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             14.386; 14.387; 245A.02, subdivisions 16 and 17; 
  1.6             245A.04, subdivisions 3, 3a, 3b, 3c, 4, 5, 6, and 7; 
  1.7             245A.06, subdivisions 1, 3, 4, 5, 5a, 6, and 7; 
  1.8             245A.07, subdivisions 1 and 3; 245A.08, subdivisions 1 
  1.9             and 2; 245A.09, subdivision 7; 245A.11, subdivision 2; 
  1.10            245A.16, subdivision 2; and 364.09; proposing coding 
  1.11            for new law as Minnesota Statutes, chapters 245B; and 
  1.12            245C; repealing Minnesota Statutes 1996, sections 
  1.13            245A.20; 245A.21; and 252.53; Minnesota Rules, parts 
  1.14            9503.0170, subpart 7; 9525.0215; 9525.0225; 9525.0235; 
  1.15            9525.0243; 9525.0245; 9525.0255; 9525.0265; 9525.0275; 
  1.16            9525.0285; 9525.0295; 9525.0305; 9525.0315; 9525.0325; 
  1.17            9525.0335; 9525.0345; 9525.0355; 9525.0500; 9525.0510; 
  1.18            9525.0520; 9525.0530; 9525.0540; 9525.0550; 9525.0560; 
  1.19            9525.0570; 9525.0580; 9525.0590; 9525.0600; 9525.0610; 
  1.20            9525.0620; 9525.0630; 9525.0640; 9525.0650; 9525.0660; 
  1.21            9525.1240, subpart 1, item E, subitem (6); 9525.1500; 
  1.22            9525.1510; 9525.1520; 9525.1530; 9525.1540; 9525.1550; 
  1.23            9525.1560; 9525.1570, subparts 2, 3, 4, 5, and 6; 
  1.24            9525.1580; 9525.1590; 9525.1610; 9525.1620; 9525.1630; 
  1.25            9525.1640; 9525.1650; 9525.1660; 9525.1670; 9525.1680; 
  1.26            9525.1690; 9525.2000; 9525.2010; 9525.2020; 9525.2025; 
  1.27            9525.2030; 9525.2040; 9525.2050; 9525.2060; 9525.2070; 
  1.28            9525.2080; 9525.2090; 9525.2100; 9525.2110; 9525.2120; 
  1.29            9525.2130; 9525.2140; 9555.8000; 9555.8100; 9555.8200; 
  1.30            9555.8300; 9555.8400; and 9555.8500. 
  1.31  BE IT ENACTED BY THE LEGISLATURE OF THE STATE OF MINNESOTA: 
  1.32     Section 1.  Minnesota Statutes 1996, section 14.386, is 
  1.33  amended to read: 
  1.34     14.386 [PROCEDURE FOR ADOPTING EXEMPT RULES; DURATION.] 
  1.35     (a) A rule adopted, amended, or repealed by an agency, 
  1.36  under a statute authorizing or requiring rules to be adopted but 
  1.37  excluded from the rulemaking provisions of chapter 14 or from 
  1.38  the definition of a rule, has the force and effect of law only 
  2.1   if: 
  2.2      (1) the revisor of statutes approves the form of the rule 
  2.3   by certificate; 
  2.4      (2) the office of administrative hearings approves the rule 
  2.5   as to its legality within 14 days after the agency submits it 
  2.6   for approval and files two copies of the rule with the revisor's 
  2.7   certificate in the office of the secretary of state; and 
  2.8      (3) a copy is published by the agency in the State Register.
  2.9      (b) A rule adopted under this section is effective for a 
  2.10  period of two years from the date of publication of the rule in 
  2.11  the State Register.  The authority for the rule expires at the 
  2.12  end of this two-year period. 
  2.13     (c) The chief administrative law judge shall adopt rules 
  2.14  relating to the rule approval duties imposed by this section and 
  2.15  section 14.388, including rules establishing standards for 
  2.16  review. 
  2.17     (d) This section does not apply to rules adopted, amended, 
  2.18  or repealed under section 14.388. 
  2.19     This section also does not apply to: 
  2.20     (1) rules implementing emergency powers pursuant to 
  2.21  sections 12.31 to 12.37; 
  2.22     (2) rules of agencies directly in the legislative or 
  2.23  judicial branches; 
  2.24     (3) rules of the regents of the University of Minnesota; 
  2.25     (4) rules of the department of military affairs; 
  2.26     (5) rules of the comprehensive health association provided 
  2.27  in section 62E.10; 
  2.28     (6) rules of the tax court provided by section 271.06; 
  2.29     (7) rules concerning only the internal management of the 
  2.30  agency or other agencies, and which do not directly affect the 
  2.31  rights of or procedure available to the public; 
  2.32     (8) rules of the commissioner of corrections relating to 
  2.33  the placement and supervision of inmates serving a supervised 
  2.34  release term, the internal management of institutions under the 
  2.35  commissioner's control, and rules adopted under section 609.105 
  2.36  governing the inmates of those institutions; 
  3.1      (9) rules relating to weight limitations on the use of 
  3.2   highways when the substance of the rules is indicated to the 
  3.3   public by means of signs; 
  3.4      (10) opinions of the attorney general; 
  3.5      (11) the systems architecture plan and long-range plan of 
  3.6   the state education management information system provided by 
  3.7   section 121.931; 
  3.8      (12) the data element dictionary and the annual data 
  3.9   acquisition calendar of the department of children, families, 
  3.10  and learning to the extent provided by section 121.932; 
  3.11     (13) the occupational safety and health standards provided 
  3.12  in section 182.655; 
  3.13     (14) revenue notices and tax information bulletins of the 
  3.14  commissioner of revenue; 
  3.15     (15) uniform conveyancing forms adopted by the commissioner 
  3.16  of commerce under section 507.09; 
  3.17     (16) game and fish rules of the commissioner of natural 
  3.18  resources adopted under section 84.027, subdivision 13, or 
  3.19  sections 97A.0451 to 97A.0459; 
  3.20     (17) experimental and special management waters designated 
  3.21  by the commissioner of natural resources under sections 97C.001 
  3.22  and 97C.005; ~~or~~ 
  3.23     (18) game refuges designated by the commissioner of natural 
  3.24  resources under section 97A.085~~.~~; 
  3.25     (19) procedures used by the commissioner of human services 
  3.26  to evaluate grant proposals and award grants and contracts under 
  3.27  Laws 1988, chapter 689, article 2, section 248, as amended by 
  3.28  Laws 1989, chapter 282, article 2, section 205; 
  3.29     (20) interpretive guidelines issued by the commissioner of 
  3.30  human services as authorized by section 245A.09, subdivision 8, 
  3.31  and defined in section 245A.02, subdivision 7b; 
  3.32     (21) minimum standards contained in Human Immunodeficiency 
  3.33  Virus (HIV-1) Guidelines for Chemical Dependency Treatment and 
  3.34  Care Programs in Minnesota as specified in section 245A.19, 
  3.35  paragraph (a); 
  3.36     (22) sliding fee scales for MinnesotaCare premiums 
  4.1   determined by the commissioner of human services within the 
  4.2   parameters specified in sections 256.9358 and 256.9368; 
  4.3      (23) the list of elective surgeries that require a second 
  4.4   medical opinion as a condition of coverage by the Medical 
  4.5   Assistance or General Assistance Medical Care programs and the 
  4.6   standards and criteria related to those surgeries as specified 
  4.7   in section 256B.0625, subdivisions 1, 4a, and 24; 
  4.8      (24) the procedures the commissioner of human services is 
  4.9   authorized by section 256B.0625, subdivision 13, paragraph (b), 
  4.10  to follow in establishing and publishing a drug formulary 
  4.11  listing drugs covered by the Medical Assistance or General 
  4.12  Assistance Medical Care programs; 
  4.13     (25) the list of health services that require prior 
  4.14  authorization as a condition of coverage by the Medical 
  4.15  Assistance or General Assistance Medical Care programs and the 
  4.16  criteria and standards used to select the services on the list 
  4.17  as specified in section 256B.0625, subdivision 25; or 
  4.18     (26) the list of items the commissioner of human services 
  4.19  is permitted to inspect in performing follow-up inspections 
  4.20  allowed by the interagency agreement between the commissioners 
  4.21  of public safety and human services authorized in section 
  4.22  299F.011, subdivision 4a, paragraph (e). 
  4.23     Sec. 2.  Minnesota Statutes 1996, section 14.387, is 
  4.24  amended to read: 
  4.25     14.387 [LEGAL STATUS OF EXISTING EXEMPT RULES.] 
  4.26     A rule adopted on or before May 26, 1995, and which was not 
  4.27  adopted under sections 14.05 to 14.28 or their predecessor 
  4.28  provisions, does not have the force and effect of law on and 
  4.29  after July 1, 1997, and the authority for the rule expires on 
  4.30  that date.  
  4.31     This section does not apply to: 
  4.32     (1) rules implementing emergency powers under sections 
  4.33  12.31 to 12.37; 
  4.34     (2) rules of agencies directly in the legislative or 
  4.35  judicial branches; 
  4.36     (3) rules of the regents of the University of Minnesota; 
  5.1      (4) rules of the department of military affairs; 
  5.2      (5) rules of the comprehensive health association provided 
  5.3   in section 62E.10; 
  5.4      (6) rules of the tax court provided by section 271.06; 
  5.5      (7) rules concerning only the internal management of the 
  5.6   agency or other agencies, and which do not directly affect the 
  5.7   rights of or procedure available to the public; 
  5.8      (8) rules of the commissioner of corrections relating to 
  5.9   the placement and supervision of inmates serving a supervised 
  5.10  release term, the internal management of institutions under the 
  5.11  commissioner's control, and rules adopted under section 609.105 
  5.12  governing the inmates of those institutions; 
  5.13     (9) rules relating to weight limitations on the use of 
  5.14  highways when the substance of the rules is indicated to the 
  5.15  public by means of signs; 
  5.16     (10) opinions of the attorney general; 
  5.17     (11) the systems architecture plan and long-range plan of 
  5.18  the state education management information system provided by 
  5.19  section 121.931; 
  5.20     (12) the data element dictionary and the annual data 
  5.21  acquisition calendar of the department of children, families and 
  5.22  learning to the extent provided by section 121.932; 
  5.23     (13) the occupational safety and health standards provided 
  5.24  in section 182.655; 
  5.25     (14) revenue notices and tax information bulletins of the 
  5.26  commissioner of revenue; 
  5.27     (15) uniform conveyancing forms adopted by the commissioner 
  5.28  of commerce under section 507.09; 
  5.29     (16) game and fish rules of the commissioner of natural 
  5.30  resources adopted under section 84.027, subdivision 13, or 
  5.31  sections 97A.0451 to 97A.0459; 
  5.32     (17) experimental and special management waters designated 
  5.33  by the commissioner of natural resources under sections 97C.001 
  5.34  and 97C.005; ~~or~~ 
  5.35     (18) game refuges designated by the commissioner of natural 
  5.36  resources under section 97A.085~~.~~; 
  6.1      (19) procedures used by the commissioner of human services 
  6.2   to evaluate grant proposals and award grants and contracts under 
  6.3   Laws 1988, chapter 689, article 2, section 248, as amended by 
  6.4   Laws 1989, chapter 282, article 2, section 205; 
  6.5      (20) interpretive guidelines issued by the commissioner of 
  6.6   human services as authorized by section 245A.09, subdivision 8, 
  6.7   and defined in section 245A.02, subdivision 7b; 
  6.8      (21) minimum standards contained in Human Immunodeficiency 
  6.9   Virus (HIV-1) Guidelines for Chemical Dependency Treatment and 
  6.10  Care Programs in Minnesota as specified in section 245A.19, 
  6.11  paragraph (a); 
  6.12     (22) sliding fee scales for MinnesotaCare premiums 
  6.13  determined by the commissioner of human services within the 
  6.14  parameters specified in sections 256.9358 and 256.9368; 
  6.15     (23) the list of elective surgeries that require a second 
  6.16  medical opinion as a condition of coverage by the Medical 
  6.17  Assistance or General Assistance Medical Care programs and the 
  6.18  standards and criteria related to those surgeries as specified 
  6.19  in section 256B.0625, subdivisions 1, 4a, and 24; 
  6.20     (24) the procedures the commissioner of human services is 
  6.21  authorized by section 256B.0625, subdivision 13, paragraph (b), 
  6.22  to follow in establishing and publishing a drug formulary 
  6.23  listing drugs covered by the Medical Assistance or General 
  6.24  Assistance Medical Care programs; 
  6.25     (25) the list of health services that require prior 
  6.26  authorization as a condition of coverage by the Medical 
  6.27  Assistance or General Assistance Medical Care programs and the 
  6.28  criteria and standards used to select the services on the list 
  6.29  as specified in section 256B.0625, subdivision 25; or 
  6.30     (26) the list of items the commissioner of human services 
  6.31  is permitted to inspect in performing follow-up inspections 
  6.32  allowed by the interagency agreement between the commissioners 
  6.33  of public safety and human services authorized in section 
  6.34  299F.011, subdivision 4a, paragraph (e). 
  6.35     Sec. 3.  Minnesota Statutes 1996, section 245A.02, 
  6.36  subdivision 16, is amended to read: 
  7.1      Subd. 16.  [SCHOOL AGE CHILD.] "School age child," for 
  7.2   programs licensed or required to be licensed under Minnesota 
  7.3   Rules, parts 9503.0005 to 9503.0170, means a child who is at 
  7.4   least of sufficient age to have attended the first day of 
  7.5   kindergarten, or is eligible to enter kindergarten within the 
  7.6   next four months, but is younger than 13 years of age.  
  7.7      Sec. 4.  Minnesota Statutes 1996, section 245A.02, 
  7.8   subdivision 17, is amended to read: 
  7.9      Subd. 17.  [SCHOOL AGE CHILD CARE PROGRAM.] "School age 
  7.10  child care program" means a ~~nonresidential~~ program licensed or 
  7.11  required to be licensed under Minnesota Rules, parts 9503.0005 
  7.12  to 9503.0170, serving more than ten children with the primary 
  7.13  purpose of providing child care for school age children.  School 
  7.14  age child care program does not include programs such as 
  7.15  scouting, boys clubs, girls clubs, nor sports or art programs. 
  7.16     Sec. 5.  Minnesota Statutes 1996, section 245A.04, 
  7.17  subdivision 3, is amended to read: 
  7.18     Subd. 3.  [STUDY OF THE APPLICANT.] (a) Before the 
  7.19  commissioner issues a license, the commissioner shall conduct a 
  7.20  study of the individuals specified in paragraph (c), clauses (1) 
  7.21  to (5), according to rules of the commissioner.  
  7.22     Beginning January 1, 1997, the commissioner shall also 
  7.23  conduct a study of employees providing direct contact services 
  7.24  for nonlicensed personal care provider organizations described 
  7.25  in paragraph (c), clause (5). 
  7.26     The commissioner shall recover the cost of these background 
  7.27  studies through a fee of no more than $12 per study charged to 
  7.28  the personal care provider organization.  
  7.29     (b) Beginning July 1, 1997, the commissioner shall conduct 
  7.30  a background study on individuals specified in paragraph (c), 
  7.31  clauses (1) to (5), who perform direct contact services in a 
  7.32  nursing home or a home care agency licensed under chapter 144A 
  7.33  or a boarding care home licensed under sections 144.50 to 
  7.34  144.58, when the subject of the study resides outside Minnesota; 
  7.35  the study must be at least as comprehensive as that of a 
  7.36  Minnesota resident and include a search of information from the 
  8.1   criminal justice data communications network in the state where 
  8.2   the subject of the study resides. 
  8.3      (c) The applicant, license holder, the bureau of criminal 
  8.4   apprehension, the commissioner of health and county agencies, 
  8.5   after written notice to the individual who is the subject of the 
  8.6   study, shall help with the study by giving the commissioner 
  8.7   criminal conviction data and reports about the maltreatment of 
  8.8   adults substantiated under section 626.557 and the maltreatment 
  8.9   of minors in licensed programs substantiated under section 
  8.10  626.556.  The individuals to be studied shall include: 
  8.11     (1) the applicant; 
  8.12     (2) persons over the age of 13 living in the household 
  8.13  where the licensed program will be provided; 
  8.14     (3) current employees or contractors of the applicant who 
  8.15  will have direct contact with persons served by the facility, 
  8.16  agency, or program; 
  8.17     (4) volunteers or student volunteers who have direct 
  8.18  contact with persons served by the program to provide program 
  8.19  services, if the contact is not directly supervised by the 
  8.20  individuals listed in clause (1) or (3); and 
  8.21     (5) any person who, as an individual or as a member of an 
  8.22  organization, exclusively offers, provides, or arranges for 
  8.23  personal care assistant services under the medical assistance 
  8.24  program as authorized under sections 256B.04, subdivision 16, 
  8.25  and 256B.0625, subdivision 19. 
  8.26     The juvenile courts shall also help with the study by 
  8.27  giving the commissioner existing juvenile court records on 
  8.28  individuals described in clause (2) relating to delinquency 
  8.29  proceedings held within either the five years immediately 
  8.30  preceding the application or the five years immediately 
  8.31  preceding the individual's 18th birthday, whichever time period 
  8.32  is longer.  The commissioner shall destroy juvenile records 
  8.33  obtained pursuant to this subdivision when the subject of the 
  8.34  records reaches age 23.  
