3rd 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; amending Minnesota Statutes 1996, sections 1.5 14.387; 245A.02, subdivisions 15, 16, and 17; 245A.03, 1.6 subdivision 2; 245A.04, subdivisions 3, 3a, 3b, 3c, 4, 1.7 5, 6, 7, and by adding a subdivision; 245A.06, 1.8 subdivisions 1, 3, 4, 5, 5a, 6, and 7; 245A.07, 1.9 subdivisions 1 and 3; 245A.08, subdivisions 1 and 2; 1.10 245A.09, subdivision 7; 245A.11, subdivision 2; 1.11 245A.16, subdivision 2; 256E.115; and 364.09; 1.12 proposing coding for new law in Minnesota Statutes, 1.13 chapter 245A; repealing Minnesota Statutes 1996, 1.14 sections 245A.091; 245A.20; 245A.21; and 252.53; Laws 1.15 1996, chapter 408, article 10, section 13; Minnesota 1.16 Rules, parts 4668.0020; 9503.0170, subpart 7; 1.17 9525.0215; 9525.0225; 9525.0235; 9525.0243; 9525.0245; 1.18 9525.0255; 9525.0265; 9525.0275; 9525.0285; 9525.0295; 1.19 9525.0305; 9525.0315; 9525.0325; 9525.0335; 9525.0345; 1.20 9525.0355; 9525.0500; 9525.0510; 9525.0520; 9525.0530; 1.21 9525.0540; 9525.0550; 9525.0560; 9525.0570; 9525.0580; 1.22 9525.0590; 9525.0600; 9525.0610; 9525.0620; 9525.0630; 1.23 9525.0640; 9525.0650; 9525.0660; 9525.1240, subpart 1, 1.24 item E, subitem (6); 9525.1500; 9525.1510; 9525.1520; 1.25 9525.1530; 9525.1540; 9525.1550; 9525.1560; 9525.1570; 1.26 9525.1590; 9525.1610; 9525.1620; 9525.1630; 9525.1640; 1.27 9525.1650; 9525.1660; 9525.1670; 9525.1680; 9525.1690; 1.28 9525.2000; 9525.2010; 9525.2020; 9525.2025; 9525.2030; 1.29 9525.2040; 9525.2050; 9525.2060; 9525.2070; 9525.2080; 1.30 9525.2090; 9525.2100; 9525.2110; 9525.2120; 9525.2130; 1.31 9525.2140; 9543.3070; 9555.8000; 9555.8100; 9555.8200; 1.32 9555.8300; 9555.8400; and 9555.8500. 1.33 BE IT ENACTED BY THE LEGISLATURE OF THE STATE OF MINNESOTA: 1.34 Section 1. Minnesota Statutes 1996, section 14.387, is 1.35 amended to read: 1.36 14.387 [LEGAL STATUS OF EXISTING EXEMPT RULES.] 1.37 A rule adopted on or before May 26, 1995, and which was not 1.38 adopted under sections 14.05 to 14.28 or their predecessor 1.39 provisions, does not have the force and effect of law on and 2.1 after July 1, 1997, and the authority for the rule expires on 2.2 that date. 2.3 This section does not apply to: 2.4 (1) rules implementing emergency powers under sections 2.5 12.31 to 12.37; 2.6 (2) rules of agencies directly in the legislative or 2.7 judicial branches; 2.8 (3) rules of the regents of the University of Minnesota; 2.9 (4) rules of the department of military affairs; 2.10 (5) rules of the comprehensive health association provided 2.11 in section 62E.10; 2.12 (6) rules of the tax court provided by section 271.06; 2.13 (7) rules concerning only the internal management of the 2.14 agency or other agencies, and which do not directly affect the 2.15 rights of or procedure available to the public; 2.16 (8) rules of the commissioner of corrections relating to 2.17 the placement and supervision of inmates serving a supervised 2.18 release term, the internal management of institutions under the 2.19 commissioner's control, and rules adopted under section 609.105 2.20 governing the inmates of those institutions; 2.21 (9) rules relating to weight limitations on the use of 2.22 highways when the substance of the rules is indicated to the 2.23 public by means of signs; 2.24 (10) opinions of the attorney general; 2.25 (11) the systems architecture plan and long-range plan of 2.26 the state education management information system provided by 2.27 section 121.931; 2.28 (12) the data element dictionary and the annual data 2.29 acquisition calendar of the department of children, families and 2.30 learning to the extent provided by section 121.932; 2.31 (13) the occupational safety and health standards provided 2.32 in section 182.655; 2.33 (14) revenue notices and tax information bulletins of the 2.34 commissioner of revenue; 2.35 (15) uniform conveyancing forms adopted by the commissioner 2.36 of commerce under section 507.09; 3.1 (16) game and fish rules of the commissioner of natural 3.2 resources adopted under section 84.027, subdivision 13, or 3.3 sections 97A.0451 to 97A.0459; 3.4 (17) experimental and special management waters designated 3.5 by the commissioner of natural resources under sections 97C.001 3.6 and 97C.005;or3.7 (18) game refuges designated by the commissioner of natural 3.8 resources under section 97A.085.; 3.9 (19) procedures used by the commissioner of human services 3.10 to evaluate grant proposals and award grants and contracts under 3.11 Laws 1988, chapter 689, article 2, section 248, as amended by 3.12 Laws 1989, chapter 282, article 2, section 205; 3.13 (20) interpretive guidelines issued by the commissioner of 3.14 human services as authorized by section 245A.09, subdivision 8, 3.15 and defined in section 245A.02, subdivision 7b; 3.16 (21) minimum standards contained in Human Immunodeficiency 3.17 Virus (HIV-1) Guidelines for Chemical Dependency Treatment and 3.18 Care Programs in Minnesota as specified in section 245A.19, 3.19 paragraph (a); 3.20 (22) sliding fee scales for MinnesotaCare premiums 3.21 determined by the commissioner of human services within the 3.22 parameters specified in sections 256.9358 and 256.9368; 3.23 (23) the list of elective surgeries that require a second 3.24 medical opinion as a condition of coverage by the medical 3.25 assistance or general assistance medical care programs and the 3.26 standards and criteria related to those surgeries as specified 3.27 in section 256B.0625, subdivisions 1, 4a, and 24; 3.28 (24) the procedures the commissioner of human services is 3.29 authorized by section 256B.0625, subdivision 13, paragraph (b), 3.30 to follow in establishing and publishing a drug formulary 3.31 listing drugs covered by the medical assistance or general 3.32 assistance medical care programs; 3.33 (25) the list of health services that require prior 3.34 authorization as a condition of coverage by the medical 3.35 assistance or general assistance medical care programs and the 3.36 criteria and standards used to select the services on the list 4.1 as specified in section 256B.0625, subdivision 25; 4.2 (26) the list of items the commissioner of human services 4.3 is permitted to inspect in performing follow-up inspections 4.4 allowed by the interagency agreement between the commissioners 4.5 of public safety and human services authorized in section 4.6 299F.011, subdivision 4a, paragraph (e); or 4.7 (27) procedures used by the commissioner of human services 4.8 for developing requests for proposals and contract requirements 4.9 and negotiating the terms, conditions, and requirements of 4.10 contracts specified in section 256B.434, subdivision 12, and the 4.11 transition plan and contract amendments specified in section 4.12 256B.434, subdivision 13, paragraph (b). 4.13 Sec. 2. Minnesota Statutes 1996, section 245A.02, 4.14 subdivision 15, is amended to read: 4.15 Subd. 15. [RESPITE CARE SERVICES.] "Respite care services" 4.16 means temporary services provided to a person due to the absence 4.17 or need for relief of the primary caregiver, the person's family 4.18 member, or legal representative who is the primary caregiver and 4.19 principally responsible for the care and supervision of the 4.20 person. Respite care services are those that provide the level 4.21 of supervision and care that is necessary to ensure the health 4.22 and safety of the person. Respite care services do not include 4.23 services that are specifically directed toward the training and 4.24 habilitation of the person. 4.25 Sec. 3. Minnesota Statutes 1996, section 245A.02, 4.26 subdivision 16, is amended to read: 4.27 Subd. 16. [SCHOOL AGE CHILD.] "School age child," for 4.28 programs licensed or required to be licensed as a child care 4.29 center, means a child who is at least of sufficient age to have 4.30 attended the first day of kindergarten, or is eligible to enter 4.31 kindergarten within the next four months, but is younger than 13 4.32 years of age. 4.33 Sec. 4. Minnesota Statutes 1996, section 245A.02, 4.34 subdivision 17, is amended to read: 4.35 Subd. 17. [SCHOOL AGE CHILD CARE PROGRAM.] "School age 4.36 child care program" means anonresidentialprogram licensed or 5.1 required to be licensed as a child care center, serving more 5.2 than ten children with the primary purpose of providing child 5.3 care for school age children. School age child care program 5.4 does not include programs such as scouting, boys clubs, girls 5.5 clubs, nor sports or art programs. 5.6 Sec. 5. Minnesota Statutes 1996, section 245A.03, 5.7 subdivision 2, is amended to read: 5.8 Subd. 2. [EXCLUSION FROM LICENSURE.] Sections 245A.01 to 5.9 245A.16 do not apply to: 5.10 (1) residential or nonresidential programs that are 5.11 provided to a person by an individual who is related unless the 5.12 residential program is a foster care placement made by a local 5.13 social services agency or a licensed child-placing agency, 5.14 except as provided in subdivision 2a; 5.15 (2) nonresidential programs that are provided by an 5.16 unrelated individual to persons from a single related family; 5.17 (3) residential or nonresidential programs that are 5.18 provided to adults who do not abuse chemicals or who do not have 5.19 a chemical dependency, a mental illness, mental retardation or a 5.20 related condition, a functional impairment, or a physical 5.21 handicap; 5.22 (4) sheltered workshops or work activity programs that are 5.23 certified by the commissioner of economic security; 5.24 (5) programs for children enrolled in kindergarten to the 5.25 12th grade and prekindergarten special education in a school as 5.26 defined in section 120.101, subdivision 4, and programs serving 5.27 children in combined special education and regular 5.28 prekindergarten programs that are operated or assisted by the 5.29 commissioner of children, families, and learning; 5.30 (6) nonresidential programs primarily for children that 5.31 provide care or supervision, without charge for ten or fewer 5.32 days a year, and for periods of less than three hours a day 5.33 while the child's parent or legal guardian is in the same 5.34 building as the nonresidential program or present within another 5.35 building that is directly contiguous to the building in which 5.36 the nonresidential program is located; 6.1 (7) nursing homes or hospitals licensed by the commissioner 6.2 of health except as specified under section 245A.02; 6.3 (8) board and lodge facilities licensed by the commissioner 6.4 of health that provide services for five or more persons whose 6.5 primary diagnosis is mental illness who have refused an 6.6 appropriate residential program offered by a county agency. 6.7 This exclusion expires on July 1, 1990; 6.8 (9) homes providing programs for persons placed there by a 6.9 licensed agency for legal adoption, unless the adoption is not 6.10 completed within two years; 6.11 (10) programs licensed by the commissioner of corrections; 6.12 (11) recreation programs for children or adults that 6.13 operate for fewer than 40 calendar days in a calendar year or 6.14 programs operated by a park and recreation board of a city of 6.15 the first class whose primary purpose is to provide social and 6.16 recreational activities to school age children, provided the 6.17 program is approved by the park and recreation board; 6.18 (12) programs operated by a school as defined in section 6.19 120.101, subdivision 4, whose primary purpose is to provide 6.20 child care to school-age children, provided the program is 6.21 approved by the district's school board; 6.22 (13) head start nonresidential programs which operate for 6.23 less than 31 days in each calendar year; 6.24 (14) noncertified boarding care homes unless they provide 6.25 services for five or more persons whose primary diagnosis is 6.26 mental illness or mental retardation; 6.27 (15) nonresidential programs for nonhandicapped children 6.28 provided for a cumulative total of less than 30 days in any 6.29 12-month period; 6.30 (16) residential programs for persons with mental illness, 6.31 that are located in hospitals, until the commissioner adopts 6.32 appropriate rules; 6.33 (17) the religious instruction of school-age children; 6.34 Sabbath or Sunday schools; or the congregate care of children by 6.35 a church, congregation, or religious society during the period 6.36 used by the church, congregation, or religious society for its 7.1 regular worship; 7.2 (18) camps licensed by the commissioner of health under 7.3 Minnesota Rules, chapter 4630; 7.4 (19) mental health outpatient services for adults with 7.5 mental illness or children with emotional disturbance; 7.6 (20) residential programs serving school-age children whose 7.7 sole purpose is cultural or educational exchange, until the 7.8 commissioner adopts appropriate rules; 7.9 (21) unrelated individuals who provide out-of-home respite 7.10 care services to persons with mental retardation or related 7.11 conditions from a single related family for no more than 90 days 7.12 in a 12-month period and the respite care services are for the 7.13 temporary relief of the person's family or legal representative; 7.14 (22) respite care services provided as a home and 7.15 community-based service to a person with mental retardation or a 7.16 related condition, in the person's primary residence; 7.17 (23) community support services programs as defined in 7.18 section 245.462, subdivision 6, and family community support 7.19 services as defined in section 245.4871, subdivision 17; or 7.20 (24) the placement of a child by a birth parent or legal 7.21 guardian in a preadoptive home for purposes of adoption as 7.22 authorized by section 259.47. 7.23 For purposes of clause (6), a building is directly 7.24 contiguous to a building in which a nonresidential program is 7.25 located if it shares a common wall with the building in which 7.26 the nonresidential program is located or is attached to that 7.27 building by skyway, tunnel, atrium, or common roof. 7.28 Sec. 6. Minnesota Statutes 1996, section 245A.04, 7.29 subdivision 3, is amended to read: 7.30 Subd. 3. [BACKGROUND STUDY OF THE APPLICANT.] (a) Before 7.31 the commissioner issues a license, the commissioner shall 7.32 conduct a study of the individuals specified in paragraph (c), 7.33 clauses (1) to (5), according to rules of the commissioner. 7.34 Beginning January 1, 1997, the commissioner shall also 7.35 conduct a study of employees providing direct contact services 7.36 for nonlicensed personal care provider organizations described 8.1 in paragraph (c), clause (5). 8.2 The commissioner shall recover the cost of these background 8.3 studies through a fee of no more than $12 per study charged to 8.4 the personal care provider organization. 8.5 Beginning August 1, 1997, the commissioner shall conduct 8.6 all background studies required under this chapter for adult 8.7 foster care providers who are licensed by the commissioner of 8.8 human services and registered under chapter 144D. The 8.9 commissioner shall conduct these background studies in 8.10 accordance with this chapter. The commissioner shall initiate a 8.11 pilot project to conduct up to 5,000 background studies under 8.12 this chapter in programs with joint licensure as home- and 8.13 community-based services and adult foster care for people with 8.14 developmental disabilities when the license holder does not 8.15 reside in the foster care residence. 8.16 (b) Beginning July 1,19971998, the commissioner shall 8.17 conduct a background study on individuals specified in paragraph 8.18 (c), clauses (1) to (5), who perform direct contact services in 8.19 a nursing home or a home care agency licensed under chapter 144A 8.20 or a boarding care home licensed under sections 144.50 to 8.21 144.58, when the subject of the study resides outside Minnesota; 8.22 the study must be at least as comprehensive as that of a 8.23 Minnesota resident and include a search of information from the 8.24 criminal justice data communications network in the state where 8.25 the subject of the study resides. 8.26 (c) The applicant, license holder, the bureau of criminal 8.27 apprehension, the commissioner of health and county agencies, 8.28 after written notice to the individual who is the subject of the 8.29 study, shall help with the study by giving the commissioner 8.30 criminal conviction data and reports about the maltreatment of 8.31 adults substantiated under section 626.557 and the maltreatment 8.32 of minors in licensed programs substantiated under section 8.33 626.556. The individuals to be studied shall include: 8.34 (1) the applicant; 8.35 (2) persons over the age of 13 living in the household 8.36 where the licensed program will be provided; 9.1 (3) current employees or contractors of the applicant who 9.2 will have direct contact with persons served by the facility, 9.3 agency, or program; 9.4 (4) volunteers or student volunteers who have direct 9.5 contact with persons served by the program to provide program 9.6 services, if the contact is not directly supervised by the 9.7 individuals listed in clause (1) or (3); and 9.8 (5) any person who, as an individual or as a member of an 9.9 organization, exclusively offers, provides, or arranges for 9.10 personal care assistant services under the medical assistance 9.11 program as authorized under sections 256B.04, subdivision 16, 9.12 and 256B.0625, subdivision 19. 9.13 The juvenile courts shall also help with the study by 9.14 giving the commissioner existing juvenile court records on 9.15 individuals described in clause (2) relating to delinquency 9.16 proceedings held within either the five years immediately 9.17 preceding the application or the five years immediately 9.18 preceding the individual's 18th birthday, whichever time period 9.19 is longer. The commissioner shall destroy juvenile records 9.20 obtained pursuant to this subdivision when the subject of the 9.21 records reaches age 23. 9.22 For purposes of this section and Minnesota Rules, part 9.23 9543.3070, a finding that a delinquency petition is proven in 9.24 juvenile court shall be considered a conviction in state 9.25 district court. 9.26 For purposes of this subdivision, "direct contact" means 9.27 providing face-to-face care, training, supervision, counseling, 9.28 consultation, or medication assistance to persons served by a 9.29 program. For purposes of this subdivision, "directly supervised" 9.30 means an individual listed in clause (1), (3), or (5) is within 9.31 sight or hearing of a volunteer to the extent that the 9.32 individual listed in clause (1), (3), or (5) is capable at all 9.33 times of intervening to protect the health and safety of the 9.34 persons served by the program who have direct contact with the 9.35 volunteer. 9.36 A study of an individual in clauses (1) to (5) shall be 10.1 conducted at least upon application for initial license and 10.2 reapplication for a license. The commissioner is not required 10.3 to conduct a study of an individual at the time of reapplication 10.4 for a license or if the individual has been continuously 10.5 affiliated with a foster care provider licensed by the 10.6 commissioner of human services and registered under chapter 10.7 144D, other than a family day care or foster care license, if: 10.8 (i) a study of the individual was conducted either at the time 10.9 of initial licensure or when the individual became affiliated 10.10 with the license holder; (ii) the individual has been 10.11 continuously affiliated with the license holder since the last 10.12 study was conducted; and (iii) the procedure described in 10.13 paragraph (d) has been implemented and was in effect 10.14 continuously since the last study was conducted. For the 10.15 purposes of this section, a physician licensed under chapter 147 10.16 is considered to be continuously affiliated upon the license 10.17 holder's receipt from the commissioner of health or human 10.18 services of the physician's background study results. For 10.19 individuals who are required to have background studies under 10.20 clauses (1) to (5) and who have been continuously affiliated 10.21 with a foster care provider that is licensed in more than one 10.22 county, criminal conviction data may be shared among those 10.23 counties in which the foster care programs are licensed. A 10.24 county agency's receipt of criminal conviction data from another 10.25 county agency shall meet the criminal data background study 10.26 requirements of this section. 