1.1 	A bill for an act
1.2 	human services; establishing community first services and supports and Northstar 
1.3 	Care for Children; modifying provisions relating to vital records, reporting 
1.4 	suspected maltreatment, child custody, data practices, background studies, and 
1.5 	fraud investigations; licensing home care providers; establishing penalties; 
1.6 	establishing an advisory council;amending Minnesota Statutes 2012, sections 
1.7 	144.051, by adding subdivisions; 144.212; 144.213; 144.215, subdivisions 3, 
1.8 	4; 144.216, subdivision 1; 144.217, subdivision 2; 144.218, subdivision 5; 
1.9 	144.225; 144.226; 243.166, subdivision 7; 245C.04, by adding a subdivision; 
1.10 	245C.08, subdivision 1; 245C.33, subdivision 1; 245D.05; 245D.06; 245D.10; 
1.11 	257.75, subdivision 7; 260C.635, subdivision 1; 517.001; 626.557, subdivisions 
1.12 	4, 9, 9e; proposing coding for new law in Minnesota Statutes, chapters 144; 
1.13 	144A; 149A; 245D; 256B; proposing coding for new law as Minnesota Statutes, 
1.14 	chapters 245E; 256N.
1.15 	BE IT ENACTED BY THE LEGISLATURE OF THE STATE OF MINNESOTA:

1.16 	ARTICLE 1
1.17 	REDESIGNING HOME AND COMMUNITY-BASED SERVICES

1.18 	Section 1. [256B.85] COMMUNITY FIRST SERVICES AND SUPPORTS.
1.19 		Subdivision 1.Basis and scope. (a) Upon federal approval, the commissioner 
1.20 	shall establish a medical assistance state plan option for the provision of home and 
1.21 	community-based personal assistance service and supports called "community first 
1.22 	services and supports (CFSS)."
1.23 	(b) CFSS is a participant-controlled method of selecting and providing services 
1.24 	and supports that allows the participant maximum control of the services and supports. 
1.25 	Participants may choose the degree to which they direct and manage their supports by 
1.26 	choosing to have a significant and meaningful role in the management of services and 
2.1 	supports including by directly employing support workers with the necessary supports 
2.2 	to perform that function.
2.3 	(c) CFSS is available statewide to eligible individuals to assist with accomplishing 
2.4 	activities of daily living (ADLs), instrumental activities of daily living (IADLs), and 
2.5 	health-related procedures and tasks through hands-on assistance to complete the task or 
2.6 	supervision and cueing to complete the task; and to assist with acquiring, maintaining, and 
2.7 	enhancing the skills necessary to accomplish ADLs, IADLs, and health-related procedures 
2.8 	and tasks. CFSS allows payment for certain supports and goods such as environmental 
2.9 	modifications and technology that are intended to replace or decrease the need for human 
2.10 	assistance.
2.11 	(d) Upon federal approval, CFSS will replace the personal care assistance program 
2.12 	under sections 256.476, 256B.0625, subdivisions 19a and 19c, and 256B.0659.
2.13 		Subd. 2.Definitions. (a) For the purposes of this section, the terms defined in 
2.14 	this subdivision have the meanings given.
2.15 	(b) "Activities of daily living" or "ADLs" means eating, toileting, grooming, 
2.16 	dressing, bathing, mobility, positioning, and transferring.
2.17 	(c) "Agency-provider model" means a method of CFSS under which a qualified 
2.18 	agency provides services and supports through the agency's own employees and policies. 
2.19 	The agency must allow the participant to have a significant role in the selection and 
2.20 	dismissal of support workers of their choice for the delivery of their specific services 
2.21 	and supports.
2.22 	(d) "Behavior" means a category to determine the home care rating and is based on the 
2.23 	criteria in section 256B.0659. "Level I behavior" means physical aggression towards self, 
2.24 	others, or destruction of property that requires the immediate response of another person.
2.25 	(e) "Complex health-related needs" means a category to determine the home care 
2.26 	rating and is based on the criteria in section 256B.0659.
