24.4 information. If the disqualification is set aside, the 24.5 commissioner shall notify the applicant or license holder in 24.6 writing or by electronic transmission of the decision. 24.7 (e) Except as provided in subdivision 3c, the 24.8 commissioner's decision to disqualify an individual, including 24.9 the decision to grant or deny a reconsideration ofrescission or 24.10 set aside a disqualification under this subdivision, or to set24.11 aside or uphold the results of the study under subdivision24.12 3this section, is the final administrative agency action and 24.13 shall not be subject to further review in a contested case under 24.14 chapter 14 involving a negative licensing actionappeal taken in 24.15 response to the disqualification or involving an accuracy and 24.16 completeness appeal under section 13.04. 24.17 Sec. 13. Minnesota Statutes 1996, section 245A.04, 24.18 subdivision 3c, is amended to read: 24.19 Subd. 3c. [CONTESTED CASE.] If a disqualification is not 24.20 set aside, a person who , on or after the effective date of rules24.21 adopted under subdivision 3, paragraph (i),is an employee of an 24.22 employer, as defined in section 179A.03, subdivision 15, may 24.23 request a contested case hearing under chapter 14. Rules 24.24 adopted under this chapter may not preclude an employee in a 24.25 contested case hearing for disqualification from submitting 24.26 evidence concerning information gathered under subdivision 3, 24.27 paragraph (e). 24.28 Sec. 14. Minnesota Statutes 1996, section 245A.04, is 24.29 amended by adding a subdivision to read: 24.30 Subd. 3d. [DISQUALIFICATION.] When a background study 24.31 completed under subdivision 3 shows any of the following: a 24.32 conviction of one or more crimes listed in clauses (1) to (4); 24.33 the individual has admitted to or a preponderance of the 24.34 evidence indicates the individual has committed an act or acts 24.35 that meet the definition of any of the crimes listed in clauses 24.36 (1) to (4); or an administrative determination listed under 25.1 clause (4), the individual shall be disqualified from any 25.2 position allowing direct contact with persons receiving services 25.3 from the license holder: 25.4 (1) regardless of how much time has passed since the 25.5 discharge of the sentence imposed for the offense, and unless 25.6 otherwise specified, regardless of the level of the conviction, 25.7 the individual was convicted of any of the following offenses: 25.8 sections 609.185 (murder in the first degree); 609.19 (murder in 25.9 the second degree); 609.195 (murder in the third degree); 25.10 609.2661 (murder of an unborn child in the first degree); 25.11 609.2662 (murder of an unborn child in the second degree); 25.12 609.2663 (murder of an unborn child in the third degree); 25.13 609.322 (solicitation, inducement, and promotion of 25.14 prostitution); 609.323 (receiving profit derived from 25.15 prostitution); 609.342 (criminal sexual conduct in the first 25.16 degree); 609.343 (criminal sexual conduct in the second degree); 25.17 609.344 (criminal sexual conduct in the third degree); 609.345 25.18 (criminal sexual conduct in the fourth degree); 609.352 25.19 (solicitation of children to engage in sexual conduct); 609.365 25.20 (incest); felony offense under 609.377 (malicious punishment of 25.21 a child); 617.246 (use of minors in sexual performance 25.22 prohibited); 617.247 (possession of pictorial representations of 25.23 minors); or attempt or conspiracy to commit any of these 25.24 offenses as defined in Minnesota Statutes, or an offense in any 25.25 other state or country, where the elements are substantially 25.26 similar to any of the offenses listed in this clause; 25.27 (2) if less than 15 years have passed since the discharge 25.28 of the sentence imposed for the offense; and the individual has 25.29 received a felony conviction for a violation of any of these 25.30 offenses: sections 609.20 (manslaughter in the first degree); 25.31 609.205 (manslaughter in the second degree); 609.21 (criminal 25.32 vehicular homicide and injury); 609.215 (suicide); 609.221 to 25.33 609.2231 (assault in the first, second, third, or fourth 25.34 degree); repeat offenses under 609.224 (assault in the fifth 25.35 degree); 609.2242 and 609.2243 (domestic assault; sentencing; 25.36 repeat domestic assault); repeat offenses under 609.3451 26.1 (criminal sexual conduct in the fifth degree); 609.713 26.2 (terroristic threats); 609.235 (use of drugs to injure or 26.3 facilitate crime); 609.24 (simple robbery); 609.245 (aggravated 26.4 robbery); 609.25 (kidnapping); 609.255 (false imprisonment); 26.5 609.561 (arson in the first degree); 609.562 (arson in the 26.6 second degree); 609.563 (arson in the third degree); repeat 26.7 offenses under 617.23 (indecent exposure; penalties); repeat 26.8 offenses under 617.241 (obscene materials and performances; 26.9 distribution and exhibition prohibited; penalty); 609.71 (riot); 26.10 609.66 (dangerous weapons); 609.67 (machine guns and 26.11 short-barreled shotguns); 609.749 (harassment; stalking; 26.12 penalties); 609.228 (great bodily harm caused by distribution of 26.13 drugs); 609.2325 (criminal abuse of a vulnerable adult); 26.14 609.2664 (manslaughter of an unborn child in the first degree); 26.15 609.2665 (manslaughter of an unborn child in the second degree); 26.16 609.267 (assault of an unborn child in the first degree); 26.17 609.2671 (assault of an unborn child in the second degree); 26.18 609.268 (injury or death of an unborn child in the commission of 26.19 a crime); 609.378 (neglect or endangerment of a child); 609.324, 26.20 subdivision 1 (other prohibited acts); 609.52 (theft); 609.2335 26.21 (financial exploitation of a vulnerable adult); 609.521 26.22 (possession of shoplifting gear); 609.582 (burglary); 609.625 26.23 (aggravated forgery); 609.63 (forgery); 609.631 (check forgery; 26.24 offering a forged check); 609.635 (obtaining signature by false 26.25 pretense); 609.27 (coercion); 609.275 (attempt to coerce); 26.26 609.687 (adulteration); 260.221 (grounds for termination of 26.27 parental rights); and chapter 152 (drugs; controlled 26.28 substance). An attempt or conspiracy to commit any of these 26.29 offenses, as each of these offenses is defined in Minnesota 26.30 Statutes; or an offense in any other state or country, the 26.31 elements of which are substantially similar to the elements of 26.32 the offenses in this clause. If the individual studied is 26.33 convicted of one of the felonies listed in this clause, but the 26.34 sentence is a gross misdemeanor or misdemeanor disposition, the 26.35 look-back period for the conviction is the period applicable to 26.36 the disposition, that is the period for gross misdemeanors or 27.1 misdemeanors; 27.2 (3) if less than ten years have passed since the discharge 27.3 of the sentence imposed for the offense; and the individual has 27.4 received a gross misdemeanor conviction for a violation of any 27.5 of the following offenses: sections 609.224 (assault in the 27.6 fifth degree); 609.2242 and 609.2243 (domestic assault); 27.7 violation of an order for protection under 518B.01, subdivision 27.8 14; 609.3451 (criminal sexual conduct in the fifth degree); 27.9 repeat offenses under 609.746 (interference with privacy); 27.10 repeat offenses under 617.23 (indecent exposure); 617.241 27.11 (obscene materials and performances); 617.243 (indecent 27.12 literature, distribution); 617.293 (harmful materials; 27.13 dissemination and display to minors prohibited); 609.71 (riot); 27.14 609.66 (dangerous weapons); 609.749 (harassment; stalking; 27.15 penalties); 609.224, subdivision 2, paragraph (c) (assault in 27.16 the fifth degree by a caregiver against a vulnerable adult); 27.17 609.23 (mistreatment of persons confined); 609.231 (mistreatment 27.18 of residents or patients); 609.2325 (criminal abuse of a 27.19 vulnerable adult); 609.233 (criminal neglect of a vulnerable 27.20 adult); 609.2335 (financial exploitation of a vulnerable adult); 27.21 609.234 (failure to report maltreatment of a vulnerable adult); 27.22 609.72, subdivision 3 (disorderly conduct against a vulnerable 27.23 adult); 609.265 (abduction); 609.378 (neglect or endangerment of 27.24 a child); 609.377 (malicious punishment of a child); 609.324, 27.25 subdivision 1a (other prohibited acts; minor engaged in 27.26 prostitution); 609.33 (disorderly house); 609.52 (theft); 27.27 609.582 (burglary); 609.631 (check forgery; offering a forged 27.28 check); 609.275 (attempt to coerce); or an attempt or conspiracy 27.29 to commit any of these offenses, as each of these offenses is 27.30 defined in Minnesota Statutes; or an offense in any other state 27.31 or country, the elements of which are substantially similar to 27.32 the elements of any of the offenses listed in this clause. If 27.33 the defendant is convicted of one of the gross misdemeanors 27.34 listed in this clause, but the sentence is a misdemeanor 27.35 disposition, the look-back period for the conviction is the 27.36 period applicable to misdemeanors; 28.1 (4) if less than seven years have passed since the 28.2 discharge of the sentence imposed for the offense; and the 28.3 individual has received a misdemeanor conviction for a violation 28.4 of any of the following offenses: sections 609.224 (assault in 28.5 the fifth degree); 609.2242 (domestic assault); violation of an 28.6 order for protection under 518B.01 (domestic abuse act); 28.7 violation of an order for protection under 609.3232 (protective 28.8 order authorized; procedures; penalties); 609.746 (interference 28.9 with privacy); 609.79 (obscene or harassing phone calls); 28.10 609.795 (letter, telegram, or package; opening; harassment); 28.11 617.23 (indecent exposure; penalties); 609.2672 (assault of an 28.12 unborn child in the third degree); 617.293 (harmful materials; 28.13 dissemination and display to minors prohibited); 609.66 28.14 (dangerous weapons); 609.665 (spring guns); 609.2335 (financial 28.15 exploitation of a vulnerable adult); 609.234 (failure to report 28.16 maltreatment of a vulnerable adult); 609.52 (theft); 609.27 28.17 (coercion); or an attempt or conspiracy to commit any of these 28.18 offenses, as each of these offenses is defined in Minnesota 28.19 Statutes; or an offense in any other state or country, the 28.20 elements of which are substantially similar to the elements of 28.21 any of the offenses listed in this clause; failure to make 28.22 required reports under section 626.556, subdivision 3, or 28.23 626.557, subdivision 3, for incidents in which: (i) the final 28.24 disposition under section 626.556 or 626.557 was substantiated 28.25 maltreatment, and (ii) the maltreatment was recurring or 28.26 serious; or substantiated serious or recurring maltreatment of a 28.27 minor under section 626.556 or of a vulnerable adult under 28.28 section 626.557 for which there is a preponderance of evidence 28.29 that the maltreatment occurred, and that the subject was 28.30 responsible for the maltreatment. For the purposes of this 28.31 section, serious maltreatment means sexual abuse; maltreatment 28.32 resulting in death; or maltreatment resulting in serious injury 28.33 which reasonably requires the care of a physician whether or not 28.34 the care of a physician was sought, including: bruises, bites, 28.35 skin laceration or tissue damage; fractures; dislocations; 28.36 evidence of internal injuries; head injuries with loss of 29.1 consciousness; extensive second-degree or third-degree burns and 29.2 other burns for which complications are present; irreversible 29.3 mobility or avulsion of teeth; injuries to the eyeball; 29.4 ingestion of foreign substances and objects that are harmful; 29.5 near drowning; and heat exhaustion or sunstroke. For the 29.6 purposes of this section, recurring maltreatment means more than 29.7 one incident of maltreatment for which there is a preponderance 29.8 of evidence that the maltreatment occurred, and that the subject 29.9 was responsible for the maltreatment. 29.10 Sec. 15. Minnesota Statutes 1996, section 245A.04, 29.11 subdivision 4, is amended to read: 29.12 Subd. 4. [INSPECTIONS; WAIVER.] (a) Before issuing aan 29.13 initial license, the commissioner shall conduct an inspection of 29.14 the program. The inspection must include but is not limited to: 29.15 (1) an inspection of the physical plant; 29.16 (2) an inspection of records and documents; 29.17 (3) an evaluation of the program by consumers of the 29.18 program; and 29.19 (4) observation of the program in operation. 29.20 For the purposes of this subdivision, "consumer" means a 29.21 person who receives the services of a licensed program, the 29.22 person's legal guardian, or the parent or individual having 29.23 legal custody of a child who receives the services of a licensed 29.24 program. 29.25 (b) The evaluation required in paragraph (a), clause (3) or 29.26 the observation in paragraph (a), clause (4) is not required 29.27 prior to issuing a provisionalan initial license under 29.28 subdivision 7. If the commissioner issues a provisionalan 29.29 initial license under subdivision 7, these requirements must be 29.30 completed within one year after the issuance of a provisionalan 29.31 initial license. The observation in paragraph (a), clause (4)29.32 is not required if the commissioner determines that the29.33 observation would hinder the persons receiving services in29.34 benefiting from the program.29.35 Sec. 16. Minnesota Statutes 1996, section 245A.04, 29.36 subdivision 5, is amended to read: 30.1 Subd. 5. [COMMISSIONER'S RIGHT OF ACCESS.] When the 30.2 commissioner is exercising the powers conferred by sections30.3 245A.01 to 245A.15this chapter, the commissioner must be given 30.4 access to the physical plant and grounds where the program is 30.5 provided, documents, persons served by the program, and staff 30.6 whenever the program is in operation and the information is 30.7 relevant to inspections or investigations conducted by the 30.8 commissioner. The commissioner must be given access without 30.9 prior notice and as often as the commissioner considers 30.10 necessary if the commissioner is conducting an investigation of 30.11 allegations of abuse, neglect,maltreatment ,or other violation 30.12 of applicable laws or rules. In conducting inspections, the 30.13 commissioner may request and shall receive assistance from other 30.14 state, county, and municipal governmental agencies and 30.15 departments. The applicant or license holder shall allow the 30.16 commissioner to photocopy, photograph, and make audio and video 30.17 tape recordings during the inspection of the program at the 30.18 commissioner's expense. The commissioner shall obtain a court 30.19 order or the consent of the subject of the records or the 30.20 parents or legal guardian of the subject before photocopying 30.21 hospital medical records. 