10.27 The commissioner may also conduct studies on individuals 10.28 specified in clauses (3) and (4) when the studies are initiated 10.29 by: 10.30 (i) personnel pool agencies; 10.31 (ii) temporary personnel agencies; 10.32 (iii) educational programs that train persons by providing 10.33 direct contact services in licensed programs; and 10.34 (iv) professional services agencies that are not licensed 10.35 and which contract with licensed programs to provide direct 10.36 contact services or individuals who provide direct contact 11.1 services. 11.2 Studies on individuals in items (i) to (iv) must be 11.3 initiated annually by these agencies, programs, and 11.4 individuals. Except for personal care provider organizations, 11.5 no applicant, license holder, or individual who is the subject 11.6 of the study shall pay any fees required to conduct the study. 11.7 (1) At the option of the licensed facility, rather than 11.8 initiating another background study on an individual required to 11.9 be studied who has indicated to the licensed facility that a 11.10 background study by the commissioner was previously completed, 11.11 the facility may make a request to the commissioner for 11.12 documentation of the individual's background study status, 11.13 provided that: 11.14 (i) the facility makes this request using a form provided 11.15 by the commissioner; 11.16 (ii) in making the request the facility informs the 11.17 commissioner that either: 11.18 (A) the individual has been continuously affiliated with a 11.19 licensed facility since the individual's previous background 11.20 study was completed, or since October 1, 1995, whichever is 11.21 shorter; or 11.22 (B) the individual is affiliated only with a personnel pool 11.23 agency, a temporary personnel agency, an educational program 11.24 that trains persons by providing direct contact services in 11.25 licensed programs, or a professional services agency that is not 11.26 licensed and which contracts with licensed programs to provide 11.27 direct contact services or individuals who provide direct 11.28 contact services; and 11.29 (iii) the facility provides notices to the individual as 11.30 required in paragraphs (a) to (d), and that the facility is 11.31 requesting written notification of the individual's background 11.32 study status from the commissioner. 11.33 (2) The commissioner shall respond to each request under 11.34 paragraph (1) with a written notice to the facility and the 11.35 study subject. If the commissioner determines that a background 11.36 study is necessary, the study shall be completed without further 12.1 request from a licensed agency or notifications to the study 12.2 subject. 12.3 (3) When a background study is being initiated by a 12.4 licensed facility or a foster care provider that is also 12.5 registered under chapter 144D, a study subject affiliated with 12.6 multiple licensed facilities may attach to the background study 12.7 form a cover letter indicating the additional facilities' names, 12.8 addresses, and background study identification numbers. When 12.9 the commissioner receives such notices, each facility identified 12.10 by the background study subject shall be notified of the study 12.11 results. The background study notice sent to the subsequent 12.12 agencies shall satisfy those facilities' responsibilities for 12.13 initiating a background study on that individual. 12.14 (d) If an individual who is affiliated with a program or 12.15 facility regulated by the department of human services or 12.16 department of health or who is affiliated with a nonlicensed 12.17 personal care provider organization, is convicted of a crime 12.18 constituting a disqualification underMinnesota Rules, parts12.199543.3000 to 9543.3090subdivision 3aa, the probation officer or 12.20 corrections agent shall notify the commissioner of the 12.21 conviction. The commissioner, in consultation with the 12.22 commissioner of corrections, shall develop forms and information 12.23 necessary to implement this paragraph and shall provide the 12.24 forms and information to the commissioner of corrections for 12.25 distribution to local probation officers and corrections 12.26 agents. The commissioner shall inform individuals subject to a 12.27 background study that criminal convictions for disqualifying 12.28 crimes will be reported to the commissioner by the corrections 12.29 system. A probation officer, corrections agent, or corrections 12.30 agency is not civilly or criminally liable for disclosing or 12.31 failing to disclose the information required by this paragraph. 12.32 Upon receipt of disqualifying information, the commissioner 12.33 shall provide the notifications required in subdivision 3a, as 12.34 appropriate to agencies on record as having initiated a 12.35 background study or making a request for documentation of the 12.36 background study status of the individual. This paragraph does 13.1 not apply to family day care and child foster care programs. 13.2 (e) The individual who is the subject of the study must 13.3 provide the applicant or license holder with sufficient 13.4 information to ensure an accurate study including the 13.5 individual's first, middle, and last name; home address, city, 13.6 county, and state of residence for the past five years; zip 13.7 code; sex; date of birth; and driver's license number. The 13.8 applicant or license holder shall provide this information about 13.9 an individual in paragraph (c), clauses (1) to (5), on forms 13.10 prescribed by the commissioner. The commissioner may request 13.11 additional information of the individual, which shall be 13.12 optional for the individual to provide, such as the individual's 13.13 social security number or race. 13.14 (f) Except for child foster care, adult foster care, and 13.15 family day care homes, a study must include information related 13.16 to names of substantiated perpetrators of maltreatment of 13.17 vulnerable adults that has been received by the commissioner as 13.18 required under section 626.557, subdivision 9c, paragraph (i), 13.19 and the commissioner's records relating to the maltreatment of 13.20 minors in licensed programs, information from juvenile courts as 13.21 required in paragraph (c) for persons listed in paragraph (c), 13.22 clause (2), and information from the bureau of criminal 13.23 apprehension. For child foster care, adult foster care, and 13.24 family day care homes, the study must include information from 13.25 the county agency's record of substantiated maltreatment of 13.26 adults, and the maltreatment of minors, information from 13.27 juvenile courts as required in paragraph (c) for persons listed 13.28 in paragraph (c), clause (2), and information from the bureau of 13.29 criminal apprehension. The commissioner may also review arrest 13.30 and investigative information from the bureau of criminal 13.31 apprehension, the commissioner of health, a county attorney, 13.32 county sheriff, county agency, local chief of police, other 13.33 states, the courts, or the Federal Bureau of Investigation if 13.34 the commissioner has reasonable cause to believe the information 13.35 is pertinent to the disqualification of an individual listed in 13.36 paragraph (c), clauses (1) to (5). The commissioner is not 14.1 required to conduct more than one review of a subject's records 14.2 from the Federal Bureau of Investigation if a review of the 14.3 subject's criminal history with the Federal Bureau of 14.4 Investigation has already been completed by the commissioner and 14.5 there has been no break in the subject's affiliation with the 14.6 license holder who initiated the background studies. 14.7 When the commissioner has reasonable cause to believe that 14.8 further pertinent information may exist on the subject, the 14.9 subject shall provide a set of classifiable fingerprints 14.10 obtained from an authorized law enforcement agency. For 14.11 purposes of requiring fingerprints, the commissioner shall be 14.12 considered to have reasonable cause under, but not limited to, 14.13 the following circumstances: 14.14 (1) information from the bureau of criminal apprehension 14.15 indicates that the subject is a multistate offender; 14.16 (2) information from the bureau of criminal apprehension 14.17 indicates that multistate offender status is undetermined; or 14.18 (3) the commissioner has received a report from the subject 14.19 or a third party indicating that the subject has a criminal 14.20 history in a jurisdiction other than Minnesota. 14.21 (g) An applicant's or license holder's failure or refusal 14.22 to cooperate with the commissioner is reasonable cause 14.23 to disqualify a subject, denyana license application or 14.24 immediately suspend, suspend, or revoke a license. Failure or 14.25 refusal of an individual to cooperate with the study is just 14.26 cause for denying or terminating employment of the individual if 14.27 the individual's failure or refusal to cooperate could cause the 14.28 applicant's application to be denied or the license holder's 14.29 license to be immediately suspended, suspended, or revoked. 14.30 (h) The commissioner shall not consider an application to 14.31 be complete until all of the information required to be provided 14.32 under this subdivision has been received. 14.33 (i) No person in paragraph (c), clause (1), (2), (3), (4), 14.34 or (5) who is disqualified as a result of this section may be 14.35 retained by the agency in a position involving direct contact 14.36 with persons served by the program. 15.1 (j) Termination of persons in paragraph (c), clause (1), 15.2 (2), (3), (4), or (5), made in good faith reliance on a notice 15.3 of disqualification provided by the commissioner shall not 15.4 subject the applicant or license holder to civil liability. 15.5 (k) The commissioner may establish records to fulfill the 15.6 requirements of this section. 15.7 (l) The commissioner may not disqualify an individual 15.8 subject to a study under this section because that person has, 15.9 or has had, a mental illness as defined in section 245.462, 15.10 subdivision 20. 15.11 (m)An individual who is subject to an applicant background15.12study under this section and whose disqualification in15.13connection with a license would be subject to the limitations on15.14reconsideration set forth in subdivision 3b, paragraph (c),15.15shall be disqualified for conviction of the crimes specified in15.16the manner specified in subdivision 3b, paragraph (c). The15.17commissioner of human services shall amend Minnesota Rules, part15.189543.3070, to conform to this section.15.19(n)An individual subject to disqualification under this 15.20 subdivision has the applicable rights in subdivision 3a, 3b, or 15.21 3c. 15.22 Sec. 7. Minnesota Statutes 1996, section 245A.04, is 15.23 amended by adding a subdivision to read: 15.24 Subd. 3aa. [DISQUALIFICATION.] When a background study 15.25 completed under subdivision 3 shows any of the following: a 15.26 conviction of one or more crimes listed in clauses (1) to (4); 15.27 the individual has admitted to or a preponderance of the 15.28 evidence indicates the individual has committed an act or acts 15.29 that meet the definition of any of the crimes listed in clauses 15.30 (1) to (4); or an administrative determination listed under 15.31 clause (4), the individual shall be disqualified from any 15.32 position allowing direct contact with persons receiving services 15.33 from the license holder: 15.34 (1) regardless of how much time has passed since the 15.35 discharge of the sentence imposed for the offense, and unless 15.36 otherwise specified, regardless of the level of the conviction, 16.1 the individual was convicted of any of the following offenses: 16.2 sections 609.185 (murder in the first degree); 609.19 (murder in 16.3 the second degree); 609.195 (murder in the third degree); 16.4 609.2661 (murder of an unborn child in the first degree); 16.5 609.2662 (murder of an unborn child in the second degree); 16.6 609.2663 (murder of an unborn child in the third degree); 16.7 609.322 (solicitation, inducement, and promotion of 16.8 prostitution); 609.323 (receiving profit derived from 16.9 prostitution); 609.342 (criminal sexual conduct in the first 16.10 degree); 609.343 (criminal sexual conduct in the second degree); 16.11 609.344 (criminal sexual conduct in the third degree); 609.345 16.12 (criminal sexual conduct in the fourth degree); 609.352 16.13 (solicitation of children to engage in sexual conduct); 609.365 16.14 (incest); felony offense under 609.377 (malicious punishment of 16.15 a child); 617.246 (use of minors in sexual performance 16.16 prohibited); 617.247 (possession of pictorial representations of 16.17 minors); or attempt or conspiracy to commit any of these 16.18 offenses as defined in Minnesota Statutes, or an offense in any 16.19 other state or country, where the elements are substantially 16.20 similar to any of the offenses listed in this clause; 16.21 (2) if less than 15 years have passed since the discharge 16.22 of the sentence imposed for the offense; and the individual has 16.23 received a felony conviction for a violation of any of these 16.24 offenses: sections 609.20 (manslaughter in the first degree); 16.25 609.205 (manslaughter in the second degree); 609.21 (criminal 16.26 vehicular homicide and injury); 609.215 (suicide); 609.221 to 16.27 609.2231 (assault in the first, second, third, or fourth 16.28 degree); repeat offenses under 609.224 (assault in the fifth 16.29 degree); 609.2242 and 609.2243 (domestic assault; sentencing; 16.30 repeat domestic assault); repeat offenses under 609.3451 16.31 (criminal sexual conduct in the fifth degree); 609.713 16.32 (terroristic threats); 609.235 (use of drugs to injure or 16.33 facilitate crime); 609.24 (simple robbery); 609.245 (aggravated 16.34 robbery); 609.25 (kidnapping); 609.255 (false imprisonment); 16.35 609.561 (arson in the first degree); 609.562 (arson in the 16.36 second degree); 609.563 (arson in the third degree); repeat 17.1 offenses under 617.23 (indecent exposure; penalties); repeat 17.2 offenses under 617.241 (obscene materials and performances; 17.3 distribution and exhibition prohibited; penalty); 609.71 (riot); 17.4 609.66 (dangerous weapons); 609.67 (machine guns and 17.5 short-barreled shotguns); 609.749 (harassment; stalking; 17.6 penalties); 609.228 (great bodily harm caused by distribution of 17.7 drugs); 609.2325 (criminal abuse of a vulnerable adult); 17.8 609.2664 (manslaughter of an unborn child in the first degree); 17.9 609.2665 (manslaughter of an unborn child in the second degree); 17.10 609.267 (assault of an unborn child in the first degree); 17.11 609.2671 (assault of an unborn child in the second degree); 17.12 609.268 (injury or death of an unborn child in the commission of 17.13 a crime); 609.378 (neglect or endangerment of a child); 609.324, 17.14 subdivision 1 (other prohibited acts); 609.52 (theft); 609.2335 17.15 (financial exploitation of a vulnerable adult); 609.521 17.16 (possession of shoplifting gear); 609.582 (burglary); 609.625 17.17 (aggravated forgery); 609.63 (forgery); 609.631 (check forgery; 17.18 offering a forged check); 609.635 (obtaining signature by false 17.19 pretense); 609.27 (coercion); 609.275 (attempt to coerce); 17.20 609.687 (adulteration); 260.221 (grounds for termination of 17.21 parental rights); and chapter 152 (drugs; controlled 17.22 substance). An attempt or conspiracy to commit any of these 17.23 offenses, as each of these offenses is defined in Minnesota 17.24 Statutes; or an offense in any other state or country, the 17.25 elements of which are substantially similar to the elements of 17.26 the offenses in this clause. If the individual studied is 17.27 convicted of one of the felonies listed in this clause, but the 17.28 sentence is a gross misdemeanor or misdemeanor disposition, the 17.29 look-back period for the conviction is the period applicable to 17.30 the disposition, that is the period for gross misdemeanors or 17.31 misdemeanors; 17.32 (3) if less than ten years have passed since the discharge 17.33 of the sentence imposed for the offense; and the individual has 17.34 received a gross misdemeanor conviction for a violation of any 17.35 of the following offenses: sections 609.224 (assault in the 17.36 fifth degree); 609.2242 and 609.2243 (domestic assault); 18.1 violation of an order for protection under 518B.01, subdivision 18.2 14; 609.3451 (criminal sexual conduct in the fifth degree); 18.3 repeat offenses under 609.746 (interference with privacy); 18.4 repeat offenses under 617.23 (indecent exposure); 617.241 18.5 (obscene materials and performances); 617.243 (indecent 18.6 literature, distribution); 617.293 (harmful materials; 18.7 dissemination and display to minors prohibited); 609.71 (riot); 18.8 609.66 (dangerous weapons); 609.749 (harassment; stalking; 18.9 penalties); 609.224, subdivision 2, paragraph (c) (assault in 18.10 the fifth degree by a caregiver against a vulnerable adult); 18.11 609.23 (mistreatment of persons confined); 609.231 (mistreatment 18.12 of residents or patients); 609.2325 (criminal abuse of a 18.13 vulnerable adult); 609.233 (criminal neglect of a vulnerable 18.14 adult); 609.2335 (financial exploitation of a vulnerable adult); 18.15 609.234 (failure to report maltreatment of a vulnerable adult); 18.16 609.72, subdivision 3 (disorderly conduct against a vulnerable 18.17 adult); 609.265 (abduction); 609.378 (neglect or endangerment of 18.18 a child); 609.377 (malicious punishment of a child); 609.324, 18.19 subdivision 1a (other prohibited acts; minor engaged in 18.20 prostitution); 609.33 (disorderly house); 609.52 (theft); 18.21 609.582 (burglary); 609.631 (check forgery; offering a forged 18.22 check); 609.275 (attempt to coerce); or an attempt or conspiracy 18.23 to commit any of these offenses, as each of these offenses is 18.24 defined in Minnesota Statutes; or an offense in any other state 18.25 or country, the elements of which are substantially similar to 18.26 the elements of any of the offenses listed in this clause. If 18.27 the defendant is convicted of one of the gross misdemeanors 18.28 listed in this clause, but the sentence is a misdemeanor 18.29 disposition, the look-back period for the conviction is the 18.30 period applicable to misdemeanors; 18.31 (4) if less than seven years have passed since the 18.32 discharge of the sentence imposed for the offense; and the 18.33 individual has received a misdemeanor conviction for a violation 18.34 of any of the following offenses: sections 609.224 (assault in 18.35 the fifth degree); 609.2242 (domestic assault); violation of an 18.36 order for protection under 518B.01 (domestic abuse act); 19.1 violation of an order for protection under 609.3232 (protective 19.2 order authorized; procedures; penalties); 609.746 (interference 19.3 with privacy); 609.79 (obscene or harassing phone calls); 19.4 609.795 (letter, telegram, or package; opening; harassment); 19.5 617.23 (indecent exposure; penalties); 609.2672 (assault of an 19.6 unborn child in the third degree); 617.293 (harmful materials; 19.7 dissemination and display to minors prohibited); 609.66 19.8 (dangerous weapons); 609.665 (spring guns); 609.2335 (financial 19.9 exploitation of a vulnerable adult); 609.234 (failure to report 19.10 maltreatment of a vulnerable adult); 609.52 (theft); 609.27 19.11 (coercion); or an attempt or conspiracy to commit any of these 19.12 offenses, as each of these offenses is defined in Minnesota 19.13 Statutes; or an offense in any other state or country, the 19.14 elements of which are substantially similar to the elements of 19.15 any of the offenses listed in this clause; failure to make 19.16 required reports under section 626.556, subdivision 3, or 19.17 626.557, subdivision 3, for incidents in which: (i) the final 19.18 disposition under section 626.556 or 626.557 was substantiated 19.19 maltreatment, and (ii) the maltreatment was recurring or 19.20 serious; or substantiated serious or recurring maltreatment of a 19.21 minor under section 626.556 or of a vulnerable adult under 19.22 section 626.557 for which there is a preponderance of evidence 19.23 that the maltreatment occurred, and that the subject was 19.24 responsible for the maltreatment. For the purposes of this 19.25 section, serious maltreatment means sexual abuse; maltreatment 19.26 resulting in death; or maltreatment resulting in serious injury 19.27 which reasonably requires the care of a physician whether or not 19.28 the care of a physician was sought, including: bruises, bites, 19.29 skin laceration or tissue damage; fractures; dislocations; 19.30 evidence of internal injuries; head injuries with loss of 19.31 consciousness; extensive second-degree or third-degree burns and 19.32 other burns for which complications are present; irreversible 19.33 mobility or avulsion of teeth; injuries to the eyeball; 19.34 ingestion of foreign substances and objects that are harmful; 19.35 near drowning; and heat exhaustion or sunstroke. For the 19.36 purposes of this section, recurring maltreatment means more than 20.1 one incident of maltreatment for which there is a preponderance 20.2 of evidence that the maltreatment occurred, and that the subject 20.3 was responsible for the maltreatment. 