2.27 	(f) "Community first services and supports" or "CFSS" means the assistance and 
2.28 	supports program under this section needed for accomplishing activities of daily living, 
2.29 	instrumental activities of daily living, and health-related tasks through hands-on assistance 
2.30 	to complete the task or supervision and cueing to complete the task, or the purchase of 
2.31 	goods as defined in subdivision 7, paragraph (a), clause (2), that replace the need for 
2.32 	human assistance.
2.33 	(g) "Community first services and supports service delivery plan" or "service delivery 
2.34 	plan" means a written summary of the services and supports, that is based on the community 
2.35 	support plan identified in section 256B.0911 and coordinated services and support plan 
3.1 	and budget identified in section 256B.0915, subdivision 6, if applicable, that is determined 
3.2 	by the participant to meet the assessed needs, using a person-centered planning process.
3.3 	(h) "Critical activities of daily living" means transferring, mobility, eating, and 
3.4 	toileting.
3.5 	(i) "Dependency" in activities of daily living means a person requires assistance to 
3.6 	begin and complete one or more of the activities of daily living.
3.7 	(j) "Financial management services contractor or vendor" means a qualified 
3.8 	organization having a written contract with the department to provide services necessary 
3.9 	to use the flexible spending model under subdivision 13, that include but are not limited 
3.10 	to: participant education and technical assistance; CFSS service delivery planning and 
3.11 	budgeting; billing, making payments, and monitoring of spending; and assisting the 
3.12 	participant in fulfilling employer-related requirements in accordance with Section 3504 of 
3.13 	the IRS code and the IRS Revenue Procedure 70-6.
3.14 	(k) "Flexible spending model" means a service delivery method of CFSS that uses 
3.15 	an individualized CFSS service delivery plan and service budget and assistance from the 
3.16 	financial management services contractor to facilitate participant employment of support 
3.17 	workers and the acquisition of supports and goods.
3.18 	(l) "Health-related procedures and tasks" means procedures and tasks related to 
3.19 	the specific needs of an individual that can be delegated or assigned by a state-licensed 
3.20 	healthcare or behavioral health professional and performed by a support worker.
3.21 	(m) "Instrumental activities of daily living" means activities related to living 
3.22 	independently in the community, including but not limited to: meal planning, preparation, 
3.23 	and cooking; shopping for food, clothing, or other essential items; laundry; housecleaning; 
3.24 	assistance with medications; managing money; communicating needs, preferences, and 
3.25 	activities; arranging supports; and assistance with traveling around and participating 
3.26 	in the community.
3.27 	(n) "Legal representative" means parent of a minor, a court-appointed guardian, or 
3.28 	another representative with legal authority to make decisions about services and supports 
3.29 	for the participant. Other representatives with legal authority to make decisions include 
3.30 	but are not limited to a health care agent or an attorney-in-fact authorized through a health 
3.31 	care directive or power of attorney.
3.32 	(o) "Medication assistance" means providing verbal or visual reminders to take 
3.33 	regularly scheduled medication and includes any of the following supports:
3.34 	(1) under the direction of the participant or the participant's representative, bringing 
3.35 	medications to the participant including medications given through a nebulizer, opening a 
3.36 	container of previously set up medications, emptying the container into the participant's 
4.1 	hand, opening and giving the medication in the original container to the participant, or 
4.2 	bringing to the participant liquids or food to accompany the medication;
4.3 	(2) organizing medications as directed by the participant or the participant's 
4.4 	representative; and
4.5 	(3) providing verbal or visual reminders to perform regularly scheduled medications.