30.22 Persons served by the program have the right to refuse to 30.23 consent to be interviewed, photographed, or audio or videotaped. 30.24 Failure or refusal of an applicant or license holder to fully 30.25 comply with this subdivision is reasonable cause for the 30.26 commissioner to deny the application or immediately suspend or 30.27 revoke the license. 30.28 Sec. 17. Minnesota Statutes 1996, section 245A.04, 30.29 subdivision 6, is amended to read: 30.30 Subd. 6. [COMMISSIONER'S EVALUATION.] Before granting, 30.31 suspending, revoking, or making probationaryconditional a 30.32 license, the commissioner shall evaluate information gathered 30.33 under this section. The commissioner's evaluation shall 30.34 consider facts, conditions, or circumstances concerning the 30.35 program's operation, the well-being of persons served by the 30.36 program, available consumer evaluations of the program, and 31.1 information about the qualifications of the personnel employed 31.2 by the applicant or license holder. 31.3 The commissioner shall evaluate the results of the study 31.4 required in subdivision 3 and determine whether a risk of harm 31.5 to the persons served by the program exists. In conducting this 31.6 evaluation, the commissioner shall apply the disqualification 31.7 standards set forth in rules adopted under this chapter. Prior31.8 to the adoption of rules establishing disqualification31.9 standards, the commissioner shall forward the proposed rules to31.10 the commissioner of human rights for review and recommendation31.11 concerning the protection of individual rights. The31.12 recommendation of the commissioner of human rights is not31.13 binding on the commissioner of human services.31.14 Sec. 18. Minnesota Statutes 1996, section 245A.04, 31.15 subdivision 7, is amended to read: 31.16 Subd. 7. [ISSUANCE OF A LICENSE; PROVISIONALEXTENSION OF 31.17 A LICENSE.] (a) If the commissioner determines that the program 31.18 complies with all applicable rules and laws, the commissioner 31.19 shall issue a license. At minimum, the license shall state: 31.20 (1) the name of the license holder; 31.21 (2) the address of the program; 31.22 (3) the effective date and expiration date of the license; 31.23 (4) the type of license; 31.24 (5) the maximum number and ages of persons that may receive 31.25 services from the program; and 31.26 (6) any special conditions of licensure. 31.27 (b) The commissioner may issue a provisionalan initial 31.28 license for a period not to exceed one yeartwo years if: 31.29 (1) the commissioner is unable to conduct the evaluation or 31.30 observation required by subdivision 4, paragraph (a), clauses (3) 31.31 and (4), because the program is not yet operational; 31.32 (2) certain records and documents are not available because 31.33 persons are not yet receiving services from the program; and 31.34 (3) the applicant complies with applicable laws and rules 31.35 in all other respects. 31.36 A provisional license must not be issued except at the time that32.1 a license is first issued to an applicant.32.2 (c) A decision by the commissioner to issue a license does 32.3 not guarantee that any person or persons will be placed or cared 32.4 for in the licensed program. A license shall not be 32.5 transferable to another individual, corporation, partnership, 32.6 voluntary association, other organization, or controlling or to 32.7 another location. 32.8 For purposes of reimbursement for meals only, under the 32.9 Child and Adult Care Food Program, Code of Federal Regulations, 32.10 title 7, subtitle B, chapter II, subchapter A, part 226, 32.11 relocation within the same county by a licensed family day care 32.12 provider, shall be considered an extension of the license for a 32.13 period of no more than 30 calendar days or until the new license 32.14 is issued, whichever occurs first, provided the county agency 32.15 has determined the family day care provider meets licensure 32.16 requirements at the new location. 32.17 Unless otherwise specified by statute, all licenses expire 32.18 at 12:01 a.m. on the day after the expiration date stated on the 32.19 license. A license holder must apply for and be granted a new 32.20 license to operate the program or the program must not be 32.21 operated after the expiration date. 32.22 Sec. 19. Minnesota Statutes 1996, section 245A.06, 32.23 subdivision 1, is amended to read: 32.24 Subdivision 1. [CONTENTS OF CORRECTION ORDERS OR FINES.] 32.25 (a) If the commissioner finds that the applicant or license 32.26 holder has failed to comply with an applicable law or rule and 32.27 this failure does not imminently endanger the health, safety, or 32.28 rights of the persons served by the program, the commissioner 32.29 may issue a correction order to or impose a fine on the 32.30 applicant or license holder. The correction order or fine must 32.31 state: 32.32 (1) the conditions that constitute a violation of the law 32.33 or rule; 32.34 (2) the specific law or rule violated; and32.35 (3) the time allowed to correct each violation; and 32.36 (4) if a fine is imposed, the amount of the fine. 33.1 (b) Nothing in this section prohibits the commissioner from 33.2 proposing a sanction as specified in section 245A.07, prior to 33.3 issuing a correction order or fine. 33.4 Sec. 20. Minnesota Statutes 1996, section 245A.06, 33.5 subdivision 3, is amended to read: 33.6 Subd. 3. [FAILURE TO COMPLY.] If upon reinspection,the 33.7 commissioner finds that the applicant or license holder has not 33.8 corrected the violations specified in the correction order, the 33.9 commissioner may orderimpose a fine. If a fine was imposed and 33.10 the violation was not corrected, the commissioner may impose an 33.11 additional fine. This section does not prohibit the 33.12 commissioner from seeking a court order, denying an application, 33.13 or suspending, revoking, or making probationaryconditional the 33.14 license in addition to orderingimposing a fine. 33.15 Sec. 21. Minnesota Statutes 1996, section 245A.06, 33.16 subdivision 4, is amended to read: 33.17 Subd. 4. [NOTICE OF FINE; APPEALRECONSIDERATION OF FINE.] 33.18 A license holder who is ordered to pay a fine must be notified 33.19 of the order by certified mail. The notice must be mailed to 33.20 the address shown on the application or the last known address 33.21 of the license holder. The notice must state the reasons the 33.22 fine was ordered and must inform the license holder of the 33.23 responsibility for payment of fines in subdivision 7 and the 33.24 right to a contested case hearing under chapter 14request 33.25 reconsideration of the fine. The license holder may appeal33.26 request reconsideration of the order to forfeit a fine by 33.27 notifying the commissioner by certified mail within 1520 33.28 calendar days after receiving the order. A timely appeal33.29 request for reconsideration shall stay forfeiture of the fine 33.30 until the commissioner issues a final order under section33.31 245A.08, subdivision 5decision on the request for 33.32 reconsideration. The request for reconsideration must be in 33.33 writing and: 33.34 (1) specify the parts of the violation that are alleged to 33.35 be in error; 33.36 (2) explain why they are in error; 34.1 (3) include documentation to support the allegation of 34.2 error; and 34.3 (4) any other information relevant to the fine or the 34.4 amount of the fine. 34.5 The commissioner's disposition of a request for 34.6 reconsideration is final and not subject to appeal under chapter 34.7 14. 34.8 Sec. 22. Minnesota Statutes 1996, section 245A.06, 34.9 subdivision 5, is amended to read: 34.10 Subd. 5. [FORFEITURE OF FINES.] The license holder shall 34.11 pay the fines assessed on or before the payment date specified 34.12 in the commissioner's order. If the license holder fails to 34.13 fully comply with the order, the commissioner shall issue a 34.14 second fine or suspend the license until the license holder 34.15 complies. If the license holder receives state funds, the 34.16 state, county, or municipal agencies or departments responsible 34.17 for administering the funds shall withhold payments and recover 34.18 any payments made while the license is suspended for failure to 34.19 pay a fine. 34.20 Sec. 23. Minnesota Statutes 1996, section 245A.06, 34.21 subdivision 5a, is amended to read: 34.22 Subd. 5a. [ACCRUAL OF FINES.] A license holder shall 34.23 promptly notify the commissioner of human services, in writing, 34.24 when a violation specified in an order to forfeit is corrected. 34.25 A fine assessed for a violation shall stop accruing when the34.26 commissioner receives the written notice. The commissioner34.27 shall reinspect the program within three working days after34.28 receiving the notice.If upon reinspection the commissioner 34.29 determines that a violation has not been corrected as indicated 34.30 by the order to forfeit, accrual of the daily fine resumes on34.31 the date of reinspection and the amount of fines that otherwise34.32 would have accrued between the date the commissioner received34.33 the notice and date of the reinspection is added to the total34.34 assessment due from the license holderthe commissioner may 34.35 issue a second fine. The commissioner shall notify the license 34.36 holder by certified mail that accrual of thea second fine has 35.1 resumedbeen assessed. The license holder may challenge the35.2 resumption in a contested case under chapter 14 by written35.3 request within 15 days after receipt of the notice of resumption.35.4 Recovery of the resumed fine must be stayed if a controlling35.5 individual or a legal representative on behalf of the license35.6 holder makes a written request for a hearing. The request for35.7 hearing, however, may not stay accrual of the daily fine for35.8 violations that have not been corrected. The cost of35.9 reinspection conducted under this subdivision for uncorrected35.10 violations must be added to the total amount of accrued fines35.11 due from the license holderrequest reconsideration of the 35.12 second fine under the provisions of subdivision 4. 35.13 Sec. 24. Minnesota Statutes 1996, section 245A.06, 35.14 subdivision 6, is amended to read: 35.15 Subd. 6. [AMOUNT OF FINES.] Until the commissioner adopts35.16 one or more schedules of fines,Fines shall be assessed as 35.17 follows: 35.18 (1) the license holder shall forfeit $1,000 for each 35.19 occurrence of violation of law or rule prohibiting the 35.20 maltreatment of children or the abuse, neglect, or exploitation35.21 maltreatment of vulnerable adults, including but not limited to 35.22 corporal punishment, illegal or unauthorized use of physical, 35.23 mechanical, or chemical restraints, and illegal or unauthorized 35.24 use of aversive or deprivation procedures; 35.25 (2) the license holder shall forfeit $200 for each 35.26 occurrence of a violation of law or rule governing matters of 35.27 health, safety, or supervision, including but not limited to the 35.28 provision of adequate staff to child or adult ratios , except35.29 that the holder of a family or group family day care license35.30 shall forfeit $100 for a violation under this clause; and 35.31 (3) the license holder shall forfeit $100 for each 35.32 occurrence of a violation of law or rule other than those 35.33 included in clauses (1) and (2) , except that the holder of a35.34 family or group family day care license shall forfeit $50 for a35.35 violation under this clause. 35.36 For the purposes of this section, "occurrence" means each 36.1 calendar day or part of a day that aviolation continues to36.2 exist after the date set for correctionidentified in the 36.3 commissioner's correctionforfeiture order. 36.4 Sec. 25. Minnesota Statutes 1996, section 245A.06, 36.5 subdivision 7, is amended to read: 36.6 Subd. 7. [RESPONSIBILITY FOR PAYMENT OF FINES.] When a 36.7 fine has been assessed, the license holder may not avoid payment 36.8 by closing, selling, or otherwise transferring the licensed 36.9 program to a third party. In such an event, the license holder 36.10 will be personally liable for payment. In the case of a 36.11 corporation, each controlling individual is personally and 36.12 jointly liable for payment. 36.13 Fines for child care centers must be assessed according to 36.14 this section. 36.15 Sec. 26. Minnesota Statutes 1996, section 245A.07, 36.16 subdivision 1, is amended to read: 36.17 Subdivision 1. [SANCTIONS AVAILABLE.] In addition to 36.18 ordering forfeiture of fines, the commissioner may propose to 36.19 suspend, revoke, or make probationaryconditional the license or 36.20 secure an injunction against the continuing operation of the 36.21 program of a license holder who does not comply with applicable 36.22 law or rule. When applying sanctions authorized under this 36.23 section, the commissioner shall consider the nature, chronicity, 36.24 or severity of the violation of law or rule and the effect of 36.25 the violation on the health, safety, or rights of persons served 36.26 by the program. 36.27 Sec. 27. Minnesota Statutes 1996, section 245A.07, 36.28 subdivision 3, is amended to read: 36.29 Subd. 3. [SUSPENSION, REVOCATION, PROBATIONDENIAL OF 36.30 CONDITIONAL LICENSE.] The commissioner may suspend, revoke, or36.31 make probationaryconditional, or deny a license if an applicant 36.32 or a license holder fails to comply fully with applicable laws 36.33 or rules, or knowingly withholds relevant information from or 36.34 gives false or misleading information to the commissioner in 36.35 connection with an application for a license or during an 36.36 investigation. A license holder who has had a license 37.1 suspended, revoked, or made probationaryconditional must be 37.2 given notice of the action by certified mail. The notice must 37.3 be mailed to the address shown on the application or the last 37.4 known address of the license holder. The notice must state the 37.5 reasons the license was suspended, revoked, or made probationary37.6 conditional. 