20.4 Sec. 8. Minnesota Statutes 1996, section 245A.04, 20.5 subdivision 3a, is amended to read: 20.6 Subd. 3a. [NOTIFICATION TO SUBJECT AND LICENSE HOLDER OF 20.7 STUDY RESULTS; DETERMINATION OF RISK OF HARM.] (a) The 20.8 commissioner shall notify the applicant or license holder and 20.9 the individual who is the subject of the study, in writing, of 20.10 the results of the study. When the study is completed, a notice 20.11 that the study was undertaken and completed shall be maintained 20.12 in the personnel files of the program. 20.13 The commissioner shall notify the individual studied if the 20.14 information in the study indicates the individual is 20.15 disqualified from direct contact with persons served by the 20.16 program. The commissioner shall disclose the 20.17 information causing disqualification and instructions on how to 20.18 request a reconsideration of the disqualification to the 20.19 individual studied. An applicant or license holder who is not 20.20 the subject of the study shall be informed that the commissioner 20.21 has found information that disqualifies the subject from direct 20.22 contact with persons served by the program. However,the20.23applicant or license holder shall not be told what that20.24information isonly the individual studied must be informed of 20.25 the information contained in the subject's background study 20.26 unless the only basis for the disqualification is failure to 20.27 cooperate, the data practices act provides for release of the 20.28 information, or the individual studied authorizes the release of 20.29 the information. 20.30 (b) If the commissioner determines that the individual 20.31 studied has a disqualifying characteristic, the commissioner 20.32 shall review the information immediately available and make a 20.33 determination as to the subject's immediate risk of harm to 20.34 persons served by the program where the individual studied will 20.35 have direct contact. The commissioner shall consider all 20.36 relevant information available, including the following factors 21.1 in determining the immediate risk of harm: the recency of the 21.2 disqualifying characteristic, the recency of discharge from 21.3 probation for the crimes; the number of disqualifying 21.4 characteristics; the intrusiveness or violence of the 21.5 disqualifying characteristic; the vulnerability of the victim 21.6 involved in the disqualifying characteristic; and the similarity 21.7 of the victim to the persons served by the program where the 21.8 individual studied will have direct contact. The commissioner 21.9 may determine that the evaluation of the information immediately 21.10 available gives the commissioner reason to believe one of the 21.11 following: 21.12 (1) The individual poses an imminent risk of harm to 21.13 persons served by the program where the individual studied will 21.14 have direct contact. If the commissioner determines that an 21.15 individual studied poses an imminent risk of harm to persons 21.16 served by the program where the individual studied will have 21.17 direct contact, the individual and the license holder must be 21.18 sent a notice of disqualification. The commissioner shall order 21.19 the license holder to immediately remove the individual studied 21.20 from direct contact. The notice to the individual studied must 21.21 include an explanation of the basis of this determination. 21.22 (2) The individual poses a risk of harm requiring 21.23 continuous supervision while providing direct contact services 21.24 during the period in which the subject may request a 21.25 reconsideration. If the commissioner determines that an 21.26 individual studied poses a risk of harm that requires continuous 21.27 supervision, the individual and the license holder must be sent 21.28 a notice of disqualification. The commissioner shall order the 21.29 license holder to immediately remove the individual studied from 21.30 direct contact services or assure that the individual studied is 21.31 within sight or hearing of another staff person when providing 21.32 direct contact services during the period in which the 21.33 individual may request a reconsideration of the 21.34 disqualification. If the individual studied does not submit a 21.35 timely request for reconsideration, or the individual submits a 21.36 timely request for reconsideration, but the disqualification is 22.1 not set aside for that license holder, the license holder will 22.2 be notified of the disqualification and ordered to immediately 22.3 remove the individual from any position allowing direct contact 22.4 with persons receiving services from the license holder. 22.5 (3) The individual does not pose an imminent risk of harm 22.6 or a risk of harm requiring continuous supervision while 22.7 providing direct contact services during the period in which the 22.8 subject may request a reconsideration. If the commissioner 22.9 determines that an individual studied does not pose a risk of 22.10 harm that requires continuous supervision, only the individual 22.11 must be sent a notice of disqualification. The license holder 22.12 must be sent a notice that more time is needed to complete the 22.13 individual's background study. If the individual studied 22.14 submits a timely request for reconsideration, and if the 22.15 disqualification is set aside for that license holder, the 22.16 license holder will receive the same notification received by 22.17 license holders in cases where the individual studied has no 22.18 disqualifying characteristic. If the individual studied does 22.19 not submit a timely request for reconsideration, or the 22.20 individual submits a timely request for reconsideration, but the 22.21 disqualification is not set aside for that license holder, the 22.22 license holder will be notified of the disqualification and 22.23 ordered to immediately remove the individual from any position 22.24 allowing direct contact with persons receiving services from the 22.25 license holder. 22.26 Sec. 9. Minnesota Statutes 1996, section 245A.04, 22.27 subdivision 3b, is amended to read: 22.28 Subd. 3b. [RECONSIDERATION OF DISQUALIFICATION.] (a) 22.29Within 30 days after receiving notice of disqualification under22.30subdivision 3a,The individual who is the subject of thestudy22.31 disqualification may request a reconsideration of thenotice of22.32 disqualification. 22.33 The individual must submit the request for reconsideration 22.34 to the commissioner in writing. A request for reconsideration 22.35 for an individual who has been sent a notice of disqualification 22.36 under subdivision 3a, paragraph (b), clause (1) or (2), must be 23.1 submitted within 30 calendar days of the disqualified 23.2 individual's receipt of the notice of disqualification. A 23.3 request for reconsideration for an individual who has been sent 23.4 a notice of disqualification under subdivision 3a, paragraph 23.5 (b), clause (3), must be submitted within 15 calendar days of 23.6 the disqualified individual's receipt of the notice of 23.7 disqualification. Removal of a disqualified individual from 23.8 direct contact shall be ordered if the individual does not 23.9 request reconsideration within the prescribed time, and for an 23.10 individual who submits a timely request for reconsideration, if 23.11 the disqualification is not set aside. The individual must 23.12 present informationto showshowing that: 23.13 (1) the information the commissioner relied upon is 23.14 incorrect or inaccurate. If the basis of a reconsideration 23.15 request is that a maltreatment determination or disposition 23.16 under section 626.556 or 626.557 is incorrect, and the 23.17 commissioner has issued a final order in an appeal of that 23.18 determination or disposition under section 256.045, the 23.19 commissioner's order is conclusive on the issue of maltreatment; 23.20 or 23.21 (2) the subject of the study does not pose a risk of harm 23.22 to any person served by the applicant or license holder. 23.23 (b) The commissioner may set aside the disqualification 23.24 under this section if the commissioner finds that the 23.25 information the commissioner relied upon is incorrect or the 23.26 individual does not pose a risk of harm to any person served by 23.27 the applicant or license holder. In determining that an 23.28 individual does not pose a risk of harm, the commissioner shall 23.29reviewconsider the consequences of the event or events 23.30 thatcouldlead to disqualification, whether there is more than 23.31 one disqualifying event, the vulnerability of the victim at the 23.32 time of the event, the time elapsed without a repeat of the same 23.33 or similar event,anddocumentation of successful completion by 23.34 the individual studied of training or rehabilitation pertinent 23.35 to the event, and any other information relevant to 23.36 reconsideration. In reviewing a disqualification under this 24.1 section, the commissioner shall give preeminent weight to the 24.2 safety of each person to be served by the license holder or 24.3 applicant over the interests of the license holder or applicant. 24.4 (c) Unless the information the commissioner relied on in 24.5 disqualifying an individual is incorrect, the commissioner may 24.6 not set aside the disqualification of an individual in 24.7 connection with a license to provide family day care for 24.8 children, foster care for children in the provider's own home, 24.9 or foster care or day care services for adults in the provider's 24.10 own home if: 24.11 (1) less than ten years have passed since the discharge of 24.12 the sentence imposed for the offense; and the individual has 24.13 been convicted of a violation of any offense listed in 24.14sectionsections 609.20 (manslaughter in the first degree), 24.15 609.205 (manslaughter in the second degree), criminal vehicular 24.16 homicide under 609.21 (criminal vehicular homicide and injury), 24.17 609.215 (aiding suicide or aiding attempted suicide), felony 24.18 violations under 609.221 to 609.2231 (felony violations of24.19 assault in the first, second, third, or fourth degree), 609.713 24.20 (terroristic threats), 609.235 (use of drugs to injure or to 24.21 facilitate crime), 609.24 (simple robbery), 609.245 (aggravated 24.22 robbery), 609.25 (kidnapping), 609.255 (false imprisonment), 24.23 609.561 or 609.562 (arson in the first or second degree), 609.71 24.24 (riot), burglary in the first or second degree under 609.582 24.25 (burglaryin the first or second degree), 609.66 (reckless use24.26of a gun ordangerous weaponor intentionally pointing a gun at24.27or towards a human being), 609.665 (setting aspringgunguns), 24.28 609.67 (unlawfully owning, possessing, or operating amachine 24.29gunguns and short-barreled shotguns), 609.749 (harassment; 24.30 stalking), 152.021 or 152.022 (controlled substance crime in the 24.31 first or second degree), 152.023, subdivision 1, clause (3) or 24.32 (4), or subdivision 2, clause (4) (controlled substance crime in 24.33 the third degree), 152.024, subdivision 1, clause (2), (3), or 24.34 (4) (controlled substance crime in the fourth degree), 609.224, 24.35 subdivision 2, paragraph (c) (fifth-degree assault by a 24.36 caregiver against a vulnerable adult), 609.228 (great bodily 25.1 harm caused by distribution of drugs), 609.23 (mistreatment of 25.2 persons confined), 609.231 (mistreatment of residents or 25.3 patients), 609.2325 (criminal abuse of a vulnerable adult), 25.4 609.233 (criminal neglect of a vulnerable adult), 609.2335 25.5 (financial exploitation of a vulnerable adult), 609.234 (failure 25.6 to report), 609.265 (abduction), 609.2664 to 609.2665 25.7 (manslaughter of an unborn child in the first or second degree), 25.8 609.267 to 609.2672 (assault of an unborn child in the first, 25.9 second, or third degree), 609.268 (injury or death of an unborn 25.10 child in the commission of a crime), 617.293 (disseminating or 25.11 displaying harmful material to minors), 609.378 (neglect or 25.12 endangerment of a child), a gross misdemeanor offense under 25.13 609.377 (a gross misdemeanor offense ofmalicious punishment of 25.14 a child), 609.72, subdivision 3 (disorderly conduct against a 25.15 vulnerable adult); or an attempt or conspiracy to commit any of 25.16 these offenses, as each of these offenses is defined in 25.17 Minnesota Statutes; or an offense in any other state, the 25.18 elements of which are substantially similar to the elements of 25.19 any of the foregoing offenses; 25.20 (2) regardless of how much time has passed since the 25.21 discharge of the sentence imposed for the offense, the 25.22 individual was convicted of a violation of any offense listed in 25.23 sections 609.185 to 609.195 (murder in the first, second, or 25.24 third degree), 609.2661 to 609.2663 (murder of an unborn child 25.25 in the first, second, or third degree), a felony offense under 25.26 609.377 (a felony offense ofmalicious punishment of a child), 25.27 609.322 (solicitingsolicitation, inducement,orand promotion 25.28 of prostitution), 609.323 (receiving profit derived from 25.29 prostitution), 609.342 to 609.345 (criminal sexual conduct in 25.30 the first, second, third, or fourth degree), 609.352 25.31 (solicitation of children to engage in sexual conduct), 617.246 25.32 (use of minors in a sexual performance), 617.247 (possession of 25.33 pictorial representations of a minor), 609.365 (incest), or an 25.34 attempt or conspiracy to commit any of these offenses as defined 25.35 in Minnesota Statutes, or an offense in any other state, the 25.36 elements of which are substantially similar to any of the 26.1 foregoing offenses; 26.2 (3) within the seven years preceding the study, the 26.3 individual committed an act that constitutes maltreatment of a 26.4 child under section 626.556, subdivision 10e, and that resulted 26.5 in substantial bodily harm as defined in section 609.02, 26.6 subdivision 7a, or substantial mental or emotional harm as 26.7 supported by competent psychological or psychiatric evidence; or 26.8 (4) within the seven years preceding the study, the 26.9 individual was determined under section 626.557 to be the 26.10 perpetrator of a substantiated incident ofabusemaltreatment of 26.11 a vulnerable adult that resulted in substantial bodily harm as 26.12 defined in section 609.02, subdivision 7a, or substantial mental 26.13 or emotional harm as supported by competent psychological or 26.14 psychiatric evidence. 26.15 In the case of any ground for disqualification under 26.16 clauses (1) to (4), if the act was committed by an individual 26.17 other than the applicant or license holder residing in the 26.18 applicant's or license holder's home, the applicant or license 26.19 holder may seek reconsideration when the individual who 26.20 committed the act no longer resides in the home. 26.21 The disqualification periods provided under clauses (1), 26.22 (3), and (4) are the minimum applicable disqualification 26.23 periods. The commissioner may determine that an individual 26.24 should continue to be disqualified from licensure because the 26.25 license holder or applicant poses a risk of harm to a person 26.26 served by that individual after the minimum disqualification 26.27 period has passed. 26.28 (d) The commissioner shall respond in writing or by 26.29 electronic transmission to all reconsideration requests for 26.30 which the basis for the request is that the information relied 26.31 upon by the commissioner to disqualify is incorrect or 26.32 inaccurate within 30 working days of receipt of a request and 26.33 all relevant information. If the basis for the request is that 26.34 the individual does not pose a risk of harm, the commissioner 26.35 shall respond to the request within 15 working days after 26.36 receiving the request for reconsideration and all relevant 27.1 information. If the disqualification is set aside, the 27.2 commissioner shall notify the applicant or license holder in 27.3 writing or by electronic transmission of the decision. 27.4 (e) Except as provided in subdivision 3c, the 27.5 commissioner's decision to disqualify an individual, including 27.6 the decision to grant or deny areconsideration ofrescission or 27.7 set aside a disqualification underthis subdivision, or to set27.8aside or uphold the results of the study under subdivision27.93this section, is the final administrative agency action and 27.10 shall not be subject to further review in a contested case under 27.11 chapter 14 involving a negative licensingactionappeal taken in 27.12 response to the disqualification or involving an accuracy and 27.13 completeness appeal under section 13.04. 27.14 Sec. 10. Minnesota Statutes 1996, section 245A.04, 27.15 subdivision 3c, is amended to read: 27.16 Subd. 3c. [CONTESTED CASE.] If a disqualification is not 27.17 set aside, a person who, on or after the effective date of rules27.18adopted under subdivision 3, paragraph (i),is an employee of an 27.19 employer, as defined in section 179A.03, subdivision 15, may 27.20 request a contested case hearing under chapter 14. Rules 27.21 adopted under this chapter may not preclude an employee in a 27.22 contested case hearing for disqualification from submitting 27.23 evidence concerning information gathered under subdivision 3, 27.24 paragraph (e). 27.25 Sec. 11. Minnesota Statutes 1996, section 245A.04, 27.26 subdivision 4, is amended to read: 27.27 Subd. 4. [INSPECTIONS; WAIVER.] (a) Before issuingaan 27.28 initial license, the commissioner shall conduct an inspection of 27.29 the program. The inspection must include but is not limited to: 27.30 (1) an inspection of the physical plant; 27.31 (2) an inspection of records and documents; 27.32 (3) an evaluation of the program by consumers of the 27.33 program; and 27.34 (4) observation of the program in operation. 