  8.35     For purposes of this section and Minnesota Rules, part 
  8.36  9543.3070, a finding that a delinquency petition is proven in 
  9.1   juvenile court shall be considered a conviction in state 
  9.2   district court. 
  9.3      For purposes of this subdivision, "direct contact" means 
  9.4   providing face-to-face care, training, supervision, counseling, 
  9.5   consultation, or medication assistance to persons served by a 
  9.6   program.  For purposes of this subdivision, "directly supervised"
  9.7   means an individual listed in clause (1), (3), or (5) is within 
  9.8   sight or hearing of a volunteer to the extent that the 
  9.9   individual listed in clause (1), (3), or (5) is capable at all 
  9.10  times of intervening to protect the health and safety of the 
  9.11  persons served by the program who have direct contact with the 
  9.12  volunteer. 
  9.13     A study of an individual in clauses (1) to (5) shall be 
  9.14  conducted at least upon application for initial license and 
  9.15  reapplication for a license.  The commissioner is not required 
  9.16  to conduct a study of an individual at the time of reapplication 
  9.17  for a license, other than a family day care or foster care 
  9.18  license, if:  (i) a study of the individual was conducted either 
  9.19  at the time of initial licensure or when the individual became 
  9.20  affiliated with the license holder; (ii) the individual has been 
  9.21  continuously affiliated with the license holder since the last 
  9.22  study was conducted; and (iii) the procedure described in 
  9.23  paragraph (d) has been implemented and was in effect 
  9.24  continuously since the last study was conducted.  For 
  9.25  individuals who are required to have background studies under 
  9.26  clauses (1) to (5) and who have been continuously affiliated 
  9.27  with a foster care provider that is licensed in more than one 
  9.28  county, criminal conviction data may be shared among those 
  9.29  counties in which the foster care programs are licensed.  A 
  9.30  county agency's receipt of criminal conviction data from another 
  9.31  county agency shall meet the criminal data background study 
  9.32  requirements of this section. 
  9.33     The commissioner may also conduct studies on individuals 
  9.34  specified in clauses (3) and (4) when the studies are initiated 
  9.35  by: 
  9.36     (i) personnel pool agencies; 
 10.1      (ii) temporary personnel agencies; 
 10.2      (iii) educational programs that train persons by providing 
 10.3   direct contact services in licensed programs; and 
 10.4      (iv) professional services agencies that are not licensed 
 10.5   and which contract with licensed programs to provide direct 
 10.6   contact services or individuals who provide direct contact 
 10.7   services. 
 10.8      Studies on individuals in items (i) to (iv) must be 
 10.9   initiated annually by these agencies, programs, and 
 10.10  individuals.  Except for personal care provider organizations, 
 10.11  no applicant, license holder, or individual who is the subject 
 10.12  of the study shall pay any fees required to conduct the study. 
 10.13     (1) At the option of the licensed facility, rather than 
 10.14  initiating another background study on an individual required to 
 10.15  be studied who has indicated to the licensed facility that a 
 10.16  background study by the commissioner was previously completed, 
 10.17  the facility may make a request to the commissioner for 
 10.18  documentation of the individual's background study status, 
 10.19  provided that: 
 10.20     (i) the facility makes this request using a form provided 
 10.21  by the commissioner; 
 10.22     (ii) in making the request the facility informs the 
 10.23  commissioner that either: 
 10.24     (A) the individual has been continuously affiliated with a 
 10.25  licensed facility since the individual's previous background 
 10.26  study was completed, or since October 1, 1995, whichever is 
 10.27  shorter; or 
 10.28     (B) the individual is affiliated only with a personnel pool 
 10.29  agency, a temporary personnel agency, an educational program 
 10.30  that trains persons by providing direct contact services in 
 10.31  licensed programs, or a professional services agency that is not 
 10.32  licensed and which contracts with licensed programs to provide 
 10.33  direct contact services or individuals who provide direct 
 10.34  contact services; and 
 10.35     (iii) the facility provides notices to the individual as 
 10.36  required in paragraphs (a) to (d), and that the facility is 
 11.1   requesting written notification of the individual's background 
 11.2   study status from the commissioner.  
 11.3      (2) The commissioner shall respond to each request under 
 11.4   paragraph (1) with a written notice to the facility and the 
 11.5   study subject.  If the commissioner determines that a background 
 11.6   study is necessary, the study shall be completed without further 
 11.7   request from a licensed agency or notifications to the study 
 11.8   subject.  
 11.9      (3) When a background study is being initiated by a 
 11.10  licensed facility, a study subject affiliated with multiple 
 11.11  licensed facilities may attach to the background study form a 
 11.12  cover letter indicating the additional facilities' names, 
 11.13  addresses, and background study identification numbers.  When 
 11.14  the commissioner receives such notices, each facility identified 
 11.15  by the background study subject shall be notified of the study 
 11.16  results.  The background study notice sent to the subsequent 
 11.17  agencies shall satisfy those facilities' responsibilities for 
 11.18  initiating a background study on that individual. 
 11.19     (d) If an individual who is affiliated with a program or 
 11.20  facility regulated by the department of human services or 
 11.21  department of health or who is affiliated with a nonlicensed 
 11.22  personal care provider organization, is convicted of a crime 
 11.23  constituting a disqualification under Minnesota Rules, parts 
 11.24  9543.3000 to 9543.3090, the probation officer or corrections 
 11.25  agent shall notify the commissioner of the conviction.  The 
 11.26  commissioner, in consultation with the commissioner of 
 11.27  corrections, shall develop forms and information necessary to 
 11.28  implement this paragraph and shall provide the forms and 
 11.29  information to the commissioner of corrections for distribution 
 11.30  to local probation officers and corrections agents.  The 
 11.31  commissioner shall inform individuals subject to a background 
 11.32  study that criminal convictions for disqualifying crimes will be 
 11.33  reported to the commissioner by the corrections system.  A 
 11.34  probation officer, corrections agent, or corrections agency is 
 11.35  not civilly or criminally liable for disclosing or failing to 
 11.36  disclose the information required by this paragraph.  Upon 
 12.1   receipt of disqualifying information, the commissioner shall 
 12.2   provide the notifications required in subdivision 3a, as 
 12.3   appropriate to agencies on record as having initiated a 
 12.4   background study or making a request for documentation of the 
 12.5   background study status of the individual.  This paragraph does 
 12.6   not apply to family day care and foster care programs. 
 12.7      (e) The individual who is the subject of the study must 
 12.8   provide the applicant or license holder with sufficient 
 12.9   information to ensure an accurate study including the 
 12.10  individual's first, middle, and last name; home address, city, 
 12.11  county, and state of residence for the past five years; zip 
 12.12  code; sex; date of birth; and driver's license number.  The 
 12.13  applicant or license holder shall provide this information about 
 12.14  an individual in paragraph (c), clauses (1) to (5), on forms 
 12.15  prescribed by the commissioner.  The commissioner may request 
 12.16  additional information of the individual, which shall be 
 12.17  optional for the individual to provide, such as the individual's 
 12.18  social security number or race. 
 12.19     (f) Except for child foster care, adult foster care, and 
 12.20  family day care homes, a study must include information related 
 12.21  to names of substantiated perpetrators of maltreatment of 
 12.22  vulnerable adults that has been received by the commissioner as 
 12.23  required under section 626.557, subdivision 9c, paragraph (i), 
 12.24  and the commissioner's records relating to the maltreatment of 
 12.25  minors in licensed programs, information from juvenile courts as 
 12.26  required in paragraph (c) for persons listed in paragraph (c), 
 12.27  clause (2), and information from the bureau of criminal 
 12.28  apprehension.  For child foster care, adult foster care, and 
 12.29  family day care homes, the study must include information from 
 12.30  the county agency's record of substantiated maltreatment of 
 12.31  adults, and the maltreatment of minors, information from 
 12.32  juvenile courts as required in paragraph (c) for persons listed 
 12.33  in paragraph (c), clause (2), and information from the bureau of 
 12.34  criminal apprehension.  The commissioner may also review arrest 
 12.35  and investigative information from the bureau of criminal 
 12.36  apprehension, the commissioner of health, a county attorney, 
 13.1   county sheriff, county agency, local chief of police, other 
 13.2   states, the courts, or the Federal Bureau of Investigation if 
 13.3   the commissioner has reasonable cause to believe the information 
 13.4   is pertinent to the disqualification of an individual listed in 
 13.5   paragraph (c), clauses (1) to (5).  The commissioner is not 
 13.6   required to conduct more than one review of a subject's records 
 13.7   from the Federal Bureau of Investigation if a review of the 
 13.8   subject's criminal history with the Federal Bureau of 
 13.9   Investigation has already been completed by the commissioner and 
 13.10  there has been no break in the subject's affiliation with the 
 13.11  license holder who initiated the background studies. 
 13.12     When the commissioner has reasonable cause to believe that 
 13.13  further pertinent information may exist on the subject, the 
 13.14  subject shall provide a set of classifiable fingerprints 
 13.15  obtained from an authorized law enforcement agency.  For 
 13.16  purposes of requiring fingerprints, the commissioner shall be 
 13.17  considered to have reasonable cause under, but not limited to, 
 13.18  the following circumstances: 
 13.19     (1) information from the bureau of criminal apprehension 
 13.20  indicates that the subject is a multistate offender; 
 13.21     (2) information from the bureau of criminal apprehension 
 13.22  indicates that multistate offender status is undetermined; or 
 13.23     (3) the commissioner has received a report from the subject 
 13.24  or a third party indicating that the subject has a criminal 
 13.25  history in a jurisdiction other than Minnesota. 
 13.26     (g) An applicant's or license holder's failure or refusal 
 13.27  to cooperate with the commissioner is reasonable cause to deny 
 13.28  an application or immediately suspend, suspend, or revoke a 
 13.29  license.  Failure or refusal of an individual to cooperate with 
 13.30  the study is just cause for denying or terminating employment of 
 13.31  the individual if the individual's failure or refusal to 
 13.32  cooperate could cause the applicant's application to be denied 
 13.33  or the license holder's license to be immediately suspended, 
 13.34  suspended, or revoked. 
 13.35     (h) The commissioner shall not consider an application to 
 13.36  be complete until all of the information required to be provided 
 14.1   under this subdivision has been received.  
 14.2      (i) No person in paragraph (c), clause (1), (2), (3), (4), 
 14.3   or (5) who is disqualified as a result of this section may be 
 14.4   retained by the agency in a position involving direct contact 
 14.5   with persons served by the program. 
 14.6      (j) Termination of persons in paragraph (c), clause (1), 
 14.7   (2), (3), (4), or (5), made in good faith reliance on a notice 
 14.8   of disqualification provided by the commissioner shall not 
 14.9   subject the applicant or license holder to civil liability. 
 14.10     (k) The commissioner may establish records to fulfill the 
 14.11  requirements of this section. 
 14.12     (l) The commissioner may not disqualify an individual 
 14.13  subject to a study under this section because that person has, 
 14.14  or has had, a mental illness as defined in section 245.462, 
 14.15  subdivision 20. 
 14.16     (m) An individual who is subject to an applicant background 
 14.17  study under this section and whose disqualification in 
 14.18  connection with a license would be subject to the limitations on 
 14.19  reconsideration set forth in subdivision 3b, paragraph (c), 
 14.20  shall be disqualified for conviction of the crimes specified in 
 14.21  the manner specified in subdivision 3b, paragraph (c).  The 
 14.22  commissioner of human services shall amend Minnesota Rules, part 
 14.23  9543.3070, to conform to this section. 
 14.24     (n) An individual subject to disqualification under this 
 14.25  subdivision has the applicable rights in subdivision 3a, 3b, or 
 14.26  3c. 
 14.27     (o) When any background study completed under this section 
 14.28  shows any of the following characteristics in an individual's 
 14.29  history or the individual has admitted to or a preponderance of 
 14.30  the evidence indicates the individual has committed an act or 
 14.31  acts that meet the definition of any of the crimes listed in 
 14.32  clauses (1) to (4), the individual shall be disqualified from 
 14.33  any position allowing direct contact with persons receiving 
 14.34  services from the license holder: 
 14.35     (1) regardless of how much time has passed since the 
 14.36  discharge of the sentence imposed for the offense, and unless 
 15.1   otherwise specified, regardless of the level of the conviction, 
 15.2   the individual was convicted of any of the following offenses:  
 15.3   sections 609.185 (murder in the first degree); 609.19 (murder in 
 15.4   the second degree); 609.195 (murder in the third degree); 
 15.5   609.2661 (murder of an unborn child in the first degree); 
 15.6   609.2662 (murder of an unborn child in the second degree); 
 15.7   609.2663 (murder of an unborn child in the third degree); 
 15.8   609.322 (solicitation, inducement, and promotion of 
 15.9   prostitution); 609.323 (receiving profit derived from 
 15.10  prostitution); 609.342 (criminal sexual conduct in the first 
 15.11  degree); 609.343 (criminal sexual conduct in the second degree); 
 15.12  609.344 (criminal sexual conduct in the third degree); 609.345 
 15.13  (criminal sexual conduct in the fourth degree); 609.352 
 15.14  (solicitation of children to engage in sexual conduct); 609.365 
 15.15  (incest); felony offense under 609.377 (malicious punishment of 
 15.16  a child); 617.246 (use of minors in sexual performance 
 15.17  prohibited); 617.247 (possession of pictorial representations of 
 15.18  minors); or attempt or conspiracy to commit any of these 
 15.19  offenses as defined in Minnesota Statutes, or an offense in any 
 15.20  other state or country, where the elements are substantially 
 15.21  similar to any of the offenses listed in this clause; 
 15.22     (2) if less than 15 years have passed since the discharge 
 15.23  of the sentence imposed for the offense; and the individual has 
 15.24  received a felony conviction for a violation of any of these 
 15.25  offenses:  sections 609.20 (manslaughter in the first degree); 
 15.26  609.205 (manslaughter in the second degree); 609.21 (criminal 
 15.27  vehicular homicide and injury); 609.215 (suicide); 609.221 to 
 15.28  609.2231 (assault in the first, second, third, or fourth 
 15.29  degree); repeat offenses under 609.224 (assault in the fifth 
 15.30  degree); 609.2242 and 609.2243 (domestic assault; sentencing; 
 15.31  repeat domestic assault); repeat offenses under 609.3451 
 15.32  (criminal sexual conduct in the fifth degree); 609.713 
 15.33  (terroristic threats); 609.235 (use of drugs to injure or 
 15.34  facilitate crime); 609.24 (simple robbery); 609.245 (aggravated 
 15.35  robbery); 609.25 (kidnapping); 609.255 (false imprisonment); 
 15.36  609.561 (arson in the first degree); 609.562 (arson in the 
 16.1   second degree); 609.563 (arson in the third degree); repeat 
 16.2   offenses under 617.23 (indecent exposure; penalties); repeat 
 16.3   offenses under 617.241 (obscene materials and performances; 
 16.4   distribution and exhibition prohibited; penalty); 609.71 (riot); 
 16.5   609.66 (dangerous weapons); 609.67 (machine guns and 
 16.6   short-barreled shotguns); 609.749 (harassment; stalking; 
 16.7   penalties); 609.228 (great bodily harm caused by distribution of 
 16.8   drugs); 609.2325 (criminal abuse of a vulnerable adult); 
 16.9   609.2664 (manslaughter of an unborn child in the first degree); 
 16.10  609.2665 (manslaughter of an unborn child in the second degree); 
 16.11  609.267 (assault of an unborn child in the first degree); 
 16.12  609.2671 (assault of an unborn child in the second degree); 
 16.13  609.268 (injury or death of an unborn child in the commission of 
 16.14  a crime); 609.378 (neglect or endangerment of a child); 609.324, 
 16.15  subdivision 1 (other prohibited acts); 609.52 (theft); 609.2335 
 16.16  (financial exploitation of a vulnerable adult); 609.521 
 16.17  (possession of shoplifting gear); 609.582 (burglary); 609.625 
 16.18  (aggravated forgery); 609.63 (forgery); 609.631 (check forgery; 
 16.19  offering a forged check); 609.635 (obtaining signature by false 
 16.20  pretense); 609.27 (coercion); 609.275 (attempt to coerce); 
 16.21  609.687 (adulteration); 260.221 (grounds for termination of 
 16.22  parental rights); and chapter 152 (drugs; controlled 
 16.23  substance).  An attempt or conspiracy to commit any of these 
 16.24  offenses, as each of these offenses is defined in Minnesota 
 16.25  Statutes; or an offense in any other state or country, the 
 16.26  elements of which are substantially similar to the elements of 
 16.27  the offenses in this clause.  If the individual studied is 
 16.28  convicted of one of the felonies listed in this clause, but the 
 16.29  sentence is a gross misdemeanor or misdemeanor disposition, the 
 16.30  look-back period for the conviction is the period applicable to 
 16.31  the disposition, that is the period for gross misdemeanors or 
 16.32  misdemeanors; 
 16.33     (3) if less than ten years have passed since the discharge 
 16.34  of the sentence imposed for the offense; and the individual has 
 16.35  received a gross misdemeanor conviction for a violation of any 
 16.36  of the following offenses:  sections 609.224 (assault in the 
 17.1   fifth degree); 609.2242 and 609.2243 (domestic assault); 
 17.2   violation of an order for protection under 518B.01, subdivision 
 17.3   14; 609.3451 (criminal sexual conduct in the fifth degree); 
 17.4   repeat offenses under 609.746 (interference with privacy); 
 17.5   repeat offenses under 617.23 (indecent exposure); 617.241 
 17.6   (obscene materials and performances); 617.243 (indecent 
 17.7   literature, distribution); 617.293 (harmful materials; 
 17.8   dissemination and display to minors prohibited); 609.71 (riot); 
 17.9   609.66 (dangerous weapons); 609.749 (harassment; stalking; 
 17.10  penalties); 609.224, subdivision 2, paragraph (c) (assault in 
 17.11  the fifth degree by a caregiver against a vulnerable adult); 
 17.12  609.23 (mistreatment of persons confined); 609.231 (mistreatment 
 17.13  of residents or patients); 609.2325 (criminal abuse of a 
 17.14  vulnerable adult); 609.233 (criminal neglect of a vulnerable 
 17.15  adult); 609.2335 (financial exploitation of a vulnerable adult); 
 17.16  609.234 (failure to report maltreatment of a vulnerable adult); 
 17.17  609.72, subdivision 3 (disorderly conduct against a vulnerable 
 17.18  adult); 609.265 (abduction); 609.378 (neglect or endangerment of 
 17.19  a child); 609.377 (malicious punishment of a child); 609.324, 
 17.20  subdivision 1a (other prohibited acts; minor engaged in 
 17.21  prostitution); 609.33 (disorderly house); 609.52 (theft); 
 17.22  609.582 (burglary); 609.631 (check forgery; offering a forged 
 17.23  check); 609.275 (attempt to coerce); or an attempt or conspiracy 
 17.24  to commit any of these offenses, as each of these offenses is 
 17.25  defined in Minnesota Statutes; or an offense in any other state 
 17.26  or country, the elements of which are substantially similar to 
 17.27  the elements of any of the offenses listed in this clause.  If 
 17.28  the defendant is convicted of one of the gross misdemeanors 
 17.29  listed in this clause, but the sentence is a misdemeanor 
 17.30  disposition, the look-back period for the conviction is the 
 17.31  period applicable to misdemeanors; 
 17.32     (4) if less than seven years have passed since the 
 17.33  discharge of the sentence imposed for the offense; and the 
 17.34  individual has received a misdemeanor conviction for a violation 
 17.35  of any of the following offenses:  sections 609.224 (assault in 
 17.36  the fifth degree); 609.2242 (domestic assault); violation of an 
 18.1   order for protection under 518B.01 (domestic abuse act); 
 18.2   violation of an order for protection under 609.3232 (protective 
 18.3   order authorized; procedures; penalties); 609.746 (interference 
 18.4   with privacy); 609.79 (obscene or harassing phone calls); 
 18.5   609.795 (letter, telegram, or package; opening; harassment); 
 18.6   617.23 (indecent exposure; penalties); 609.2672 (assault of an 
 18.7   unborn child in the third degree); 617.293 (harmful materials; 
 18.8   dissemination and display to minors prohibited); 609.66 
 18.9   (dangerous weapons); 609.665 (spring guns); 609.2335 (financial 
 18.10  exploitation of a vulnerable adult); 609.234 (failure to report 
 18.11  maltreatment of a vulnerable adult); 609.52 (theft); 609.27 
 18.12  (coercion); or an attempt or conspiracy to commit any of these 
 18.13  offenses, as each of these offenses is defined in Minnesota 
 18.14  Statutes; or an offense in any other state or country, the 
 18.15  elements of which are substantially similar to the elements of 
 18.16  any of the offenses listed in this clause; serious or recurring 
 18.17  maltreatment of a minor or vulnerable adult; failure to make 
 18.18  required reports under section 626.556, subdivision 3, or 
 18.19  626.557, subdivision 3, for incidents in which:  (i) the final 
 18.20  disposition under section 626.556 or 626.557 was substantiated 
 18.21  maltreatment, and (ii) the maltreatment was recurring or serious 
 18.22  as defined in Minnesota Rules, part 9543.3020, subpart 10. 