37.7 (a) If the license was suspended or revoked, the notice 37.8 must inform the license holder of the right to a contested case 37.9 hearing under chapter 14. The license holder may appeal an 37.10 order suspending or revoking a license. The appeal of an order 37.11 suspending or revoking a license must be made in writing by 37.12 certified mail and must be received by the commissioner within 37.13 ten calendar days after the license holder receives notice that 37.14 the license has been suspended or revoked. 37.15 (b) If the license was made probationaryconditional, the 37.16 notice must inform the license holder of the right to request a 37.17 reconsideration by the commissioner. The request for 37.18 reconsideration must be made in writing by certified mail and 37.19 must be received by the commissioner within ten calendar days 37.20 after the license holder receives notice that the license has 37.21 been made probationaryconditional. The license holder may 37.22 submit with the request for reconsideration written argument or 37.23 evidence in support of the request for reconsideration. The 37.24 commissioner's disposition of a request for reconsideration is 37.25 final and is not subject to appeal under chapter 14. 37.26 Sec. 28. Minnesota Statutes 1996, section 245A.08, 37.27 subdivision 1, is amended to read: 37.28 Subdivision 1. [RECEIPT OF APPEAL; CONDUCT OF HEARING.] 37.29 Upon receiving a timely appeal or petition pursuant to 37.30 sectionssection 245A.05 toor 245A.07, the commissioner shall 37.31 issue a notice of and order for hearing to the appellant under 37.32 chapter 14. 37.33 Sec. 29. Minnesota Statutes 1996, section 245A.08, 37.34 subdivision 2, is amended to read: 37.35 Subd. 2. [CONDUCT OF HEARINGS.] At any hearing provided 37.36 for by sectionssection 245A.05 toor 245A.07, the appellant may 38.1 be represented by counsel and has the right to call, examine, 38.2 and cross-examine witnesses. The administrative law judge may 38.3 require the presence of witnesses and evidence by subpoena on 38.4 behalf of any party. 38.5 Sec. 30. Minnesota Statutes 1996, section 245A.09, 38.6 subdivision 7, is amended to read: 38.7 Subd. 7. [REGULATORY METHODS.] (a) Where appropriate and 38.8 feasible the commissioner shall identify and implement 38.9 alternative methods of regulation and enforcement to the extent 38.10 authorized in this subdivision. These methods shall include: 38.11 (1) expansion of the types and categories of licenses that 38.12 may be granted; 38.13 (2) when the standards of another state or federal 38.14 governmental agency or an independent accreditation body have 38.15 been shown to predict compliance with the rules, the 38.16 commissioner shall consider compliance with the governmental or 38.17 accreditation standards to be equivalent to partial compliance 38.18 with the rules; and 38.19 (3) use of an abbreviated inspection that employs key 38.20 standards that have been shown to predict full compliance with 38.21 the rules. 38.22 For programs and services for people with developmental38.23 disabilities, the commissioner of human services shall develop38.24 demonstration projects to use the standards of the commission on38.25 accreditation of rehabilitation facilities and the standards of38.26 the accreditation council on services to persons with38.27 disabilities during the period of July 1, 1993 to December 31,38.28 1994, and incorporate the alternative use of these standards and38.29 methods in licensing rules where appropriate. If the38.30 commissioner determines that the methods in clause (2) or (3)38.31 can be used in licensing a program, the commissioner may reduce38.32 any fee set under section 245A.10 by up to 50 percent. The38.33 commissioner shall present a plan by January 31, 1995, to accept38.34 accreditation by either the accreditation council on services to38.35 people with disabilities or the commission on the accreditation38.36 of rehabilitation services as evidence of being in compliance39.1 where applicable with state licensing.39.2 (b) The commissioner shall work with the commissioners of 39.3 health, public safety, administration, and children, families, 39.4 and learning in consolidating duplicative licensing and 39.5 certification rules and standards if the commissioner determines 39.6 that consolidation is administratively feasible, would 39.7 significantly reduce the cost of licensing, and would not reduce 39.8 the protection given to persons receiving services in licensed 39.9 programs. Where administratively feasible and appropriate, the 39.10 commissioner shall work with the commissioners of health, public 39.11 safety, administration, and children, families, and learning in 39.12 conducting joint agency inspections of programs. 39.13 (c) The commissioner shall work with the commissioners of 39.14 health, public safety, administration, and children, families, 39.15 and learning in establishing a single point of application for 39.16 applicants who are required to obtain concurrent licensure from 39.17 more than one of the commissioners listed in this clause. 39.18 (d) The commissioner may specify in rule periods of 39.19 licensure up to two years. 39.20 Sec. 31. Minnesota Statutes 1996, section 245A.11, 39.21 subdivision 2, is amended to read: 39.22 Subd. 2. [PERMITTED SINGLE-FAMILY RESIDENTIAL USE.] 39.23 Residential programs with a licensed capacity of six or fewer 39.24 persons shall be considered a permitted single-family 39.25 residential use of property for the purposes of zoning and other 39.26 land use regulations, except that a residential program whose 39.27 primary purpose is to treat juveniles who have violated criminal 39.28 statutes relating to sex offenses or have been adjudicated 39.29 delinquent on the basis of conduct in violation of criminal 39.30 statutes relating to sex offenses shall not be considered a 39.31 permitted use. This exception shall not apply to residential 39.32 programs licensed before July 1, 1995. Programs otherwise 39.33 allowed under this subdivision shall not be prohibited by 39.34 operation of restrictive covenants or similar restrictions, 39.35 regardless of when entered into, which cannot be met because of 39.36 the nature of the licensed program, including provisions which 40.1 require the home's occupants be related, and that the home must 40.2 be occupied by the owner, or similar provisions. 40.3 Sec. 32. Minnesota Statutes 1996, section 245A.16, 40.4 subdivision 2, is amended to read: 40.5 Subd. 2. [INVESTIGATIONS.] (a) The county or private 40.6 agency shall conduct timely investigations of allegations of 40.7 abuse or neglectmaltreatment of children or adults in programs 40.8 for which the county or private agency is the commissioner's 40.9 designated representative and record a disposition of each 40.10 complaint in accordance with applicable law or rule. The county 40.11 or private agency shall conduct similar investigations of 40.12 allegations of violations of rules governing licensure of the 40.13 program. 40.14 (b) If an investigation conducted under clause (a) results 40.15 in evidence that the commissioner should deny an application or 40.16 suspend, revoke, or make probationaryconditional a license, the 40.17 county or private agency shall make that recommendation to the 40.18 commissioner within ten working days. 40.19 Sec. 33. [245A.22] [INDEPENDENT LIVING ASSISTANCE FOR 40.20 YOUTH.] 40.21 Subdivision 1. [INDEPENDENT LIVING ASSISTANCE FOR 40.22 YOUTH.] "Independent living assistance for youth" means a 40.23 nonresidential program that provides a system of services that 40.24 includes training, counseling, instruction, supervision, and 40.25 assistance provided to youth according to the youth's 40.26 independent living plan, when the placements in the program are 40.27 made by the county agency. Services may include assistance in 40.28 locating housing, budgeting, meal preparation, shopping, 40.29 personal appearance, counseling, and related social support 40.30 services needed to meet the youth's needs and improve the 40.31 youth's ability to conduct such tasks independently. Such 40.32 services shall not extend to youths needing 24-hour per day 40.33 supervision and services. Youths needing a 24-hour per day 40.34 program of supervision and services shall not be accepted or 40.35 retained in an independent living assistance program. 40.36 Subd. 2. [ADMISSION.] The license holder shall accept as 41.1 clients in the independent living assistance program only 41.2 individuals specified under section 256E.115. 41.3 Subd. 3. [INDEPENDENT LIVING PLAN.] Unless an independent 41.4 living plan has been developed by the local agency, the license 41.5 holder shall develop a plan based on the client's individual 41.6 needs that specifies objectives for the client. The services 41.7 provided shall include those specified in this section and the 41.8 services specified under section 256E.115, subdivision 2, 41.9 paragraph (a). The plan shall identify the persons responsible 41.10 for implementation of each part of the plan. The plan shall be 41.11 reviewed as necessary, but at least annually. 41.12 Subd. 4. [RECORDS.] The license holder shall maintain a 41.13 record for each client. 41.14 (a) [REQUIRED RECORDS.] For each client the record 41.15 maintained by the license holder shall document the following: 41.16 (1) admission information; 41.17 (2) the independent living plan; 41.18 (3) delivery of the services required of the license holder 41.19 in the independent living plan; 41.20 (4) the client's progress toward obtaining the objectives 41.21 identified in the independent living plan; and 41.22 (5) a termination summary after service is terminated. 41.23 (b) [MONEY RECORDS.] If the license holder manages the 41.24 client's money, the record maintained by the license holder 41.25 shall also include the following: 41.26 (1) written permission from the client or the client's 41.27 legal guardian to manage the client's money; 41.28 (2) the reasons the license holder is to manage the 41.29 client's money; and 41.30 (3) a complete record of the use of the client's money and 41.31 reconciliation of the account. 41.32 Subd. 5. [SERVICE TERMINATION PLAN.] The license holder, 41.33 in conjunction with the county agency, shall establish a service 41.34 termination plan that specifies how independent living 41.35 assistance services will be terminated and the actions to be 41.36 performed by the involved agencies, including necessary 42.1 referrals for other ongoing services. 42.2 Subd. 6. [PLACE OF RESIDENCE PROVIDED BY PROGRAM.] When a 42.3 client's place of residence is provided by the license holder as 42.4 part of the independent living assistance program, the place of 42.5 residence is not subject to separate licensure. 42.6 Subd. 7. [GENERAL LICENSING REQUIREMENTS APPLY.] In 42.7 addition to the requirements of this section, providers of 42.8 independent living assistance are subject to general licensing 42.9 requirements of this chapter. 42.10 Sec. 34. [245A.65] [LICENSE HOLDER REQUIREMENTS GOVERNING 42.11 MALTREATMENT OF VULNERABLE ADULTS.] 42.12 Subdivision 1. [LICENSE HOLDER INTERNAL REPORTING AND 42.13 INVESTIGATION OF MALTREATMENT.] All license holders serving 42.14 vulnerable adults shall establish and enforce written policies 42.15 and procedures related to suspected or alleged maltreatment, and 42.16 shall orient clients and mandated reporters who are under the 42.17 control of the license holder to these procedures, as defined in 42.18 section 626.5572, subdivision 16. 42.19 (a) License holders must establish policies and procedures 42.20 allowing but not mandating the internal reporting of alleged or 42.21 suspected maltreatment. License holders shall ensure that the 42.22 policies and procedures on internal reporting: 42.23 (1) meet all the requirements identified for the optional 42.24 internal reporting policies and procedures in section 626.557, 42.25 subdivision 4a; and 42.26 (2) identify the primary and secondary person or position 42.27 to whom internal reports may be made and the primary and 42.28 secondary person or position responsible for forwarding internal 42.29 reports to the common entry point as defined in section 42.30 626.5572, subdivision 5. The secondary person must be involved 42.31 when there is reason to believe that the primary person was 42.32 involved in the alleged or suspected maltreatment. 42.33 (b) The license holder shall: 42.34 (1) establish and maintain policies and procedures to 42.35 ensure that an internal review is completed when the facility 42.36 has reason to know that an internal or external report of 43.1 alleged or suspected maltreatment has been made. The review 43.2 must include an evaluation of whether related policies and 43.3 procedures were followed, whether the policies and procedures 43.4 were adequate, whether there is a need for additional staff 43.5 training, and whether there is a need for any further action to 43.6 be taken by the facility to protect the health and safety of 43.7 vulnerable adults; 43.8 (2) identify the primary and secondary person or position 43.9 who will ensure that, when required, internal reviews are 43.10 completed. The secondary person shall be involved when there is 43.11 reason to believe that the primary person was involved in the 43.12 alleged or suspected maltreatment; and 43.13 (3) document and make internal reviews accessible to the 43.14 commissioner upon the commissioner's request. 43.15 (c) The license holder shall provide an orientation to the 43.16 internal and external reporting procedures to all persons 43.17 receiving services. The orientation shall include the telephone 43.18 number for the license holder's common entry point as defined in 43.19 section 626.5572, subdivision 5. If applicable, the person's 43.20 legal representative must be notified of the orientation. The 43.21 program shall provide this orientation for each new person 43.22 within 24 hours of admission, or for persons who would benefit 43.23 more from a later orientation, the orientation may take place 43.24 within 72 hours. 