27.35 For the purposes of this subdivision, "consumer" means a 27.36 person who receives the services of a licensed program, the 28.1 person's legal guardian, or the parent or individual having 28.2 legal custody of a child who receives the services of a licensed 28.3 program. 28.4 (b) The evaluation required in paragraph (a), clause (3) or 28.5 the observation in paragraph (a), clause (4) is not required 28.6 prior to issuinga provisionalan initial license under 28.7 subdivision 7. If the commissioner issuesa provisionalan 28.8 initial license under subdivision 7, these requirements must be 28.9 completed within one year after the issuance ofa provisionalan 28.10 initial license.The observation in paragraph (a), clause (4)28.11is not required if the commissioner determines that the28.12observation would hinder the persons receiving services in28.13benefiting from the program.28.14 Sec. 12. Minnesota Statutes 1996, section 245A.04, 28.15 subdivision 5, is amended to read: 28.16 Subd. 5. [COMMISSIONER'S RIGHT OF ACCESS.] When the 28.17 commissioner is exercising the powers conferred bysections28.18245A.01 to 245A.15this chapter, the commissioner must be given 28.19 access to the physical plant and grounds where the program is 28.20 provided, documents, persons served by the program, and staff 28.21 whenever the program is in operation and the information is 28.22 relevant to inspections or investigations conducted by the 28.23 commissioner. The commissioner must be given access without 28.24 prior notice and as often as the commissioner considers 28.25 necessary if the commissioner is conducting an investigation of 28.26 allegations ofabuse, neglect,maltreatment,or other violation 28.27 of applicable laws or rules. In conducting inspections, the 28.28 commissioner may request and shall receive assistance from other 28.29 state, county, and municipal governmental agencies and 28.30 departments. The applicant or license holder shall allow the 28.31 commissioner to photocopy, photograph, and make audio and video 28.32 tape recordings during the inspection of the program at the 28.33 commissioner's expense. The commissioner shall obtain a court 28.34 order or the consent of the subject of the records or the 28.35 parents or legal guardian of the subject before photocopying 28.36 hospital medical records. 29.1 Persons served by the program have the right to refuse to 29.2 consent to be interviewed, photographed, or audio or videotaped. 29.3 Failure or refusal of an applicant or license holder to fully 29.4 comply with this subdivision is reasonable cause for the 29.5 commissioner to deny the application or immediately suspend or 29.6 revoke the license. 29.7 Sec. 13. Minnesota Statutes 1996, section 245A.04, 29.8 subdivision 6, is amended to read: 29.9 Subd. 6. [COMMISSIONER'S EVALUATION.] Before granting, 29.10 suspending, revoking, or makingprobationaryconditional a 29.11 license, the commissioner shall evaluate information gathered 29.12 under this section. The commissioner's evaluation shall 29.13 consider facts, conditions, or circumstances concerning the 29.14 program's operation, the well-being of persons served by the 29.15 program, available consumer evaluations of the program, and 29.16 information about the qualifications of the personnel employed 29.17 by the applicant or license holder. 29.18 The commissioner shall evaluate the results of the study 29.19 required in subdivision 3 and determine whether a risk of harm 29.20 to the persons served by the program exists. In conducting this 29.21 evaluation, the commissioner shall apply the disqualification 29.22 standards set forth in rules adopted under this chapter.Prior29.23to the adoption of rules establishing disqualification29.24standards, the commissioner shall forward the proposed rules to29.25the commissioner of human rights for review and recommendation29.26concerning the protection of individual rights. The29.27recommendation of the commissioner of human rights is not29.28binding on the commissioner of human services.29.29 Sec. 14. Minnesota Statutes 1996, section 245A.04, 29.30 subdivision 7, is amended to read: 29.31 Subd. 7. [ISSUANCE OF A LICENSE;PROVISIONALEXTENSION OF 29.32 A LICENSE.] (a) If the commissioner determines that the program 29.33 complies with all applicable rules and laws, the commissioner 29.34 shall issue a license. At minimum, the license shall state: 29.35 (1) the name of the license holder; 29.36 (2) the address of the program; 30.1 (3) the effective date and expiration date of the license; 30.2 (4) the type of license; 30.3 (5) the maximum number and ages of persons that may receive 30.4 services from the program; and 30.5 (6) any special conditions of licensure. 30.6 (b) The commissioner may issuea provisionalan initial 30.7 license for a period not to exceedone yeartwo years if: 30.8 (1) the commissioner is unable to conduct the evaluation or 30.9 observation required by subdivision 4, paragraph (a), clauses (3) 30.10 and (4), because the program is not yet operational; 30.11 (2) certain records and documents are not available because 30.12 persons are not yet receiving services from the program; and 30.13 (3) the applicant complies with applicable laws and rules 30.14 in all other respects. 30.15A provisional license must not be issued except at the time that30.16a license is first issued to an applicant.30.17 (c) A decision by the commissioner to issue a license does 30.18 not guarantee that any person or persons will be placed or cared 30.19 for in the licensed program. A license shall not be 30.20 transferable to another individual, corporation, partnership, 30.21 voluntary association, other organization, or controlling or to 30.22 another location. 30.23 For purposes of reimbursement for meals only, under the 30.24 Child and Adult Care Food Program, Code of Federal Regulations, 30.25 title 7, subtitle B, chapter II, subchapter A, part 226, 30.26 relocation within the same county by a licensed family day care 30.27 provider, shall be considered an extension of the license for a 30.28 period of no more than 30 calendar days or until the new license 30.29 is issued, whichever occurs first, provided the county agency 30.30 has determined the family day care provider meets licensure 30.31 requirements at the new location. 30.32 Unless otherwise specified by statute, all licenses expire 30.33 at 12:01 a.m. on the day after the expiration date stated on the 30.34 license. A license holder must apply for and be granted a new 30.35 license to operate the program or the program must not be 30.36 operated after the expiration date. 31.1 Sec. 15. Minnesota Statutes 1996, section 245A.06, 31.2 subdivision 1, is amended to read: 31.3 Subdivision 1. [CONTENTS OF CORRECTION ORDERS OR FINES.] 31.4 (a) If the commissioner finds that the applicant or license 31.5 holder has failed to comply with an applicable law or rule and 31.6 this failure does not imminently endanger the health, safety, or 31.7 rights of the persons served by the program, the commissioner 31.8 may issue a correction order to or impose a fine on the 31.9 applicant or license holder. The correction order or fine must 31.10 state: 31.11 (1) the conditions that constitute a violation of the law 31.12 or rule; 31.13 (2) the specific law or rule violated;and31.14 (3) the time allowed to correct each violation; and 31.15 (4) if a fine is imposed, the amount of the fine. 31.16 (b) Nothing in this section prohibits the commissioner from 31.17 proposing a sanction as specified in section 245A.07, prior to 31.18 issuing a correction order or fine. 31.19 Sec. 16. Minnesota Statutes 1996, section 245A.06, 31.20 subdivision 3, is amended to read: 31.21 Subd. 3. [FAILURE TO COMPLY.] Ifupon reinspection,the 31.22 commissioner finds that the applicant or license holder has not 31.23 corrected the violations specified in the correction order, the 31.24 commissioner mayorderimpose a fine. If a fine was imposed and 31.25 the violation was not corrected, the commissioner may impose an 31.26 additional fine. This section does not prohibit the 31.27 commissioner from seeking a court order, denying an application, 31.28 or suspending, revoking, or makingprobationaryconditional the 31.29 license in addition toorderingimposing a fine. 31.30 Sec. 17. Minnesota Statutes 1996, section 245A.06, 31.31 subdivision 4, is amended to read: 31.32 Subd. 4. [NOTICE OF FINE;APPEALRECONSIDERATION OF FINE.] 31.33 A license holder who is ordered to pay a fine must be notified 31.34 of the order by certified mail. The notice must be mailed to 31.35 the address shown on the application or the last known address 31.36 of the license holder. The notice must state the reasons the 32.1 fine was ordered and must inform the license holder of the 32.2 responsibility for payment of fines in subdivision 7 and the 32.3 right toa contested case hearing under chapter 14request 32.4 reconsideration of the fine. The license holder mayappeal32.5 request reconsideration of the order to forfeit a fine by 32.6 notifying the commissioner by certified mail within1520 32.7 calendar days after receiving the order. A timelyappeal32.8 request for reconsideration shall stay forfeiture of the fine 32.9 until the commissioner issues afinal order under section32.10245A.08, subdivision 5decision on the request for 32.11 reconsideration. The request for reconsideration must be in 32.12 writing and: 32.13 (1) specify the parts of the violation that are alleged to 32.14 be in error; 32.15 (2) explain why they are in error; 32.16 (3) include documentation to support the allegation of 32.17 error; and 32.18 (4) any other information relevant to the fine or the 32.19 amount of the fine. 32.20 The commissioner's disposition of a request for 32.21 reconsideration is final and not subject to appeal under chapter 32.22 14. 32.23 Sec. 18. Minnesota Statutes 1996, section 245A.06, 32.24 subdivision 5, is amended to read: 32.25 Subd. 5. [FORFEITURE OF FINES.] The license holder shall 32.26 pay the fines assessed on or before the payment date specified 32.27 in the commissioner's order. If the license holder fails to 32.28 fully comply with the order, the commissioner shall issue a 32.29 second fine or suspend the license until the license holder 32.30 complies. If the license holder receives state funds, the 32.31 state, county, or municipal agencies or departments responsible 32.32 for administering the funds shall withhold payments and recover 32.33 any payments made while the license is suspended for failure to 32.34 pay a fine. 32.35 Sec. 19. Minnesota Statutes 1996, section 245A.06, 32.36 subdivision 5a, is amended to read: 33.1 Subd. 5a. [ACCRUAL OF FINES.] A license holder shall 33.2 promptly notify the commissioner of human services, in writing, 33.3 when a violation specified in an order to forfeit is corrected. 33.4A fine assessed for a violation shall stop accruing when the33.5commissioner receives the written notice. The commissioner33.6shall reinspect the program within three working days after33.7receiving the notice.If upon reinspection the commissioner 33.8 determines that a violation has not been corrected as indicated 33.9 by the order to forfeit,accrual of the daily fine resumes on33.10the date of reinspection and the amount of fines that otherwise33.11would have accrued between the date the commissioner received33.12the notice and date of the reinspection is added to the total33.13assessment due from the license holderthe commissioner may 33.14 issue a second fine. The commissioner shall notify the license 33.15 holder by certified mail thataccrual of thea second fine has 33.16resumedbeen assessed. The license holder maychallenge the33.17resumption in a contested case under chapter 14 by written33.18request within 15 days after receipt of the notice of resumption.33.19Recovery of the resumed fine must be stayed if a controlling33.20individual or a legal representative on behalf of the license33.21holder makes a written request for a hearing. The request for33.22hearing, however, may not stay accrual of the daily fine for33.23violations that have not been corrected. The cost of33.24reinspection conducted under this subdivision for uncorrected33.25violations must be added to the total amount of accrued fines33.26due from the license holderrequest reconsideration of the 33.27 second fine under the provisions of subdivision 4. 33.28 Sec. 20. Minnesota Statutes 1996, section 245A.06, 33.29 subdivision 6, is amended to read: 33.30 Subd. 6. [AMOUNT OF FINES.]Until the commissioner adopts33.31one or more schedules of fines,Fines shall be assessed as 33.32 follows: 33.33 (1) the license holder shall forfeit$1,000$500 for each 33.34 occurrence of violation of law or rule prohibiting the 33.35 maltreatment of children or theabuse, neglect, or exploitation33.36 maltreatment of vulnerable adults, including but not limited to 34.1 corporal punishment, illegal or unauthorized use of physical, 34.2 mechanical, or chemical restraints, and illegal or unauthorized 34.3 use of aversive or deprivation procedures; 34.4 (2) the license holder shall forfeit$200$100 for each 34.5 occurrence of a violation of law or rule governing matters of 34.6 health, safety, or supervision, including but not limited to the 34.7 provision of adequate staff to child or adult ratios, except34.8that the holder of a family or group family day care license34.9shall forfeit $100 for a violation under this clause; and 34.10 (3) the license holder shall forfeit$100$50 for each 34.11 occurrence of a violation of law or rule other than those 34.12 included in clauses (1) and (2), except that the holder of a34.13family or group family day care license shall forfeit $50 for a34.14violation under this clause. 34.15 For the purposes of this section, "occurrence" means each 34.16calendar day or part of a day that aviolationcontinues to34.17exist after the date set for correctionidentified in the 34.18 commissioner'scorrectionforfeiture order. 34.19 Sec. 21. Minnesota Statutes 1996, section 245A.06, 34.20 subdivision 7, is amended to read: 34.21 Subd. 7. [RESPONSIBILITY FOR PAYMENT OF FINES.] When a 34.22 fine has been assessed, the license holder may not avoid payment 34.23 by closing, selling, or otherwise transferring the licensed 34.24 program to a third party. In such an event, the license holder 34.25 will be personally liable for payment. In the case of a 34.26 corporation, each controlling individual is personally and 34.27 jointly liable for payment. 34.28 Fines for child care centers must be assessed according to 34.29 this section. 34.30 Sec. 22. Minnesota Statutes 1996, section 245A.07, 34.31 subdivision 1, is amended to read: 34.32 Subdivision 1. [SANCTIONS AVAILABLE.] In addition to 34.33 ordering forfeiture of fines, the commissioner may propose to 34.34 suspend, revoke, or makeprobationaryconditional the license or 34.35 secure an injunction against the continuing operation of the 34.36 program of a license holder who does not comply with applicable 35.1 law or rule. When applying sanctions authorized under this 35.2 section, the commissioner shall consider the nature, chronicity, 35.3 or severity of the violation of law or rule and the effect of 35.4 the violation on the health, safety, or rights of persons served 35.5 by the program. 35.6 Sec. 23. Minnesota Statutes 1996, section 245A.07, 35.7 subdivision 3, is amended to read: 35.8 Subd. 3. [SUSPENSION, REVOCATION,PROBATIONDENIAL OF 35.9 CONDITIONAL LICENSE.] The commissioner may suspend, revoke,or35.10 makeprobationaryconditional, or deny a license if an applicant 35.11 or a license holder fails to comply fully with applicable laws 35.12 or rules, or knowingly withholds relevant information from or 35.13 gives false or misleading information to the commissioner in 35.14 connection with an application for a license or during an 35.15 investigation. A license holder who has had a license 35.16 suspended, revoked, or madeprobationaryconditional must be 35.17 given notice of the action by certified mail. The notice must 35.18 be mailed to the address shown on the application or the last 35.19 known address of the license holder. The notice must state the 35.20 reasons the license was suspended, revoked, or madeprobationary35.21 conditional. 35.22 (a) If the license was suspended or revoked, the notice 35.23 must inform the license holder of the right to a contested case 35.24 hearing under chapter 14. The license holder may appeal an 35.25 order suspending or revoking a license. The appeal of an order 35.26 suspending or revoking a license must be made in writing by 35.27 certified mail and must be received by the commissioner within 35.28 ten calendar days after the license holder receives notice that 35.29 the license has been suspended or revoked. 35.30 (b) If the license was madeprobationaryconditional, the 35.31 notice must inform the license holder of the right to request a 35.32 reconsideration by the commissioner. The request for 35.33 reconsideration must be made in writing by certified mail and 35.34 must be received by the commissioner within ten calendar days 35.35 after the license holder receives notice that the license has 35.36 been madeprobationaryconditional. The license holder may 36.1 submit with the request for reconsideration written argument or 36.2 evidence in support of the request for reconsideration. The 36.3 commissioner's disposition of a request for reconsideration is 36.4 final and is not subject to appeal under chapter 14. 36.5 Sec. 24. Minnesota Statutes 1996, section 245A.08, 36.6 subdivision 1, is amended to read: 36.7 Subdivision 1. [RECEIPT OF APPEAL; CONDUCT OF HEARING.] 36.8 Upon receiving a timely appeal or petition pursuant to 36.9sectionssection 245A.05toor 245A.07, the commissioner shall 36.10 issue a notice of and order for hearing to the appellant under 36.11 chapter 14. 36.12 Sec. 25. Minnesota Statutes 1996, section 245A.08, 36.13 subdivision 2, is amended to read: 36.14 Subd. 2. [CONDUCT OF HEARINGS.] At any hearing provided 36.15 for bysectionssection 245A.05toor 245A.07, the appellant may 36.16 be represented by counsel and has the right to call, examine, 36.17 and cross-examine witnesses. The administrative law judge may 36.18 require the presence of witnesses and evidence by subpoena on 36.19 behalf of any party. 36.20 Sec. 26. Minnesota Statutes 1996, section 245A.09, 36.21 subdivision 7, is amended to read: 36.22 Subd. 7. [REGULATORY METHODS.] (a) Where appropriate and 36.23 feasible the commissioner shall identify and implement 36.24 alternative methods of regulation and enforcement to the extent 36.25 authorized in this subdivision. These methods shall include: 36.26 (1) expansion of the types and categories of licenses that 36.27 may be granted; 36.28 (2) when the standards of another state or federal 36.29 governmental agency or an independent accreditation body have 36.30 been shown to predict compliance with the rules, the 36.31 commissioner shall consider compliance with the governmental or 36.32 accreditation standards to be equivalent to partial compliance 36.33 with the rules; and 36.34 (3) use of an abbreviated inspection that employs key 36.35 standards that have been shown to predict full compliance with 36.36 the rules. 