4.6 	(p) "Participant's representative" means a parent, family member, advocate, or 
4.7 	other adult authorized by the participant to serve as a representative in connection with 
4.8 	the provision of CFSS. This authorization must be in writing or by another method 
4.9 	that clearly indicates the participant's free choice. The participant's representative must 
4.10 	have no financial interest in the provision of any services included in the participant's 
4.11 	service delivery plan and must be capable of providing the support necessary to assist 
4.12 	the participant in the use of CFSS. If through the assessment process described in 
4.13 	subdivision 5 a participant is determined to be in need of a participant's representative, one 
4.14 	must be selected. If the participant is unable to assist in the selection of a participant's 
4.15 	representative, the legal representative shall appoint one. Two persons may be designated 
4.16 	as a participant's representative for reasons such as divided households and court-ordered 
4.17 	custodies. Duties of a participant's representatives may include:
4.18 	(1) being available while care is provided in a method agreed upon by the participant 
4.19 	or the participant's legal representative and documented in the participant's CFSS service 
4.20 	delivery plan;
4.21 	(2) monitoring CFSS services to ensure the participant's CFSS service delivery 
4.22 	plan is being followed; and
4.23 	(3) reviewing and signing CFSS time sheets after services are provided to provide 
4.24 	verification of the CFSS services.
4.25 	(q) "Person-centered planning process" means a process that is driven by the 
4.26 	participant for discovering and planning services and supports that ensures the participant 
4.27 	makes informed choices and decisions. The person-centered planning process must:
4.28 	(1) include people chosen by the participant;
4.29 	(2) provide necessary information and support to ensure that the participant directs 
4.30 	the process to the maximum extent possible, and is enabled to make informed choices 
4.31 	and decisions;
4.32 	(3) be timely and occur at time and locations of convenience to the participant;
4.33 	(4) reflect cultural considerations of the participant;
4.34 	(5) include strategies for solving conflict or disagreement within the process, 
4.35 	including clear conflict-of-interest guidelines for all planning;
5.1 	(6) offers choices to the participant regarding the services and supports they receive 
5.2 	and from whom;
5.3 	(7) include a method for the participant to request updates to the plan; and
5.4 	(8) record the alternative home and community-based settings that were considered 
5.5 	by the participant.
5.6 	(r) "Shared services" means the provision of CFSS services by the same CFSS 
5.7 	support worker to two or three participants who voluntarily enter into an agreement to 
5.8 	receive services at the same time and in the same setting by the same provider.
5.9 	(s) "Support specialist" means a professional with the skills and ability to assist the 
5.10 	participant using either the agency provider model under subdivision 11 or the flexible 
5.11 	spending model under subdivision 13, in services including, but not limited to assistance 
5.12 	regarding:
5.13 	(1) the development, implementation, and evaluation of the CFSS service delivery 
5.14 	plan under subdivision 6;
5.15 	(2) recruitment, training, or supervision, including supervision of health-related 
5.16 	tasks or behavioral supports appropriately delegated by a health care professional, and 
5.17 	evaluation of support workers; and
5.18 	(3) facilitating the use of informal and community supports, goods, or resources.
5.19 	(t) "Support worker" means an employee of the agency provider or of the participant 
5.20 	who has direct contact with the participant and provides services as specified within the 
5.21 	participant's service delivery plan.
5.22 	(u) "Wages and benefits" means the hourly wages and salaries, the employer's 
5.23 	share of FICA taxes, Medicare taxes, state and federal unemployment taxes, workers' 
5.24 	compensation, mileage reimbursement, health and dental insurance, life insurance, 
5.25 	disability insurance, long-term care insurance, uniform allowance, contributions to 
5.26 	employee retirement accounts, or other forms of employee compensation and benefits.
5.27 		Subd. 3.Eligibility. (a) CFSS is available to a person who meets one of the 
5.28 	following:
5.29 	(1) is a recipient of medical assistance as determined under section 256B.055, 
5.30 	256B.056, or 256B.057, subdivisions 5 and 9;
5.31 	(2) is a recipient of the alternative care program under section 256B.0913;
5.32 	(3) is a waiver recipient as defined under section 256B.0915, 256B.092, 256B.093, 
5.33 	or 256B.49; or
5.34 	(4) has medical services identified in a participant's individualized education 
5.35 	program and is eligible for services as determined in section 256B.0625, subdivision 26.