43.25 (d) The license holder shall post a copy of the internal 43.26 and external reporting policies and procedures, including the 43.27 telephone number of the common entry point as defined in section 43.28 626.5572, subdivision 5, in a prominent location in the program 43.29 and have it available upon request to mandated reporters, 43.30 persons receiving services, and the person's legal 43.31 representatives. 43.32 Subd. 2. [ABUSE PREVENTION PLANS.] All license holders 43.33 shall establish and enforce ongoing written program abuse 43.34 prevention plans and individual abuse prevention plans as 43.35 required under section 626.557, subdivision 14. 43.36 (a) The scope of the program abuse prevention plan is 44.1 limited to the population, physical plant, and environment 44.2 within the control of the license holder and the location where 44.3 licensed services are provided. In addition to the requirements 44.4 in section 626.557, subdivision 14, the program abuse prevention 44.5 plan shall meet the requirements in clauses (1) to (5). 44.6 (1) The assessment of the population shall include an 44.7 evaluation of the following factors: age, gender, mental 44.8 functioning, physical and emotional health or behavior of the 44.9 client; the need for specialized programs of care for clients; 44.10 the need for training of staff to meet identified individual 44.11 needs; and the knowledge a license holder may have regarding 44.12 previous abuse that is relevant to minimizing risk of abuse for 44.13 clients. 44.14 (2) The assessment of the physical plant where the licensed 44.15 services are provided shall include an evaluation of the 44.16 following factors: the condition and design of the building as 44.17 it relates to the safety of the clients; and the existence of 44.18 areas in the building which are difficult to supervise. 44.19 (3) The assessment of the environment for each facility and 44.20 for each site when living arrangements are provided by the 44.21 agency shall include an evaluation of the following factors: 44.22 the location of the program in a particular neighborhood or 44.23 community; the type of grounds and terrain surrounding the 44.24 building; the type of internal programming; and the program's 44.25 staffing patterns. 44.26 (4) The license holder shall provide an orientation to the 44.27 program abuse prevention plan for clients receiving services. 44.28 If applicable, the client's legal representative must be 44.29 notified of the orientation. The license holder shall provide 44.30 this orientation for each new person within 24 hours of 44.31 admission, or for persons who would benefit more from a later 44.32 orientation, the orientation may take place within 72 hours. 44.33 (5) The license holder's governing body shall review the 44.34 plan at least annually using the assessment factors in the plan 44.35 and any substantiated maltreatment findings that occurred since 44.36 the last review. The governing body shall revise the plan, if 45.1 necessary, to reflect the review results. 45.2 (6) A copy of the program abuse prevention plan shall be 45.3 posted in a prominent location in the program and be available 45.4 upon request to mandated reporters, persons receiving services, 45.5 and legal representatives. 45.6 (b) In addition to the requirements in section 626.557, 45.7 subdivision 14, the individual abuse prevention plan shall meet 45.8 the requirements in clauses (1) and (2). 45.9 (1) The plan shall include a statement of measures that 45.10 will be taken to minimize the risk of abuse to the vulnerable 45.11 adult when the individual assessment required in section 45.12 626.557, subdivision 14, paragraph (b), indicates the need for 45.13 measures in addition to the specific measures identified in the 45.14 program abuse prevention plan. The measures shall include the 45.15 specific actions the program will take to minimize the risk of 45.16 abuse within the scope of the licensed services, and will 45.17 identify referrals made when the vulnerable adult is susceptible 45.18 to abuse outside the scope or control of the licensed services. 45.19 When the assessment indicates that the vulnerable adult does not 45.20 need specific risk reduction measures in addition to those 45.21 identified in the program abuse prevention plan, the individual 45.22 abuse prevention plan shall document this determination. 45.23 (2) An individual abuse prevention plan shall be developed 45.24 for each new person as part of the initial individual program 45.25 plan or service plan required under the applicable licensing 45.26 rule. The review and evaluation of the individual abuse 45.27 prevention plan shall be done as part of the review of the 45.28 program plan or service plan. The person receiving services 45.29 shall participate in the development of the individual abuse 45.30 prevention plan to the full extent of the person's abilities. 45.31 If applicable, the person's legal representative shall be given 45.32 the opportunity to participate with or for the person in the 45.33 development of the plan. The interdisciplinary team shall 45.34 document the review of all abuse prevention plans at least 45.35 annually, using the individual assessment and any reports of 45.36 abuse relating to the person. The plan shall be revised to 46.1 reflect the results of this review. 46.2 Subd. 3. [ORIENTATION OF MANDATED REPORTERS.] The license 46.3 holder shall ensure that each new mandated reporter, as defined 46.4 in section 626.5572, subdivision 16, who is under the control of 46.5 the license holder, receives an orientation within 72 hours of 46.6 first providing direct contact services as defined in section 46.7 245A.04, subdivision 3, to a vulnerable adult and annually 46.8 thereafter. The orientation and annual review shall inform the 46.9 mandated reporters of the reporting requirements and definitions 46.10 in sections 626.557 and 626.5572, the requirements of this 46.11 section, the license holder's program abuse prevention plan, and 46.12 all internal policies and procedures related to the prevention 46.13 and reporting of maltreatment of individuals receiving services. 46.14 Sec. 35. [245B.01] [RULE CONSOLIDATION.] 46.15 This chapter establishes new methods to ensure the quality 46.16 of services to persons with mental retardation or related 46.17 conditions, and streamlines and simplifies regulation of 46.18 services and supports for persons with mental retardation or 46.19 related conditions. Sections 245B.02 to 245B.07 establishes new 46.20 standards that eliminate duplication and overlap of regulatory 46.21 requirements by consolidating and replacing rule parts from four 46.22 program rules. Section 245B.08 authorizes the commissioner of 46.23 human services to develop and use new regulatory strategies to 46.24 maintain compliance with the streamlined requirements. 46.25 Sec. 36. [245B.02] [DEFINITIONS.] 46.26 Subdivision 1. [SCOPE.] The terms used in this chapter 46.27 have the meanings given them. 46.28 Subd. 2. [APPLICANT.] "Applicant" has the meaning given in 46.29 section 245A.02, subdivision 3. 46.30 Subd. 3. [CASE MANAGER.] "Case manager" means the 46.31 individual designated by the county board under rules of the 46.32 commissioner to provide case management services as delineated 46.33 in section 256B.092 or successor provisions. 46.34 Subd. 4. [CONSUMER.] "Consumer" means a person who has 46.35 been determined eligible to receive and is receiving services or 46.36 support for persons with mental retardation or related 47.1 conditions. 47.2 Subd. 5. [COMMISSIONER.] "Commissioner" means the 47.3 commissioner of the department of human services or the 47.4 commissioner's designated representative. 47.5 Subd. 6. [DAY TRAINING AND HABILITATION SERVICES FOR 47.6 ADULTS WITH MENTAL RETARDATION OR RELATED CONDITIONS.] "Day 47.7 training and habilitation services for adults with mental 47.8 retardation or related conditions" has the meaning given in 47.9 sections 252.40 to 252.46. 47.10 Subd. 7. [DEPARTMENT.] "Department" means the department 47.11 of human services. 47.12 Subd. 8. [DIRECT SERVICE.] "Direct service" means, for a 47.13 consumer receiving residential-based services, day training and 47.14 habilitation services, or respite care services, one or more of 47.15 the following: supervision, assistance, or training. 47.16 Subd. 9. [HEALTH SERVICES.] "Health services" means any 47.17 service or treatment consistent with the health needs of the 47.18 consumer, such as medication administration and monitoring, 47.19 medical, dental, nutritional, health monitoring, wellness 47.20 education, and exercise. 47.21 Subd. 10. [INCIDENT.] "Incident" means any serious injury 47.22 as determined by section 245.91, subdivision 6; accident; 47.23 reports of a child or vulnerable adult maltreatment; 47.24 circumstances that involve a law enforcement agency; or a 47.25 consumer's death. 47.26 Subd. 11. [INDIVIDUAL SERVICE PLAN.] "Individual service 47.27 plan" has the meaning given in section 256B.092 or successor 47.28 provisions. 47.29 Subd. 12. [INDIVIDUAL WHO IS RELATED.] "Individual who is 47.30 related" has the meaning given in section 245A.02, subdivision 47.31 13. 47.32 Subd. 13. [INTERMEDIATE CARE FACILITY FOR PERSONS WITH 47.33 MENTAL RETARDATION OR RELATED CONDITIONS OR ICF/MR.] 47.34 "Intermediate care facility" for persons with mental retardation 47.35 or related conditions or ICF/MR means a residential program 47.36 licensed to provide services to persons with mental retardation 48.1 or related conditions under section 252.28 and chapter 245A and 48.2 a physical facility licensed as a supervised living facility 48.3 under chapter 144, which together are certified by the 48.4 department of health as an intermediate care facility for 48.5 persons with mental retardation or related conditions. 48.6 Subd. 14. [LEAST RESTRICTIVE ENVIRONMENT.] "Least 48.7 restrictive environment" means an environment where services: 48.8 (1) are delivered with minimum limitation, intrusion, 48.9 disruption, or departure from typical patterns of living 48.10 available to persons without disabilities; 48.11 (2) do not subject the consumer or others to unnecessary 48.12 risks to health or safety; and 48.13 (3) maximize the consumer's level of independence, 48.14 productivity, and inclusion in the community. 48.15 Subd. 15. [LEGAL REPRESENTATIVE.] "Legal representative" 48.16 means the parent or parents of a consumer who is under 18 years 48.17 of age or a guardian, conservator, or guardian ad litem 48.18 authorized by the court, or other legally authorized 48.19 representative to make decisions about services for a consumer. 48.20 Subd. 16. [LICENSE.] "License" has the meaning given in 48.21 section 245A.02, subdivision 8. 48.22 Subd. 17. [LICENSE HOLDER.] "License holder" has the 48.23 meaning given in section 245A.02, subdivision 9. 48.24 Subd. 18. [PERSON WITH MENTAL RETARDATION OR A RELATED 48.25 CONDITION.] "Person with mental retardation or a related 48.26 condition" means a person who has been diagnosed under section 48.27 256B.092 as having substantial limitations in present 48.28 functioning, manifested as significantly subaverage intellectual 48.29 functioning, existing concurrently with demonstrated deficits in 48.30 adaptive behavior, and who manifests these conditions before the 48.31 person's 22nd birthday. A person with a related condition means 48.32 a person who meets the diagnostic definition under section 48.33 252.27, subdivision 1a. 48.34 Subd. 19. [PSYCHOTROPIC MEDICATION USE CHECKLIST.] 48.35 "Psychotropic medication use checklist" means the psychotropic 48.36 medication monitoring checklist and manual used to govern the 49.1 administration of psychotropic medications. The commissioner 49.2 may revise or update the psychotropic medication use checklist 49.3 to comply with legal requirements or to meet professional 49.4 standards or guidelines in the area of developmental 49.5 disabilities. For purposes of this chapter, psychotropic 49.6 medication means any medication prescribed to treat mental 49.7 illness and associated behaviors or to control or alter 49.8 behavior. The major classes of psychotropic medication are 49.9 antipsychotic (neuroleptic), antidepressant, antianxiety, 49.10 antimania, stimulant, and sedative or hypnotic. Other 49.11 miscellaneous medications are considered to be a psychotropic 49.12 medication when they are specifically prescribed to treat a 49.13 mental illness or to control or alter behavior. 49.14 Subd. 20. [RESIDENTIAL-BASED HABILITATION.] 49.15 "Residential-based habilitation" means care, supervision, and 49.16 training provided primarily in the consumer's own home or place 49.17 of residence but also including community-integrated activities 49.18 following the individual service plan. Residential habilitation 49.19 services are provided in coordination with the provision of day 49.20 training and habilitation services for those persons receiving 49.21 day training and habilitation services under sections 252.40 to 49.22 252.46. 49.23 Subd. 21. [RESPITE CARE.] "Respite care" has the meaning 49.24 given in section 245A.02, subdivision 15. 49.25 Subd. 22. [SERVICE.] "Service" means care, supervision, 49.26 activities, or training designed to achieve the outcomes 49.27 assigned to the license holder. 49.28 Subd. 23. [SEMI-INDEPENDENT LIVING SERVICES OR 49.29 SILS] "Semi-independent living services" or "SILS" has the 49.30 meaning given in section 252.275. 49.31 Subd. 24. [VOLUNTEER.] "Volunteer" means an individual 49.32 who, under the direction of the license holder, provides direct 49.33 services without pay to consumers served by the license holder. 49.34 Sec. 37. [245B.03] [APPLICABILITY AND EFFECT.] 