37.1For programs and services for people with developmental37.2disabilities, the commissioner of human services shall develop37.3demonstration projects to use the standards of the commission on37.4accreditation of rehabilitation facilities and the standards of37.5the accreditation council on services to persons with37.6disabilities during the period of July 1, 1993 to December 31,37.71994, and incorporate the alternative use of these standards and37.8methods in licensing rules where appropriate. If the37.9commissioner determines that the methods in clause (2) or (3)37.10can be used in licensing a program, the commissioner may reduce37.11any fee set under section 245A.10 by up to 50 percent. The37.12commissioner shall present a plan by January 31, 1995, to accept37.13accreditation by either the accreditation council on services to37.14people with disabilities or the commission on the accreditation37.15of rehabilitation services as evidence of being in compliance37.16where applicable with state licensing.37.17 (b) The commissioner shall work with the commissioners of 37.18 health, public safety, administration, and children, families, 37.19 and learning in consolidating duplicative licensing and 37.20 certification rules and standards if the commissioner determines 37.21 that consolidation is administratively feasible, would 37.22 significantly reduce the cost of licensing, and would not reduce 37.23 the protection given to persons receiving services in licensed 37.24 programs. Where administratively feasible and appropriate, the 37.25 commissioner shall work with the commissioners of health, public 37.26 safety, administration, and children, families, and learning in 37.27 conducting joint agency inspections of programs. 37.28 (c) The commissioner shall work with the commissioners of 37.29 health, public safety, administration, and children, families, 37.30 and learning in establishing a single point of application for 37.31 applicants who are required to obtain concurrent licensure from 37.32 more than one of the commissioners listed in this clause. 37.33 (d) The commissioner may specify in rule periods of 37.34 licensure up to two years. 37.35 Sec. 27. Minnesota Statutes 1996, section 245A.11, 37.36 subdivision 2, is amended to read: 38.1 Subd. 2. [PERMITTED SINGLE-FAMILY RESIDENTIAL USE.] 38.2 Residential programs with a licensed capacity of six or fewer 38.3 persons shall be considered a permitted single-family 38.4 residential use of property for the purposes of zoning and other 38.5 land use regulations, except that a residential program whose 38.6 primary purpose is to treat juveniles who have violated criminal 38.7 statutes relating to sex offenses or have been adjudicated 38.8 delinquent on the basis of conduct in violation of criminal 38.9 statutes relating to sex offenses shall not be considered a 38.10 permitted use. This exception shall not apply to residential 38.11 programs licensed before July 1, 1995. Programs otherwise 38.12 allowed under this subdivision shall not be prohibited by 38.13 operation of restrictive covenants or similar restrictions, 38.14 regardless of when entered into, which cannot be met because of 38.15 the nature of the licensed program, including provisions which 38.16 require the home's occupants be related, and that the home must 38.17 be occupied by the owner, or similar provisions. 38.18 Sec. 28. Minnesota Statutes 1996, section 245A.16, 38.19 subdivision 2, is amended to read: 38.20 Subd. 2. [INVESTIGATIONS.] (a) The county or private 38.21 agency shall conduct timely investigations of allegations of 38.22abuse or neglectmaltreatment of children or adults in programs 38.23 for which the county or private agency is the commissioner's 38.24 designated representative and record a disposition of each 38.25 complaint in accordance with applicable law or rule. The county 38.26 or private agency shall conduct similar investigations of 38.27 allegations of violations of rules governing licensure of the 38.28 program. 38.29 (b) If an investigation conducted under clause (a) results 38.30 in evidence that the commissioner should deny an application or 38.31 suspend, revoke, or makeprobationaryconditional a license, the 38.32 county or private agency shall make that recommendation to the 38.33 commissioner within ten working days. 38.34 Sec. 29. [245A.22] [INDEPENDENT LIVING ASSISTANCE FOR 38.35 YOUTH.] 38.36 Subdivision 1. [INDEPENDENT LIVING ASSISTANCE FOR 39.1 YOUTH.] "Independent living assistance for youth" means a 39.2 nonresidential program that provides a system of services that 39.3 includes training, counseling, instruction, supervision, and 39.4 assistance provided to youth in accordance with the youth's 39.5 independent living plan, when the placements in the program are 39.6 made by the county agency. Services may include assistance in 39.7 locating housing, budgeting, meal preparation, shopping, 39.8 personal appearance, counseling, and related social support 39.9 services needed to meet the youth's needs and improve the 39.10 youth's ability to conduct such tasks independently. Such 39.11 services must not extend to youths needing 24-hour per day 39.12 supervision and services. Youths needing a 24-hour per day 39.13 program of supervision and services must not be accepted or 39.14 retained in an independent living assistance program. 39.15 Subd. 2. [ADMISSION.] The license holder shall accept as 39.16 clients in the independent living assistance program only 39.17 individuals specified under section 256E.115. 39.18 Subd. 3. [INDEPENDENT LIVING PLAN.] Unless an independent 39.19 living plan has been developed by the county agency, the license 39.20 holder shall develop such a plan based on the client's 39.21 individual needs that specifies objectives for the client. The 39.22 services provided must include those specified in this section 39.23 and the services specified under section 256E.115, subdivision 39.24 2, paragraph (a). The plan must identify the persons 39.25 responsible for implementation of each part of the plan. The 39.26 plan must be reviewed as necessary, but at least annually. 39.27 Subd. 4. [REQUIRED AND MONEY RECORDS.] The license holder 39.28 shall maintain a record for each client. 39.29 (a) For each client, the record maintained by the license 39.30 holder must document the following: 39.31 (1) admission information; 39.32 (2) the independent living plan; 39.33 (3) delivery of the services required of the license holder 39.34 in the independent living plan; 39.35 (4) the client's progress toward the objectives identified 39.36 in the independent living plan; and 40.1 (5) after service termination, a termination summary. 40.2 (b) If the license holder manages the client's money, the 40.3 record maintained by the license holder must also document the 40.4 following: 40.5 (1) written permission from the client or the client's 40.6 legal guardian to manage the client's money; 40.7 (2) the reasons the license holder is to manage the 40.8 client's money; and 40.9 (3) a complete record of the use of the client's money and 40.10 reconciliation of the account. 40.11 Subd. 5. [SERVICE TERMINATION PLAN.] The license holder, 40.12 in conjunction with the county agency, shall establish a service 40.13 termination plan, including necessary referrals for other 40.14 ongoing services, that specifies how independent living 40.15 assistance services will be terminated and the actions to be 40.16 performed by the involved agencies. 40.17 Subd. 6. [PLACE OF RESIDENCE PROVIDED BY PROGRAM.] When a 40.18 client's place of residence is provided by the license holder as 40.19 part of the independent living assistance program, the provision 40.20 of the place of residence is not subject to separate licensure. 40.21 Subd. 7. [GENERAL LICENSING REQUIREMENTS APPLY.] In 40.22 addition to the requirements of this section, providers of 40.23 independent living assistance are subject to the general 40.24 licensing requirements of this chapter. 40.25 MENTAL RETARDATION AND RELATED CONDITIONS 40.26 Sec. 30. [245A.50] [CONSOLIDATION OF RULES RELATED TO 40.27 SERVICES FOR PERSONS WITH MENTAL RETARDATION OR RELATED 40.28 CONDITIONS.] 40.29 Sections 245A.51 to 245A.56 establish new methods to ensure 40.30 the quality of services to persons with mental retardation or 40.31 related conditions, and streamline and simplify the regulation 40.32 of services and supports for persons with mental retardation or 40.33 related conditions. Sections 245A.51 to 245A.56 establish new 40.34 standards that eliminate duplication and overlap of regulatory 40.35 requirements by consolidating and replacing rule parts from four 40.36 program rules. Section 245A.57 authorizes the commissioner of 41.1 human services to develop and use new regulatory strategies to 41.2 maintain compliance with the streamlined requirements. 41.3 Sec. 31. [245A.51] [DEFINITIONS.] 41.4 Subdivision 1. [SCOPE.] The terms used in sections 245A.52 41.5 to 245A.56 have the meanings given them. 41.6 Subd. 2. [APPLICANT.] "Applicant" has the meaning given in 41.7 section 245A.02, subdivision 3. 41.8 Subd. 3. [CASE MANAGER.] "Case manager" means the 41.9 individual designated by the county board under rules of the 41.10 commissioner to provide case management services as delineated 41.11 in section 256B.092, or successor provisions. 41.12 Subd. 4. [CONSUMER.] "Consumer" means a person who has 41.13 been determined eligible to receive and is receiving services or 41.14 support for persons with mental retardation or related 41.15 conditions. 41.16 Subd. 5. [COMMISSIONER.] "Commissioner" means the 41.17 commissioner of the department of human services or the 41.18 commissioner's designated representative. 41.19 Subd. 6. [DAY TRAINING AND HABILITATION SERVICES FOR 41.20 ADULTS WITH MENTAL RETARDATION OR RELATED CONDITIONS.] "Day 41.21 training and habilitation services for adults with mental 41.22 retardation or related conditions" has the meaning given in 41.23 sections 252.40 to 252.46. 41.24 Subd. 7. [DEPARTMENT.] "Department" means the department 41.25 of human services. 41.26 Subd. 8. [DIRECT SERVICE.] "Direct service" means, for a 41.27 consumer receiving residential-based services, day training and 41.28 habilitation services, or respite care services, one or more of 41.29 the following: supervision, assistance, or training. 41.30 Subd. 9. [HEALTH SERVICES.] "Health services" means any 41.31 service or treatment consistent with the health needs of the 41.32 consumer, such as medication administration and monitoring, 41.33 medical, dental, nutritional, health monitoring, wellness 41.34 education, and exercise. 41.35 Subd. 10. [INCIDENT.] "Incident" means any serious injury 41.36 as determined by section 245.91, subdivision 6; accident; 42.1 reports of a child or vulnerable adult maltreatment; 42.2 circumstances that involve a law enforcement agency; or a 42.3 consumer's death. 42.4 Subd. 11. [INDIVIDUAL SERVICE PLAN.] "Individual service 42.5 plan" has the meaning given in section 256B.092, or successor 42.6 provisions. 42.7 Subd. 12. [INDIVIDUAL WHO IS RELATED.] "Individual who is 42.8 related" has the meaning given in section 245A.02, subdivision 42.9 13. 42.10 Subd. 13. [INTERMEDIATE CARE FACILITY FOR PERSONS WITH 42.11 MENTAL RETARDATION OR RELATED CONDITIONS OR ICF/MR.] 42.12 "Intermediate care facility for persons with mental retardation 42.13 or related conditions" or "ICF/MR" means a residential program 42.14 licensed to provide services to persons with mental retardation 42.15 or related conditions under section 252.28 and this chapter and 42.16 a physical facility licensed as a supervised living facility 42.17 under chapter 144, which together are certified by the 42.18 department of health as an intermediate care facility for 42.19 persons with mental retardation or related conditions. 42.20 Subd. 14. [LEAST RESTRICTIVE ENVIRONMENT.] "Least 42.21 restrictive environment" means an environment where services are: 42.22 (1) delivered with minimum limitation, intrusion, 42.23 disruption, or departure from typical patterns of living 42.24 available to persons without disabilities; 42.25 (2) do not subject the consumer or others to unnecessary 42.26 risks to health or safety; and 42.27 (3) maximize the consumer's level of independence, 42.28 productivity, and inclusion in the community. 42.29 Subd. 15. [LEGAL REPRESENTATIVE.] "Legal representative" 42.30 means the parent or parents of a consumer who is under 18 years 42.31 of age or a guardian, conservator, or guardian ad litem 42.32 authorized by the court, or other legally authorized 42.33 representative to make decisions about services for a consumer. 42.34 Subd. 16. [LICENSE.] "License" has the meaning given in 42.35 section 245A.02, subdivision 8. 42.36 Subd. 17. [LICENSE HOLDER.] "License holder" has the 43.1 meaning given in section 245A.02, subdivision 9. 43.2 Subd. 18. [PERSON WITH MENTAL RETARDATION OR A RELATED 43.3 CONDITION.] "Person with mental retardation or a related 43.4 condition" means a person who has been diagnosed under section 43.5 256B.092 as having substantial limitations in present 43.6 functioning, manifested as significantly subaverage intellectual 43.7 functioning, existing concurrently with demonstrated deficits in 43.8 adaptive behavior, and who manifests these conditions before the 43.9 person's 22nd birthday. A person with a related condition means 43.10 a person who meets the diagnostic definition under section 43.11 252.27, subdivision 1a. 43.12 Subd. 19. [PSYCHOTROPIC MEDICATION USE CHECKLIST.] 43.13 "Psychotropic medication use checklist" means the psychotropic 43.14 medication monitoring checklist and manual used to govern the 43.15 administration of psychotropic medications. The commissioner 43.16 may revise or update the psychotropic medication use checklist 43.17 to comply with legal requirements or to meet professional 43.18 standards or guidelines in the area of developmental 43.19 disabilities. For the purposes of sections 245A.51 to 245A.56, 43.20 psychotropic medication means any medication prescribed to treat 43.21 mental illness and associated behaviors or to control or alter 43.22 behavior. The major classes of psychotropic medication are 43.23 antipsychotic (neuroleptic), antidepressant, antianxiety, 43.24 antimania, stimulant, and sedative or hypnotic. Other 43.25 miscellaneous medications are considered to be a psychotropic 43.26 medication when they are specifically prescribed to treat a 43.27 mental illness or to control or alter behavior. 43.28 Subd. 20. [RESIDENTIAL-BASED HABILITATION.] 43.29 "Residential-based habilitation" means care, supervision, and 43.30 training provided primarily in the consumer's own home or place 43.31 of residence but also including community-integrated activities 43.32 following the individual service plan. Residential habilitation 43.33 services are provided in coordination with the provision of day 43.34 training and habilitation services for those persons receiving 43.35 day training and habilitation services under sections 252.40 to 43.36 252.46. 44.1 Subd. 21. [RESPITE CARE.] "Respite care" has the meaning 44.2 given in section 245A.02, subdivision 15. 44.3 Subd. 22. [SERVICE.] "Service" means care, supervision, 44.4 activities, and training designed to achieve the outcomes 44.5 assigned to the license holder. 44.6 Subd. 23. [SEMI-INDEPENDENT LIVING SERVICES OR 44.7 SILS] "Semi-independent living services" or "SILS" has the 44.8 meaning given in section 252.275. 44.9 Subd. 24. [VOLUNTEER.] "Volunteer" means an individual 44.10 who, under the direction of the license holder, provides direct 44.11 services without pay to consumers served by the license holder. 44.12 Sec. 32. [245A.52] [APPLICABILITY AND EFFECT.] 44.13 Subdivision 1. [APPLICABILITY.] The standards in sections 44.14 245A.51 to 245A.56 govern services to persons with mental 44.15 retardation or related conditions receiving services from 44.16 license holders providing residential-based habilitation; day 44.17 training and habilitation services for adults; semi-independent 44.18 living services; residential programs that serve more than four 44.19 consumers, including intermediate care facilities for persons 44.20 with mental retardation; and respite care provided outside the 44.21 consumer's home for more than four consumers at the same time at 44.22 a single site. 44.23 Subd. 2. [RELATIONSHIP TO OTHER STANDARDS GOVERNING 44.24 SERVICES FOR PERSONS WITH MENTAL RETARDATION OR RELATED 44.25 CONDITIONS.] (a) ICFs/MR are exempt from: 44.26 (1) section 245A.53; 44.27 (2) section 245A.55, subdivisions 4 and 6; and 44.28 (3) section 245A.56, subdivisions 4, paragraphs (b) and 44.29 (c); 7; and 8, paragraphs (a), clause (4), and (b), clause (1). 44.30 (b) License holders also licensed under chapter 144 as a 44.31 supervised living facility are exempt from section 245A.53. 44.32 (c) Residential service sites controlled by license holders 44.33 licensed under sections 245A.51 to 245A.56 for home- and 44.34 community-based waivered services for four or fewer adults are 44.35 exempt from compliance with Minnesota Rules, parts 9543.0040, 44.36 subpart 2, item C; 9555.5505; 9555.5515, items B and G; 45.1 9555.5605; 9555.5705; 9555.6125, subparts 3, item C, subitem 45.2 (2), and 4 to 6; 9555.6185; 9555.6225, subpart 8; 9555.6245; 45.3 9555.6255; and 9555.6265. The commissioner may approve 45.4 alternative methods of providing overnight supervision using the 45.5 process and criteria for granting a variance in section 245A.04, 45.6 subdivision 9. This chapter does not apply to foster care homes 45.7 that do not provide residential habilitation services funded 45.8 under the home- and community-based waiver programs defined in 45.9 section 256B.092. 45.10 (d) The commissioner may exempt license holders from 45.11 applicable standards of sections 245A.51 to 245A.56 when the 45.12 license holder meets the standards under section 245A.09, 45.13 subdivision 7. License holders that are accredited by an 45.14 independent accreditation body must continue to be licensed 45.15 under this chapter. 45.16 (e) License holders governed by sections 245A.51 to 245A.56 45.17 must also meet the licensure requirements in this chapter. 45.18 (f) Nothing prohibits license holders under sections 45.19 245A.51 to 245A.56 from concurrently serving consumers with and 45.20 without mental retardation or related conditions provided the 45.21 standards under sections 245A.51 to 245A.56 are met as well as 45.22 other relevant standards. 45.23 (g) The documentation that sections 245A.51 to 245A.56 45.24 require of the license holder meets the individual program plan 45.25 required in section 256B.092. 45.26 Sec. 33. [245A.53] [CONSUMER RIGHTS.] 