6.1 	(b) In addition to meeting the eligibility criteria in paragraph (a), a person must also 
6.2 	meet all of the following:
6.3 	(1) require assistance and be determined dependent in one activity of daily living or 
6.4 	Level I behavior based on assessment under section 256B.0911;
6.5 	(2) is not a recipient under the family support grant under section 252.32;
6.6 	(3) lives in the person's own apartment or home including a family foster care setting 
6.7 	licensed under chapter 245A, but not in corporate foster care under chapter 245A; or a 
6.8 	noncertified boarding care or boarding and lodging establishments under chapter 157; 
6.9 	unless transitioning into the community from an institution; and
6.10 	(4) has not been excluded or disenrolled from the flexible spending model. 
6.11 	(c) The commissioner shall disenroll or exclude participants from the flexible 
6.12 	spending model and transfer them to the agency-provider model under the following 
6.13 	circumstances that include but are not limited to:
6.14 	(1) when a participant has been restricted by the Minnesota restricted recipient 
6.15 	program, the participant may be excluded for a specified time period;
6.16 	(2) when a participant exits the flexible spending service delivery model during the 
6.17 	participant's service plan year. Upon transfer, the participant shall not access the flexible 
6.18 	spending model for the remainder of that service plan year; or
6.19 	(3) when the department determines that the participant or participant's representative 
6.20 	or legal representative cannot manage participant responsibilities under the service 
6.21 	delivery model. The commissioner must develop policies for determining if a participant 
6.22 	is unable to manage responsibilities under a service model.
6.23 	(d) A participant may appeal in writing to the department to contest the department's 
6.24 	decision under paragraph (c), clause (3), to remove or exclude the participant from the 
6.25 	flexible spending model.
6.26 		Subd. 4.Eligibility for other services. Selection of CFSS by a participant must not 
6.27 	restrict access to other medically necessary care and services furnished under the state 
6.28 	plan medical assistance benefit or other services available through alternative care.
6.29 		Subd. 5.Assessment requirements. (a) The assessment of functional need must:
6.30 	(1) be conducted by a certified assessor according to the criteria established in 
6.31 	section 256B.0911;
6.32 	(2) be conducted face-to-face, initially and at least annually thereafter, or when there 
6.33 	is a significant change in the participant's condition or a change in the need for services 
6.34 	and supports; and
6.35 	(3) be completed using the format established by the commissioner.
7.1 	(b) A participant who is residing in a facility may be assessed and choose CFSS for 
7.2 	the purpose of using CFSS to return to the community as described in subdivisions 3 
7.3 	and 7, paragraph (a), clause (5).
7.4 	(c) The results of the assessment and any recommendations and authorizations for 
7.5 	CFSS must be determined and communicated in writing by the lead agency's certified 
7.6 	assessor as defined in section 256B.0911 to the participant and the agency-provider or 
7.7 	financial management services provider chosen by the participant within 40 calendar days 
7.8 	and must include the participant's right to appeal under section 256.045.
7.9 		Subd. 6.Community first services and support service delivery plan. (a) The 
7.10 	CFSS service delivery plan must be developed, implemented, and evaluated through a 
7.11 	person-centered planning process by the participant, or the participant's representative 
7.12 	or legal representative who may be assisted by a support specialist. The CFSS service 
7.13 	delivery plan must reflect the services and supports that are important to the participant 
7.14 	and for the participant to meet the needs assessed by the certified assessor and identified 
7.15 	in the community support plan under section 256B.0911 or the coordinated services and 
7.16 	support plan identified in section 256B.0915, subdivision 6, if applicable. The CFSS 
7.17 	service delivery plan must be reviewed by the participant and the agency-provider or 
7.18 	financial management services contractor at least annually upon reassessment, or when 
7.19 	there is a significant change in the participant's condition, or a change in the need for 
7.20 	services and supports.
7.21 	(b) The commissioner shall establish the format and criteria for the CFSS service 
7.22 	delivery plan.