 18.23     Sec. 6.  Minnesota Statutes 1996, section 245A.04, 
 18.24  subdivision 3a, is amended to read: 
 18.25     Subd. 3a.  [NOTIFICATION TO SUBJECT AND LICENSE HOLDER OF 
 18.26  STUDY RESULTS.] The commissioner shall notify the applicant or 
 18.27  license holder and the individual who is the subject of the 
 18.28  study, in writing, of the results of the study.  When the study 
 18.29  is completed, a notice that the study was undertaken and 
 18.30  completed shall be maintained in the personnel files of the 
 18.31  program. 
 18.32     The commissioner shall notify the individual studied if the 
 18.33  information in the study indicates the individual is 
 18.34  disqualified from direct contact with persons served by the 
 18.35  program.  The commissioner shall disclose the 
 18.36  information causing disqualification and instructions on how to 
 19.1   request a reconsideration of the disqualification to the 
 19.2   individual studied.  An applicant or license holder who is not 
 19.3   the subject of the study shall be informed that the commissioner 
 19.4   has found information that disqualifies the subject from direct 
 19.5   contact with persons served by the program.  However, ~~the~~ 
 19.6   ~~applicant or license holder shall not be told what that~~ 
 19.7   ~~information is~~ only the individual studied shall be informed of 
 19.8   the information contained in the subject's background study 
 19.9   unless the data practices act provides for release of the 
 19.10  information or the individual studied authorizes the release of 
 19.11  the information.  If the commissioner determines that the 
 19.12  individual studied has a disqualifying characteristic, the 
 19.13  commissioner shall review the information immediately available 
 19.14  and make a determination as to the subject's immediate risk of 
 19.15  harm to persons served by the program where the individual 
 19.16  studied will have direct contact.  The commissioner shall 
 19.17  consider all relevant information available, including the 
 19.18  following factors in determining the immediate risk of harm:  
 19.19  the recency of the disqualifying characteristic, the recency of 
 19.20  discharge from probation for the crimes; the number of 
 19.21  disqualifying characteristics; the intrusiveness or violence of 
 19.22  the disqualifying characteristic; the vulnerability of the 
 19.23  victim involved in the disqualifying characteristic; and the 
 19.24  similarity of the victim to the persons served by the program 
 19.25  where the individual studied will have direct contact.  The 
 19.26  commissioner may determine that the evaluation of the 
 19.27  information immediately available gives the commissioner reason 
 19.28  to believe one of the following: 
 19.29     (a) The individual poses an imminent risk of harm to 
 19.30  persons served by the program where the individual studied will 
 19.31  have direct contact.  If the commissioner determines that an 
 19.32  individual studied poses an imminent risk of harm to persons 
 19.33  served by the program where the individual studied will have 
 19.34  direct contact, the individual and the license holder shall be 
 19.35  sent a notice of disqualification.  The commissioner shall order 
 19.36  the license holder to immediately remove the individual studied 
 20.1   from direct contact.  The notice to the individual studied shall 
 20.2   include an explanation of the basis of this determination. 
 20.3      (b) The individual poses a risk of harm requiring 
 20.4   continuous supervision while providing direct contact services 
 20.5   during the period in which the subject may request a 
 20.6   reconsideration.  If the commissioner determines that an 
 20.7   individual studied poses a risk of harm that requires continuous 
 20.8   supervision, the individual and the license holder shall be sent 
 20.9   a notice of disqualification.  The commissioner shall order the 
 20.10  license holder to assure that the individual studied is within 
 20.11  sight or hearing of another staff person when providing direct 
 20.12  contact services during the period in which the individual may 
 20.13  request a reconsideration of the disqualification.  If the 
 20.14  individual studied does not submit a timely request for 
 20.15  reconsideration, or the individual submits a timely request for 
 20.16  reconsideration, but the disqualification is not set aside for 
 20.17  that license holder, the license holder will be notified of the 
 20.18  disqualification and shall be ordered to immediately remove the 
 20.19  individual from any position allowing direct contact with 
 20.20  persons receiving services from the license holder. 
 20.21     (c) The individual does not pose an imminent risk of harm 
 20.22  or a risk of harm requiring continuous supervision while 
 20.23  providing direct contact services during the period in which the 
 20.24  subject may request a reconsideration.  If the commissioner 
 20.25  determines that an individual studied does not pose a risk of 
 20.26  harm that requires continuous supervision, only the individual 
 20.27  shall be sent a notice of disqualification.  The license holder 
 20.28  shall be sent a notice that more time is needed to complete the 
 20.29  individual's background study.  If the individual studied 
 20.30  submits a timely request for reconsideration, and if the 
 20.31  disqualification is set aside for that license holder, the 
 20.32  license holder will be informed that the individual has a 
 20.33  disqualifying characteristic, but that the disqualification has 
 20.34  been set aside relative to that license holder.  If the 
 20.35  individual studied does not submit a timely request for 
 20.36  reconsideration, or the individual submits a timely request for 
 21.1   reconsideration, but the disqualification is not set aside for 
 21.2   that license holder, the license holder will be notified of the 
 21.3   disqualification and shall be ordered to immediately remove the 
 21.4   individual from any position allowing direct contact with 
 21.5   persons receiving services from the license holder. 
 21.6      Sec. 7.  Minnesota Statutes 1996, section 245A.04, 
 21.7   subdivision 3b, is amended to read: 
 21.8      Subd. 3b.  [RECONSIDERATION OF DISQUALIFICATION.] (a) 
 21.9   ~~Within 30 days after receiving notice of disqualification under~~ 
 21.10  ~~subdivision 3a,~~ The individual who is the subject of the ~~study~~ 
 21.11  disqualification may request a reconsideration of the ~~notice of~~ 
 21.12  disqualification.  
 21.13     The individual must submit the request for reconsideration 
 21.14  to the commissioner in writing.  A request for reconsideration 
 21.15  for an individual who has been sent a notice of disqualification 
 21.16  under subdivision 3a, paragraph (a) or (b), must be submitted 
 21.17  within 30 calendar days of the disqualified individual's receipt 
 21.18  of the notice of disqualification.  A request for 
 21.19  reconsideration for an individual who has been sent a notice of 
 21.20  disqualification under subdivision 3a, paragraph (c), must be 
 21.21  submitted within 15 calendar days of the disqualified 
 21.22  individual's receipt of the notice of disqualification.  Removal 
 21.23  of a disqualified individual from direct contact shall be 
 21.24  ordered if the individual does not request reconsideration 
 21.25  within the prescribed time, and for an individual who submits a 
 21.26  timely request for reconsideration, if the disqualification is 
 21.27  not set aside.  The individual ~~must~~ shall have the burden of 
 21.28  proof to present information ~~to show~~ showing that: 
 21.29     ~~(1) the information the commissioner relied upon is~~ 
 21.30  ~~incorrect; or~~ 
 21.31     ~~(2) the subject of the study does not pose a risk of harm~~ 
 21.32  ~~to any person served by the applicant or license holder.~~ 
 21.33     (1) the subject of the study does not pose a risk of harm 
 21.34  to any person served by the applicant or license holder; or 
 21.35     (2) the information the commissioner relied upon is 
 21.36  incorrect or inaccurate.  If the basis of a reconsideration 
 22.1   request is that a maltreatment determination or disposition 
 22.2   under section 626.556 or 626.557 is incorrect, and the 
 22.3   commissioner has issued a final order in an appeal of that 
 22.4   determination or disposition under section 256.045, the 
 22.5   commissioner's order is conclusive on the issue of maltreatment. 
 22.6      (b) The commissioner may set aside the disqualification 
 22.7   under this section if the commissioner finds that the 
 22.8   information the commissioner relied upon is incorrect or the 
 22.9   individual does not pose a risk of harm to any person served by 
 22.10  the applicant or license holder.  In determining that an 
 22.11  individual does not pose a risk of harm, the commissioner shall 
 22.12  ~~review~~ consider the consequences of the event or events 
 22.13  that ~~could~~ lead to disqualification, whether there is more than 
 22.14  one disqualifying event, the vulnerability of the victim at the 
 22.15  time of the event, the time elapsed without a repeat of the same 
 22.16  or similar event, ~~and~~ documentation of successful completion by 
 22.17  the individual studied of training or rehabilitation pertinent 
 22.18  to the event, and any other information relevant to 
 22.19  reconsideration.  In reviewing a disqualification under this 
 22.20  section, the commissioner shall give preeminent weight to the 
 22.21  safety of each person to be served by the license holder or 
 22.22  applicant over the interests of the license holder or applicant. 
 22.23     (c) Unless the information the commissioner relied on in 
 22.24  disqualifying an individual is incorrect, the commissioner may 
 22.25  not set aside the disqualification of an individual in 
 22.26  connection with a license to provide family day care for 
 22.27  children, foster care for children in the provider's own home, 
 22.28  or foster care or day care services for adults in the provider's 
 22.29  own home if: 
 22.30     (1) less than ten years have passed since the discharge of 
 22.31  the sentence imposed for the offense; and the individual has 
 22.32  been convicted of a violation of any offense listed in 
 22.33  ~~section~~ sections 609.20 (manslaughter in the first degree), 
 22.34  609.205 (manslaughter in the second degree), criminal vehicular 
 22.35  homicide under 609.21 (criminal vehicular homicide and injury), 
 22.36  609.215 (aiding suicide or aiding attempted suicide), felony 
 23.1   violations under 609.221 to 609.2231 (~~felony violations of~~ 
 23.2   assault in the first, second, third, or fourth degree), 609.713 
 23.3   (terroristic threats), 609.235 (use of drugs to injure or to 
 23.4   facilitate crime), 609.24 (simple robbery), 609.245 (aggravated 
 23.5   robbery), 609.25 (kidnapping), 609.255 (false imprisonment), 
 23.6   609.561 or 609.562 (arson in the first or second degree), 609.71 
 23.7   (riot), burglary in the first or second degree under 609.582 
 23.8   (burglary ~~in the first or second degree~~), 609.66 (~~reckless use~~ 
 23.9   ~~of a gun or~~ dangerous weapon ~~or intentionally pointing a gun at~~ 
 23.10  ~~or towards a human being~~), 609.665 (~~setting a~~ spring ~~gun~~ guns), 
 23.11  609.67 (~~unlawfully owning, possessing, or operating a~~ machine 
 23.12  ~~gun~~ guns and short-barreled shotguns), 609.749 (harassment; 
 23.13  stalking), 152.021 or 152.022 (controlled substance crime in the 
 23.14  first or second degree), 152.023, subdivision 1, clause (3) or 
 23.15  (4), or subdivision 2, clause (4) (controlled substance crime in 
 23.16  the third degree), 152.024, subdivision 1, clause (2), (3), or 
 23.17  (4) (controlled substance crime in the fourth degree), 609.224, 
 23.18  subdivision 2, paragraph (c) (fifth-degree assault by a 
 23.19  caregiver against a vulnerable adult), 609.228 (great bodily 
 23.20  harm caused by distribution of drugs), 609.23 (mistreatment of 
 23.21  persons confined), 609.231 (mistreatment of residents or 
 23.22  patients), 609.2325 (criminal abuse of a vulnerable adult), 
 23.23  609.233 (criminal neglect of a vulnerable adult), 609.2335 
 23.24  (financial exploitation of a vulnerable adult), 609.234 (failure 
 23.25  to report), 609.265 (abduction), 609.2664 to 609.2665 
 23.26  (manslaughter of an unborn child in the first or second degree), 
 23.27  609.267 to 609.2672 (assault of an unborn child in the first, 
 23.28  second, or third degree), 609.268 (injury or death of an unborn 
 23.29  child in the commission of a crime), 617.293 (disseminating or 
 23.30  displaying harmful material to minors), 609.378 (neglect or 
 23.31  endangerment of a child), a gross misdemeanor offense under 
 23.32  609.377 (~~a gross misdemeanor offense of~~ malicious punishment of 
 23.33  a child), 609.72, subdivision 3 (disorderly conduct against a 
 23.34  vulnerable adult); or an attempt or conspiracy to commit any of 
 23.35  these offenses, as each of these offenses is defined in 
 23.36  Minnesota Statutes; or an offense in any other state, the 
 24.1   elements of which are substantially similar to the elements of 
 24.2   any of the foregoing offenses; 
 24.3      (2) regardless of how much time has passed since the 
 24.4   discharge of the sentence imposed for the offense, the 
 24.5   individual was convicted of a violation of any offense listed in 
 24.6   sections 609.185 to 609.195 (murder in the first, second, or 
 24.7   third degree), 609.2661 to 609.2663 (murder of an unborn child 
 24.8   in the first, second, or third degree), a felony offense under 
 24.9   609.377 (~~a felony offense of~~ malicious punishment of a child), 
 24.10  609.322 (~~soliciting~~ solicitation, inducement, ~~or~~ and promotion 
 24.11  of prostitution), 609.323 (receiving profit derived from 
 24.12  prostitution), 609.342 to 609.345 (criminal sexual conduct in 
 24.13  the first, second, third, or fourth degree), 609.352 
 24.14  (solicitation of children to engage in sexual conduct), 617.246 
 24.15  (use of minors in a sexual performance), 617.247 (possession of 
 24.16  pictorial representations of a minor), 609.365 (incest), or an 
 24.17  attempt or conspiracy to commit any of these offenses as defined 
 24.18  in Minnesota Statutes, or an offense in any other state, the 
 24.19  elements of which are substantially similar to any of the 
 24.20  foregoing offenses; 
 24.21     (3) within the seven years preceding the study, the 
 24.22  individual committed an act that constitutes maltreatment of a 
 24.23  child under section 626.556, subdivision 10e, and that resulted 
 24.24  in substantial bodily harm as defined in section 609.02, 
 24.25  subdivision 7a, or substantial mental or emotional harm as 
 24.26  supported by competent psychological or psychiatric evidence; or 
 24.27     (4) within the seven years preceding the study, the 
 24.28  individual was determined under section 626.557 to be the 
 24.29  perpetrator of a substantiated incident of ~~abuse~~ maltreatment of 
 24.30  a vulnerable adult that resulted in substantial bodily harm as 
 24.31  defined in section 609.02, subdivision 7a, or substantial mental 
 24.32  or emotional harm as supported by competent psychological or 
 24.33  psychiatric evidence. 