45.27 Subdivision 1. [LICENSE HOLDER'S RESPONSIBILITY FOR 45.28 CONSUMERS' RIGHTS.] The license holder must: 45.29 (1) provide the consumer or the consumer's legal 45.30 representative a copy of the consumer's rights on the day that 45.31 services are initiated and an explanation of the rights in 45.32 subdivisions 2 and 3 within five working days of service 45.33 initiation. Reasonable accommodations must be made by the 45.34 license holder to provide this information in other formats as 45.35 needed to facilitate understanding of the rights by the consumer 45.36 and the consumer's legal representative, if any; 46.1 (2) document the consumer's or the consumer's legal 46.2 representative's receipt of a copy of the rights and an 46.3 explanation of the rights; and 46.4 (3) ensure the exercise and protection of the consumer's 46.5 rights in the services provided by the license holder and 46.6 authorized in the individual service plan. 46.7 Subd. 2. [SERVICE-RELATED RIGHTS.] A consumer's 46.8 service-related rights include the right to: 46.9 (1) refuse or terminate services and be informed of the 46.10 consequences of refusing or terminating services; 46.11 (2) know, in advance, limits to the services available from 46.12 the license holder; 46.13 (3) know conditions and terms governing the provision of 46.14 services, including those related to initiation and termination; 46.15 (4) know what the charges are for services, regardless of 46.16 who will be paying for the services, and be notified of changes 46.17 in those charges; 46.18 (5) know, in advance, whether services are covered by 46.19 insurance, government funding, or other sources, and be told of 46.20 any charges the consumer or other private party may have to pay; 46.21 and 46.22 (6) receive licensed services from individuals who are 46.23 competent and trained, who have professional certification or 46.24 licensure, as required, and who meet additional qualifications 46.25 identified in the individual service plan. 46.26 Subd. 3. [PROTECTION-RELATED RIGHTS.] The consumer's 46.27 protection-related rights include the right to: 46.28 (1) have personal, financial, services, and medical 46.29 information kept private, and be advised of the license holder's 46.30 policies and procedures regarding disclosure of such 46.31 information; 46.32 (2) access records and recorded information; 46.33 (3) be free from maltreatment; 46.34 (4) be treated with courtesy and respect for the consumer's 46.35 individuality, mode of communication, and culture, and receive 46.36 respectful treatment of the consumer's property; 47.1 (5) voice grievances, know the contact persons responsible 47.2 for addressing problems and how to contact those persons; 47.3 (6) any procedures for grievance or complaint resolution 47.4 and the right to appeal under section 256.045; 47.5 (7) know the name and address of the state, county, or 47.6 advocacy agency to contact for additional information or 47.7 assistance; 47.8 (8) assert these rights personally, or have them asserted 47.9 by the consumer's family or legal representative, without 47.10 retaliation; 47.11 (9) give or withhold written informed consent to 47.12 participate in any research or experimental treatment; 47.13 (10) have daily, private access to and use of a noncoin- 47.14 operated telephone for local calls and long-distance calls made 47.15 collect or paid for by the resident; 47.16 (11) receive and send uncensored, unopened mail; 47.17 (12) marital privacy for visits with the consumer's spouse 47.18 and, if both are residents of the site, the right to share a 47.19 bedroom and bed; 47.20 (13) associate with other persons of the consumer's choice; 47.21 (14) personal privacy; and 47.22 (15) engage in chosen activities. 47.23 Sec. 34. [245A.54] [CONSUMER PROTECTION STANDARDS.] 47.24 Subdivision 1. [ENVIRONMENT.] The license holder must: 47.25 (1) ensure that services are provided in a safe and 47.26 hazard-free environment when the license holder is the owner, 47.27 lessor, or tenant of the service site. All other license 47.28 holders shall inform the consumer or the consumer's legal 47.29 representative and case manager about any environmental safety 47.30 concerns in writing; 47.31 (2) lock doors only to protect the safety of consumers and 47.32 not as a substitute for staff supervision or interactions with 47.33 consumers; 47.34 (3) follow procedures that minimize the consumer's health 47.35 risk from communicable diseases; and 47.36 (4) maintain equipment, vehicles, supplies, and materials 48.1 owned or leased by the license holder in good condition. 48.2 Subd. 2. [LICENSED CAPACITY FOR FACILITY-BASED DAY 48.3 TRAINING AND HABILITATION SERVICES.] Licensed capacity of day 48.4 training and habilitation service sites must be determined by 48.5 the amount of primary space available, the scheduling of 48.6 activities at other service sites, and the space requirements of 48.7 consumers receiving services. Primary space does not include 48.8 hallways, stairways, closets, utility areas, bathrooms, 48.9 kitchens, and floor areas beneath stationary equipment. A 48.10 minimum of 40 square feet of primary space must be available for 48.11 each consumer who is engaged in a day training and habilitation 48.12 activity at the site for which the licensed capacity must be 48.13 determined. 48.14 Subd. 3. [RESIDENTIAL SERVICE SITES FOR MORE THAN FOUR 48.15 CONSUMERS; FOUR-BED ICFS/MR.] Residential service sites licensed 48.16 to serve more than four consumers and four-bed ICFs/MR must meet 48.17 the fire protection provisions of either the Residential Board 48.18 and Care Occupancies Chapter or the Health Care Occupancies 48.19 Chapter of the Life Safety Code (LSC), National Fire Protection 48.20 Association, 1985 edition, or its successors. Sites meeting the 48.21 definition of a residential board and care occupancy for 16 or 48.22 less beds must have the emergency evacuation capability of 48.23 residents evaluated in accordance with Appendix F of the LSC or 48.24 its successors, except for those sites that meet the LSC Health 48.25 Care Occupancies Chapter or its successors. 48.26 Subd. 4. [MEETING FIRE AND SAFETY CODES.] An applicant or 48.27 license holder must document compliance with applicable building 48.28 codes, fire and safety codes, health rules, and zoning 48.29 ordinances, or document that an appropriate waiver has been 48.30 granted. 48.31 Subd. 5. [CONSUMER HEALTH.] The license holder is 48.32 responsible for meeting the health service needs assigned to the 48.33 license holder in the individual service plan and for bringing 48.34 health needs as discovered by the license holder promptly to the 48.35 attention of the consumer, the consumer's legal representative, 48.36 and the case manager. The license holder is required to 49.1 maintain documentation on how the consumer's health needs will 49.2 be met, including a description of procedures the license holder 49.3 will follow for the consumer regarding medication monitoring and 49.4 administration and seizure monitoring, if needed. The 49.5 medication administration procedures are those procedures 49.6 necessary to implement medication and treatment orders issued by 49.7 appropriately licensed professionals, and must be established in 49.8 consultation with a registered nurse, nurse practitioner, 49.9 physician's assistant, or medical doctor. 49.10 Subd. 6. [FIRST AID.] When the license holder is providing 49.11 direct service and supervision to a consumer who requires a 49.12 24-hour plan of care and receives services at a site licensed 49.13 under this chapter, the license holder must have available a 49.14 staff person trained in first aid, and if needed under section 49.15 245A.56, subdivision 6, paragraph (d), from a qualified source, 49.16 as determined by the commissioner. 49.17 Subd. 7. [REPORTING INCIDENTS AND EMERGENCIES.] The 49.18 license holder must report the following incidents to the 49.19 consumer's legal representative, caregiver, and case manager 49.20 within 24 hours of the occurrence, or within 24 hours of receipt 49.21 of the information: 49.22 (1) the death of a consumer; 49.23 (2) any medical emergencies, unexpected serious illnesses, 49.24 or accidents that require physician treatment or 49.25 hospitalization; 49.26 (3) a consumer's unauthorized absence; or 49.27 (4) any fires and incidents involving a law enforcement 49.28 agency. 49.29 Death or serious injury of the consumer must also be 49.30 reported to the commissioner and the ombudsman as required in 49.31 sections 245.91 and 245.94, subdivision 2a. 49.32 Sec. 35. [245A.55] [SERVICE STANDARDS.] 49.33 Subdivision 1. [OUTCOME-BASED SERVICES.] (a) The license 49.34 holder must provide outcome-based services in response to the 49.35 consumer's identified needs as specified in the individual 49.36 service plan. 50.1 (b) Services must be based on the needs and preferences of 50.2 the consumer and the consumer's personal goals and be consistent 50.3 with the principles of least restrictive environment and 50.4 self-determination, and consistent with the following goals: 50.5 (1) the recognition of each consumer's history, dignity, 50.6 and cultural background; 50.7 (2) the affirmation and protection of each consumer's civil 50.8 and legal rights; 50.9 (3) the provision of services and supports for each 50.10 consumer which: 50.11 (i) promote community inclusion and self-sufficiency; 50.12 (ii) provide services in the least restrictive environment; 50.13 (iii) promote social relationships, natural supports, and 50.14 participation in community life; 50.15 (iv) allow for a balance between safety and opportunities; 50.16 and 50.17 (v) provide opportunities for development and exercise of 50.18 age-appropriate skills, decision-making and choice, personal 50.19 advocacy, and communication; and 50.20 (4) the provision of services and supports for families 50.21 which address the needs of the consumer in the context of the 50.22 family and support family self-sufficiency. 50.23 The license holder must make available to the consumer 50.24 opportunities to participate in the community, functional skill 50.25 development, reduced dependency on care providers, and 50.26 opportunities for development of decision-making skills. 50.27 "Outcome" means the behavior, action, or status attained by the 50.28 consumer that can be observed, measured, and can be determined 50.29 reliable and valid. Outcomes are the equivalent of the 50.30 long-range goals and short-term goals under section 256B.092, 50.31 and any rules promulgated thereunder. 50.32 Subd. 2. [RISK MANAGEMENT PLAN.] The license holder must 50.33 develop and document in writing a risk management plan that 50.34 incorporates the individual abuse prevention plan as required in 50.35 section 245A.65. License holders jointly providing services to 50.36 a consumer must coordinate and use the resulting assessment of 51.1 risk areas for the development of this plan. Upon initiation of 51.2 services, the license holder will have in place an initial risk 51.3 management plan that identifies areas in which the consumer is 51.4 vulnerable, including health, safety, and environmental issues 51.5 and the supports the provider will have in place to protect the 51.6 consumer and to minimize these risks. The plan must be changed 51.7 based on the needs of the individual consumer and reviewed at 51.8 least annually. 51.9 Subd. 3. [ASSESSMENTS.] (a) The license holder shall 51.10 assess and reassess the consumer within stated time lines and 51.11 assessment areas specified in the individual service plan or as 51.12 requested in writing by the case manager. 51.13 (b) For each area of assessment requested, the license 51.14 holder must provide a written summary, analysis, and 51.15 recommendations for use in the development of the individual 51.16 service plan. 51.17 (c) All assessments must include information about the 51.18 consumer that is descriptive of: 51.19 (1) the consumer's strengths and functional skills; and 51.20 (2) the level of support and supervision the consumer needs 51.21 to achieve the outcomes in subdivision 1. 51.22 Subd. 4. [SUPPORTS AND METHODS.] The license holder, in 51.23 coordination with other service providers, shall meet with the 51.24 consumer, the consumer's legal representative, case manager, and 51.25 other members of the interdisciplinary team within 45 days of 51.26 service initiation. Within ten working days after the meeting, 51.27 the license holder shall develop and document in writing: 51.28 (1) the methods that will be used to support the individual 51.29 or accomplish the outcomes in section 245A.55, subdivision 1, 51.30 including information about physical and social environments, 51.31 the equipment and materials required, and techniques that are 51.32 consistent with the consumer's communication mode and learning 51.33 style specified as the license holder's responsibility in the 51.34 individual service plan; 51.35 (2) the projected starting date for service supports and 51.36 the criteria for identifying when the desired outcome has been 52.1 achieved and when the service supports need to be reviewed; and 52.2 (3) the names of the staff, staff position, or contractors 52.3 responsible for implementing each outcome. 52.4 Subd. 5. [PROGRESS REVIEWS.] The license holder must 52.5 participate in progress review meetings following stated time 52.6 lines established in the consumer's individual service plan or 52.7 as requested in writing by the consumer, the consumer's legal 52.8 representative, or the case manager, at a minimum of once a 52.9 year. The license holder must summarize the progress toward 52.10 achieving the desired outcomes and make recommendations in a 52.11 written report sent to the consumer or the consumer's legal 52.12 representative and case manager prior to the review meeting. 52.13 For consumers under public guardianship, the license holder is 52.14 required to provide quarterly written progress review reports to 52.15 the consumer, designated family member, and case manager. 52.16 Subd. 6. [REPORTS.] The license holder shall provide 52.17 written reports regarding the consumer's status as requested by 52.18 the consumer, or the consumer's legal representative and case 52.19 manager. 52.20 Subd. 7. [STAFFING REQUIREMENTS.] The license holder shall 52.21 provide supervision to ensure the health, safety, and protection 52.22 of rights of each consumer and to be able to implement each 52.23 consumer's individual service plan. Day training and 52.24 habilitation programs must meet the minimum staffing 52.25 requirements as specified in sections 252.40 to 252.46 and any 52.26 rules promulgated thereunder. 52.27 Subd. 8. [LEAVING THE RESIDENCE.] As specified in each 52.28 consumer's individual service plan, each consumer requiring a 52.29 24-hour plan of care must leave the residence to participate in 52.30 regular education, employment, or community activities. License 52.31 holders, providing services to consumers living in a licensed 52.32 site, shall ensure that they are prepared to care for consumers 52.33 whenever they are at the residence during the day because of 52.34 illness, work schedules, or other reasons. 52.35 Subd. 9. [DAY TRAINING AND HABILITATION SERVICE DAYS.] Day 52.36 training and habilitation services must meet a minimum of 195 53.1 available service days. 53.2 Subd. 10. [PROHIBITION.] Psychotropic medication and the 53.3 use of aversive and deprivation procedures, under section 53.4 245.825 and any rules promulgated thereunder cannot be used as a 53.5 substitute for adequate staffing, as punishment, or for staff 53.6 convenience. 53.7 Sec. 36. [245A.56] [MANAGEMENT STANDARDS.] 53.8 Subdivision 1. [CONSUMER DATA FILE.] The license holder 53.9 must maintain the following information for each consumer: 53.10 (1) identifying information that includes date of birth, 53.11 medications, legal representative, history, medical, and other 53.12 individual-specific information, and names and telephone numbers 53.13 of contacts; 53.14 (2) consumer health information, including individual 53.15 medication administration and monitoring information; 53.16 (3) the consumer's individual service plan. When a 53.17 consumer's case manager does not provide a current individual 53.18 service plan, the license holder shall make a written request to 53.19 the case manager to provide a copy of the individual service 53.20 plan and inform the consumer or the consumer's legal 53.21 representative of the right to an individual service plan and 53.22 the right to appeal under section 256.045; 53.23 (4) copies of assessments, analyses, summaries, and 53.24 recommendations; 53.25 (5) progress review reports; 53.26 (6) incident and emergency reports involving the consumer; 53.27 (7) discharge summary, when applicable; 53.28 (8) record of other license holders serving the consumer 53.29 that includes a contact person and telephone numbers, services 53.30 being provided, services that require coordination between two 53.31 license holders, and name of staff responsible for coordination; 53.32 and 53.33 (9) incidents involving verbal and physical aggression 53.34 between consumers and self-abuse affecting the consumer. 53.35 Subd. 2. [ACCESS TO RECORDS.] The license holder must 53.36 ensure that the following people have access to the information 54.1 in subdivision 1: 54.2 (1) the consumer, the consumer's legal representative, and 54.3 anyone properly authorized by the consumer or legal 54.4 representative; 54.5 (2) the consumer's case manager; 54.6 (3) staff providing direct services to the consumer unless 54.7 the information is not relevant to carrying out the individual 54.8 service plan; and 54.9 (4) the county adult foster care licensor, when services 54.10 are also licensed as an adult foster home. Adult foster home 54.11 means a licensed residence operated by an operator who, for 54.12 financial gain or otherwise, provides 24-hour foster care to no 54.13 more than four functionally impaired residents. 54.14 Subd. 3. [RETENTION OF CONSUMER'S RECORDS.] The license 54.15 holder must retain the records required for consumers for at 54.16 least three years following termination of services. 54.17 Subd. 4. [STAFF QUALIFICATIONS.] (a) The license holder 54.18 must ensure that staff is competent through training, 54.19 experience, and education to meet the consumer's needs and 54.20 additional requirements as written in the individual service 54.21 plan. Staff qualifications must be documented. Staff under 18 54.22 years of age may not perform overnight duties or administer 54.23 medication. 54.24 (b) Delivery and evaluation of services provided by the 54.25 license holder to a consumer must be coordinated by a designated 54.26 person. The designated person or coordinator must minimally 54.27 have a four-year degree in a field related to service provision, 54.28 and one year work experience with consumers with mental 54.29 retardation or related conditions, a two-year degree in a field 54.30 related to service provision, and two years of work experience 54.31 with consumers with mental retardation or related conditions, or 54.32 a diploma in community-based developmental disability services 54.33 from an accredited post-secondary institution and two years of 54.34 work experience with consumers with mental retardation or 54.35 related conditions. The coordinator must provide supervision, 54.36 support, and evaluation of activities that include: 55.1 (1) oversight of the license holder's responsibilities 55.2 designated in the individual service plan; 55.3 (2) instruction and assistance to staff implementing the 55.4 individual service plan areas; 55.5 (3) evaluation of the effectiveness of service delivery, 55.6 methodologies, and progress on consumer outcomes based on the 55.7 condition set for objective change; and 55.8 (4) review of incident and emergency reports, 55.9 identification of incident patterns, and implementation of 55.10 corrective action as necessary to reduce occurrences. 55.11 (c) The coordinator is responsible for taking the action 55.12 necessary to facilitate the accomplishment of the outcomes for 55.13 each consumer as specified in the consumer's individual service 55.14 plan. 55.15 (d) The license holder must provide for adequate 55.16 supervision of direct care staff to ensure implementation of the 55.17 individual service plan. 55.18 Subd. 5. [STAFF ORIENTATION.] (a) Within 60 days of hiring 55.19 staff who provide direct service, the license holder must 55.20 provide 30 hours of staff orientation. Direct care staff must 55.21 complete 15 of the 30 hours orientation before providing any 55.22 unsupervised direct service to a consumer. If the staff person 55.23 has received orientation training from a license holder licensed 55.24 under this chapter, or provides semi-independent living services 55.25 only, the 15-hour requirement may be reduced to eight hours. 55.26 The total orientation of 30 hours may be reduced to 15 hours if 55.27 the staff person has previously received orientation training 55.28 from a license holder licensed under this chapter. 