49.35 Subdivision 1. [APPLICABILITY.] The standards in this 49.36 chapter govern services to persons with mental retardation or 50.1 related conditions receiving services from license holders 50.2 providing residential-based habilitation; day training and 50.3 habilitation services for adults; semi-independent living 50.4 services; residential programs that serve more than four 50.5 consumers, including intermediate care facilities for persons 50.6 with mental retardation; and respite care provided outside the 50.7 consumer's home for more than four consumers at the same time at 50.8 a single site. 50.9 Subd. 2. [RELATIONSHIP TO OTHER STANDARDS GOVERNING 50.10 SERVICES FOR PERSONS WITH MENTAL RETARDATION OR RELATED 50.11 CONDITIONS.] (a) ICFs/MR are exempt from: 50.12 (1) section 245B.04; 50.13 (2) section 245B.06, subdivisions 4 and 6; and 50.14 (3) section 245B.07, subdivisions 4, paragraphs (b) and 50.15 (c); 7; and 8, paragraphs (1), clause (iv), and (2). 50.16 (b) License holders also licensed under chapter 144 as a 50.17 supervised living facility are exempt from section 245B.04. 50.18 (c) Residential service sites controlled by license holders 50.19 licensed under chapter 245B for home and community-based 50.20 waivered services for four or fewer adults are exempt from 50.21 compliance with Minnesota Rules, parts 9543.0040, subpart 2, 50.22 item C; 9555.5505; 9555.5515, items B and G; 9555.5605; 50.23 9555.5705; 9555.6125, subparts 3, item C, subitem (2), and 4 to 50.24 6; 9555.6185; 9555.6225, subpart 8; 9555.6245; 9555.6255; and 50.25 9555.6265. The commissioner may approve alternative methods of 50.26 providing overnight supervision using the process and criteria 50.27 for granting a variance in section 245A.04, subdivision 9. This 50.28 chapter does not apply to foster care homes that do not provide 50.29 residential habilitation services funded under the home and 50.30 community-based waiver programs defined in section 256B.092. 50.31 (d) The commissioner may exempt license holders from 50.32 applicable standards of this chapter when the license holder 50.33 meets the standards under section 245A.09, subdivision 7. 50.34 License holders that are accredited by an independent 50.35 accreditation body shall continue to be licensed under this 50.36 chapter. 51.1 (e) License holders governed by sections 245B.02 to 245B.07 51.2 must also meet the licensure requirements in chapter 245A. 51.3 (f) Nothing in this chapter prohibits license holders from 51.4 concurrently serving consumers with and without mental 51.5 retardation or related conditions provided this chapter's 51.6 standards are met as well as other relevant standards. 51.7 (g) The documentation that sections 245B.02 to 245B.07 51.8 require of the license holder meets the individual program plan 51.9 required in section 256B.092 or successor provisions. 51.10 Sec. 38. [245B.04] [CONSUMER RIGHTS.] 51.11 Subdivision 1. [LICENSE HOLDER'S RESPONSIBILITY FOR 51.12 CONSUMERS' RIGHTS.] The license holder must: 51.13 (1) provide the consumer or the consumer's legal 51.14 representative a copy of the consumer's rights on the day that 51.15 services are initiated and an explanation of the rights in 51.16 subdivisions 2 and 3 within five working days of service 51.17 initiation. Reasonable accommodations shall be made by the 51.18 license holder to provide this information in other formats as 51.19 needed to facilitate understanding of the rights by the consumer 51.20 and the consumer's legal representative, if any; 51.21 (2) document the consumer's or the consumer's legal 51.22 representative's receipt of a copy of the rights and an 51.23 explanation of the rights; and 51.24 (3) ensure the exercise and protection of the consumer's 51.25 rights in the services provided by the license holder and 51.26 authorized in the individual service plan. 51.27 Subd. 2. [SERVICE-RELATED RIGHTS.] A consumer's 51.28 service-related rights include the right to: 51.29 (1) refuse or terminate services and be informed of the 51.30 consequences of refusing or terminating services; 51.31 (2) know, in advance, limits to the services available from 51.32 the license holder; 51.33 (3) know conditions and terms governing the provision of 51.34 services, including those related to initiation and termination; 51.35 (4) know what the charges are for services, regardless of 51.36 who will be paying for the services, and be notified of changes 52.1 in those charges; 52.2 (5) know, in advance, whether services are covered by 52.3 insurance, government funding, or other sources, and be told of 52.4 any charges the consumer or other private party may have to pay; 52.5 and 52.6 (6) receive licensed services from individuals who are 52.7 competent and trained, who have professional certification or 52.8 licensure, as required, and who meet additional qualifications 52.9 identified in the individual service plan. 52.10 Subd. 3. [PROTECTION-RELATED RIGHTS.] The consumer's 52.11 protection-related rights include the right to: 52.12 (1) have personal, financial, services, and medical 52.13 information kept private, and be advised of the license holder's 52.14 policies and procedures regarding disclosure of such 52.15 information; 52.16 (2) access records and recorded information; 52.17 (3) be free from maltreatment; 52.18 (4) be treated with courtesy and respect for the consumer's 52.19 individuality, mode of communication, and culture, and receive 52.20 respectful treatment of the consumer's property; 52.21 (5) voice grievances, know the contact persons responsible 52.22 for addressing problems and how to contact those persons; 52.23 (6) any procedures for grievance or complaint resolution 52.24 and the right to appeal under section 256.045; 52.25 (7) know the name and address of the state, county, or 52.26 advocacy agency to contact for additional information or 52.27 assistance; 52.28 (8) assert these rights personally, or have them asserted 52.29 by the consumer's family or legal representative, without 52.30 retaliation; 52.31 (9) give or withhold written informed consent to 52.32 participate in any research or experimental treatment; 52.33 (10) have daily, private access to and use of a noncoin- 52.34 operated telephone for local calls and long-distance calls made 52.35 collect or paid for by the resident; 52.36 (11) receive and send uncensored, unopened mail; 53.1 (12) marital privacy for visits with the consumer's spouse 53.2 and, if both are residents of the site, the right to share a 53.3 bedroom and bed; 53.4 (13) associate with other persons of the consumer's choice; 53.5 (14) personal privacy; and 53.6 (15) engage in chosen activities. 53.7 Sec. 39. [245B.05] [CONSUMER PROTECTION STANDARDS.] 53.8 Subdivision 1. [ENVIRONMENT.] The license holder must: 53.9 (1) ensure that services are provided in a safe and 53.10 hazard-free environment when the license holder is the owner, 53.11 lessor, or tenant of the service site. All other license 53.12 holders shall inform the consumer or the consumer's legal 53.13 representative and case manager about any environmental safety 53.14 concerns in writing; 53.15 (2) lock doors only to protect the safety of consumers and 53.16 not as a substitute for staff supervision or interactions with 53.17 consumers; 53.18 (3) follow procedures that minimize the consumer's health 53.19 risk from communicable diseases; and 53.20 (4) maintain equipment, vehicles, supplies, and materials 53.21 owned or leased by the license holder in good condition. 53.22 Subd. 2. [LICENSED CAPACITY FOR FACILITY-BASED DAY 53.23 TRAINING AND HABILITATION SERVICES.] Licensed capacity of day 53.24 training and habilitation service sites must be determined by 53.25 the amount of primary space available, the scheduling of 53.26 activities at other service sites, and the space requirements of 53.27 consumers receiving services. Primary space does not include 53.28 hallways, stairways, closets, utility areas, bathrooms, 53.29 kitchens, and floor areas beneath stationary equipment. A 53.30 minimum of 40 square feet of primary space must be available for 53.31 each consumer who is engaged in a day training and habilitation 53.32 activity at the site for which the licensed capacity must be 53.33 determined. 53.34 Subd. 3. [RESIDENTIAL SERVICE SITES FOR MORE THAN FOUR 53.35 CONSUMERS; FOUR-BED ICFS/MR.] Residential service sites licensed 53.36 to serve more than four consumers and four-bed ICFs/MR must meet 54.1 the fire protection provisions of either the Residential Board 54.2 and Care Occupancies Chapter or the Health Care Occupancies 54.3 Chapter of the Life Safety Code (LSC), National Fire Protection 54.4 Association, 1985 edition, or its successors. Sites meeting the 54.5 definition of a residential board and care occupancy for 16 or 54.6 less beds must have the emergency evacuation capability of 54.7 residents evaluated in accordance with Appendix F of the LSC or 54.8 its successors, except for those sites that meet the LSC Health 54.9 Care Occupancies Chapter or its successors. 54.10 Subd. 4. [MEETING FIRE AND SAFETY CODES.] An applicant or 54.11 license holder under sections 245A.01 to 245A.16 must document 54.12 compliance with applicable building codes, fire and safety 54.13 codes, health rules, and zoning ordinances, or document that an 54.14 appropriate waiver has been granted. 54.15 Subd. 5. [CONSUMER HEALTH.] The license holder is 54.16 responsible for meeting the health service needs assigned to the 54.17 license holder in the individual service plan and for bringing 54.18 health needs as discovered by the license holder promptly to the 54.19 attention of the consumer, the consumer's legal representative, 54.20 and the case manager. The license holder is required to 54.21 maintain documentation on how the consumer's health needs will 54.22 be met, including a description of procedures the license holder 54.23 will follow for the consumer regarding medication monitoring and 54.24 administration and seizure monitoring, if needed. The 54.25 medication administration procedures are those procedures 54.26 necessary to implement medication and treatment orders issued by 54.27 appropriately licensed professionals, and must be established in 54.28 consultation with a registered nurse, nurse practitioner, 54.29 physician's assistant, or medical doctor. 54.30 Subd. 6. [FIRST AID.] When the license holder is providing 54.31 direct service and supervision to a consumer who requires a 54.32 24-hour plan of care and receives services at a site licensed 54.33 under this chapter, the license holder must have available a 54.34 staff person trained in first aid, and, if needed under section 54.35 245B.07, subdivision 6, paragraph (d), cardiopulmonary 54.36 resuscitation from a qualified source, as determined by the 55.1 commissioner. 55.2 Subd. 7. [REPORTING INCIDENTS AND EMERGENCIES.] The 55.3 license holder must report the following incidents to the 55.4 consumer's legal representative, caregiver, and case manager 55.5 within 24 hours of the occurrence, or within 24 hours of receipt 55.6 of the information: 55.7 (1) the death of a consumer; 55.8 (2) any medical emergencies, unexpected serious illnesses, 55.9 or accidents that require physician treatment or 55.10 hospitalization; 55.11 (3) a consumer's unauthorized absence; or 55.12 (4) any fires and incidents involving a law enforcement 55.13 agency. 55.14 Death or serious injury of the consumer must also be 55.15 reported to the commissioner and the ombudsman, as required 55.16 under sections 245.91 and 245.94, subdivision 2a. 55.17 Sec. 40. [245B.06] [SERVICE STANDARDS.] 55.18 Subdivision 1. [OUTCOME-BASED SERVICES.] (a) The license 55.19 holder must provide outcome-based services in response to the 55.20 consumer's identified needs as specified in the individual 55.21 service plan. 55.22 (b) Services must be based on the needs and preferences of 55.23 the consumer and the consumer's personal goals and be consistent 55.24 with the principles of least restrictive environment, 55.25 self-determination, and consistent with: 55.26 (1) the recognition of each consumer's history, dignity, 55.27 and cultural background; 55.28 (2) the affirmation and protection of each consumer's civil 55.29 and legal rights; 55.30 (3) the provision of services and supports for each 55.31 consumer which: 55.32 (i) promote community inclusion and self-sufficiency; 55.33 (ii) provide services in the least restrictive environment; 55.34 (iii) promote social relationships, natural supports, and 55.35 participation in community life; 55.36 (iv) allow for a balance between safety and opportunities; 56.1 and 56.2 (v) provide opportunities for the development and exercise 56.3 of age-appropriate skills, decision making and choice, personal 56.4 advocacy, and communication; and 56.5 (4) the provision of services and supports for families 56.6 which address the needs of the consumer in the context of the 56.7 family and support family self-sufficiency. 56.8 (c) The license holder must make available to the consumer 56.9 opportunities to participate in the community, functional skill 56.10 development, reduced dependency on care providers, and 56.11 opportunities for development of decision-making skills. 56.12 "Outcome" means the behavior, action, or status attained by the 56.13 consumer that can be observed, measured, and can be determined 56.14 reliable and valid. Outcomes are the equivalent of the 56.15 long-range goals and short-term goals referenced in section 56.16 256B.092, and any rules promulgated under that section. 56.17 Subd. 2. [RISK MANAGEMENT PLAN.] The license holder must 56.18 develop and document in writing a risk management plan that 56.19 incorporates the individual abuse prevention plan as required in 56.20 chapter 245C. License holders jointly providing services to a 56.21 consumer shall coordinate and use the resulting assessment of 56.22 risk areas for the development of this plan. Upon initiation of 56.23 services, the license holder will have in place an initial risk 56.24 management plan that identifies areas in which the consumer is 56.25 vulnerable, including health, safety, and environmental issues 56.26 and the supports the provider will have in place to protect the 56.27 consumer and to minimize these risks. The plan must be changed 56.28 based on the needs of the individual consumer and reviewed at 56.29 least annually. 56.30 Subd. 3. [ASSESSMENTS.] (a) The license holder shall 56.31 assess and reassess the consumer within stated time lines and 56.32 assessment areas specified in the individual service plan or as 56.33 requested in writing by the case manager. 