 24.34     In the case of any ground for disqualification under 
 24.35  clauses (1) to (4), if the act was committed by an individual 
 24.36  other than the applicant or license holder residing in the 
 25.1   applicant's or license holder's home, the applicant or license 
 25.2   holder may seek reconsideration when the individual who 
 25.3   committed the act no longer resides in the home.  
 25.4      The disqualification periods provided under clauses (1), 
 25.5   (3), and (4) are the minimum applicable disqualification 
 25.6   periods.  The commissioner may determine that an individual 
 25.7   should continue to be disqualified from licensure because the 
 25.8   license holder or applicant poses a risk of harm to a person 
 25.9   served by that individual after the minimum disqualification 
 25.10  period has passed. 
 25.11     (d) The commissioner shall respond in writing to all 
 25.12  reconsideration requests for which the basis for the request is 
 25.13  that the information relied upon by the commissioner to 
 25.14  disqualify is incorrect or inaccurate within 30 working days of 
 25.15  receipt of a request and all relevant information.  If the basis 
 25.16  for the request is that the individual does not pose a risk of 
 25.17  harm, the commissioner shall respond to the request within 15 
 25.18  working days after receiving the request for reconsideration and 
 25.19  all relevant information.  If the disqualification is set aside, 
 25.20  the commissioner shall notify the applicant or license holder in 
 25.21  writing of the decision. 
 25.22     (e) Except as provided in subdivision 3c, the 
 25.23  commissioner's decision to disqualify an individual, including 
 25.24  the decision to grant or deny a ~~reconsideration of~~ recession or 
 25.25  set aside a disqualification under ~~this subdivision, or to set~~ 
 25.26  ~~aside or uphold the results of the study under subdivision~~ 
 25.27  ~~3~~ this section, is the final administrative agency action and 
 25.28  shall not be subject to further review in a contested case under 
 25.29  chapter 14 involving a negative licensing ~~action~~ appeal taken in 
 25.30  response to the disqualification or involving an accuracy and 
 25.31  completeness appeal under section 13.04. 
 25.32     Sec. 8.  Minnesota Statutes 1996, section 245A.04, 
 25.33  subdivision 3c, is amended to read: 
 25.34     Subd. 3c.  [CONTESTED CASE.] If a disqualification is not 
 25.35  set aside, a person who~~, on or after the effective date of rules~~ 
 25.36  ~~adopted under subdivision 3, paragraph (i),~~ is an employee of an 
 26.1   employer, as defined in section 179A.03, subdivision 15, may 
 26.2   request a contested case hearing under chapter 14.  Rules 
 26.3   adopted under this chapter may not preclude an employee in a 
 26.4   contested case hearing for disqualification from submitting 
 26.5   evidence concerning information gathered under subdivision 3, 
 26.6   paragraph (e). 
 26.7      Sec. 9.  Minnesota Statutes 1996, section 245A.04, 
 26.8   subdivision 4, is amended to read: 
 26.9      Subd. 4.  [INSPECTIONS; WAIVER.] (a) Before issuing ~~a~~ an 
 26.10  initial license, the commissioner shall conduct an inspection of 
 26.11  the program.  The inspection must include but is not limited to: 
 26.12     (1) an inspection of the physical plant; 
 26.13     (2) an inspection of records and documents; 
 26.14     (3) an evaluation of the program by consumers of the 
 26.15  program; and 
 26.16     (4) observation of the program in operation. 
 26.17     For the purposes of this subdivision, "consumer" means a 
 26.18  person who receives the services of a licensed program, the 
 26.19  person's legal guardian, or the parent or individual having 
 26.20  legal custody of a child who receives the services of a licensed 
 26.21  program. 
 26.22     (b) The evaluation required in paragraph (a), clause (3) or 
 26.23  the observation in paragraph (a), clause (4) is not required 
 26.24  prior to issuing ~~a provisional~~ an initial license under 
 26.25  subdivision 7.  If the commissioner issues ~~a provisional~~ an 
 26.26  initial license under subdivision 7, these requirements must be 
 26.27  completed within one year after the issuance of ~~a provisional~~ an 
 26.28  initial license.  ~~The observation in paragraph (a), clause (4)~~ 
 26.29  ~~is not required if the commissioner determines that the~~ 
 26.30  ~~observation would hinder the persons receiving services in~~ 
 26.31  ~~benefiting from the program.~~  
 26.32     Sec. 10.  Minnesota Statutes 1996, section 245A.04, 
 26.33  subdivision 5, is amended to read: 
 26.34     Subd. 5.  [COMMISSIONER'S RIGHT OF ACCESS.] When the 
 26.35  commissioner is exercising the powers conferred by sections 
 26.36  245A.01 to ~~245A.15~~ 245A.16, the commissioner must be given 
 27.1   access to the physical plant and grounds where the program is 
 27.2   provided, documents, persons served by the program, and staff 
 27.3   whenever the program is in operation and the information is 
 27.4   relevant to inspections or investigations conducted by the 
 27.5   commissioner.  The commissioner must be given access without 
 27.6   prior notice and as often as the commissioner considers 
 27.7   necessary if the commissioner is conducting an investigation of 
 27.8   allegations of ~~abuse, neglect,~~ maltreatment~~,~~ or other violation 
 27.9   of applicable laws or rules.  In conducting inspections, the 
 27.10  commissioner may request and shall receive assistance from other 
 27.11  state, county, and municipal governmental agencies and 
 27.12  departments.  The applicant or license holder shall allow the 
 27.13  commissioner to photocopy, photograph, and make audio and video 
 27.14  tape recordings during the inspection of the program at the 
 27.15  commissioner's expense.  The commissioner shall obtain a court 
 27.16  order or the consent of the subject of the records or the 
 27.17  parents or legal guardian of the subject before photocopying 
 27.18  hospital medical records.  
 27.19     Persons served by the program have the right to refuse to 
 27.20  consent to be interviewed, photographed, or audio or videotaped. 
 27.21  Failure or refusal of an applicant or license holder to fully 
 27.22  comply with this subdivision is reasonable cause for the 
 27.23  commissioner to deny the application or immediately suspend or 
 27.24  revoke the license. 
 27.25     Sec. 11.  Minnesota Statutes 1996, section 245A.04, 
 27.26  subdivision 6, is amended to read: 
 27.27     Subd. 6.  [COMMISSIONER'S EVALUATION.] Before granting, 
 27.28  suspending, revoking, or making ~~probationary~~ conditional a 
 27.29  license, the commissioner shall evaluate information gathered 
 27.30  under this section.  The commissioner's evaluation shall 
 27.31  consider facts, conditions, or circumstances concerning the 
 27.32  program's operation, the well-being of persons served by the 
 27.33  program, available consumer evaluations of the program, and 
 27.34  information about the qualifications of the personnel employed 
 27.35  by the applicant or license holder. 
 27.36     The commissioner shall evaluate the results of the study 
 28.1   required in subdivision 3 and determine whether a risk of harm 
 28.2   to the persons served by the program exists.  In conducting this 
 28.3   evaluation, the commissioner shall apply the disqualification 
 28.4   standards set forth in rules adopted under this chapter.  ~~Prior~~ 
 28.5   ~~to the adoption of rules establishing disqualification~~ 
 28.6   ~~standards, the commissioner shall forward the proposed rules to~~ 
 28.7   ~~the commissioner of human rights for review and recommendation~~ 
 28.8   ~~concerning the protection of individual rights.  The~~ 
 28.9   ~~recommendation of the commissioner of human rights is not~~ 
 28.10  ~~binding on the commissioner of human services.~~  
 28.11     Sec. 12.  Minnesota Statutes 1996, section 245A.04, 
 28.12  subdivision 7, is amended to read: 
 28.13     Subd. 7.  [ISSUANCE OF A LICENSE~~; PROVISIONAL LICENSE~~.] (a) 
 28.14  If the commissioner determines that the program complies with 
 28.15  all applicable rules and laws, the commissioner shall issue a 
 28.16  license.  At minimum, the license shall state:  
 28.17     (1) the name of the license holder; 
 28.18     (2) the address of the program; 
 28.19     (3) the effective date and expiration date of the license; 
 28.20     (4) the type of license; 
 28.21     (5) the maximum number and ages of persons that may receive 
 28.22  services from the program; and 
 28.23     (6) any special conditions of licensure. 
 28.24     (b) The commissioner may issue ~~a provisional~~ an initial 
 28.25  license for a period not to exceed ~~one year~~ two years if:  
 28.26     (1) the commissioner is unable to conduct the evaluation or 
 28.27  observation required by subdivision 4, paragraph (a), clauses (3)
 28.28  and (4), because the program is not yet operational; 
 28.29     (2) certain records and documents are not available because 
 28.30  persons are not yet receiving services from the program; and 
 28.31     (3) the applicant complies with applicable laws and rules 
 28.32  in all other respects.  
 28.33  ~~A provisional license must not be issued except at the time that~~ 
 28.34  ~~a license is first issued to an applicant.~~ 
 28.35     (c) A decision by the commissioner to issue a license does 
 28.36  not guarantee that any person or persons will be placed or cared 
 29.1   for in the licensed program.  A license shall not be 
 29.2   transferable to another individual, corporation, partnership, 
 29.3   voluntary association, other organization, or controlling 
 29.4   individual, or to another location.  For purposes of 
 29.5   reimbursement for meals only, under the Child and Adult Care 
 29.6   Food Program, Code of Federal Regulations, title 7, subtitle B, 
 29.7   chapter II, subchapter A, part 226, relocation within the same 
 29.8   county by a family day care provider licensed under Minnesota 
 29.9   Rules, parts 9502.0300 to 9502.0445, shall be considered an 
 29.10  extension of the license for a period of no more than 30 
 29.11  calendar days or until the new license is issued, whichever 
 29.12  occurs first, provided the county agency has determined the 
 29.13  family day care provider meets licensure requirements at the new 
 29.14  location.  Unless otherwise specified by statute, all licenses 
 29.15  expire at 12:01 a.m. on the day after the expiration date stated 
 29.16  on the license.  A license holder must apply for and be granted 
 29.17  a new license to operate the program or the program must not be 
 29.18  operated after the expiration date.  
 29.19     Sec. 13.  Minnesota Statutes 1996, section 245A.06, 
 29.20  subdivision 1, is amended to read: 
 29.21     Subdivision 1.  [CONTENTS OF CORRECTION ORDERS OR FINES.] 
 29.22  (a) If the commissioner finds that the applicant or license 
 29.23  holder has failed to comply with an applicable law or rule and 
 29.24  this failure does not imminently endanger the health, safety, or 
 29.25  rights of the persons served by the program, the commissioner 
 29.26  may issue a correction order to or impose a fine on the 
 29.27  applicant or license holder.  The correction order or fine must 
 29.28  state: 
 29.29     (1) the conditions that constitute a violation of the law 
 29.30  or rule; 
 29.31     (2) the specific law or rule violated; ~~and~~ 
 29.32     (3) the time allowed to correct each violation; and 
 29.33     (4) if a fine is imposed, the amount of the fine. 
 29.34     (b) Nothing in this section prohibits the commissioner from 
 29.35  proposing a sanction as specified in section 245A.07, prior to 
 29.36  issuing a correction order or fine. 
 30.1      Sec. 14.  Minnesota Statutes 1996, section 245A.06, 
 30.2   subdivision 3, is amended to read: 
 30.3      Subd. 3.  [FAILURE TO COMPLY.] If ~~upon reinspection,~~ the 
 30.4   commissioner finds that the applicant or license holder has not 
 30.5   corrected the violations specified in the correction order, the 
 30.6   commissioner may ~~order~~ impose a fine.  If a fine was imposed and 
 30.7   the violation was not corrected, the commissioner may impose an 
 30.8   additional fine.  This section does not prohibit the 
 30.9   commissioner from seeking a court order, denying an application, 
 30.10  or suspending, revoking, or making ~~probationary~~ conditional the 
 30.11  license in addition to ~~ordering~~ imposing a fine. 
 30.12     Sec. 15.  Minnesota Statutes 1996, section 245A.06, 
 30.13  subdivision 4, is amended to read: 
 30.14     Subd. 4.  [NOTICE OF FINE; ~~APPEAL~~ RECONSIDERATION OF FINE.] 
 30.15  A license holder who is ordered to pay a fine must be notified 
 30.16  of the order by certified mail.  The notice must be mailed to 
 30.17  the address shown on the application or the last known address 
 30.18  of the license holder.  The notice must state the reasons the 
 30.19  fine was ordered and must inform the license holder of the 
 30.20  responsibility for payment of fines in subdivision 7 and the 
 30.21  right to ~~a contested case hearing under chapter 14~~ request 
 30.22  reconsideration of the fine.  The license holder may ~~appeal~~ 
 30.23  request reconsideration of the order to forfeit a fine by 
 30.24  notifying the commissioner by certified mail within ~~15~~ 20 
 30.25  calendar days after receiving the order.  A timely ~~appeal~~ 
 30.26  request for reconsideration shall stay forfeiture of the fine 
 30.27  until the commissioner issues a ~~final order under section~~ 
 30.28  ~~245A.08, subdivision 5.~~ decision on the request for 
 30.29  reconsideration.  The request for reconsideration must be in 
 30.30  writing and: 
 30.31     (1) specify the parts of the violation that are alleged to 
 30.32  be in error; 
 30.33     (2) explain why they are in error; and 
 30.34     (3) include documentation to support the allegation of 
 30.35  error. 
 30.36     The commissioner's disposition of a request for 
 31.1   reconsideration is final and not subject to appeal under chapter 
 31.2   14. 
 31.3      Sec. 16.  Minnesota Statutes 1996, section 245A.06, 
 31.4   subdivision 5, is amended to read: 
 31.5      Subd. 5.  [FORFEITURE OF FINES.] The license holder shall 
 31.6   pay the fines assessed on or before the payment date specified 
 31.7   in the commissioner's order.  If the license holder fails to 
 31.8   fully comply with the order, the commissioner shall issue a 
 31.9   second fine or suspend the license until the license holder 
 31.10  complies.  If the license holder receives state funds, the 
 31.11  state, county, or municipal agencies or departments responsible 
 31.12  for administering the funds shall withhold payments and recover 
 31.13  any payments made while the license is suspended for failure to 
 31.14  pay a fine.  
 31.15     Sec. 17.  Minnesota Statutes 1996, section 245A.06, 
 31.16  subdivision 5a, is amended to read: 
 31.17     Subd. 5a.  [ACCRUAL OF FINES.] A license holder shall 
 31.18  promptly notify the commissioner of human services, in writing, 
 31.19  when a violation specified in an order to forfeit is corrected.  
 31.20  ~~A fine assessed for a violation shall stop accruing when the~~ 
 31.21  ~~commissioner receives the written notice.  The commissioner~~ 
 31.22  ~~shall reinspect the program within three working days after~~ 
 31.23  ~~receiving the notice.~~  If upon reinspection the commissioner 
 31.24  determines that a violation has not been corrected as indicated 
 31.25  by the order to forfeit, ~~accrual of the daily fine resumes on~~ 
 31.26  ~~the date of reinspection and the amount of fines that otherwise~~ 
 31.27  ~~would have accrued between the date the commissioner received~~ 
 31.28  ~~the notice and date of the reinspection is added to the total~~ 
 31.29  ~~assessment due from the license holder~~ the commissioner may 
 31.30  issue a second fine.  The commissioner shall notify the license 
 31.31  holder by certified mail that ~~accrual of the~~ a second fine has 
 31.32  ~~resumed~~ been assessed.  The license holder may ~~challenge the~~ 
 31.33  ~~resumption in a contested case under chapter 14 by written~~ 
 31.34  ~~request within 15 days after receipt of the notice of resumption.~~
 31.35  ~~Recovery of the resumed fine must be stayed if a controlling~~ 
 31.36  ~~individual or a legal representative on behalf of the license~~ 
 32.1   ~~holder makes a written request for a hearing.  The request for~~ 
 32.2   ~~hearing, however, may not stay accrual of the daily fine for~~ 
 32.3   ~~violations that have not been corrected.  The cost of~~ 
 32.4   ~~reinspection conducted under this subdivision for uncorrected~~ 
 32.5   ~~violations must be added to the total amount of accrued fines~~ 
 32.6   ~~due from the license holder~~ request reconsideration of the 
 32.7   second fine under the provisions of subdivision 4. 