55.29 (b) The 30 hours of orientation must combine supervised 55.30 on-the-job training with coverage of the following material: 55.31 (1) review of the consumer's service plans and risk 55.32 management plan to achieve an understanding of the consumer as a 55.33 unique individual; 55.34 (2) review and instruction on the license holder's policies 55.35 and procedures, including their location and access; 55.36 (3) emergency procedures; 56.1 (4) explanation of specific job functions, including 56.2 implementing objectives from the consumer's individual service 56.3 plan; 56.4 (5) explanation of responsibilities related to section 56.5 245A.65; sections 626.556 and 626.557, governing maltreatment 56.6 reporting and planning for children and vulnerable adults; and 56.7 section 245.825, governing use of aversive and deprivation 56.8 procedures; 56.9 (6) medication administration as it applies to the 56.10 individual consumer, from a training curriculum developed by a 56.11 health services professional described in section 245A.54, 56.12 subdivision 5, and once a consumer with overriding health care 56.13 needs is admitted, staff will be provided with remedial training 56.14 as deemed necessary by the license holder and the health 56.15 professional to meet the needs of that consumer. Overriding 56.16 health care needs means a health care condition that affects the 56.17 service options available to the consumer because the condition 56.18 requires: 56.19 (i) specialized or intensive medical or nursing 56.20 supervision; and 56.21 (ii) nonmedical service providers to adapt their services 56.22 to accommodate the health and safety needs of the consumer; 56.23 (7) consumer rights; and 56.24 (8) other topics necessary as determined by the consumer's 56.25 individual service plan or other areas identified by the license 56.26 holder. 56.27 (c) The license holder must document each employee's 56.28 orientation received. 56.29 Subd. 6. [STAFF TRAINING.] (a) The license holder shall 56.30 ensure that direct service staff annually complete hours of 56.31 training equal to two percent of the number of hours the staff 56.32 person worked or one percent for license holders providing 56.33 semi-independent living services. If direct service staff has 56.34 received training from a license holder licensed under a program 56.35 rule identified in this chapter or completed course work 56.36 regarding disability-related issues from a post-secondary 57.1 educational institute, that training may also count toward 57.2 training requirements for other services and for other license 57.3 holders. 57.4 (b) The license holder shall document the training 57.5 completed by each employee. 57.6 (c) Training must address staff competencies necessary to 57.7 address the consumer needs as identified in the consumer's 57.8 individual service plan and ensure consumer health, safety, and 57.9 protection of rights. Training may also include other areas 57.10 identified by the license holder. 57.11 (d) For consumers requiring a 24-hour plan of care, the 57.12 license holder shall provide training in cardiopulmonary 57.13 resuscitation, from a qualified source determined by the 57.14 commissioner, if the consumer's health needs as determined by 57.15 the consumer's physician indicate trained staff would be 57.16 necessary to the consumer. 57.17 Subd. 7. [VOLUNTEERS.] The license holder must ensure that 57.18 volunteers who provide direct services to consumers receive the 57.19 training and orientation necessary to fulfill their 57.20 responsibilities. 57.21 Subd. 8. [POLICIES AND PROCEDURES.] The license holder 57.22 must develop and implement the policies and procedures in 57.23 clauses (1) to (3): 57.24 (1) policies and procedures that promote consumer health 57.25 and safety by ensuring: 57.26 (i) consumer safety in emergency situations as identified 57.27 in section 245A.54, subdivision 7; 57.28 (ii) consumer health through sanitary practices; 57.29 (iii) safe transportation, when the license holder is 57.30 responsible for transportation of consumers, with provisions for 57.31 handling emergency situations; 57.32 (iv) a system of recordkeeping for both individuals and the 57.33 organization, for review of incidents and emergencies, and 57.34 corrective action if needed; 57.35 (v) a plan for responding to and reporting all emergencies, 57.36 including deaths, medical emergencies, illnesses, accidents, 58.1 missing consumers, fires, severe weather and natural disasters, 58.2 bomb threats, and other threats; 58.3 (vi) safe medication administration as identified in 58.4 section 245A.54, subdivision 5; 58.5 (vii) psychotropic medication monitoring when the consumer 58.6 is prescribed a psychotropic medication, including the use of 58.7 the psychotropic medication use checklist. If the 58.8 responsibility for implementing the psychotropic medication use 58.9 checklist has not been assigned in the individual service plan 58.10 and the consumer lives in a licensed site, the residential 58.11 license holder shall be designated; and 58.12 (viii) criteria for admission or service initiation 58.13 developed by the license holder; 58.14 (2) policies and procedures that protect consumer rights 58.15 and privacy by ensuring: 58.16 (i) consumer data privacy, in compliance with chapter 13; 58.17 and 58.18 (ii) that complaint procedures provide consumers with a 58.19 simple process to bring grievances and consumers receive a 58.20 response to the grievance within a reasonable time period. The 58.21 license holder must provide a copy of the program's grievance 58.22 procedure and timelines for addressing grievances. The 58.23 program's grievance procedure must permit consumers served by 58.24 the program and the authorized representatives to bring a 58.25 grievance to the highest level of authority in the program; and 58.26 (3) policies and procedures that promote continuity and 58.27 quality of consumer supports by ensuring: 58.28 (i) continuity of care and service coordination, including 58.29 provisions for service termination, temporary service 58.30 suspension, and efforts made by the license holder to coordinate 58.31 services with other vendors who also provide support to the 58.32 consumer. The policy must include the following requirements: 58.33 (A) the license holder must notify the consumer or 58.34 consumer's legal representative and the consumer's case manager 58.35 in writing of the intended termination or temporary service 58.36 suspension and the consumer's right to seek a temporary order 59.1 staying the termination or suspension of service in accordance 59.2 with the procedures under section 256.045, subdivision 4a or 6c; 59.3 (B) notice of the proposed termination of services must be 59.4 given at least 60 days before the proposed termination is to 59.5 become effective unless services are temporarily suspended 59.6 according to the license holder's written temporary service 59.7 suspension procedures in which case notice must be given as soon 59.8 as possible; 59.9 (C) the license holder must provide information requested 59.10 by the consumer or consumer's legal representative or case 59.11 manager when services are temporarily suspended or upon notice 59.12 of termination; 59.13 (D) use of temporary service suspension procedures are 59.14 restricted to situations in which the consumer's behavior causes 59.15 immediate and serious danger to the health and safety of the 59.16 individual or others; 59.17 (E) prior to giving notice of service termination or 59.18 temporary service suspension, the license holder must document 59.19 actions taken to minimize or eliminate the need for service 59.20 termination or temporary service suspension; and 59.21 (F) during the period of temporary service suspension, the 59.22 license holder will work with the appropriate county agency to 59.23 develop reasonable alternatives to protect the individual and 59.24 others; and 59.25 (ii) quality services measured through a program evaluation 59.26 process including regular evaluations of consumer satisfaction 59.27 and sharing the results of the evaluations with the consumers 59.28 and legal representatives. 59.29 Subd. 9. [AVAILABILITY OF CURRENT WRITTEN POLICIES AND 59.30 PROCEDURES.] The license holder shall: 59.31 (1) review and update, as needed, the written policies and 59.32 procedures in this subdivision and inform all consumers or the 59.33 consumer's legal representatives, case managers, and employees 59.34 of the revised policies and procedures when they affect the 59.35 service provision; 59.36 (2) inform consumers or the consumer's legal 60.1 representatives of the written policies and procedures in this 60.2 subdivision upon service initiation. Copies must be available 60.3 to consumers or the consumer's legal representatives, case 60.4 managers, the county where services are located, and the 60.5 commissioner upon request; and 60.6 (3) document and maintain relevant information related to 60.7 the policies and procedures in this subdivision. 60.8 Subd. 10. [CONSUMER FUNDS.] The license holder must ensure 60.9 that consumers retain the use and availability of personal funds 60.10 or property unless restrictions are justified in the consumer's 60.11 individual service plan. 60.12 (a) The license holder must ensure separation of resident 60.13 funds from funds of the license holder, the residential program, 60.14 or program staff. 60.15 (b) Whenever the license holder assists a consumer with the 60.16 safekeeping of funds or other property, the license holder shall: 60.17 (1) document receipt and disbursement of the consumer's 60.18 funds or other property, including the signature of the 60.19 consumer, conservator, or payee; 60.20 (2) provide a statement, at least quarterly, itemizing 60.21 receipts and disbursements of resident funds or other property; 60.22 and 60.23 (3) return to the consumer upon the consumer's request, 60.24 funds and property in the license holder's possession subject to 60.25 restrictions in the consumer's individual service plan, as soon 60.26 as possible, but no later than three working days after the date 60.27 of the request. 60.28 (c) License holders and program staff must not: 60.29 (1) borrow money from a consumer; 60.30 (2) purchase personal items from a consumer; 60.31 (3) sell merchandise or personal services to a consumer; 60.32 (4) require a resident to purchase items for which the 60.33 license holder is eligible for reimbursement; or 60.34 (5) use resident funds in a manner that would violate 60.35 section 256B.04, or any rules promulgated thereunder. 60.36 Subd. 11. [TRAVEL TIME TO AND FROM A DAY TRAINING AND 61.1 HABILITATION SITE.] Except in unusual circumstances, the license 61.2 holder must not transport a consumer receiving services for 61.3 longer than one hour per one-way trip. 61.4 Subd. 12. [SEPARATE LICENSE REQUIRED FOR SEPARATE SITES.] 61.5 The license holder shall apply for separate licenses for each 61.6 day training and habilitation service site owned or leased by 61.7 the license holder at which persons receiving services and the 61.8 provider's employees who provide training and habilitation 61.9 services are present for a cumulative total of more than 30 days 61.10 within any 12-month period and each residential service site. 61.11 Subd. 13. [VARIANCE.] The commissioner may grant a 61.12 variance to any of the requirements in sections 245A.51 to 61.13 245A.56, except section 245A.56, subdivision 8, paragraph (1), 61.14 clause (vii), or provisions governing data practices or 61.15 information rights of consumers, if the conditions in section 61.16 245A.04, subdivision 9, are met. Upon the request of the 61.17 license holder, the commissioner shall continue variances from 61.18 the standards in this chapter previously granted under Minnesota 61.19 Rules that are repealed as a result of this chapter. The 61.20 commissioner may approve variances for a license holder on a 61.21 program, geographic, or organizational basis. 61.22 Sec. 37. [245A.57] [NEW REGULATORY STRATEGIES.] 61.23 Subdivision 1. [ALTERNATIVE METHODS OF DETERMINING 61.24 COMPLIANCE.] (a) In addition to methods specified in this 61.25 chapter, the commissioner may use alternative methods and new 61.26 regulatory strategies to determine compliance with this 61.27 section. The commissioner may use sampling techniques to ensure 61.28 compliance with this section. Notwithstanding section 245A.09, 61.29 subdivision 7, paragraph (d), the commissioner may also extend 61.30 periods of licensure, not to exceed five years, for license 61.31 holders who have demonstrated substantial and consistent 61.32 compliance with sections 245A.51 to 245A.56 and have 61.33 consistently maintained the health and safety of consumers and 61.34 have demonstrated by alternative methods in paragraph (b) that 61.35 they meet or exceed the requirements of this section. For 61.36 purposes of this section, "substantial and consistent 62.1 compliance" means that during the current licensing period: 62.2 (1) the license holder's license has not been made 62.3 conditional, suspended, or revoked; 62.4 (2) there have been no substantiated allegations of 62.5 maltreatment against the license holder; 62.6 (3) there have been no program deficiencies that have been 62.7 identified that would jeopardize the health or safety of 62.8 consumers being served; and 62.9 (4) the license holder is in substantial compliance with 62.10 the other requirements of this chapter and other applicable laws 62.11 and rules. 62.12 (b) To determine the length of a license, the commissioner 62.13 shall consider: 62.14 (1) information from affected consumers, and the license 62.15 holder's responsiveness to consumers' concerns and 62.16 recommendations; 62.17 (2) self assessments and peer reviews of the standards of 62.18 this section, corrective actions taken by the license holder, 62.19 and sharing the results of the inspections with consumers, the 62.20 consumers' families, and others, as requested; 62.21 (3) length of accreditation by an independent accreditation 62.22 body, if applicable; 62.23 (4) information from the county where the license holder is 62.24 located; and 62.25 (5) information from the license holder demonstrating 62.26 performance that meets or exceeds the minimum standards of this 62.27 chapter. 62.28 (c) The commissioner may reduce the length of the license 62.29 if the license holder fails to meet the criteria in paragraph 62.30 (a) and the conditions specified in paragraph (b). 62.31 Subd. 2. [ADDITIONAL MEASURES.] The commissioner may 62.32 require the license holder to implement additional measures on a 62.33 time-limited basis to ensure the health and safety of consumers 62.34 when the health and safety of consumers has been determined to 62.35 be at risk as determined by substantiated incidents of 62.36 maltreatment under sections 626.556 and 626.557. The license 63.1 holder may request reconsideration of the actions taken by the 63.2 commissioner under this subdivision according to section 245A.06. 63.3 Subd. 3. [SANCTIONS AVAILABLE.] Nothing in this section 63.4 shall be construed to limit the commissioner's authority to 63.5 suspend, revoke, or make conditional at any time a license under 63.6 section 245A.07; make correction orders and require fines for 63.7 failure to comply with applicable laws or rules under section 63.8 245A.06; or deny an application for license under section 63.9 245A.05. 63.10 Subd. 4. [EFFICIENT APPLICATION.] The commissioner shall 63.11 establish application procedures for license holders licensed 63.12 under this chapter to reduce the need to submit duplicative 63.13 material. 63.14 Subd. 5. [INFORMATION.] The commissioner shall make 63.15 information available to consumers and interested persons 63.16 regarding the licensing status of a license holder. 63.17 Subd. 6. [IMPLEMENTATION.] The commissioner shall seek 63.18 advice from parties affected by the implementation of sections 63.19 245A.50 to 245A.57. 63.20 Subd. 7. [DEEM STATUS.] The commissioner may exempt a 63.21 license holder from duplicative standards if the license holder 63.22 is already licensed under this chapter. 63.23 VULNERABLE ADULTS 63.24 Sec. 38. [245A.65] [LICENSE HOLDER REQUIREMENTS GOVERNING 63.25 MALTREATMENT OF VULNERABLE ADULTS.] 63.26 Subdivision 1. [LICENSE HOLDER INTERNAL REPORTING AND 63.27 INVESTIGATION OF MALTREATMENT.] All license holders serving 63.28 vulnerable adults shall establish and enforce written policies 63.29 and procedures related to suspected or alleged maltreatment, and 63.30 shall orient clients and mandated reporters who are under the 63.31 control of the license holder to these procedures, as defined in 63.32 section 626.5572, subdivision 16. 63.33 (a) License holders must establish policies and procedures 63.34 allowing but not mandating the internal reporting of alleged or 63.35 suspected maltreatment. License holders shall ensure that the 63.36 policies and procedures on internal reporting: 64.1 (1) meet all the requirements identified for the optional 64.2 internal reporting policies and procedures in section 626.557, 64.3 subdivision 4a; and 64.4 (2) identify the primary and secondary person or position 64.5 to whom internal reports may be made and the primary and 64.6 secondary person or position responsible for forwarding internal 64.7 reports to the common entry point as defined in section 64.8 626.5572, subdivision 5. The secondary person must be involved 64.9 when there is reason to believe that the primary person was 64.10 involved in the alleged or suspected maltreatment. 64.11 (b) The license holder shall: 64.12 (1) establish and maintain policies and procedures to 64.13 ensure that an internal review is completed when the facility 64.14 has reason to know that an internal or external report of 64.15 alleged or suspected maltreatment has been made. The review 64.16 must include an evaluation of whether related policies and 64.17 procedures were followed, whether the policies and procedures 64.18 were adequate, whether there is a need for additional staff 64.19 training, and whether there is a need for any further action to 64.20 be taken by the facility to protect the health and safety of 64.21 vulnerable adults; 64.22 (2) identify the primary and secondary person or position 64.23 who will ensure that, when required, internal reviews are 64.24 completed. The secondary person shall be involved when there is 64.25 reason to believe that the primary person was involved in the 64.26 alleged or suspected maltreatment; and 64.27 (3) document and make internal reviews accessible to the 64.28 commissioner upon the commissioner's request. 64.29 (c) The license holder shall provide an orientation to the 64.30 internal and external reporting procedures to all persons 64.31 receiving services. The orientation shall include the telephone 64.32 number for the license holder's common entry point as defined in 64.33 section 626.5572, subdivision 5. If applicable, the person's 64.34 legal representative must be notified of the orientation. The 64.35 program shall provide this orientation for each new person 64.36 within 24 hours of admission, or for persons who would benefit 65.1 more from a later orientation, the orientation may take place 65.2 within 72 hours. 65.3 (d) The license holder shall post a copy of the internal 65.4 and external reporting policies and procedures, including the 65.5 telephone number of the common entry point as defined in section 65.6 626.5572, subdivision 5, in a prominent location in the program 65.7 and have it available upon request to mandated reporters, 65.8 persons receiving services, and the person's legal 65.9 representatives. 65.10 Subd. 2. [ABUSE PREVENTION PLANS.] All license holders 65.11 shall establish and enforce ongoing written program abuse 65.12 prevention plans and individual abuse prevention plans as 65.13 required under section 626.557, subdivision 14. 