56.34 (b) For each area of assessment requested, the license 56.35 holder must provide a written summary, analysis, and 56.36 recommendations for use in the development of the individual 57.1 service plan. 57.2 (c) All assessments must include information about the 57.3 consumer that is descriptive of: 57.4 (1) the consumer's strengths and functional skills; and 57.5 (2) the level of support and supervision the consumer needs 57.6 to achieve the outcomes in subdivision 1. 57.7 Subd. 4. [SUPPORTS AND METHODS.] The license holder, in 57.8 coordination with other service providers, shall meet with the 57.9 consumer, the consumer's legal representative, case manager, and 57.10 other members of the interdisciplinary team within 45 days of 57.11 service initiation. Within ten working days after the meeting, 57.12 the license holder shall develop and document in writing: 57.13 (1) the methods that will be used to support the individual 57.14 or accomplish the outcomes in section 245B.06, subdivision 1, 57.15 including information about physical and social environments, 57.16 the equipment and materials required, and techniques that are 57.17 consistent with the consumer's communication mode and learning 57.18 style specified as the license holder's responsibility in the 57.19 individual service plan; 57.20 (2) the projected starting date for service supports and 57.21 the criteria for identifying when the desired outcome has been 57.22 achieved and when the service supports need to be reviewed; and 57.23 (3) the names of the staff, staff position, or contractors 57.24 responsible for implementing each outcome. 57.25 Subd. 5. [PROGRESS REVIEWS.] The license holder must 57.26 participate in progress review meetings following stated time 57.27 lines established in the consumer's individual service plan or 57.28 as requested in writing by the consumer, the consumer's legal 57.29 representative, or the case manager, at a minimum of once a 57.30 year. The license holder must summarize the progress toward 57.31 achieving the desired outcomes and make recommendations in a 57.32 written report sent to the consumer or the consumer's legal 57.33 representative and case manager prior to the review meeting. 57.34 For consumers under public guardianship, the license holder is 57.35 required to provide quarterly written progress review reports to 57.36 the consumer, designated family member, and case manager. 58.1 Subd. 6. [REPORTS.] The license holder shall provide 58.2 written reports regarding the consumer's status as requested by 58.3 the consumer, or the consumer's legal representative and case 58.4 manager. 58.5 Subd. 7. [STAFFING REQUIREMENTS.] The license holder must 58.6 provide supervision to ensure the health, safety, and protection 58.7 of rights of each consumer and to be able to implement each 58.8 consumer's individual service plan. Day training and 58.9 habilitation programs must meet the minimum staffing 58.10 requirements as specified in sections 252.40 to 252.46 and rules 58.11 promulgated under those sections. 58.12 Subd. 8. [LEAVING THE RESIDENCE.] As specified in each 58.13 consumer's individual service plan, each consumer requiring a 58.14 24-hour plan of care must leave the residence to participate in 58.15 regular education, employment, or community activities. License 58.16 holders, providing services to consumers living in a licensed 58.17 site, shall ensure that they are prepared to care for consumers 58.18 whenever they are at the residence during the day because of 58.19 illness, work schedules, or other reasons. 58.20 Subd. 9. [DAY TRAINING AND HABILITATION SERVICE DAYS.] Day 58.21 training and habilitation services must meet a minimum of 195 58.22 available service days. 58.23 Subd. 10. [PROHIBITION.] Psychotropic medication and the 58.24 use of aversive and deprivation procedures, as referenced in 58.25 section 245.825 and rules promulgated under that section, cannot 58.26 be used as a substitute for adequate staffing, as punishment, or 58.27 for staff convenience. 58.28 Sec. 41. [245B.07] [MANAGEMENT STANDARDS.] 58.29 Subdivision 1. [CONSUMER DATA FILE.] The license holder 58.30 must maintain the following information for each consumer: 58.31 (1) identifying information that includes date of birth, 58.32 medications, legal representative, history, medical, and other 58.33 individual-specific information, and names and telephone numbers 58.34 of contacts; 58.35 (2) consumer health information, including individual 58.36 medication administration and monitoring information; 59.1 (3) the consumer's individual service plan. When a 59.2 consumer's case manager does not provide a current individual 59.3 service plan, the license holder shall make a written request to 59.4 the case manager to provide a copy of the individual service 59.5 plan and inform the consumer or the consumer's legal 59.6 representative of the right to an individual service plan and 59.7 the right to appeal under section 256.045; 59.8 (4) copies of assessments, analyses, summaries, and 59.9 recommendations; 59.10 (5) progress review reports; 59.11 (6) incident and emergency reports involving the consumer; 59.12 (7) discharge summary, when applicable; 59.13 (8) record of other license holders serving the consumer 59.14 that includes a contact person and telephone numbers, services 59.15 being provided, services that require coordination between two 59.16 license holders, and name of staff responsible for coordination; 59.17 and 59.18 (9) incidents involving verbal and physical aggression 59.19 between consumers and self-abuse affecting the consumer. 59.20 Subd. 2. [ACCESS TO RECORDS.] The license holder must 59.21 ensure that the following people have access to the information 59.22 in subdivision 1: 59.23 (1) the consumer, the consumer's legal representative, and 59.24 anyone properly authorized by the consumer or legal 59.25 representative; 59.26 (2) the consumer's case manager; 59.27 (3) staff providing direct services to the consumer unless 59.28 the information is not relevant to carrying out the individual 59.29 service plan; and 59.30 (4) the county adult foster care licensor, when services 59.31 are also licensed as an adult foster home. Adult foster home 59.32 means a licensed residence operated by an operator who, for 59.33 financial gain or otherwise, provides 24-hour foster care to no 59.34 more than four functionally impaired residents. 59.35 Subd. 3. [RETENTION OF CONSUMER'S RECORDS.] The license 59.36 holder must retain the records required for consumers for at 60.1 least three years following termination of services. 60.2 Subd. 4. [STAFF QUALIFICATIONS.] (a) The license holder 60.3 must ensure that staff is competent through training, 60.4 experience, and education to meet the consumer's needs and 60.5 additional requirements as written in the individual service 60.6 plan. Staff qualifications must be documented. Staff under 18 60.7 years of age may not perform overnight duties or administer 60.8 medication. 60.9 (b) Delivery and evaluation of services provided by the 60.10 license holder to a consumer must be coordinated by a designated 60.11 person. The designated person or coordinator must minimally 60.12 have a four-year degree in a field related to service provision, 60.13 and one year work experience with consumers with mental 60.14 retardation or related conditions, a two-year degree in a field 60.15 related to service provision, and two years of work experience 60.16 with consumers with mental retardation or related conditions, or 60.17 a diploma in community-based developmental disability services 60.18 from an accredited post-secondary institution and two years of 60.19 work experience with consumers with mental retardation or 60.20 related conditions. The coordinator must provide supervision, 60.21 support, and evaluation of activities that include: 60.22 (1) oversight of the license holder's responsibilities 60.23 designated in the individual service plan; 60.24 (2) instruction and assistance to staff implementing the 60.25 individual service plan areas; 60.26 (3) evaluation of the effectiveness of service delivery, 60.27 methodologies, and progress on consumer outcomes based on the 60.28 condition set for objective change; and 60.29 (4) review of incident and emergency reports, 60.30 identification of incident patterns, and implementation of 60.31 corrective action as necessary to reduce occurrences. 60.32 (c) The coordinator is responsible for taking the action 60.33 necessary to facilitate the accomplishment of the outcomes for 60.34 each consumer as specified in the consumer's individual service 60.35 plan. 60.36 (d) The license holder must provide for adequate 61.1 supervision of direct care staff to ensure implementation of the 61.2 individual service plan. 61.3 Subd. 5. [STAFF ORIENTATION.] (a) Within 60 days of hiring 61.4 staff who provide direct service, the license holder must 61.5 provide 30 hours of staff orientation. Direct care staff must 61.6 complete 15 of the 30 hours orientation before providing any 61.7 unsupervised direct service to a consumer. If the staff person 61.8 has received orientation training from a license holder licensed 61.9 under this chapter, or provides semi-independent living services 61.10 only, the 15-hour requirement may be reduced to eight hours. 61.11 The total orientation of 30 hours may be reduced to 15 hours if 61.12 the staff person has previously received orientation training 61.13 from a license holder licensed under this chapter. 61.14 (b) The 30 hours of orientation must combine supervised 61.15 on-the-job training with coverage of the following material: 61.16 (1) review of the consumer's service plans and risk 61.17 management plan to achieve an understanding of the consumer as a 61.18 unique individual; 61.19 (2) review and instruction on the license holder's policies 61.20 and procedures, including their location and access; 61.21 (3) emergency procedures; 61.22 (4) explanation of specific job functions, including 61.23 implementing objectives from the consumer's individual service 61.24 plan; 61.25 (5) explanation of responsibilities related to chapter 61.26 245C; sections 626.556 and 626.557, governing maltreatment 61.27 reporting and service planning for children and vulnerable 61.28 adults; and section 245.825, governing use of aversive and 61.29 deprivation procedures; 61.30 (6) medication administration as it applies to the 61.31 individual consumer, from a training curriculum developed by a 61.32 health services professional described in section 245B.05, 61.33 subdivision 5, and when the consumer meets the criteria of 61.34 having overriding health care needs, then medication 61.35 administration taught by a health services professional. Once a 61.36 consumer with overriding health care needs is admitted, staff 62.1 will be provided with remedial training as deemed necessary by 62.2 the license holder and the health professional to meet the needs 62.3 of that consumer. 62.4 For purposes of this section, overriding health care needs 62.5 means a health care condition that affects the service options 62.6 available to the consumer because the condition requires: 62.7 (i) specialized or intensive medical or nursing 62.8 supervision; and 62.9 (ii) nonmedical service providers to adapt their services 62.10 to accommodate the health and safety needs of the consumer; 62.11 (7) consumer rights; and 62.12 (8) other topics necessary as determined by the consumer's 62.13 individual service plan or other areas identified by the license 62.14 holder. 62.15 (c) The license holder must document each employee's 62.16 orientation received. 62.17 Subd. 6. [STAFF TRAINING.] (a) The license holder shall 62.18 ensure that direct service staff annually complete hours of 62.19 training equal to two percent of the number of hours the staff 62.20 person worked or one percent for license holders providing 62.21 semi-independent living services. If direct service staff has 62.22 received training from a license holder licensed under a program 62.23 rule identified in this chapter or completed course work 62.24 regarding disability-related issues from a post-secondary 62.25 educational institute, that training may also count toward 62.26 training requirements for other services and for other license 62.27 holders. 62.28 (b) The license holder must document the training completed 62.29 by each employee. 62.30 (c) Training shall address staff competencies necessary to 62.31 address the consumer needs as identified in the consumer's 62.32 individual service plan and ensure consumer health, safety, and 62.33 protection of rights. Training may also include other areas 62.34 identified by the license holder. 62.35 (d) For consumers requiring a 24-hour plan of care, the 62.36 license holder shall provide training in cardiopulmonary 63.1 resuscitation, from a qualified source determined by the 63.2 commissioner, if the consumer's health needs as determined by 63.3 the consumer's physician indicate trained staff would be 63.4 necessary to the consumer. 63.5 Subd. 7. [VOLUNTEERS.] The license holder must ensure that 63.6 volunteers who provide direct services to consumers receive the 63.7 training and orientation necessary to fulfill their 63.8 responsibilities. 63.9 Subd. 8. [POLICIES AND PROCEDURES.] The license holder 63.10 must develop and implement the policies and procedures in 63.11 paragraphs (1) to (3). 