 32.8      Sec. 18.  Minnesota Statutes 1996, section 245A.06, 
 32.9   subdivision 6, is amended to read: 
 32.10     Subd. 6.  [AMOUNT OF FINES.] ~~Until the commissioner adopts~~ 
 32.11  ~~one or more schedules of fines,~~ Fines shall be assessed as 
 32.12  follows: 
 32.13     (1) the license holder shall forfeit ~~$1,000~~ $500 for each 
 32.14  occurrence of violation of law or rule prohibiting the 
 32.15  maltreatment of children or the ~~abuse, neglect, or exploitation~~ 
 32.16  maltreatment of vulnerable adults, including but not limited to 
 32.17  corporal punishment, illegal or unauthorized use of physical, 
 32.18  mechanical, or chemical restraints, and illegal or unauthorized 
 32.19  use of aversive or deprivation procedures; 
 32.20     (2) the license holder shall forfeit ~~$200~~ $100 for each 
 32.21  occurrence of a violation of law or rule governing matters of 
 32.22  health, safety, or supervision, including but not limited to the 
 32.23  provision of adequate staff to child or adult ratios~~, except~~ 
 32.24  ~~that the holder of a family or group family day care license~~ 
 32.25  ~~shall forfeit $100 for a violation under this clause~~; and 
 32.26     (3) the license holder shall forfeit ~~$100~~ $50 for each 
 32.27  occurrence of a violation of law or rule other than those 
 32.28  included in clauses (1) and (2)~~, except that the holder of a~~ 
 32.29  ~~family or group family day care license shall forfeit $50 for a~~ 
 32.30  ~~violation under this clause~~. 
 32.31     For the purposes of this section, "occurrence" means each 
 32.32  ~~calendar day or part of a day that a~~ violation ~~continues to~~ 
 32.33  ~~exist after the date set for correction~~ identified in the 
 32.34  commissioner's ~~correction~~ forfeiture order. 
 32.35     Sec. 19.  Minnesota Statutes 1996, section 245A.06, 
 32.36  subdivision 7, is amended to read: 
 33.1      Subd. 7.  [RESPONSIBILITY FOR PAYMENT OF FINES.] When a 
 33.2   fine has been assessed, the license holder may not avoid payment 
 33.3   by closing, selling, or otherwise transferring the licensed 
 33.4   program to a third party.  In such an event, the license holder 
 33.5   will be personally liable for payment.  In the case of a 
 33.6   corporation, each controlling individual is personally and 
 33.7   jointly liable for payment. 
 33.8      Fines for child care centers shall be assessed according to 
 33.9   this section. 
 33.10     Sec. 20.  Minnesota Statutes 1996, section 245A.07, 
 33.11  subdivision 1, is amended to read: 
 33.12     Subdivision 1.  [SANCTIONS AVAILABLE.] In addition to 
 33.13  ordering forfeiture of fines, the commissioner may propose to 
 33.14  suspend, revoke, or make ~~probationary~~ conditional the license or 
 33.15  secure an injunction against the continuing operation of the 
 33.16  program of a license holder who does not comply with applicable 
 33.17  law or rule.  When applying sanctions authorized under this 
 33.18  section, the commissioner shall consider the nature, chronicity, 
 33.19  or severity of the violation of law or rule and the effect of 
 33.20  the violation on the health, safety, or rights of persons served 
 33.21  by the program. 
 33.22     Sec. 21.  Minnesota Statutes 1996, section 245A.07, 
 33.23  subdivision 3, is amended to read: 
 33.24     Subd. 3.  [SUSPENSION, REVOCATION, ~~PROBATION~~ CONDITIONAL 
 33.25  LICENSE.] The commissioner may suspend, revoke, ~~or~~ make 
 33.26  ~~probationary~~ conditional, or deny a license if an applicant or a 
 33.27  license holder fails to comply fully with applicable laws or 
 33.28  rules, or knowingly withholds relevant information from or gives 
 33.29  false or misleading information to the commissioner in 
 33.30  connection with an application for a license or during an 
 33.31  investigation.  A license holder who has had a license 
 33.32  suspended, revoked, or made ~~probationary~~ conditional must be 
 33.33  given notice of the action by certified mail.  The notice must 
 33.34  be mailed to the address shown on the application or the last 
 33.35  known address of the license holder.  The notice must state the 
 33.36  reasons the license was suspended, revoked, or made ~~probationary~~ 
 34.1   conditional. 
 34.2      (a) If the license was suspended or revoked, the notice 
 34.3   must inform the license holder of the right to a contested case 
 34.4   hearing under chapter 14.  The license holder may appeal an 
 34.5   order suspending or revoking a license.  The appeal of an order 
 34.6   suspending or revoking a license must be made in writing by 
 34.7   certified mail and must be received by the commissioner within 
 34.8   ten calendar days after the license holder receives notice that 
 34.9   the license has been suspended or revoked.  
 34.10     (b) If the license was made ~~probationary~~ conditional, the 
 34.11  notice must inform the license holder of the right to request a 
 34.12  reconsideration by the commissioner.  The request for 
 34.13  reconsideration must be made in writing by certified mail and 
 34.14  must be received by the commissioner within ten calendar days 
 34.15  after the license holder receives notice that the license has 
 34.16  been made ~~probationary~~ conditional.  The license holder may 
 34.17  submit with the request for reconsideration written argument or 
 34.18  evidence in support of the request for reconsideration.  The 
 34.19  commissioner's disposition of a request for reconsideration is 
 34.20  final and is not subject to appeal under chapter 14.  
 34.21     Sec. 22.  Minnesota Statutes 1996, section 245A.08, 
 34.22  subdivision 1, is amended to read: 
 34.23     Subdivision 1.  [RECEIPT OF APPEAL; CONDUCT OF HEARING.] 
 34.24  Upon receiving a timely appeal or petition pursuant to 
 34.25  ~~sections~~ section 245A.05 ~~to~~ or 245A.07, the commissioner shall 
 34.26  issue a notice of and order for hearing to the appellant under 
 34.27  chapter 14. 
 34.28     Sec. 23.  Minnesota Statutes 1996, section 245A.08, 
 34.29  subdivision 2, is amended to read: 
 34.30     Subd. 2.  [CONDUCT OF HEARINGS.] At any hearing provided 
 34.31  for by ~~sections~~ section 245A.05 ~~to~~ or 245A.07, the appellant may 
 34.32  be represented by counsel and has the right to call, examine, 
 34.33  and cross-examine witnesses.  The administrative law judge may 
 34.34  require the presence of witnesses and evidence by subpoena on 
 34.35  behalf of any party.  
 34.36     Sec. 24.  Minnesota Statutes 1996, section 245A.09, 
 35.1   subdivision 7, is amended to read: 
 35.2      Subd. 7.  [REGULATORY METHODS.] (a) Where appropriate and 
 35.3   feasible the commissioner shall identify and implement 
 35.4   alternative methods of regulation and enforcement to the extent 
 35.5   authorized in this subdivision.  These methods shall include: 
 35.6      (1) expansion of the types and categories of licenses that 
 35.7   may be granted; 
 35.8      (2) when the standards of another state or federal 
 35.9   governmental agency or an independent accreditation body have 
 35.10  been shown to predict compliance with the rules, the 
 35.11  commissioner shall consider compliance with the governmental or 
 35.12  accreditation standards to be equivalent to partial compliance 
 35.13  with the rules; and 
 35.14     (3) use of an abbreviated inspection that employs key 
 35.15  standards that have been shown to predict full compliance with 
 35.16  the rules. 
 35.17     ~~For programs and services for people with developmental~~ 
 35.18  ~~disabilities, the commissioner of human services shall develop~~ 
 35.19  ~~demonstration projects to use the standards of the commission on~~ 
 35.20  ~~accreditation of rehabilitation facilities and the standards of~~ 
 35.21  ~~the accreditation council on services to persons with~~ 
 35.22  ~~disabilities during the period of July 1, 1993 to December 31,~~ 
 35.23  ~~1994, and incorporate the alternative use of these standards and~~ 
 35.24  ~~methods in licensing rules where appropriate.  If the~~ 
 35.25  ~~commissioner determines that the methods in clause (2) or (3)~~ 
 35.26  ~~can be used in licensing a program, the commissioner may reduce~~ 
 35.27  ~~any fee set under section 245A.10 by up to 50 percent.  The~~ 
 35.28  ~~commissioner shall present a plan by January 31, 1995, to accept~~ 
 35.29  ~~accreditation by either the accreditation council on services to~~ 
 35.30  ~~people with disabilities or the commission on the accreditation~~ 
 35.31  ~~of rehabilitation services as evidence of being in compliance~~ 
 35.32  ~~where applicable with state licensing.~~ 
 35.33     (b) The commissioner shall work with the commissioners of 
 35.34  health, public safety, administration, and children, families, 
 35.35  and learning in consolidating duplicative licensing and 
 35.36  certification rules and standards if the commissioner determines 
 36.1   that consolidation is administratively feasible, would 
 36.2   significantly reduce the cost of licensing, and would not reduce 
 36.3   the protection given to persons receiving services in licensed 
 36.4   programs.  Where administratively feasible and appropriate, the 
 36.5   commissioner shall work with the commissioners of health, public 
 36.6   safety, administration, and children, families, and learning in 
 36.7   conducting joint agency inspections of programs. 
 36.8      (c) The commissioner shall work with the commissioners of 
 36.9   health, public safety, administration, and children, families, 
 36.10  and learning in establishing a single point of application for 
 36.11  applicants who are required to obtain concurrent licensure from 
 36.12  more than one of the commissioners listed in this clause. 
 36.13     (d) The commissioner may specify in rule periods of 
 36.14  licensure up to two years. 
 36.15     Sec. 25.  Minnesota Statutes 1996, section 245A.11, 
 36.16  subdivision 2, is amended to read: 
 36.17     Subd. 2.  [PERMITTED SINGLE-FAMILY RESIDENTIAL USE.] 
 36.18  Residential programs with a licensed capacity of six or fewer 
 36.19  persons shall be considered a permitted single-family 
 36.20  residential use of property for the purposes of zoning and other 
 36.21  land use regulations, except that a residential program whose 
 36.22  primary purpose is to treat juveniles who have violated criminal 
 36.23  statutes relating to sex offenses or have been adjudicated 
 36.24  delinquent on the basis of conduct in violation of criminal 
 36.25  statutes relating to sex offenses shall not be considered a 
 36.26  permitted use.  This exception shall not apply to residential 
 36.27  programs licensed before July 1, 1995.  Programs otherwise 
 36.28  allowed under this subdivision shall not be prohibited by 
 36.29  operation of restrictive covenants or similar restrictions, 
 36.30  regardless of when entered into, which cannot be met because of 
 36.31  the nature of the licensed program, including provisions which 
 36.32  require the home's occupants be related, and that the home must 
 36.33  be occupied by the owner, or similar provisions. 
 36.34     Sec. 26.  Minnesota Statutes 1996, section 245A.16, 
 36.35  subdivision 2, is amended to read: 
 36.36     Subd. 2.  [INVESTIGATIONS.] (a) The county or private 
 37.1   agency shall conduct timely investigations of allegations of 
 37.2   ~~abuse or neglect~~ maltreatment of children or adults in programs 
 37.3   for which the county or private agency is the commissioner's 
 37.4   designated representative and record a disposition of each 
 37.5   complaint in accordance with applicable law or rule.  The county 
 37.6   or private agency shall conduct similar investigations of 
 37.7   allegations of violations of rules governing licensure of the 
 37.8   program. 
 37.9      (b) If an investigation conducted under clause (a) results 
 37.10  in evidence that the commissioner should deny an application or 
 37.11  suspend, revoke, or make ~~probationary~~ conditional a license, the 
 37.12  county or private agency shall make that recommendation to the 
 37.13  commissioner within ten working days. 
 37.14     Sec. 27.  [245B.01] [RULE CONSOLIDATION.] 
 37.15     This chapter establishes new methods to ensure the quality 
 37.16  of services to persons with mental retardation or related 
 37.17  conditions, and streamlines and simplifies regulation of 
 37.18  services and supports for persons with mental retardation or 
 37.19  related conditions.  Sections 245B.02 to 245B.07 establish new 
 37.20  standards that eliminate duplication and overlap of regulatory 
 37.21  requirements by consolidating and replacing rule parts from four 
 37.22  program rules.  Section 245B.08 authorizes the commissioner of 
 37.23  human services to develop and use new regulatory strategies to 
 37.24  maintain compliance with the streamlined requirements.  Sections 
 37.25  245B.02 to 245B.07 remain in effect until a rule is adopted to 
 37.26  govern these services. 
 37.27     Sec. 28.  [245B.02] [DEFINITIONS.] 
 37.28     Subdivision 1.  [SCOPE.] The terms used in this chapter 
 37.29  have the meanings given them. 
 37.30     Subd. 2.  [APPLICANT.] "Applicant" has the meaning given in 
 37.31  section 245A.02, subdivision 3. 
 37.32     Subd. 3.  [CASE MANAGER.] "Case manager" means the 
 37.33  individual designated by the county board under rules of the 
 37.34  commissioner to provide case management services as delineated 
 37.35  in section 256B.092. 
 37.36     Subd. 4.  [CONSUMER.] "Consumer" means a person who has 
 38.1   been determined eligible to receive and is receiving services or 
 38.2   support for persons with mental retardation or related 
 38.3   conditions. 
 38.4      Subd. 5.  [COMMISSIONER.] "Commissioner" means the 
 38.5   commissioner of the department of human services or the 
 38.6   commissioner's designated representative. 
 38.7      Subd. 6.  [DAY TRAINING AND HABILITATION SERVICES FOR 
 38.8   ADULTS WITH MENTAL RETARDATION OR RELATED CONDITIONS.] "Day 
 38.9   training and habilitation services for adults with mental 
 38.10  retardation or related conditions" has the meaning given in 
 38.11  sections 252.40 to 252.47. 
 38.12     Subd. 7.  [DEPARTMENT.] "Department" means the department 
 38.13  of human services. 
 38.14     Subd. 8.  [DIRECT SERVICE.] "Direct service" means, for a 
 38.15  consumer receiving residential-based services, day training and 
 38.16  habilitation services, or respite care services, one or more of 
 38.17  the following:  supervision, assistance, or training. 
 38.18     Subd. 9.  [HEALTH SERVICES.] "Health services" means any 
 38.19  service or treatment consistent with the health needs of the 
 38.20  consumer, such as medication administration and monitoring, 
 38.21  medical, dental, nutritional, health monitoring, wellness 
 38.22  education, and exercise. 
 38.23     Subd. 10.  [INCIDENT.] "Incident" means any serious injury 
 38.24  as determined by section 245.91, subdivision 6; accident; 
 38.25  reports of a child or vulnerable adult maltreatment; 
 38.26  circumstances that involve a law enforcement agency; or a 
 38.27  consumer's death. 
 38.28     Subd. 11.  [INDIVIDUAL SERVICE PLAN.] "Individual service 
 38.29  plan" has the meaning given in section 256B.092. 
 38.30     Subd. 12.  [INDIVIDUAL WHO IS RELATED.] "Individual who is 
 38.31  related" has the meaning given in section 245A.02, subdivision 
 38.32  13. 
 38.33     Subd. 13.  [INTERMEDIATE CARE FACILITY FOR PERSONS WITH 
 38.34  MENTAL RETARDATION OR RELATED CONDITIONS OR ICF/MR.] 
 38.35  "Intermediate care facility" for persons with mental retardation 
 38.36  or related conditions or ICF/MR means a residential program 
 39.1   licensed to provide services to persons with mental retardation 
 39.2   or related conditions under section 252.28 and chapter 245A and 
 39.3   a physical facility licensed as a supervised living facility 
 39.4   under chapter 144, which together are certified by the 
 39.5   department of health as an intermediate care facility for 
 39.6   persons with mental retardation or related conditions. 
 39.7      Subd. 14.  [LEAST RESTRICTIVE ENVIRONMENT.] "Least 
 39.8   restrictive environment" has the meaning given in Minnesota 
 39.9   Rules, part 9525.0004, subpart 16. 
 39.10     Subd. 15.  [LEGAL REPRESENTATIVE.] "Legal representative" 
 39.11  means the parent or parents of a consumer who is under 18 years 
 39.12  of age or a guardian, conservator, or guardian ad litem 
 39.13  authorized by the court, or other legally authorized 
 39.14  representative to make decisions about services for a consumer. 
 39.15     Subd. 16.  [LICENSE.] "License" has the meaning given in 
 39.16  section 245A.02, subdivision 8. 