65.14 (a) The scope of the program abuse prevention plan is 65.15 limited to the population, physical plant, and environment 65.16 within the control of the license holder and the location where 65.17 licensed services are provided. In addition to the requirements 65.18 in section 626.557, subdivision 14, the program abuse prevention 65.19 plan shall meet the requirements in clauses (1) to (5). 65.20 (1) The assessment of the population shall include an 65.21 evaluation of the following factors: age, gender, mental 65.22 functioning, physical and emotional health or behavior of the 65.23 client; the need for specialized programs of care for clients; 65.24 the need for training of staff to meet identified individual 65.25 needs; and the knowledge a license holder may have regarding 65.26 previous abuse that is relevant to minimizing risk of abuse for 65.27 clients. 65.28 (2) The assessment of the physical plant where the licensed 65.29 services are provided shall include an evaluation of the 65.30 following factors: the condition and design of the building as 65.31 it relates to the safety of the clients; and the existence of 65.32 areas in the building which are difficult to supervise. 65.33 (3) The assessment of the environment for each facility and 65.34 for each site when living arrangements are provided by the 65.35 agency shall include an evaluation of the following factors: 65.36 the location of the program in a particular neighborhood or 66.1 community; the type of grounds and terrain surrounding the 66.2 building; the type of internal programming; and the program's 66.3 staffing patterns. 66.4 (4) The license holder shall provide an orientation to the 66.5 program abuse prevention plan for clients receiving services. 66.6 If applicable, the client's legal representative must be 66.7 notified of the orientation. The license holder shall provide 66.8 this orientation for each new person within 24 hours of 66.9 admission, or for persons who would benefit more from a later 66.10 orientation, the orientation may take place within 72 hours. 66.11 (5) The license holder's governing body shall review the 66.12 plan at least annually using the assessment factors in the plan 66.13 and any substantiated maltreatment findings that occurred since 66.14 the last review. The governing body shall revise the plan, if 66.15 necessary, to reflect the review results. 66.16 (6) A copy of the program abuse prevention plan shall be 66.17 posted in a prominent location in the program and be available 66.18 upon request to mandated reporters, persons receiving services, 66.19 and legal representatives. 66.20 (b) In addition to the requirements in section 626.557, 66.21 subdivision 14, the individual abuse prevention plan shall meet 66.22 the requirements in clauses (1) and (2). 66.23 (1) The plan shall include a statement of measures that 66.24 will be taken to minimize the risk of abuse to the vulnerable 66.25 adult when the individual assessment required in section 66.26 626.557, subdivision 14, paragraph (b), indicates the need for 66.27 measures in addition to the specific measures identified in the 66.28 program abuse prevention plan. The measures shall include the 66.29 specific actions the program will take to minimize the risk of 66.30 abuse within the scope of the licensed services, and will 66.31 identify referrals made when the vulnerable adult is susceptible 66.32 to abuse outside the scope or control of the licensed services. 66.33 When the assessment indicates that the vulnerable adult does not 66.34 need specific risk reduction measures in addition to those 66.35 identified in the program abuse prevention plan, the individual 66.36 abuse prevention plan shall document this determination. 67.1 (2) An individual abuse prevention plan shall be developed 67.2 for each new person as part of the initial individual program 67.3 plan or service plan required under the applicable licensing 67.4 rule. The review and evaluation of the individual abuse 67.5 prevention plan shall be done as part of the review of the 67.6 program plan or service plan. The person receiving services 67.7 shall participate in the development of the individual abuse 67.8 prevention plan to the full extent of the person's abilities. 67.9 If applicable, the person's legal representative shall be given 67.10 the opportunity to participate with or for the person in the 67.11 development of the plan. The interdisciplinary team shall 67.12 document the review of all abuse prevention plans at least 67.13 annually, using the individual assessment and any reports of 67.14 abuse relating to the person. The plan shall be revised to 67.15 reflect the results of this review. 67.16 Subd. 3. [ORIENTATION OF MANDATED REPORTERS.] The license 67.17 holder shall ensure that each new mandated reporter, as defined 67.18 in section 626.5572, subdivision 16, who is under the control of 67.19 the license holder, receives an orientation within 72 hours of 67.20 first providing direct contact services as defined in section 67.21 245A.04, subdivision 3, to a vulnerable adult and annually 67.22 thereafter. The orientation and annual review shall inform the 67.23 mandated reporters of the reporting requirements and definitions 67.24 in sections 626.557 and 626.5572, the requirements of this 67.25 section, the license holder's program abuse prevention plan, and 67.26 all internal policies and procedures related to the prevention 67.27 and reporting of maltreatment of individuals receiving services. 67.28 Sec. 39. Minnesota Statutes 1996, section 256E.115, is 67.29 amended to read: 67.30 256E.115 [SAFE HOUSESAND, TRANSITIONAL HOUSING, AND 67.31 INDEPENDENT LIVING ASSISTANCE SERVICES FORHOMELESSYOUTH.] 67.32 Subdivision 1. [DEFINITIONS; COMMISSIONER DUTIES.] (a) The 67.33 following definitions apply to this section: 67.34 (1) "Targeted youth" means children who are ages 16 to 21 67.35 and who are in out-of-home placement, leaving out-of-home 67.36 placement, at risk of becoming homeless, or homeless. 68.1 (2) "Safe house" means a facility providing emergency 68.2 housing for homeless targeted youth with the goal of reuniting 68.3 the family if appropriate and possible. 68.4 (3) "Transitional housing" means congregate or cooperative 68.5 housing for targeted youth who are transitioning to independent 68.6 living. 68.7 (4) "Independent living assistance" means services provided 68.8 to assist targeted youth who are not living in a safe house or 68.9 transitional housing to make the transition to independent 68.10 living. 68.11 (b) The commissioner shall issue a request for proposals 68.12 from organizations that are knowledgeable about the needs 68.13 ofhomelesstargeted youth for the purpose ofproviding68.14 establishing a system of safe housesand, transitional housing, 68.15 and independent living assistance forhomelesssuch youth. The 68.16 commissioner shall appoint a review committee of up to eight 68.17 members to evaluate the proposals. The review panel must 68.18 include representation from communities of color, youth, and 68.19 other community providers and agency representatives who 68.20 understand the needs and problems ofhomelesstargeted youth. 68.21 The commissioner shall also assist in coordinating funding from 68.22 federal and state grant programs and funding available from a 68.23 variety of sources for efforts to promote a continuum of 68.24 services for targeted youth through a consolidated grant 68.25 application. The commissioner shall analyze the needs 68.26 ofhomelesstargeted youth and gaps in services throughout the 68.27 state and determine how to best serve those needs within the 68.28 available funding. 68.29 Subd. 2. [SAFE HOUSES AND TRANSITIONAL HOUSINGPROGRAM 68.30 SERVICE REQUIREMENTS; PARTICIPATION REQUIREMENTS; LICENSURE OF 68.31 INDEPENDENT LIVING ASSISTANCE PROVIDERS.]A safe house provides68.32emergency housing for homeless youth ranging in age from 13 to68.3322 with the goal of reuniting the family, if appropriate,68.34whenever possible. Transitional housing provides housing for68.35homeless youth ages 16 to 22 who are transitioning into68.36independent living.69.1In developing both types of housing, the commissioner and69.2the review committee shall try to create a family atmosphere in69.3a neighborhood or community and, if possible, provide separate69.4but cooperative homes for males and females. It may be69.5necessary, due to licensing restrictions, to provide separate69.6housing for different age groups.(a) The following services, or 69.7 adequate access to referrals for the following services, must be 69.8 made available to thehomelesstargeted youth participating in 69.9 the programs described in subdivision 1: 69.10 (1) counseling services for the youth, and their families, 69.11 if appropriate, on site, to help with problems thatresulted69.12incontributed to the homelessness or could impede making the 69.13 transition to independent living; 69.14 (2) job services to help youth find employment in addition 69.15 to creating jobs on site, including food service, maintenance, 69.16 child care, and tutoring; 69.17 (3) health services that are confidential and provide 69.18 preventive care services, crisis referrals, and other necessary 69.19 health care services; 69.20 (4) living skills training to help youth learn how to care 69.21 for themselves; and 69.22 (5) education services that help youth enroll in academic 69.23 programs, if they are currently not in a program.Enrollment in69.24an academic program is required for residency in transitional69.25housing.69.26 (b)(1) Targeted youth who have current drug or alcohol 69.27 problems, a recent history of violent behaviors, or a mental 69.28 health disorder or issue that is not being resolved through 69.29 counseling or treatment are not eligible to receive the services 69.30 described in subdivision 1. 69.31 (2) Targeted youth who are not employed, participating in 69.32 employment training, or enrolled in an academic program are not 69.33 eligible to receive transitional housing or independent living 69.34 assistance. 69.35 (c) Providers of independent living assistance services 69.36 must be licensed under section 245A.22. 70.1 Sec. 40. Minnesota Statutes 1996, section 364.09, is 70.2 amended to read: 70.3 364.09 [EXCEPTIONS.] 70.4 (a) This chapter does not apply to the licensing process 70.5 for peace officers; to law enforcement agencies as defined in 70.6 section 626.84, subdivision 1, paragraph (h); to fire protection 70.7 agencies; to eligibility for a private detective or protective 70.8 agent license; toeligibility for a family day care license, a70.9family foster care license, or a home care provider licensethe 70.10 licensing and background study process in chapter 245A; to 70.11 eligibility for school bus driver endorsements; or to 70.12 eligibility for special transportation service endorsements. 70.13 This chapter also shall not apply to eligibility for juvenile 70.14 corrections employment, where the offense involved child 70.15 physical or sexual abuse or criminal sexual conduct. 70.16 (b) This chapter does not apply to a school district or to 70.17 eligibility for a license issued or renewed by the board of 70.18 teaching or the state board of education. 70.19 (c) Nothing in this section precludes the Minnesota police 70.20 and peace officers training board or the state fire marshal from 70.21 recommending policies set forth in this chapter to the attorney 70.22 general for adoption in the attorney general's discretion to 70.23 apply to law enforcement or fire protection agencies. 70.24 (d) This chapter does not apply to a license to practice 70.25 medicine that has been denied or revoked by the board of medical 70.26 practice pursuant to section 147.091, subdivision 1a. 70.27 Sec. 41. [LEGISLATIVE TASK FORCE TO REVIEW THE BACKGROUND 70.28 STUDY PROCESS.] 70.29 The task force must consist of at least six legislators and 70.30 other members appointed by the commissioner of human services, 70.31 which may include representatives from the departments of human 70.32 services, health, and public safety, the ombudsman for older 70.33 Minnesotans, the ombudsman for mental health and mental 70.34 retardation, representatives from the attorney general's office, 70.35 and county agencies, persons receiving services in licensed 70.36 facilities, families of persons receiving services in licensed 71.1 facilities, representatives from consumer and advocacy groups, 71.2 representatives of agencies that provide services, 71.3 representatives of individuals and professionals who provide 71.4 services within the agencies, and representatives of employee 71.5 bargaining units. 71.6 The speaker of the house and the rules and administration 71.7 subcommittee on committees in the senate shall appoint at least 71.8 three members from each body to constitute a legislative task 71.9 force to review the background study process for individuals 71.10 providing services in facilities and programs licensed by either 71.11 the department of human services or the department of health. 71.12 At least one of the members from each body shall be from the 71.13 minority party. Members shall be appointed before July 1, 1997, 71.14 and shall convene as soon as possible during the 1997 interim at 71.15 the call of the chairs. 71.16 Members shall evaluate the current systems for background 71.17 studies completed under Minnesota Statutes, section 144.057, and 71.18 chapter 245A, specific to, but not limited to, the 71.19 appropriateness of the authority to disqualify individuals based 71.20 on a commissioner's determination that, absent a criminal 71.21 conviction, there is a preponderance of evidence that the 71.22 individual committed an act that meets the definition of a 71.23 disqualifying crime under Minnesota Statutes, section 245A.04, 71.24 the appropriateness and effectiveness of the due process 71.25 available to disqualified individuals, and the appropriateness 71.26 of standardizing disqualifying characteristics across all 71.27 services licensed by the department of human services and the 71.28 department of health. 71.29 The deliberations of the task force shall include 71.30 consideration of the privacy issues related to background 71.31 studies, specifically the efficient and effective dissemination 71.32 of information while protecting individual privacy rights, and 71.33 issues related to rehabilitation and present fitness to perform 71.34 the duties of employment, and be based upon the recognition that 71.35 the background study process exists to protect vulnerable 71.36 children and adults receiving services in licensed programs and 72.1 facilities and that the safety of these persons shall be given 72.2 preeminent weight over the interests of persons subject to the 72.3 background study process. 72.4 The task force shall present a report containing any 72.5 recommendations for change, with draft legislation, to the 72.6 legislature by February 1, 1998. 72.7 Sec. 42. [REPORT ON RULE CONSOLIDATION.] 72.8 The commissioner of human services shall report no later 72.9 than March 15, 1998, to the chairs of the senate committee on 72.10 health and family security, the house committee on health and 72.11 human services, the senate health and family security budget 72.12 division, and the house health and human services finance 72.13 division on the implementation of rule consolidation authorized 72.14 by Minnesota Statutes, sections 245A.50 to 245A.57. In 72.15 addition, the report shall include recommendations as needed to 72.16 improve the consolidated rule's effectiveness in providing 72.17 safeguards for clients while streamlining the regulatory 72.18 process. The commissioner shall appoint an advisory task force 72.19 to assist in developing the report. The task force membership 72.20 shall include, but not be limited to, representatives from 72.21 provider, advocacy, and other interested groups. Department of 72.22 human services staff shall not be members of the task force but 72.23 shall provide technical assistance as needed. 72.24 Sec. 43. [COST OF BACKGROUND STUDIES.] 72.25 By January 15, 1998, the commissioner of health shall 72.26 report to the chairs of the appropriate house of representatives 72.27 and senate committees the costs of background studies required 72.28 under Minnesota Statutes, section 245A.04, subdivision 3, 72.29 paragraph (b), and methods to fund these studies. 72.30 Sec. 44. [CHILD CARE CENTERS; RULE AMENDMENTS.] 72.31 (a) The commissioner shall amend Minnesota Rules, part 72.32 9503.0035, subpart 4, with regard to in-service training of 72.33 child care center staff by adding the following: 72.34 In-service training must be completed within the license 72.35 period for which it is required. In-service completed by staff 72.36 persons as required under this subpart shall be transferable 73.1 upon a staff person's change in employment to another child care 73.2 program. License holders shall record all staff in-service 73.3 training on forms prescribed by the commissioner. 73.4 (b) The commissioner shall amend Minnesota Rules, part 73.5 9503.0005, subpart 25, so that "supervision" has the following 73.6 meaning: 73.7 (1) Except as provided in clause (2), supervision occurs 73.8 when a program staff person is within sight and hearing of a 73.9 child at all times so that the program staff person can 73.10 intervene to protect the health and safety of the child. 73.11 (2) When an infant is placed in a crib room to sleep, 73.12 supervision occurs when a staff person is within sight or 73.13 hearing of the infant. When supervision of a crib room is 73.14 provided by sight or hearing, the center must have a plan to 73.15 address the other supervision component. 73.16 (c) The commissioner shall amend the definition of 73.17 "experience" in Minnesota Rules, chapter 9503, to include paid 73.18 or unpaid employment serving children as teacher, assistant 73.19 teacher, aide, or student intern in a licensed child care 73.20 center; in a public or nonpublic school; or in a program 73.21 licensed as a family day care or group family day care provider. 73.22 Sec. 45. [EXPIRATION.] 73.23 Section 7 shall expire on June 30, 1998. 73.24 Sec. 46. [REPEALER.] 73.25 Subdivision 1. Minnesota Rules, parts 4668.0020; 73.26 9555.8000; 9555.8100; 9555.8200; 9555.8300; 9555.8400; and 73.27 9555.8500, are repealed. 73.28 Subd. 2. (a) Laws 1996, chapter 408, article 10, section 73.29 13, is repealed. 73.30 (b) Minnesota Rules, part 9543.3070, is repealed. 73.31 Subd. 3. (a) Minnesota Statutes 1996, sections 245A.091; 73.32 245A.20; 245A.21; and 252.53, are repealed. 73.33 (b) Minnesota Rules, parts 9503.0170, subpart 7; 9525.0215; 73.34 9525.0225; 9525.0235; 9525.0243; 9525.0245; 9525.0255; 73.35 9525.0265; 9525.0275; 9525.0285; 9525.0295; 9525.0305; 73.36 9525.0315; 9525.0325; 9525.0335; 9525.0345; 9525.0355; 74.1 9525.0500; 9525.0510; 9525.0520; 9525.0530; 9525.0540; 74.2 9525.0550; 9525.0560; 9525.0570; 9525.0580; 9525.0590; 74.3 9525.0600; 9525.0610; 9525.0620; 9525.0630; 9525.0640; 74.4 9525.0650; 9525.0660; 9525.1240, subpart 1, item E, subitem (6); 74.5 9525.1500; 9525.1510; 9525.1520; 9525.1530; 9525.1540; 74.6 9525.1550; 9525.1560; 9525.1570; 9525.1590; 9525.1610; 74.7 9525.1620; 9525.1630; 9525.1640; 9525.1650; 9525.1660; 74.8 9525.1670; 9525.1680; 9525.1690; 9525.2000; 9525.2010; 74.9 9525.2020; 9525.2025; 9525.2030; 9525.2040; 9525.2050; 74.10 9525.2060; 9525.2070; 9525.2080; 9525.2090; 9525.2100; 74.11 9525.2110; 9525.2120; 9525.2130; and 9525.2140, are repealed. 74.12 Sec. 47. [EFFECTIVE DATE.] 74.13 Sections 1 to 3, 5, 9 to 28, 37 to 39, 44, and 46, 74.14 subdivision 1, are effective the day following final enactment. 74.15 Sections 4, 6 to 8, and 46, subdivision 2, are effective August 74.16 1, 1997. Sections 29 to 36 and 46, subdivision 3, are effective 74.17 January 1, 1998.