7.23 	(c) The CFSS service delivery plan must be person-centered and:
7.24 	(1) specify the agency-provider or financial management services contractor selected 
7.25 	by the participant;
7.26 	(2) reflect the setting in which the participant resides that is chosen by the participant;
7.27 	(3) reflect the participant's strengths and preferences;
7.28 	(4) include the means to address the clinical and support needs as identified through 
7.29 	an assessment of functional needs;
7.30 	(5) include individually identified goals and desired outcomes;
7.31 	(6) reflect the services and supports, paid and unpaid, that will assist the participant 
7.32 	to achieve identified goals, and the providers of those services and supports, including 
7.33 	natural supports;
7.34 	(7) identify the amount and frequency of face-to-face supports and amount and 
7.35 	frequency of remote supports and technology that will be used;
8.1 	(8) identify risk factors and measures in place to minimize them, including 
8.2 	individualized backup plans;
8.3 	(9) be understandable to the participant and the individuals providing support;
8.4 	(10) identify the individual or entity responsible for monitoring the plan;
8.5 	(11) be finalized and agreed to in writing by the participant and signed by all 
8.6 	individuals and providers responsible for its implementation;
8.7 	(12) be distributed to the participant and other people involved in the plan; and
8.8 	(13) prevent the provision of unnecessary or inappropriate care.
8.9 	(d) The total units of agency-provider services or the budget allocation amount for 
8.10 	the flexible spending model include both annual totals and a monthly average amount 
8.11 	that cover the number of months of the service authorization. The amount used each 
8.12 	month may vary, but additional funds must not be provided above the annual service 
8.13 	authorization amount unless a change in condition is assessed and authorized by the 
8.14 	certified assessor and documented in the community support plan, coordinated services 
8.15 	and supports plan, and service delivery plan.
8.16 		Subd. 7.Community first services and supports; covered services.  Services 
8.17 	and supports covered under CFSS include:
8.18 	(1) assistance to accomplish activities of daily living (ADLs), instrumental activities 
8.19 	of daily living (IADLs), and health-related procedures and tasks through hands-on 
8.20 	assistance to complete the task or supervision and cueing to complete the task;
8.21 	(2) assistance to acquire, maintain, or enhance the skills necessary for the participant 
8.22 	to accomplish activities of daily living, instrumental activities of daily living, or 
8.23 	health-related tasks;
8.24 	(3) expenditures for items, services, supports, environmental modifications, or 
8.25 	goods, including assistive technology. These expenditures must:
8.26 	(i) relate to a need identified in a participant's CFSS service delivery plan; 
8.27 	(ii) increase independence or substitute for human assistance to the extent that 
8.28 	expenditures would otherwise be made for human assistance for the participant's assessed 
8.29 	needs; and
8.30 	(iii) fit within the annual limit of the participant's approved service allocation 
8.31 	or budget;
8.32 	(4) observation and redirection for episodes where there is a need for redirection 
8.33 	due to participant behaviors or intervention needed due to a participant's symptoms. An 
8.34 	assessment of behaviors must meet the criteria in this clause. A recipient qualifies as 
8.35 	having a need for assistance due to behaviors if the recipient's behavior requires assistance 
8.36 	at least four times per week and shows one or more of the following behaviors:
9.1 	(i) physical aggression towards self or others, or destruction of property that requires 
9.2 	the immediate response of another person;
9.3 	(ii) increased vulnerability due to cognitive deficits or socially inappropriate 
9.4 	behavior; or
9.5 	(iii) increased need for assistance for recipients who are verbally aggressive or 
9.6 	resistive to care so that time needed to perform activities of daily living is increased;
9.7 	(5) back-up systems or mechanisms, such as the use of pagers or other electronic 
9.8 	devices, to ensure continuity of the participant's services and supports;
9.9 	(6) transition costs, including:
9.10 	(i) deposits for rent and utilities;
9.11 	(ii) first month's rent and utilities;
9.12 	(iii) bedding;
9.13 	(iv) basic kitchen supplies;
9.14 	(v) other necessities, to the extent that these necessities are not otherwise covered 
9.15 	under any other funding that the participant is eligible to receive; and
9.16 	(vi) other required necessities for an individual to make the transition from a nursing 
9.17 	facility, institution for mental diseases, or intermediate care facility for persons with 
9.18 	developmental disabilities to a community-based home setting where the participant 
9.19 	resides; and
9.20 	(7) services by a support specialist defined under subdivision 2 that are chosen 
9.21 	by the participant.