 39.17     Subd. 17.  [LICENSE HOLDER.] "License holder" has the 
 39.18  meaning given in section 245A.02, subdivision 9. 
 39.19     Subd. 18.  [PERSON WITH MENTAL RETARDATION OR A RELATED 
 39.20  CONDITION.] "Person with mental retardation or a related 
 39.21  condition" means a person who meets the criteria under section 
 39.22  256B.092 and Minnesota Rules, parts 9525.0004 to 9525.0036, 
 39.23  because the person meets the diagnostic definition under section 
 39.24  252.27. 
 39.25     Subd. 19.  [PSYCHOTROPIC MEDICATION USE CHECKLIST.] 
 39.26  "Psychotropic medication use checklist" means the checklist and 
 39.27  manual developed as part of the Welch vs. Gardebring Negotiated 
 39.28  Settlement, United States District Court, District of Minnesota, 
 39.29  Fourth Division, No. 4-72 Civil 451, 1987, Part V, Section B, to 
 39.30  govern the administration of psychotropic medications.  The 
 39.31  commissioner of human services may revise or update the 
 39.32  psychotropic medication use checklist to comply with legal 
 39.33  requirements or to meet professional standards or guidelines in 
 39.34  the area of developmental disabilities.  For the purposes of 
 39.35  this chapter, psychotropic medication means any medication 
 39.36  prescribed to treat mental illness and associated behaviors or 
 40.1   to control or alter behavior.  The major classes of psychotropic 
 40.2   medication are antipsychotic (neuroleptic), antidepressant, 
 40.3   antianxiety, antimania, stimulant, and sedative or hypnotic.  
 40.4   Other miscellaneous medications are considered to be a 
 40.5   psychotropic medication when they are specifically prescribed to 
 40.6   treat a mental illness or to control or alter behavior. 
 40.7      Subd. 20.  [RESIDENTIAL-BASED HABILITATION.] 
 40.8   "Residential-based habilitation" means care, supervision, and 
 40.9   training provided primarily in the consumer's own home or place 
 40.10  of residence but also including community-integrated activities 
 40.11  following the individual service plan.  Residential habilitation 
 40.12  services are provided in coordination with the provision of day 
 40.13  training and habilitation services for those persons receiving 
 40.14  day training and habilitation services under sections 252.40 to 
 40.15  252.47. 
 40.16     Subd. 21.  [RESPITE CARE.] "Respite care" has the meaning 
 40.17  given in section 245A.02, subdivision 15. 
 40.18     Subd. 22.  [SERVICE.] "Service" means care, supervision, 
 40.19  and activities designed to achieve the outcomes assigned to the 
 40.20  license holder. 
 40.21     Subd. 23.  [SEMI-INDEPENDENT LIVING SERVICES OR 
 40.22  SILS] "Semi-independent living services" or "SILS" has the 
 40.23  meaning given in section 252.275. 
 40.24     Subd. 24.  [VOLUNTEER.] "Volunteer" means an individual 
 40.25  who, under the direction of the license holder, provides direct 
 40.26  services without pay to consumers served by the license holder. 
 40.27     Sec. 29.  [245B.03] [APPLICABILITY AND EFFECT.] 
 40.28     Subdivision 1.  [APPLICABILITY.] The standards in this 
 40.29  chapter govern services to persons with mental retardation or 
 40.30  related conditions receiving services from license holders of 
 40.31  residential-based habilitation; day training and habilitation 
 40.32  services for adults; semi-independent living services; 
 40.33  residential programs that serve more than four consumers, 
 40.34  including intermediate care facilities for persons with mental 
 40.35  retardation; and respite care provided outside the consumer's 
 40.36  home for more than four consumers at the same time at a single 
 41.1   site. 
 41.2      Subd. 2.  [RELATIONSHIP TO OTHER STANDARDS GOVERNING 
 41.3   SERVICES FOR PERSONS WITH MENTAL RETARDATION OR RELATED 
 41.4   CONDITIONS.] (a) ICFs/MR are exempt from: 
 41.5      (1) section 245B.04; 
 41.6      (2) section 245B.06, subdivisions 4 and 6; and 
 41.7      (3) section 245B.07, subdivisions 4, paragraphs (b) and 
 41.8   (c); 7; and 8, paragraphs (a), clause (4), and (b), clause (1). 
 41.9      (b) License holders also licensed under chapter 144 as a 
 41.10  supervised living facility are exempt from section 245B.04. 
 41.11     (c) Residential service sites controlled by license holders 
 41.12  licensed under chapter 245B for home and community-based 
 41.13  waivered services for four or fewer adults are exempt from 
 41.14  compliance with Minnesota Rules, parts 9543.0040, subpart 2, 
 41.15  item C; 9555.5505; 9555.5515, items B and G; 9555.5605; 
 41.16  9555.5705; 9555.6125, subparts 3, item C, subitem (2), and 4 to 
 41.17  6; 9555.6185; 9555.6225, subpart 8; 9555.6245; 9555.6255; and 
 41.18  9555.6265.  The commissioner may approve alternative methods of 
 41.19  providing overnight supervision using the process and criteria 
 41.20  for granting a variance in section 245A.04, subdivision 9.  This 
 41.21  chapter does not apply to foster care homes that do not provide 
 41.22  residential habilitation services funded under the home and 
 41.23  community-based waiver programs defined in section 256B.092. 
 41.24     (d) The commissioner may exempt license holders from 
 41.25  applicable standards of this chapter when the license holder 
 41.26  meets the standards under section 245A.09, subdivision 7.  
 41.27  License holders that are accredited by an independent 
 41.28  accreditation body shall continue to be licensed under this 
 41.29  chapter. 
 41.30     (e) License holders governed by sections 245B.02 to 245B.07 
 41.31  must also meet the licensure requirements in sections 245A.01 to 
 41.32  245A.16, the Human Services Licensing Act, and Minnesota Rules, 
 41.33  parts 9543.1000 to 9543.1060. 
 41.34     (f) Nothing in this chapter prohibits license holders from 
 41.35  concurrently serving consumers with and without mental 
 41.36  retardation or related conditions provided this chapter's 
 42.1   standards are met as well as other relevant standards. 
 42.2      (g) The documentation that sections 245B.02 to 245B.07 
 42.3   require of the license holder meets the individual program plan 
 42.4   required in section 256B.092.  
 42.5      Sec. 30.  [245B.04] [CONSUMER RIGHTS.] 
 42.6      Subdivision 1.  [LICENSE HOLDER'S RESPONSIBILITY FOR 
 42.7   CONSUMERS' RIGHTS.] The license holder must: 
 42.8      (1) provide the consumer or the consumer's legal 
 42.9   representative a copy of the consumer's rights on the day that 
 42.10  services are initiated and an explanation of the rights in 
 42.11  subdivisions 2 and 3 within five working days of service 
 42.12  initiation.  Reasonable accommodations shall be made by the 
 42.13  license holder to provide this information in other formats as 
 42.14  needed to facilitate understanding of the rights by the consumer 
 42.15  and the consumer's legal representative, if any; 
 42.16     (2) document the consumer's or the consumer's legal 
 42.17  representative's receipt of a copy of the rights and an 
 42.18  explanation of the rights; and 
 42.19     (3) ensure the exercise and protection of the consumer's 
 42.20  rights in the services provided by the license holder and 
 42.21  authorized in the individual service plan. 
 42.22     Subd. 2.  [SERVICE-RELATED RIGHTS.] A consumer's 
 42.23  service-related rights include the right to: 
 42.24     (1) refuse or terminate services and be informed of the 
 42.25  consequences of refusing or terminating services; 
 42.26     (2) know, in advance, limits to the services available from 
 42.27  the license holder; 
 42.28     (3) know conditions and terms governing the provision of 
 42.29  services, including those related to initiation and termination; 
 42.30     (4) know what the charges are for services, regardless of 
 42.31  who will be paying for the services, and be notified of changes 
 42.32  in those charges; 
 42.33     (5) know, in advance, whether services are covered by 
 42.34  insurance, government funding, or other sources, and be told of 
 42.35  any charges the consumer or other private party may have to pay; 
 42.36  and 
 43.1      (6) receive services from license holders who are competent 
 43.2   and trained, who have professional certification or licensure, 
 43.3   as required, and who meet additional qualifications identified 
 43.4   in the individual service plan. 
 43.5      Subd. 3.  [PROTECTION-RELATED RIGHTS.] The consumer's 
 43.6   protection-related rights include the right to: 
 43.7      (1) have personal, financial, services, and medical 
 43.8   information kept private, and be advised of the license holder's 
 43.9   policies and procedures regarding disclosure of such 
 43.10  information; 
 43.11     (2) access records and written information; 
 43.12     (3) be free from maltreatment; 
 43.13     (4) be treated with courtesy and respect for the consumer's 
 43.14  individuality, mode of communication, and culture, and receive 
 43.15  respectful treatment of the consumer's property; 
 43.16     (5) voice grievances, know the contact persons responsible 
 43.17  for addressing problems and how to contact those persons; 
 43.18     (6) any procedures for grievance or complaint resolution 
 43.19  and the right to appeal under section 256.045; 
 43.20     (7) know the name and address of the state, county, or 
 43.21  advocacy agency to contact for additional information or 
 43.22  assistance; 
 43.23     (8) assert these rights personally, or have them asserted 
 43.24  by the consumer's family or legal representative, without 
 43.25  retaliation; 
 43.26     (9) give written informed consent to participate in any 
 43.27  research or experimental treatment; 
 43.28     (10) have daily, private access to and use of a noncoin- 
 43.29  operated telephone for local calls and long-distance calls made 
 43.30  collect or paid for by the resident; 
 43.31     (11) receive and send uncensored, unopened mail; 
 43.32     (12) marital privacy for visits with the consumer's spouse 
 43.33  and, if both are residents of the site, the right to share a 
 43.34  bedroom and bed; 
 43.35     (13) associate with other persons of the consumer's choice; 
 43.36     (14) personal privacy; and 
 44.1      (15) engage in chosen activities. 
 44.2      Sec. 31.  [245B.05] [CONSUMER PROTECTION STANDARDS.] 
 44.3      Subdivision 1.  [ENVIRONMENT.] The license holder must: 
 44.4      (1) ensure that services are provided in a safe and 
 44.5   hazard-free environment when the license holder is the owner, 
 44.6   lessor, or tenant of the service site.  All other license 
 44.7   holders shall inform the consumer or the consumer's legal 
 44.8   representative and case manager about any environmental safety 
 44.9   concerns in writing; 
 44.10     (2) lock doors only to protect the safety of consumers and 
 44.11  not as a substitute for staff interactions with consumers; 
 44.12     (3) follow procedures that minimize the consumer's health 
 44.13  risk from communicable diseases; and 
 44.14     (4) maintain equipment, vehicles, supplies, and materials 
 44.15  owned or leased by the license holder in good condition. 
 44.16     Subd. 2.  [LICENSED CAPACITY FOR FACILITY-BASED DAY 
 44.17  TRAINING AND HABILITATION SERVICES.] Licensed capacity of day 
 44.18  training and habilitation service sites must be determined by 
 44.19  the amount of primary space available, the scheduling of 
 44.20  activities at other service sites, and the space requirements of 
 44.21  consumers receiving services.  Primary space does not include 
 44.22  hallways, stairways, closets, utility areas, bathrooms, 
 44.23  kitchens, and floor areas beneath stationary equipment.  A 
 44.24  minimum of 40 square feet of primary space must be available for 
 44.25  each consumer who is engaged in a day training and habilitation 
 44.26  activity at the site for which the licensed capacity must be 
 44.27  determined. 
 44.28     Subd. 3.  [RESIDENTIAL SERVICE SITES FOR MORE THAN FOUR 
 44.29  CONSUMERS; FOUR-BED ICFS/MR.] Residential service sites licensed 
 44.30  to serve more than four consumers and four-bed ICFs/MR must meet 
 44.31  the fire protection provisions of either the Residential Board 
 44.32  and Care Occupancies Chapter or the Health Care Occupancies 
 44.33  Chapter of the Life Safety Code (LSC), National Fire Protection 
 44.34  Association, 1985 edition, or its successors.  Sites meeting the 
 44.35  definition of a residential board and care occupancy for 16 or 
 44.36  less beds must have the emergency evacuation capability of 
 45.1   residents evaluated in accordance with Appendix F of the LSC or 
 45.2   its successors, except for those sites that meet the LSC Health 
 45.3   Care Occupancies Chapter or its successors. 
 45.4      Subd. 4.  [MEETING FIRE AND SAFETY CODES.] An applicant or 
 45.5   license holder under sections 245A.01 to 245A.16 must document 
 45.6   compliance with applicable building codes, fire and safety 
 45.7   codes, health rules, and zoning ordinances, or document that an 
 45.8   appropriate waiver has been granted. 
 45.9      Subd. 5.  [CONSUMER HEALTH.] The license holder is 
 45.10  responsible for meeting the health service needs assigned to the 
 45.11  license holder in the individual service plan and for bringing 
 45.12  health needs as discovered by the license holder promptly to the 
 45.13  attention of the consumer, the consumer's legal representative, 
 45.14  and the case manager.  The license holder is required to 
 45.15  maintain documentation on how the consumer's health needs will 
 45.16  be met, including a description of procedures the license holder 
 45.17  will follow for the consumer regarding medication monitoring and 
 45.18  administration and seizure monitoring, if needed.  The 
 45.19  medication administration procedures must be established in 
 45.20  consultation with a registered nurse, nurse practitioner, 
 45.21  physician's assistant, or medical doctor. 
 45.22     Subd. 6.  [FIRST AID.] When the license holder is providing 
 45.23  direct service and supervision to a consumer who requires a 
 45.24  24-hour plan of care and receives services at a site licensed 
 45.25  under this chapter, the license holder must have available a 
 45.26  staff person trained in first aid, from a qualified source, as 
 45.27  determined by the commissioner. 
 45.28     Subd. 7.  [REPORTING INCIDENTS AND EMERGENCIES.] The 
 45.29  license holder must report the following incidents to the 
 45.30  consumer's legal representative, caregiver, and case manager 
 45.31  within 24 hours of the occurrence, or within 24 hours of receipt 
 45.32  of the information: 
 45.33     (1) the death of a consumer; 
 45.34     (2) any medical emergencies, unexpected serious illnesses, 
 45.35  or accidents that require physician treatment or 
 45.36  hospitalization; 
 46.1      (3) a consumer's unauthorized absence; or 
 46.2      (4) any fires and incidents involving a law enforcement 
 46.3   agency. 
 46.4      Death or serious injury of the consumer must also be 
 46.5   reported to the commissioner. 
 46.6      Sec. 32.  [245B.06] [SERVICE STANDARDS.] 
 46.7      Subdivision 1.  [OUTCOME-BASED SERVICES.] (a) The license 
 46.8   holder must provide outcome-based services in response to the 
 46.9   consumer's identified needs as specified in the individual 
 46.10  service plan.  
 46.11     (b) Services must be based on the needs and preferences of 
 46.12  the consumer and the consumer's personal goals and be consistent 
 46.13  with the principles of least restrictive environment, 
 46.14  self-determination, and other goals specified in Minnesota 
 46.15  Rules, part 9525.0008, subpart 3.  The license holder must make 
 46.16  available to the consumer opportunities to participate in the 
 46.17  community, functional skill development, reduced dependency on 
 46.18  care providers, and opportunities for development of 
 46.19  decision-making skills.  "Outcome" means the behavior, action, 
 46.20  or status attained by the consumer that can be observed, 
 46.21  measured, and can be determined reliable and valid.  Outcomes 
 46.22  are the equivalent of the long-range goals and short-term goals 
 46.23  referenced in section 256B.092, and Minnesota Rules, parts 
 46.24  9525.0004 to 9525.0036. 
 46.25     Subd. 2.  [RISK MANAGEMENT PLAN.] The license holder must 
 46.26  develop and document in writing a risk management plan that 
 46.27  incorporates the individual abuse prevention plan as required in 
 46.28  chapter 245C.  License holders jointly providing services to a 
 46.29  consumer shall coordinate and use the resulting assessment of 
 46.30  risk areas for the development of this plan.  Upon initiation of 
 46.31  services, the license holder will have in place an initial risk 
 46.32  management plan that identifies areas in which the consumer is 
 46.33  vulnerable, including health, safety, and environmental issues 
 46.34  and the supports the provider will have in place to protect the 
 46.35  consumer and to minimize these risks.  The plan must be changed 
 46.36  based on the needs of the individual consumer and reviewed at 
 47.1   least annually. 
 47.2      Subd. 3.  [ASSESSMENTS.] (a) The license holder shall 
 47.3   assess and reassess the consumer within stated time lines and 
 47.4   assessment areas specified in the individual service plan or as 
 47.5   requested in writing by the case manager. 
 47.6      (b) For each area of assessment requested, the license 
 47.7   holder must provide a written summary, analysis, and 
 47.8   recommendations for use in the development of the individual 
 47.9   service plan. 
 47.10     (c) All assessments must include information about the 
 47.11  consumer that is descriptive of: 
 47.12     (1) the consumer's strengths and functional skills; and 
 47.13     (2) the level of support and supervision the consumer needs 
 47.14  to achieve the outcomes in subdivision 1. 