63.12 (1) policies and procedures that promote consumer health 63.13 and safety by ensuring: 63.14 (i) consumer safety in emergency situations as identified 63.15 in section 245B.05, subdivision 7; 63.16 (ii) consumer health through sanitary practices; 63.17 (iii) safe transportation, when the license holder is 63.18 responsible for transportation of consumers, with provisions for 63.19 handling emergency situations; 63.20 (iv) a system of recordkeeping for both individuals and the 63.21 organization, for review of incidents and emergencies, and 63.22 corrective action if needed; 63.23 (v) a plan for responding to and reporting all emergencies, 63.24 including deaths, medical emergencies, illnesses, accidents, 63.25 missing consumers, fires, severe weather and natural disasters, 63.26 bomb threats, and other threats; 63.27 (vi) safe medication administration as identified in 63.28 section 245B.05, subdivision 5; 63.29 (vii) psychotropic medication monitoring when the consumer 63.30 is prescribed a psychotropic medication, including the use of 63.31 the psychotropic medication use checklist. If the 63.32 responsibility for implementing the psychotropic medication use 63.33 checklist has not been assigned in the individual service plan 63.34 and the consumer lives in a licensed site, the residential 63.35 license holder shall be designated; and 63.36 (viii) criteria for admission or service initiation 64.1 developed by the license holder; 64.2 (2) policies and procedures that protect consumer rights 64.3 and privacy by ensuring: 64.4 (i) consumer data privacy, in compliance with the Minnesota 64.5 Data Practices Act, chapter 13; and 64.6 (ii) that complaint procedures provide consumers with a 64.7 simple process to bring grievances and consumers receive a 64.8 response to the grievance within a reasonable time period. The 64.9 license holder must provide a copy of the program's grievance 64.10 procedure and time lines for addressing grievances. The 64.11 program's grievance procedure must permit consumers served by 64.12 the program and the authorized representatives to bring a 64.13 grievance to the highest level of authority in the program; and 64.14 (3) policies and procedures that promote continuity and 64.15 quality of consumer supports by ensuring: 64.16 (i) continuity of care and service coordination, including 64.17 provisions for service termination, temporary service 64.18 suspension, and efforts made by the license holder to coordinate 64.19 services with other vendors who also provide support to the 64.20 consumer. The policy must include the following requirements: 64.21 (A) the license holder must notify the consumer or 64.22 consumer's legal representative and the consumer's case manager 64.23 in writing of the intended termination or temporary service 64.24 suspension and the consumer's right to seek a temporary order 64.25 staying the termination or suspension of service according to 64.26 the procedures in section 256.045, subdivision 4a or subdivision 64.27 6, paragraph (c); 64.28 (B) notice of the proposed termination of services must be 64.29 given at least 60 days before the proposed termination is to 64.30 become effective, unless services are temporarily suspended 64.31 according to the license holder's written temporary service 64.32 suspension procedures, in which case notice must be given as 64.33 soon as possible; 64.34 (C) the license holder must provide information requested 64.35 by the consumer or consumer's legal representative or case 64.36 manager when services are temporarily suspended or upon notice 65.1 of termination; 65.2 (D) use of temporary service suspension procedures are 65.3 restricted to situations in which the consumer's behavior causes 65.4 immediate and serious danger to the health and safety of the 65.5 individual or others; 65.6 (E) prior to giving notice of service termination or 65.7 temporary service suspension, the license holder must document 65.8 actions taken to minimize or eliminate the need for service 65.9 termination or temporary service suspension; and 65.10 (F) during the period of temporary service suspension, the 65.11 license holder will work with the appropriate county agency to 65.12 develop reasonable alternatives to protect the individual and 65.13 others; and 65.14 (ii) quality services measured through a program evaluation 65.15 process including regular evaluations of consumer satisfaction 65.16 and sharing the results of the evaluations with the consumers 65.17 and legal representatives. 65.18 Subd. 9. [AVAILABILITY OF CURRENT WRITTEN POLICIES AND 65.19 PROCEDURES.] The license holder shall: 65.20 (1) review and update, as needed, the written policies and 65.21 procedures in this subdivision and inform all consumers or the 65.22 consumer's legal representatives, case managers, and employees 65.23 of the revised policies and procedures when they affect the 65.24 service provision; 65.25 (2) inform consumers or the consumer's legal 65.26 representatives of the written policies and procedures in this 65.27 subdivision upon service initiation. Copies must be available 65.28 to consumers or the consumer's legal representatives, case 65.29 managers, the county where services are located, and the 65.30 commissioner upon request; and 65.31 (3) document and maintain relevant information related to 65.32 the policies and procedures in this subdivision. 65.33 Subd. 10. [CONSUMER FUNDS.] (a) The license holder must 65.34 ensure that consumers retain the use and availability of 65.35 personal funds or property unless restrictions are justified in 65.36 the consumer's individual service plan. 66.1 (b) The license holder must ensure separation of resident 66.2 funds from funds of the license holder, the residential program, 66.3 or program staff. 66.4 (c) Whenever the license holder assists a consumer with the 66.5 safekeeping of funds or other property, the license holder must: 66.6 (1) document receipt and disbursement of the consumer's 66.7 funds or the property, and include the signature of the 66.8 consumer, conservator, or payee; 66.9 (2) provide a statement at least quarterly itemizing 66.10 receipts and disbursements of resident funds or other property; 66.11 and 66.12 (3) return to the consumer upon the consumer's request, 66.13 funds and property in the license holder's possession subject to 66.14 restrictions in the consumer's individual service plan, as soon 66.15 as possible, but no later than three working days after the date 66.16 of the request. 66.17 (d) License holders and program staff must not: 66.18 (1) borrow money from a consumer; 66.19 (2) purchase personal items from a consumer; 66.20 (3) sell merchandise or personal services to a consumer; 66.21 (4) require a resident to purchase items for which the 66.22 license holder is eligible for reimbursement; or 66.23 (5) use resident funds in a manner that would violate 66.24 section 256B.04, or any rules promulgated under that section. 66.25 Subd. 11. [TRAVEL TIME TO AND FROM A DAY TRAINING AND 66.26 HABILITATION SITE.] Except in unusual circumstances, the license 66.27 holder must not transport a consumer receiving services for 66.28 longer than one hour per one-way trip. 66.29 Subd. 12. [SEPARATE LICENSE REQUIRED FOR SEPARATE SITES.] 66.30 The license holder shall apply for separate licenses for each 66.31 day training and habilitation service site owned or leased by 66.32 the license holder at which persons receiving services and the 66.33 provider's employees who provide training and habilitation 66.34 services are present for a cumulative total of more than 30 days 66.35 within any 12-month period, and for each residential service 66.36 site. 67.1 Subd. 13. [VARIANCE.] The commissioner may grant a 67.2 variance to any of the requirements in sections 245B.02 to 67.3 245B.07 except section 245B.07, subdivision 8(1)(vii), or 67.4 provisions governing data practices and information rights of 67.5 consumers if the conditions in section 245A.04, subdivision 9 67.6 are met. Upon the request of the license holder, the 67.7 commissioner shall continue variances from the standards in this 67.8 chapter previously granted under Minnesota Rules that are 67.9 repealed as a result of this chapter. The commissioner may 67.10 approve variances for a license holder on a program, geographic, 67.11 or organizational basis. 67.12 Sec. 42. [245B.08] [NEW REGULATORY STRATEGIES.] 67.13 Subdivision 1. [ALTERNATIVE METHODS OF DETERMINING 67.14 COMPLIANCE.] (a) In addition to methods specified in chapter 67.15 245A, the commissioner may use alternative methods and new 67.16 regulatory strategies to determine compliance with this 67.17 section. The commissioner may use sampling techniques to ensure 67.18 compliance with this section. Notwithstanding section 245A.09, 67.19 subdivision 7, paragraph (d), the commissioner may also extend 67.20 periods of licensure, not to exceed five years, for license 67.21 holders who have demonstrated substantial and consistent 67.22 compliance with sections 245B.02 to 245B.07 and have 67.23 consistently maintained the health and safety of consumers and 67.24 have demonstrated by alternative methods in paragraph (b) that 67.25 they meet or exceed the requirements of this section. For 67.26 purposes of this section, "substantial and consistent 67.27 compliance" means that during the current licensing period: 67.28 (1) the license holder's license has not been made 67.29 conditional, suspended, or revoked; 67.30 (2) there have been no substantiated allegations of 67.31 maltreatment against the license holder; 67.32 (3) there have been no program deficiencies that have been 67.33 identified that would jeopardize the health or safety of 67.34 consumers being served; and 67.35 (4) the license holder is in substantial compliance with 67.36 the other requirements of chapter 245A and other applicable laws 68.1 and rules. 68.2 (b) To determine the length of a license, the commissioner 68.3 shall consider: 68.4 (1) information from affected consumers, and the license 68.5 holder's responsiveness to consumers' concerns and 68.6 recommendations; 68.7 (2) self assessments and peer reviews of the standards of 68.8 this section, corrective actions taken by the license holder, 68.9 and sharing the results of the inspections with consumers, the 68.10 consumers' families, and others, as requested; 68.11 (3) length of accreditation by an independent accreditation 68.12 body, if applicable; 68.13 (4) information from the county where the license holder is 68.14 located; and 68.15 (5) information from the license holder demonstrating 68.16 performance that meets or exceeds the minimum standards of this 68.17 chapter. 68.18 (c) The commissioner may reduce the length of the license 68.19 if the license holder fails to meet the criteria in paragraph 68.20 (a) and the conditions specified in paragraph (b). 68.21 Subd. 2. [ADDITIONAL MEASURES.] The commissioner may 68.22 require the license holder to implement additional measures on a 68.23 time-limited basis to ensure the health and safety of consumers 68.24 when the health and safety of consumers has been determined to 68.25 be at risk as determined by substantiated incidents of 68.26 maltreatment under sections 626.556 and 626.557. The license 68.27 holder may request reconsideration of the actions taken by the 68.28 commissioner under this subdivision according to section 245A.06. 68.29 Subd. 3. [SANCTIONS AVAILABLE.] Nothing in this 68.30 subdivision shall be construed to limit the commissioner's 68.31 authority to suspend, revoke, or make conditional at any time a 68.32 license under section 245A.07; make correction orders and 68.33 require fines for failure to comply with applicable laws or 68.34 rules under section 245A.06; or deny an application for license 68.35 under section 245A.05. 68.36 Subd. 4. [EFFICIENT APPLICATION.] The commissioner shall 69.1 establish application procedures for license holders licensed 69.2 under this chapter to reduce the need to submit duplicative 69.3 material. 69.4 Subd. 5. [INFORMATION.] The commissioner shall make 69.5 information available to consumers and interested others 69.6 regarding the licensing status of a license holder. 69.7 Subd. 6. [IMPLEMENTATION.] The commissioner shall seek 69.8 advice from parties affected by the implementation of this 69.9 chapter. 69.10 Subd. 7. [DEEM STATUS.] The commissioner may exempt a 69.11 license holder from duplicative standards if the license holder 69.12 is already licensed under chapter 245A. 69.13 Sec. 43. Minnesota Statutes 1996, section 256E.115, is 69.14 amended to read: 69.15 256E.115 [SAFE HOUSES AND, TRANSITIONAL HOUSING, AND 69.16 INDEPENDENT LIVING ASSISTANCE SERVICES FOR HOMELESSYOUTH.] 69.17 Subdivision 1. [DEFINITIONS; COMMISSIONER DUTIES.] (a) The 69.18 following definitions apply to this section: 69.19 (1) "Targeted youth" means children who are ages 16 to 21 69.20 and who are in out-of-home placement, leaving out-of-home 69.21 placement, at risk of becoming homeless, or homeless. 69.22 (2) "Safe house" means a facility providing emergency 69.23 housing for homeless targeted youth with the goal of reuniting 69.24 the family if appropriate and possible. 69.25 (3) "Transitional housing" means congregate or cooperative 69.26 housing for targeted youth who are transitioning to independent 69.27 living. 69.28 (4) "Independent living assistance" means services provided 69.29 to assist targeted youth who are not living in a safe house or 69.30 transitional housing to make the transition to independent 69.31 living. 69.32 (b) The commissioner shall issue a request for proposals 69.33 from organizations that are knowledgeable about the needs 69.34 of homelesstargeted youth for the purpose of providing69.35 establishing a system of safe houses and, transitional housing, 69.36 and independent living assistance for homelesssuch youth. The 70.1 commissioner shall appoint a review committee of up to eight 70.2 members to evaluate the proposals. The review panel must 70.3 include representation from communities of color, youth, and 70.4 other community providers and agency representatives who 70.5 understand the needs and problems of homelesstargeted youth. 70.6 The commissioner shall also assist in coordinating funding from 70.7 federal and state grant programs and funding available from a 70.8 variety of sources for efforts to promote a continuum of 70.9 services for targeted youth through a consolidated grant 70.10 application. The commissioner shall analyze the needs 70.11 of homelesstargeted youth and gaps in services throughout the 70.12 state and determine how to best serve those needs within the 70.13 available funding. 