9.22 		Subd. 8.Determination of CFSS service methodology. (a) All community first 
9.23 	services and supports must be authorized by the commissioner or the commissioner's 
9.24 	designee before services begin except for the assessments established in section 
9.25 	256B.0911. The authorization for CFSS must be completed within 30 days after receiving 
9.26 	a complete request.
9.27 	(b) The amount of CFSS authorized must be based on the recipient's home 
9.28 	care rating. The home care rating shall be determined by the commissioner or the 
9.29 	commissioner's designee based on information submitted to the commissioner identifying 
9.30 	the following for a recipient:
9.31 	(1) the total number of dependencies of activities of daily living as defined in 
9.32 	subdivision 2;
9.33 	(2) the presence of complex health-related needs as defined in subdivision 2; and
9.34 	(3) the presence of Level I behavior as defined in subdivision 2.
9.35 	(c) For purposes meeting the criteria in paragraph (b), the methodology to determine 
9.36 	the total minutes for CFSS for each home care rating is based on the median paid units 
10.1 	per day for each home care rating from fiscal year 2007 data for the PCA program. Each 
10.2 	home care rating has a base number of minutes assigned. Additional minutes are added 
10.3 	through the assessment and identification of the following:
10.4 	(1) 30 additional minutes per day for a dependency in each critical activity of daily 
10.5 	living as defined in subdivision 2;
10.6 	(2) 30 additional minutes per day for each complex health-related function as 
10.7 	defined in subdivision 2; and
10.8 	(3) 30 additional minutes per day for each behavior issue as defined in subdivision 2.
10.9 		Subd. 9.Noncovered services. (a) Services or supports that are not eligible for 
10.10 	payment under this section include those that:
10.11 	(1) are not authorized by the certified assessor or included in the written service 
10.12 	delivery plan;
10.13 	(2) are provided prior to the authorization of services and the approval of the written 
10.14 	CFSS service delivery plan;
10.15 	(3) are duplicative of other paid services in the written service delivery plan;
10.16 	(4) supplant natural unpaid supports that are provided voluntarily to the participant 
10.17 	and are selected by the participant in lieu of a support worker and appropriately meeting 
10.18 	the participant's needs;
10.19 	(5) are not effective means to meet the participant's needs; and
10.20 	(6) are available through other funding sources, including, but not limited to, funding 
10.21 	through Title IV-E of the Social Security Act.
10.22 	(b) Additional services, goods, or supports that are not covered include:
10.23 	(1) those that are not for the direct benefit of the participant;
10.24 	(2) any fees incurred by the participant, such as Minnesota health care programs fees 
10.25 	and co-pays, legal fees, or costs related to advocate agencies;
10.26 	(3) insurance, except for insurance costs related to employee coverage;
10.27 	(4) room and board costs for the participant with the exception of allowable 
10.28 	transition costs in subdivision 7, clause (6);
10.29 	(5) services, supports, or goods that are not related to the assessed needs;
10.30 	(6) special education and related services provided under the Individuals with 
10.31 	Disabilities Education Act and vocational rehabilitation services provided under the 
10.32 	Rehabilitation Act of 1973;
10.33 	(7) assistive technology devices and assistive technology services other than those 
10.34 	for back-up systems or mechanisms to ensure continuity of service and supports listed in 
10.35 	subdivision 7;
10.36 	(8) medical supplies and equipment;
11.1 	(9) environmental modifications, except as specified in subdivision 7;
11.2 	(10) expenses for travel, lodging, or meals related to training the participant, the 
11.3 	participant's representative, legal representative, or paid or unpaid caregivers that exceed 
11.4 	$500 in a 12-month period;
11.5 	(11) experimental treatments;
11.6 	(12) any service or good covered by other medical assistance state plan services, 
11.7 	including prescription and over-the-counter medications, compounds, and solutions and 
11.8 	related fees, including premiums and co-payments;
11.9 	(13) membership dues or costs, except when the service is necessary and appropriate 
11.10 	to treat a physical condition or to improve or maintain the participant's physical condition. 