 47.15     Subd. 4.  [SUPPORTS AND METHODS.] The license holder, in 
 47.16  coordination with other service providers, shall meet with the 
 47.17  consumer, the consumer's legal representative, case manager, and 
 47.18  other members of the interdisciplinary team within 45 days of 
 47.19  service initiation.  Within ten working days after the meeting, 
 47.20  the license holder shall develop and document in writing: 
 47.21     (1) the methods that will be used to support the individual 
 47.22  or accomplish the outcomes in section 245B.06, subdivision 1, 
 47.23  including information about physical and social environments, 
 47.24  the equipment and materials required, and techniques that are 
 47.25  consistent with the consumer's communication mode and learning 
 47.26  style specified as the license holder's responsibility in the 
 47.27  individual service plan; 
 47.28     (2) the projected starting date for service supports and 
 47.29  the conditions for identifying when the desired outcome has been 
 47.30  achieved and when the service supports need to be reviewed; and 
 47.31     (3) the names of the staff, staff position, or contractors 
 47.32  responsible for implementing each outcome. 
 47.33     Subd. 5.  [PROGRESS REVIEWS.] The license holder must 
 47.34  participate in progress review meetings following stated time 
 47.35  lines established in the consumer's individual service plan or 
 47.36  as requested in writing by the consumer, the consumer's legal 
 48.1   representative, or the case manager, at a minimum of once a 
 48.2   year.  The license holder must summarize the progress toward 
 48.3   achieving the desired outcomes and make recommendations in a 
 48.4   written report sent to the consumer or the consumer's legal 
 48.5   representative and case manager prior to the review meeting.  
 48.6   For consumers under public guardianship, the license holder is 
 48.7   required to provide quarterly written progress review reports to 
 48.8   the consumer, designated family member, and case manager to 
 48.9   fulfill requirements under Minnesota Rules, part 9525.3065, 
 48.10  subpart 2. 
 48.11     Subd. 6.  [REPORTS.] The license holder shall provide 
 48.12  written reports regarding the consumer's status as requested by 
 48.13  the consumer, or the consumer's legal representative and case 
 48.14  manager. 
 48.15     Subd. 7.  [STAFFING REQUIREMENTS.] The license holder must 
 48.16  provide supervision to ensure the health, safety, and protection 
 48.17  of rights of each consumer and to be able to implement each 
 48.18  consumer's individual service plan.  Day training and 
 48.19  habilitation programs must meet the minimum staffing 
 48.20  requirements in Minnesota Rules, part 9525.1600. 
 48.21     Subd. 8.  [LEAVING THE RESIDENCE.] As specified in each 
 48.22  consumer's individual service plan, each consumer requiring a 
 48.23  24-hour plan of care must leave the residence to participate in 
 48.24  regular education, employment, or community activities.  License 
 48.25  holders, providing services to consumers living in a licensed 
 48.26  site, shall ensure that they are prepared to care for consumers 
 48.27  whenever they are at the residence during the day because of 
 48.28  illness, work schedules, or other reasons. 
 48.29     Subd. 9.  [DAY TRAINING AND HABILITATION SERVICE DAYS.] Day 
 48.30  training and habilitation services must meet the minimum 
 48.31  available service days required in Minnesota Rules, part 
 48.32  9525.1570, subpart 1. 
 48.33     Subd. 10.  [PROHIBITION.] Psychotropic medication and the 
 48.34  use of aversive and deprivation procedures, defined in Minnesota 
 48.35  Rules, parts 9525.2700 to 9525.2810, cannot be used as a 
 48.36  substitute for adequate staffing, as punishment, or for staff 
 49.1   convenience. 
 49.2      Sec. 33.  [245B.07] [MANAGEMENT STANDARDS.] 
 49.3      Subdivision 1.  [CONSUMER DATA FILE.] The license holder 
 49.4   must maintain the following information for each consumer: 
 49.5      (1) identifying information that includes date of birth, 
 49.6   medications, legal representative, history, medical, and other 
 49.7   individual-specific information, and names and telephone numbers 
 49.8   of contacts; 
 49.9      (2) consumer health information, including individual 
 49.10  medication administration and monitoring plan; 
 49.11     (3) the consumer's individual service plan.  When a 
 49.12  consumer's case manager does not provide a current individual 
 49.13  service plan, the license holder shall make a written request to 
 49.14  the case manager to provide a copy of the individual service 
 49.15  plan and inform the consumer or the consumer's legal 
 49.16  representative of the right to an individual service plan and 
 49.17  the right to appeal under section 256.045; 
 49.18     (4) copies of assessments, analyses, summaries, and 
 49.19  recommendations; 
 49.20     (5) progress review reports; 
 49.21     (6) incident and emergency reports involving the consumer; 
 49.22     (7) discharge summary, when applicable; 
 49.23     (8) record of other license holders serving the consumer 
 49.24  that includes a contact person and telephone numbers, services 
 49.25  being provided, services that require coordination between two 
 49.26  license holders, and name of staff responsible for coordination; 
 49.27  and 
 49.28     (9) incidents involving verbal and physical aggression 
 49.29  between consumers and self-abuse affecting the consumer. 
 49.30     Subd. 2.  [ACCESS TO RECORDS.] The license holder must 
 49.31  ensure that the following people have access to the information 
 49.32  in subdivision 1: 
 49.33     (1) the consumer and the consumer's legal representative; 
 49.34     (2) the consumer's case manager; 
 49.35     (3) staff providing direct services to the consumer unless 
 49.36  the information is not relevant to carrying out the individual 
 50.1   service plan; and 
 50.2      (4) the county adult foster care licensor, when services 
 50.3   are also licensed under Minnesota Rules, parts 9555.5050 to 
 50.4   9555.6265. 
 50.5      Subd. 3.  [RETENTION OF CONSUMER'S RECORDS.] The license 
 50.6   holder must retain the records required for consumers for at 
 50.7   least three years following termination of services. 
 50.8      Subd. 4.  [STAFF QUALIFICATIONS.] (a) The license holder 
 50.9   must ensure that staff is competent through training, 
 50.10  experience, and education to meet the consumer's needs and 
 50.11  additional requirements as written in the individual service 
 50.12  plan.  Staff qualifications must be documented.  Staff under 18 
 50.13  years of age may not perform overnight duties or administer 
 50.14  medication. 
 50.15     (b) Delivery and evaluation of services provided by the 
 50.16  license holder to a consumer must be coordinated by a designated 
 50.17  person.  The designated person or coordinator must minimally 
 50.18  have a four-year degree in a field related to service provision, 
 50.19  and one year work experience with consumers with mental 
 50.20  retardation or related conditions, a two-year degree in a field 
 50.21  related to service provision, and two years of work experience 
 50.22  with consumers with mental retardation or related conditions, or 
 50.23  a diploma in community-based developmental disability services 
 50.24  from an accredited post-secondary institution and two years of 
 50.25  work experience with consumers with mental retardation or 
 50.26  related conditions.  The coordinator must provide supervision, 
 50.27  support, and evaluation of activities that include: 
 50.28     (1) oversight of the license holder's responsibilities 
 50.29  designated in the individual service plan; 
 50.30     (2) instruction and assistance to staff implementing the 
 50.31  individual service plan areas; 
 50.32     (3) evaluation of the effectiveness of service delivery, 
 50.33  methodologies, and progress on consumer outcomes based on the 
 50.34  condition set for objective change; and 
 50.35     (4) review of incident and emergency reports, 
 50.36  identification of incident patterns, and implementation of 
 51.1   corrective action as necessary to reduce occurrences. 
 51.2      (c) The coordinator is responsible for taking the action 
 51.3   necessary to facilitate the accomplishment of the outcomes for 
 51.4   each consumer as specified in the consumer's individual service 
 51.5   plan. 
 51.6      (d) The license holder must provide for adequate 
 51.7   supervision of direct care staff to ensure implementation of the 
 51.8   individual service plan. 
 51.9      Subd. 5.  [STAFF ORIENTATION.] (a) Within 60 days of hiring 
 51.10  staff who provide direct service, the license holder must 
 51.11  provide 30 hours of staff orientation.  Direct care staff must 
 51.12  complete 15 of the 30 hours orientation before providing any 
 51.13  unsupervised direct service to a consumer.  If the staff person 
 51.14  has received orientation training from a license holder licensed 
 51.15  under this chapter, or provides semi-independent living services 
 51.16  only, the 15-hour requirement may be reduced to eight hours.  
 51.17  The total orientation of 30 hours may be reduced to 15 hours if 
 51.18  the staff person has previously received orientation training 
 51.19  from a license holder licensed under this chapter. 
 51.20     (b) The 30 hours of orientation must combine supervised 
 51.21  on-the-job training with coverage of the following material: 
 51.22     (1) review of the consumer's service plans and risk 
 51.23  management plan to achieve an understanding of the consumer as a 
 51.24  unique individual; 
 51.25     (2) review and instruction on the license holder's policies 
 51.26  and procedures, including their location and access; 
 51.27     (3) emergency procedures; 
 51.28     (4) explanation of specific job functions, including 
 51.29  implementing objectives from the consumer's individual service 
 51.30  plan; 
 51.31     (5) explanation of responsibilities related to chapter 
 51.32  245C; sections 626.556 and 626.557; and Minnesota Rules, parts 
 51.33  9525.2700 to 9525.2810, governing use of aversive and 
 51.34  deprivation procedures; 
 51.35     (6) medication administration as it applies to the 
 51.36  individual consumer, from a training curriculum developed by a 
 52.1   health services professional described in section 245B.05, 
 52.2   subdivision 5, and when the consumer meets the criteria of 
 52.3   having overriding health care needs, as defined in Minnesota 
 52.4   Rules, part 9525.0004, subpart 18, then medication 
 52.5   administration taught by a health services professional; 
 52.6      (7) consumer rights; and 
 52.7      (8) other topics necessary as determined by the consumer's 
 52.8   individual service plan or other areas identified by the license 
 52.9   holder. 
 52.10     (c) The license holder must document each employee's 
 52.11  orientation received. 
 52.12     Subd. 6.  [STAFF TRAINING.] (a) The license holder shall 
 52.13  ensure that direct service staff annually complete hours of 
 52.14  training equal to two percent of the number of hours the staff 
 52.15  person worked or one percent for license holders providing 
 52.16  semi-independent living services.  If direct service staff has 
 52.17  received training from a license holder licensed under a program 
 52.18  rule identified in this chapter or completed course work 
 52.19  regarding disability-related issues from a post-secondary 
 52.20  educational institute, that training may also count toward 
 52.21  training requirements for other services and for other license 
 52.22  holders. 
 52.23     (b) The license holder must document the training completed 
 52.24  by each employee. 
 52.25     (c) Training shall address staff competencies necessary to 
 52.26  address the consumer needs as identified in the consumer's 
 52.27  individual service plan and ensure consumer health, safety, and 
 52.28  protection of rights.  Training may also include other areas 
 52.29  identified by the license holder. 
 52.30     (d) For consumers requiring a 24-hour plan of care, the 
 52.31  license holder shall provide training in cardiopulmonary 
 52.32  resuscitation, from a qualified source determined by the 
 52.33  commissioner, if the consumer's health needs as determined by 
 52.34  the consumer's physician indicate trained staff would be 
 52.35  beneficial to the consumer. 
 52.36     Subd. 7.  [VOLUNTEERS.] The license holder must ensure that 
 53.1   volunteers who provide direct services to consumers receive the 
 53.2   training and orientation necessary to fulfill their 
 53.3   responsibilities. 
 53.4      Subd. 8.  [POLICIES AND PROCEDURES.] The license holder 
 53.5   must develop and implement the policies and procedures in 
 53.6   paragraphs (1) to (3). 
 53.7      (1) policies and procedures that promote consumer health 
 53.8   and safety by ensuring: 
 53.9      (i) consumer safety in emergency situations as identified 
 53.10  in section 245B.05, subdivision 7; 
 53.11     (ii) consumer health through sanitary practices; 
 53.12     (iii) safe transportation, when the license holder is 
 53.13  responsible for transportation of consumers, with provisions for 
 53.14  handling emergency situations; 
 53.15     (iv) a system of recordkeeping for both individuals and the 
 53.16  organization, for review of incidents and emergencies, and 
 53.17  corrective action if needed; 
 53.18     (v) a plan for responding to and reporting all emergencies, 
 53.19  including deaths, medical emergencies, illnesses, accidents, 
 53.20  missing consumers, fires, severe weather and natural disasters, 
 53.21  bomb threats, and other threats; 
 53.22     (vi) safe medication administration as identified in 
 53.23  section 245B.05, subdivision 5; 
 53.24     (vii) psychotropic medication monitoring when the consumer 
 53.25  is prescribed a psychotropic medication, including the use of 
 53.26  the psychotropic medication use checklist.  If the 
 53.27  responsibility for implementing the psychotropic medication use 
 53.28  checklist has not been assigned in the individual service plan 
 53.29  and the consumer lives in a licensed site, the residential 
 53.30  license holder shall be designated; and 
 53.31     (viii) criteria for admission or service initiation 
 53.32  developed by the license holder; 
 53.33     (2) policies and procedures that protect consumer rights 
 53.34  and privacy by ensuring: 
 53.35     (i) consumer data privacy, in compliance with the Minnesota 
 53.36  Data Practices Act, chapter 13; and 
 54.1      (ii) that complaint procedures provide consumers with a 
 54.2   simple process to voice grievances and consumers receive a 
 54.3   response to the grievance within a reasonable time period as 
 54.4   specified in Minnesota Rules, part 9543.1020, subpart 2, item F; 
 54.5   and 
 54.6      (3) policies and procedures that promote continuity and 
 54.7   quality of consumer supports by ensuring: 
 54.8      (i) continuity of care and service coordination, including 
 54.9   provisions for service termination, temporary service 
 54.10  discontinuation, and efforts made by the license holder to 
 54.11  coordinate services with other vendors who also provide support 
 54.12  to the consumer.  The policy must include the following 
 54.13  requirements: 
 54.14     (a) the license holder must notify the consumer or 
 54.15  consumer's legal representative and the consumer's case manager 
 54.16  in writing of the intended termination and the consumer's right 
 54.17  to appeal according to section 256.045; 
 54.18     (b) notice of the proposed termination of services must be 
 54.19  given at least 60 days before the proposed termination is to 
 54.20  become effective unless services are temporarily discontinued 
 54.21  according to the license holder's written temporary service 
 54.22  discontinuation procedures; 
 54.23     (c) the license holder must provide information requested 
 54.24  by the consumer or consumer's legal representative or case 
 54.25  manager in the event of planning services termination; 
 54.26     (d) use of temporary service discontinuation procedures are 
 54.27  restricted to situations where the consumer's or another 
 54.28  consumer's safety is in jeopardy; and 
 54.29     (e) prior to given termination notice or when service 
 54.30  discontinuation procedures are used, the license holder must 
 54.31  implement and document actions taken to minimize the need for 
 54.32  service termination; and 
 54.33     (ii) quality services measured through a program evaluation 
 54.34  process including regular evaluations of consumer satisfaction 
 54.35  and sharing the results of the evaluations with the consumers 
 54.36  and legal representatives. 
 55.1      Subd. 9.  [AVAILABILITY OF CURRENT WRITTEN POLICIES AND 
 55.2   PROCEDURES.] The license holder must: 
 55.3      (1) review and update, as needed, the written policies and 
 55.4   procedures in this subdivision and inform all consumers or the 
 55.5   consumer's legal representatives, case managers, and employees 
 55.6   of the revised policies and procedures when they affect the 
 55.7   service provision; 
 55.8      (2) inform consumers or the consumer's legal 
 55.9   representatives of the written policies and procedures in this 
 55.10  subdivision upon service initiation.  Copies must be available 
 55.11  to consumers or the consumer's legal representatives, case 
 55.12  managers, the county where services are located, and the 
 55.13  commissioner upon request; and 
 55.14     (3) document and maintain relevant information related to 
 55.15  the policies and procedures in this subdivision. 
 55.16     Subd. 10.  [CONSUMER FUNDS.] All license holders must 
 55.17  comply with Minnesota Rules, part 9543.1020, subpart 15, when 
 55.18  the license holder is responsible for the safekeeping of a 
 55.19  consumer's funds or other property. 
 55.20     Subd. 11.  [TRAVEL TIME TO AND FROM A DAY TRAINING AND 
 55.21  HABILITATION SITE.] Except in unusual circumstances, the license 
 55.22  holder must not transport a consumer receiving services for 
 55.23  longer than one hour per one-way trip. 
 55.24     Subd. 12.  [SEPARATE LICENSE REQUIRED FOR SEPARATE SITES.] 
 55.25  The license holder shall apply for separate licenses for each 
 55.26  day training and habilitation service site owned or leased by 
 55.27  the license holder at which persons receiving services and the 
 55.28  provider's employees who provide training and habilitation 
 55.29  services are present for a cumulative total of more than 30 days 
 55.30  within any 12-month period, each residential service site 
 55.31  serving more than four consumers, and each four-bed ICF/MR in 
 55.32  which the license holder will provide services. 