70.14 Subd. 2. [ SAFE HOUSES AND TRANSITIONAL HOUSINGPROGRAM 70.15 SERVICE REQUIREMENTS; PARTICIPATION REQUIREMENTS; LICENSURE OF 70.16 INDEPENDENT LIVING ASSISTANCE PROVIDERS.] A safe house provides70.17 emergency housing for homeless youth ranging in age from 13 to70.18 22 with the goal of reuniting the family, if appropriate,70.19 whenever possible. Transitional housing provides housing for70.20 homeless youth ages 16 to 22 who are transitioning into70.21 independent living.70.22 In developing both types of housing, the commissioner and70.23 the review committee shall try to create a family atmosphere in70.24 a neighborhood or community and, if possible, provide separate70.25 but cooperative homes for males and females. It may be70.26 necessary, due to licensing restrictions, to provide separate70.27 housing for different age groups.(a) The following services, or 70.28 adequate access to referrals for the following services, must be 70.29 made available to the homelesstargeted youth participating in 70.30 the programs described in subdivision 1: 70.31 (1) counseling services for the youth, and their families, 70.32 if appropriate, on site, to help with problems that resulted70.33 incontributed to the homelessness or could impede making the 70.34 transition to independent living; 70.35 (2) job services to help youth find employment in addition 70.36 to creating jobs on site, including food service, maintenance, 71.1 child care, and tutoring; 71.2 (3) health services that are confidential and provide 71.3 preventive care services, crisis referrals, and other necessary 71.4 health care services; 71.5 (4) living skills training to help youth learn how to care 71.6 for themselves; and 71.7 (5) education services that help youth enroll in academic 71.8 programs, if they are currently not in a program. Enrollment in71.9 an academic program is required for residency in transitional71.10 housing.71.11 (b)(1) Targeted youth who have current drug or alcohol 71.12 problems, a recent history of violent behaviors, or a mental 71.13 health disorder or issue that is not being resolved through 71.14 counseling or treatment are not eligible to receive the services 71.15 described in subdivision 1. 71.16 (2) Targeted youth who are not employed, participating in 71.17 employment training, or enrolled in an academic program are not 71.18 eligible to receive transitional housing or independent living 71.19 assistance. 71.20 (c) Providers of independent living assistance services 71.21 must be licensed under section 245A.22. 71.22 Sec. 44. Minnesota Statutes 1996, section 364.09, is 71.23 amended to read: 71.24 364.09 [EXCEPTIONS.] 71.25 (a) This chapter does not apply to the licensing process 71.26 for peace officers; to law enforcement agencies as defined in 71.27 section 626.84, subdivision 1, paragraph (h); to fire protection 71.28 agencies; to eligibility for a private detective or protective 71.29 agent license; to eligibility for a family day care license, a71.30 family foster care license, or a home care provider licensethe 71.31 licensing and background study process under chapter 245A; to 71.32 eligibility for school bus driver endorsements; or to 71.33 eligibility for special transportation service endorsements. 71.34 This chapter also shall not apply to eligibility for juvenile 71.35 corrections employment, where the offense involved child 71.36 physical or sexual abuse or criminal sexual conduct. 72.1 (b) This chapter does not apply to a school district or to 72.2 eligibility for a license issued or renewed by the board of 72.3 teaching or the state board of education. 72.4 (c) Nothing in this section precludes the Minnesota police 72.5 and peace officers training board or the state fire marshal from 72.6 recommending policies set forth in this chapter to the attorney 72.7 general for adoption in the attorney general's discretion to 72.8 apply to law enforcement or fire protection agencies. 72.9 (d) This chapter does not apply to a license to practice 72.10 medicine that has been denied or revoked by the board of medical 72.11 practice pursuant to section 147.091, subdivision 1a. 72.12 Sec. 45. Laws 1995, chapter 158, section 7, is amended to 72.13 read: 72.14 Sec. 7. [RECOMMENDATIONS ON REGULATING CHILD CARE 72.15 PROGRAMS.] 72.16 The commissioner of human services shall review and make 72.17 recommendations to the legislature regarding what programs 72.18 should be regulated that provide child care for children, and 72.19 the manner in which these programs should be regulated. 72.20 The commissioner shall also examine and make 72.21 recommendations regarding the feasibility of permitting 72.22 worksite-based nonresidential child care programs serving 14 or 72.23 fewer children to be licensed under the family and group family 72.24 day care standards. In developing these recommendations, the 72.25 commissioner shall consult with representatives of organizations 72.26 with an interest in child care services including, but not 72.27 limited to, the following: large and small employers, including 72.28 employers who provide child care on site; foundations; the state 72.29 commissioners of economic security and children, families, and 72.30 learning; not-for-profit and county agencies; and consumers of 72.31 child care services. 72.32 The commissioner shall submit the recommendations by 72.33 December 15, 1997, to the chairs of the house health and human 72.34 services committee and the health and human services finance 72.35 division, and ofthe senate health and family servicessecurity 72.36 committee and the health careand family services finance73.1 security budget division. 73.2 Sec. 46. [UNLICENSED CHILD CARE PROVIDERS; INTERIM 73.3 EXPANSION.] 73.4 (a) Notwithstanding Minnesota Statutes, section 245A.03, 73.5 subdivision 2, clause (2), until June 30, 1999, nonresidential 73.6 child care programs or services that are provided by an 73.7 unrelated individual to persons from two or three other 73.8 unrelated families are excluded from the licensure provisions of 73.9 Minnesota Statutes, chapter 245A, provided that: 73.10 (1) the individual provides services at any one time to no 73.11 more than four children who are unrelated to the individual; 73.12 (2) no more than two of the children are under two years of 73.13 age; and 73.14 (3) the total number of children being cared for at any one 73.15 time does not exceed five. 73.16 (b) Paragraph (a), clauses (1) and (2), do not apply to 73.17 nonresidential programs that are provided by an unrelated 73.18 individual to persons from a single related family. 73.19 Sec. 47. [FAMILY DAY CARE LICENSURE; INTERIM EXPANSION.] 73.20 Subdivision 1. [INTERIM AGE GROUPINGS; FAMILY DAY 73.21 CARE.] Notwithstanding Minnesota Rules, part 9502.0315, subparts 73.22 22, 28 and 30, until June 30, 1998, for the purposes of family 73.23 day care and group family day care licensure the following 73.24 definitions apply: 73.25 (1) "Preschooler" means a child who is at least 24 months 73.26 old up to the age of being eligible to enter kindergarten within 73.27 the next four months. 73.28 (2) "Toddler" means a child who is at least 12 months old 73.29 but less than 24 months old, except that for purposes of 73.30 specialized infant and toddler family and group family day care, 73.31 "toddler" means a child who is at least 12 months old but less 73.32 than 30 months old. 73.33 (3) "School age" means a child who is at least of 73.34 sufficient age to have attended the first day of kindergarten, 73.35 or is eligible to enter kindergarten within the next four 73.36 months, but is younger than 11 years of age. 74.1 Subd. 2. [COMMISSIONER'S AUTHORITY.] The commissioner may 74.2 grant a variance to any of the provisions in subdivision 1, as 74.3 long as the health and safety of the children served by the 74.4 program are not affected. The request for a variance shall 74.5 comply with the provisions of Minnesota Statutes, section 74.6 245A.04, subdivision 9. 74.7 Sec. 48. [COMMISSIONER OF HEALTH; BACKGROUND STUDIES 74.8 REPORT.] 74.9 By January 15, 1998, the commissioner of health shall 74.10 report to the chairs of the health and human services fiscal 74.11 committees of the house and the senate on the background study 74.12 costs required by Minnesota Statutes, sections 245A.04, 74.13 subdivision 3, paragraphs (b) and (e) and 144.057, subdivision 74.14 1, clause (2), with recommendations for providing funding to 74.15 cover the costs of these studies. 74.16 Sec. 49. [REPORT ON RULE CONSOLIDATION.] 74.17 The commissioner of human services shall report no later 74.18 than March 15, 1998, to the chairs of the senate committee on 74.19 health and family security, the house committee on health and 74.20 human services, the senate health and family security budget 74.21 division, and the house health and human services finance 74.22 division on the implementation of rule consolidation authorized 74.23 by Minnesota Statutes, section 245B.01. In addition, the report 74.24 shall include recommendations as needed to improve the 74.25 consolidated rule's effectiveness in providing safeguards for 74.26 clients while streamlining the regulatory process. The 74.27 commissioner shall appoint an advisory task force to assist in 74.28 developing the report. The task force membership shall include, 74.29 but not be limited to, representatives from provider, advocacy, 74.30 and other interested groups. Department of human services staff 74.31 shall not be members of the task force but shall provide 74.32 technical assistance as needed. 74.33 Sec. 50. [LEGISLATIVE TASK FORCE TO REVIEW THE BACKGROUND 74.34 STUDY PROCESS.] 74.35 The task force must consist of at least six legislators and 74.36 other members appointed by the commissioner of human services, 75.1 which may include representatives from the departments of human 75.2 services, health, corrections, and public safety, the ombudsman 75.3 for older Minnesotans, the ombudsman for mental health and 75.4 mental retardation, representatives from the attorney general's 75.5 office, and county agencies, persons receiving services in 75.6 licensed facilities, families of persons receiving services in 75.7 licensed facilities, representatives from consumer and advocacy 75.8 groups, representatives of agencies that provide services, 75.9 representatives of individuals and professionals who provide 75.10 services within the agencies, and representatives of employee 75.11 bargaining units. 75.12 The speaker of the house and the rules and administration 75.13 subcommittee on committees in the senate shall appoint at least 75.14 three members from each body to constitute a legislative task 75.15 force to review the background study process for individuals 75.16 providing services in facilities and programs licensed by either 75.17 the department of human services or the department of health. 75.18 At least one of the members from each body shall be from the 75.19 minority party. Members shall be appointed before July 1, 1997, 75.20 and shall convene as soon as possible during the 1997 interim at 75.21 the call of the chairs. 75.22 Members shall evaluate the current systems for background 75.23 studies completed under Minnesota Statutes, section 144.057, and 75.24 chapter 245A, specific to, but not limited to, the 75.25 appropriateness of the authority to disqualify individuals based 75.26 on a commissioner's determination that, absent a criminal 75.27 conviction, there is a preponderance of evidence that the 75.28 individual committed an act that meets the definition of a 75.29 disqualifying crime under Minnesota Statutes, section 245A.04, 75.30 the appropriateness and effectiveness of the due process 75.31 available to disqualified individuals, and the appropriateness 75.32 of standardizing disqualifying characteristics across all 75.33 services licensed by the department of human services and the 75.34 department of health. 75.35 The deliberations of the task force shall include 75.36 consideration of the privacy issues related to background 76.1 studies, specifically the efficient and effective dissemination 76.2 of information while protecting individual privacy rights, and 76.3 issues related to rehabilitation and present fitness to perform 76.4 the duties of employment, and be based upon the recognition that 76.5 the background study process exists to protect vulnerable 76.6 children and adults receiving services in licensed programs and 76.7 facilities and that the safety of these persons shall be given 76.8 preeminent weight over the interests of persons subject to the 76.9 background study process. 76.10 The task force shall present a report containing any 76.11 recommendations for change, with draft legislation, to the 76.12 legislature by February 1, 1998. The task force expires June 76.13 30, 1998. 76.14 Sec. 51. [REPEALER.] 76.15 Subdivision 1. Minnesota Rules, parts 9555.8000; 76.16 9555.8100; 9555.8200; 9555.8300; 9555.8400; and 9555.8500, are 76.17 repealed. 76.18 Subd. 2. (a) Laws 1996, chapter 408, article 10, section 76.19 13, is repealed. 76.20 (b) Minnesota Rules, parts 4668.0020 and 9543.3070, are 76.21 repealed. 76.22 Subd. 3. (a) Minnesota Statutes 1996, sections 245A.091; 76.23 245A.20; 245A.21; and 252.53, are repealed. 76.24 (b) Minnesota Rules, parts 9503.0170, subpart 7; 9525.0215; 76.25 9525.0225; 9525.0235; 9525.0243; 9525.0245; 9525.0255; 76.26 9525.0265; 9525.0275; 9525.0285; 9525.0295; 9525.0305; 76.27 9525.0315; 9525.0325; 9525.0335; 9525.0345; 9525.0355; 76.28 9525.0500; 9525.0510; 9525.0520; 9525.0530; 9525.0540; 76.29 9525.0550; 9525.0560; 9525.0570; 9525.0580; 9525.0590; 76.30 9525.0600; 9525.0610; 9525.0620; 9525.0630; 9525.0640; 76.31 9525.0650; 9525.0660; 9525.1240, subpart 1, item E, subitem (6); 76.32 9525.1500; 9525.1510; 9525.1520; 9525.1530; 9525.1540; 76.33 9525.1550; 9525.1560; 9525.1570, subparts 1, 2, 3, 4, 5, and 6; 76.34 9525.1590; 9525.1610; 9525.1620; 9525.1630; 9525.1640; 76.35 9525.1650; 9525.1660; 9525.1670; 9525.1680; 9525.1690; 76.36 9525.2000; 9525.2010; 9525.2020; 9525.2025; 9525.2030; 77.1 9525.2040; 9525.2050; 9525.2060; 9525.2070; 9525.2080; 77.2 9525.2090; 9525.2100; 9525.2110; 9525.2120; 9525.2130; and 77.3 9525.2140, are repealed. 77.4 Sec. 52. [EFFECTIVE DATE.] 77.5 Sections 1, 3 to 9, 12, 13, 15 to 34, 43 to 50, and 51, 77.6 subdivision 1, are effective the day following final enactment. 77.7 Sections 2, 10, 11, 14, and 51, subdivision 2, are effective 77.8 August 1, 1997. Sections 35 to 42 and 51, subdivision 3, are 77.9 effective January 1, 1998.