11.11 	The condition must be identified in the participant's CFSS plan and monitored by a 
11.12 	physician enrolled in a Minnesota health care program;
11.13 	(14) vacation expenses other than the cost of direct services;
11.14 	(15) vehicle maintenance or modifications not related to the disability, health 
11.15 	condition, or physical need; and
11.16 	(16) tickets and related costs to attend sporting or other recreational or entertainment 
11.17 	events.
11.18 		Subd. 10.Provider qualifications and general requirements. (a) 
11.19 	Agency-providers delivering services under the agency-provider model under subdivision 
11.20 	11 or financial management service (FMS) contractors under subdivision 13 shall:
11.21 	(1) enroll as a medical assistance Minnesota health care programs provider and meet 
11.22 	all applicable provider standards;
11.23 	(2) comply with medical assistance provider enrollment requirements;
11.24 	(3) demonstrate compliance with law and policies of CFSS as determined by the 
11.25 	commissioner;
11.26 	(4) comply with background study requirements under chapter 245C;
11.27 	(5) verify and maintain records of all services and expenditures by the participant, 
11.28 	including hours worked by support workers and support specialists;
11.29 	(6) not engage in any agency-initiated direct contact or marketing in person, by 
11.30 	telephone, or other electronic means to potential participants, guardians, family member 
11.31 	or participants' representatives;
11.32 	(7) pay support workers and support specialists based upon actual hours of services 
11.33 	provided;
11.34 	(8) withhold and pay all applicable federal and state payroll taxes;
11.35 	(9) make arrangements and pay unemployment insurance, taxes, workers' 
11.36 	compensation, liability insurance, and other benefits, if any;
12.1 	(10) enter into a written agreement with the participant, participant's representative, 
12.2 	or legal representative that assigns roles and responsibilities to be performed before 
12.3 	services, supports, or goods are provided using a format established by the commissioner;
12.4 	(11) report suspected neglect and abuse to the common entry point according to 
12.5 	sections 256B.0651 and 626.557; and
12.6 	(12) provide the participant with a copy of the service-related rights under 
12.7 	subdivision 19 at the start of services and supports.
12.8 	(b) The commissioner shall develop policies and procedures designed to ensure 
12.9 	program integrity and fiscal accountability for goods and services provided in this section.
12.10 		Subd. 11.Agency-provider model. (a) The agency-provider model is limited to 
12.11 	the services provided by support workers and support specialists who are employed by 
12.12 	an agency-provider that is licensed according to chapter 245A or meets other criteria 
12.13 	established by the commissioner, including required training.
12.14 	(b) The agency-provider shall allow the participant to retain the ability to have a 
12.15 	significant role in the selection and dismissal of the support workers for the delivery of the 
12.16 	services and supports specified in the service delivery plan.
12.17 	(c) A participant may use authorized units of CFSS services as needed within 
12.18 	a service authorization that is not greater than 12 months. Using authorized units 
12.19 	agency-provider services or the budget allocation amount for the flexible spending model 
12.20 	flexibly does not increase the total amount of services and supports authorized for a 
12.21 	participant or included in the participant's service delivery plan.
12.22 	(d) A participant may share CFSS services. Two or three CFSS participants may 
12.23 	share services at the same time provided by the same support worker.
12.24 	(e) The agency-provider must use a minimum of 72.5 percent of the revenue 
12.25 	generated by the medical assistance payment for CFSS for support worker wages and 
12.26 	benefits. The agency-provider must document how this requirement is being met. The 
12.27 	revenue generated by the support specialist and the reasonable costs associated with the 
12.28 	support specialist must not be used in making this calculation.
12.29 	(f) The agency-provider model must be used by individuals who have been restricted 
12.30 	by the Minnesota restricted recipient program.