 55.33     Subd. 13.  [VARIANCE.] The commissioner may grant a 
 55.34  variance to any of the requirements in sections 245B.02 to 
 55.35  245B.07 using the process and criteria from section 245A.04, 
 55.36  subdivision 9.  Upon the request of the license holder, the 
 56.1   commissioner may continue variances from the standards in this 
 56.2   chapter previously granted under Minnesota Rules that are 
 56.3   repealed as a result of this chapter.  The commissioner may 
 56.4   approve variances for a license holder on a program, geographic, 
 56.5   or organizational basis.  For the purposes of demonstrating 
 56.6   alternative methods to ensure service quality, the commissioner 
 56.7   may vary sections of this chapter when the alternative measures 
 56.8   comply with the intent of the sections.  This subdivision does 
 56.9   not supersede other statutes designating specific rules or 
 56.10  regulations as not available for variances. 
 56.11     Sec. 34.  [245B.08] [NEW REGULATORY STRATEGIES.] 
 56.12     Subdivision 1.  [ALTERNATIVE METHODS OF DETERMINING 
 56.13  COMPLIANCE.] (a) In addition to methods specified in chapter 
 56.14  245A, the commissioner may use alternative methods and new 
 56.15  regulatory strategies to determine compliance with this 
 56.16  section.  The commissioner may use sampling techniques to ensure 
 56.17  compliance with this section.  Notwithstanding section 245A.09, 
 56.18  subdivision 7, paragraph (d), the commissioner may also extend 
 56.19  periods of licensure, not to exceed five years, for license 
 56.20  holders who have demonstrated substantial and consistent 
 56.21  compliance with sections 245B.02 to 245B.07 and have 
 56.22  consistently maintained the health and safety of consumers and 
 56.23  have demonstrated by alternative methods in paragraph (b) that 
 56.24  they meet or exceed the requirements of this section.  For 
 56.25  purposes of this section, "substantial and consistent 
 56.26  compliance" means that during the current licensing period: 
 56.27     (1) the license holder's license has not been made 
 56.28  conditional, suspended, or revoked; 
 56.29     (2) there have been no substantiated allegations of 
 56.30  maltreatment against the license holder; 
 56.31     (3) there have been no program deficiencies that have been 
 56.32  identified that would jeopardize the health or safety of 
 56.33  consumers being served; and 
 56.34     (4) the license holder is in substantial compliance with 
 56.35  the other requirements of chapter 245A and other applicable laws 
 56.36  and rules. 
 57.1      (b) To determine the length of a license, the commissioner 
 57.2   shall consider: 
 57.3      (1) information from affected consumers, and the license 
 57.4   holder's responsiveness to consumers' concerns and 
 57.5   recommendations; 
 57.6      (2) self assessments and peer reviews of the standards of 
 57.7   this section, corrective actions taken by the license holder, 
 57.8   and sharing the results of the inspections with consumers, the 
 57.9   consumers' families, and others, as requested; 
 57.10     (3) length of accreditation by an independent accreditation 
 57.11  body, if applicable; 
 57.12     (4) information from the county where the license holder is 
 57.13  located; and 
 57.14     (5) information from the license holder demonstrating 
 57.15  performance that meets or exceeds the minimum standards of this 
 57.16  chapter. 
 57.17     (c) The commissioner may reduce the length of the license 
 57.18  if the license holder fails to meet the criteria in paragraph 
 57.19  (a) and the conditions specified in paragraph (b). 
 57.20     Subd. 2.  [ADDITIONAL MEASURES.] The commissioner may 
 57.21  require the license holder to implement additional measures on a 
 57.22  time-limited basis to ensure the health and safety of consumers 
 57.23  when the health and safety of consumers has been determined to 
 57.24  be at risk as determined by substantiated incidents of 
 57.25  maltreatment under sections 626.556 and 626.557.  The license 
 57.26  holder may request reconsideration of the actions taken by the 
 57.27  commissioner under this subdivision according to section 245A.06.
 57.28     Subd. 3.  [SANCTIONS AVAILABLE.] Nothing in this 
 57.29  subdivision shall be construed to limit the commissioner's 
 57.30  authority to suspend, revoke, or make conditional at any time a 
 57.31  license under section 245A.07; make correction orders and 
 57.32  require fines for failure to comply with applicable laws or 
 57.33  rules under section 245A.06; or deny an application for license 
 57.34  under section 245A.05. 
 57.35     Subd. 4.  [EFFICIENT APPLICATION.] The commissioner shall 
 57.36  establish application procedures for license holders licensed 
 58.1   under this chapter to reduce the need to submit duplicative 
 58.2   material. 
 58.3      Subd. 5.  [INFORMATION.] The commissioner shall make 
 58.4   information available to consumers and interested others 
 58.5   regarding the licensing status of a license holder. 
 58.6      Subd. 6.  [IMPLEMENTATION.] The commissioner shall seek 
 58.7   advice from parties affected by the implementation of this 
 58.8   chapter. 
 58.9      Subd. 7.  [DEEM STATUS.] The commissioner may exempt a 
 58.10  license holder from applicable standards if the license holder 
 58.11  is already licensed under chapter 245A. 
 58.12     Sec. 35.  [245C.01] [LICENSE HOLDER REQUIREMENTS GOVERNING 
 58.13  MALTREATMENT OF VULNERABLE ADULTS.] 
 58.14     Subdivision 1.  [LICENSE HOLDER INTERNAL REPORTING AND 
 58.15  INVESTIGATION OF MALTREATMENT.] All license holders serving 
 58.16  vulnerable adults shall establish and enforce written policies 
 58.17  and procedures related to suspected or alleged maltreatment, and 
 58.18  shall orient clients and mandated reporters who are under the 
 58.19  control of the license holder to these procedures, as defined in 
 58.20  section 626.5572, subdivision 16. 
 58.21     (a) License holders must establish policies and procedures 
 58.22  allowing but not mandating the internal reporting of alleged or 
 58.23  suspected maltreatment.  License holders shall ensure that the 
 58.24  policies and procedures on internal reporting: 
 58.25     (1) meet all the requirements identified for the optional 
 58.26  internal reporting policies and procedures in section 626.557, 
 58.27  subdivision 4a; and 
 58.28     (2) identify the primary and secondary person or position 
 58.29  to whom internal reports may be made and the primary and 
 58.30  secondary person or position responsible for forwarding internal 
 58.31  reports to the common entry point.  The secondary person must be 
 58.32  involved when there is reason to believe that the primary person 
 58.33  was involved in the alleged or suspected maltreatment. 
 58.34     (b) The license holder shall:  
 58.35     (1) establish and maintain policies and procedures to 
 58.36  ensure that an internal review is completed when the facility 
 59.1   has reason to know that an internal or external report of 
 59.2   alleged or suspected maltreatment has been made.  The review 
 59.3   must include an evaluation of whether related policies and 
 59.4   procedures were followed, whether the policies and procedures 
 59.5   were adequate, whether there is a need for additional staff 
 59.6   training, and whether there is a need for any further action to 
 59.7   be taken by the facility to protect the health and safety of 
 59.8   vulnerable adults; 
 59.9      (2) identify the primary and secondary person or position 
 59.10  who will ensure that, when required, internal reviews are 
 59.11  completed.  The secondary person shall be involved when there is 
 59.12  reason to believe that the primary person was involved in the 
 59.13  alleged or suspected maltreatment; and 
 59.14     (3) document and make internal reviews accessible to the 
 59.15  commissioner upon the commissioner's request. 
 59.16     (c) The license holder shall provide an orientation to the 
 59.17  internal and external reporting procedures to all persons 
 59.18  receiving services.  The orientation shall include the telephone 
 59.19  number for the license holder's common entry point as defined in 
 59.20  section 626.5572, subdivision 5.  If applicable, the person's 
 59.21  legal representative must be notified of the orientation.  The 
 59.22  program shall provide this orientation for each new person 
 59.23  within 24 hours of admission, or for persons who would benefit 
 59.24  more from a later orientation, the orientation may take place 
 59.25  within 72 hours. 
 59.26     (d) The license holder shall post a copy of the internal 
 59.27  and external reporting policies and procedures, including the 
 59.28  telephone number of the common entry point as defined in section 
 59.29  626.5572, subdivision 5, in a prominent location in the program 
 59.30  and have it available upon request to mandated reporters, 
 59.31  persons receiving services, and the person's legal 
 59.32  representatives. 
 59.33     Subd. 2.  [ABUSE PREVENTION PLANS.] All license holders 
 59.34  shall establish and enforce ongoing written program abuse 
 59.35  prevention plans and individual abuse prevention plans as 
 59.36  required under section 626.557, subdivision 14. 
 60.1      (a) The scope of the program abuse prevention plan is 
 60.2   limited to the population, physical plant, and environment 
 60.3   within the control of the license holder and the location where 
 60.4   licensed services are provided.  In addition to the requirements 
 60.5   in section 626.557, subdivision 14, the program abuse prevention 
 60.6   plan shall meet the requirements in clauses (1) to (5). 
 60.7      (1) The assessment of the population shall include an 
 60.8   evaluation of the following factors:  age, gender, mental 
 60.9   functioning, physical and emotional health or behavior of the 
 60.10  client; the need for specialized programs of care for clients; 
 60.11  the need for training of staff to meet identified individual 
 60.12  needs; and the knowledge a license holder may have regarding 
 60.13  previous abuse that is relevant to minimizing risk of abuse for 
 60.14  clients. 
 60.15     (2) The assessment of the physical plant where the licensed 
 60.16  services are provided shall include an evaluation of the 
 60.17  following factors:  the condition and design of the building as 
 60.18  it relates to the safety of the clients; and the existence of 
 60.19  areas in the building which are difficult to supervise. 
 60.20     (3) The assessment of the environment for each facility and 
 60.21  for each site when living arrangements are provided by the 
 60.22  agency shall include an evaluation of the following factors:  
 60.23  the location of the program in a particular neighborhood or 
 60.24  community; the type of grounds and terrain surrounding the 
 60.25  building; the type of internal programming; and the program's 
 60.26  staffing patterns. 
 60.27     (4) The license holder shall provide an orientation to the 
 60.28  program abuse prevention plan for clients receiving services.  
 60.29  If applicable, the client's legal representative must be 
 60.30  notified of the orientation.  The license holder shall provide 
 60.31  this orientation for each new person within 24 hours of 
 60.32  admission, or for persons who would benefit more from a later 
 60.33  orientation, the orientation may take place within 72 hours. 
 60.34     (5) The license holder's governing body shall review the 
 60.35  plan at least annually using the assessment factors in the plan 
 60.36  and any substantiated maltreatment findings that occurred since 
 61.1   the last review.  The governing body shall revise the plan, if 
 61.2   necessary, to reflect the review results. 
 61.3      (6) A copy of the program abuse prevention plan shall be 
 61.4   posted in a prominent location in the program and be available 
 61.5   upon request to mandated reporters, persons receiving services, 
 61.6   and legal representatives. 
 61.7      (b) In addition to the requirements in section 626.557, 
 61.8   subdivision 14, the individual abuse prevention plan shall meet 
 61.9   the requirements in clauses (1) and (2).  
 61.10     (1) The plan shall include a statement of measures that 
 61.11  will be taken to minimize the risk of abuse to the vulnerable 
 61.12  adult when the individual assessment required in section 
 61.13  626.557, subdivision 14, paragraph (b), indicates the need for 
 61.14  measures in addition to the specific measures identified in the 
 61.15  program abuse prevention plan.  The measures shall include the 
 61.16  specific actions the program will take to minimize the risk of 
 61.17  abuse within the scope of the licensed services, and will 
 61.18  identify referrals made when the vulnerable adult is susceptible 
 61.19  to abuse outside the scope or control of the licensed services.  
 61.20  When the assessment indicates that the vulnerable adult does not 
 61.21  need specific risk reduction measures in addition to those 
 61.22  identified in the program abuse prevention plan, the individual 
 61.23  abuse prevention plan shall document this determination. 
 61.24     (2) An individual abuse prevention plan shall be developed 
 61.25  for each new person as part of the initial individual program 
 61.26  plan or service plan required under the applicable licensing 
 61.27  rule.  The review and evaluation of the individual abuse 
 61.28  prevention plan shall be done as part of the review of the 
 61.29  program plan or service plan.  The person receiving services 
 61.30  shall participate in the development of the individual abuse 
 61.31  prevention plan to the full extent of the person's abilities.  
 61.32  If applicable, the person's legal representative shall be given 
 61.33  the opportunity to participate with or for the person in the 
 61.34  development of the plan.  The interdisciplinary team shall 
 61.35  document the review of all abuse prevention plans at least 
 61.36  annually, using the individual assessment and any reports of 
 62.1   abuse relating to the person.  The plan shall be revised to 
 62.2   reflect the results of this review. 
 62.3      Subd. 3.  [ORIENTATION OF MANDATED REPORTERS.] The license 
 62.4   holder shall ensure that each new mandated reporter, as defined 
 62.5   in section 626.5572, subdivision 16, who is under the control of 
 62.6   the license holder, receives an orientation within 72 hours of 
 62.7   first providing direct contact services as defined in section 
 62.8   245A.04, subdivision 3, to a vulnerable adult and annually 
 62.9   thereafter.  The orientation and annual review shall inform the 
 62.10  mandated reporters of the reporting requirements and definitions 
 62.11  in sections 626.557 and 626.5572, the requirements of this 
 62.12  section, the license holder's program abuse prevention plan, and 
 62.13  all internal policies and procedures related to the prevention 
 62.14  and reporting of maltreatment of individuals receiving services. 
 62.15     Sec. 36.  Minnesota Statutes 1996, section 364.09, is 
 62.16  amended to read: 
 62.17     364.09 [EXCEPTIONS.] 
 62.18     (a) This chapter does not apply to the licensing process 
 62.19  for peace officers; to law enforcement agencies as defined in 
 62.20  section 626.84, subdivision 1, paragraph (h); to fire protection 
 62.21  agencies; to eligibility for a private detective or protective 
 62.22  agent license; to ~~eligibility for a family day care license, a~~ 
 62.23  ~~family foster care license, or a home care provider license~~ the 
 62.24  licensing process for applicants or license holders governed by 
 62.25  sections 245A.01 to 245A.16; to eligibility for school bus 
 62.26  driver endorsements; or to eligibility for special 
 62.27  transportation service endorsements.  This chapter also shall 
 62.28  not apply to eligibility for juvenile corrections employment, 
 62.29  where the offense involved child physical or sexual abuse or 
 62.30  criminal sexual conduct.  
 62.31     (b) This chapter does not apply to a school district or to 
 62.32  eligibility for a license issued or renewed by the board of 
 62.33  teaching or the state board of education.  
 62.34     (c) Nothing in this section precludes the Minnesota police 
 62.35  and peace officers training board or the state fire marshal from 
 62.36  recommending policies set forth in this chapter to the attorney 
 63.1   general for adoption in the attorney general's discretion to 
 63.2   apply to law enforcement or fire protection agencies. 
 63.3      (d) This chapter does not apply to a license to practice 
 63.4   medicine that has been denied or revoked by the board of medical 
 63.5   practice pursuant to section 147.091, subdivision 1a. 
 63.6      Sec. 37.  [REPEALER.] 
 63.7      Minnesota Statutes 1996, sections 245A.20; 245A.21; and 
 63.8   252.53, are repealed. 
 63.9      Minnesota Rules, parts 9503.0170, subpart 7; 9525.0215; 
 63.10  9525.0225; 9525.0235; 9525.0243; 9525.0245; 9525.0255; 
 63.11  9525.0265; 9525.0275; 9525.0285; 9525.0295; 9525.0305; 
 63.12  9525.0315; 9525.0325; 9525.0335; 9525.0345; 9525.0355; 
 63.13  9525.0500; 9525.0510; 9525.0520; 9525.0530; 9525.0540; 
 63.14  9525.0550; 9525.0560; 9525.0570; 9525.0580; 9525.0590; 
 63.15  9525.0600; 9525.0610; 9525.0620; 9525.0630; 9525.0640; 
 63.16  9525.0650; 9525.0660; 9525.1240, subpart 1, item E, subitem (6); 
 63.17  9525.1500; 9525.1510; 9525.1520; 9525.1530; 9525.1540; 
 63.18  9525.1550; 9525.1560; 9525.1570, subparts 2, 3, 4, 5, and 6; 
 63.19  9525.1580; 9525.1590; 9525.1610; 9525.1620; 9525.1630; 
 63.20  9525.1640; 9525.1650; 9525.1660; 9525.1670; 9525.1680; 
 63.21  9525.1690; 9525.2000; 9525.2010; 9525.2020; 9525.2025; 
 63.22  9525.2030; 9525.2040; 9525.2050; 9525.2060; 9525.2070; 
 63.23  9525.2080; 9525.2090; 9525.2100; 9525.2110; 9525.2120; 
 63.24  9525.2130; 9525.2140; 9555.8000; 9555.8100; 9555.8200; 
 63.25  9555.8300; 9555.8400; and 9555.8500, are repealed. 
 63.26     Sec. 38.  [EFFECTIVE DATE.] 
 63.27     Sections 1 to 22 and 32 are effective the day following 
 63.28  final enactment. 
 63.29     Sections 27 to 34 and 37 are effective January 1, 1998.