12.31 		Subd. 12.Requirements for initial enrollment of CFSS provider agencies. (a) 
12.32 	All CFSS provider agencies must provide, at the time of enrollment as a CFSS provider 
12.33 	agency in a format determined by the commissioner, information and documentation that 
12.34 	includes, but is not limited to, the following:
12.35 	(1) the CFSS provider agency's current contact information including address, 
12.36 	telephone number, and e-mail address;
13.1 	(2) proof of surety bond coverage in the amount of $50,000 or ten percent of the 
13.2 	provider's payments from Medicaid in the previous year, whichever is less;
13.3 	(3) proof of fidelity bond coverage in the amount of $20,000;
13.4 	(4) proof of workers' compensation insurance coverage;
13.5 	(5) proof of liability insurance;
13.6 	(6) a description of the CFSS provider agency's organization identifying the names 
13.7 	or all owners, managing employees, staff, board of directors, and the affiliations of the 
13.8 	directors, owners, or staff to other service providers;
13.9 	(7) a copy of the CFSS provider agency's written policies and procedures including: 
13.10 	hiring of employees; training requirements; service delivery; and employee and consumer 
13.11 	safety including process for notification and resolution of consumer grievances, 
13.12 	identification and prevention of communicable diseases, and employee misconduct;
13.13 	(8) copies of all other forms the CFSS provider agency uses in the course of daily 
13.14 	business including, but not limited to:
13.15 	(i) a copy of the CFSS provider agency's time sheet if the time sheet varies from 
13.16 	the standard time sheet for CFSS services approved by the commissioner, and a letter 
13.17 	requesting approval of the CFSS provider agency's nonstandard time sheet;
13.18 	(ii) the CFSS provider agency's template for the CFSS care plan; and
13.19 	(iii) the CFSS provider agency's template for the written agreement in subdivision 
13.20 	21 for recipients using the CFSS choice option, if applicable;
13.21 	(9) a list of all training and classes that the CFSS provider agency requires of its 
13.22 	staff providing CFSS services;
13.23 	(10) documentation that the CFSS provider agency and staff have successfully 
13.24 	completed all the training required by this section;
13.25 	(11) documentation of the agency's marketing practices;
13.26 	(12) disclosure of ownership, leasing, or management of all residential properties 
13.27 	that is used or could be used for providing home care services;
13.28 	(13) documentation that the agency will use the following percentages of revenue 
13.29 	generated from the medical assistance rate paid for CFSS services for employee personal 
13.30 	care assistant wages and benefits: 72.5 percent of revenue from CFSS providers. The 
13.31 	revenue generated by the support specialist and the reasonable costs associated with the 
13.32 	support specialist shall not be used in making this calculation; and
13.33 	(14) documentation that the agency does not burden recipients' free exercise of their 
13.34 	right to choose service providers by requiring personal care assistants to sign an agreement 
13.35 	not to work with any particular CFSS recipient or for another CFSS provider agency after 
14.1 	leaving the agency and that the agency is not taking action on any such agreements or 
14.2 	requirements regardless of the date signed.
14.3 	(b) CFSS provider agencies shall provide the information specified in paragraph 
14.4 	(a) to the commissioner.
14.5 	(c) All CFSS provider agencies shall require all employees in management and 
14.6 	supervisory positions and owners of the agency who are active in the day-to-day 
14.7 	management and operations of the agency to complete mandatory training as determined 
14.8 	by the commissioner. Employees in management and supervisory positions and owners 
14.9 	who are active in the day-to-day operations of an agency who have completed the required 
14.10 	training as an employee with a CFSS provider agency do not need to repeat the required 
14.11 	training if they are hired by another agency, if they have completed the training within 
14.12 	the past three years. CFSS provider agency billing staff shall complete training about 
14.13 	CFSS program financial management. Any new owners or employees in management 
14.14 	and supervisory positions involved in the day-to-day operations are required to complete 
14.15 	mandatory training as a requisite of working for the agency. CFSS provider agencies 
14.16 	certified for participation in Medicare as home health agencies are exempt from the 
14.17 	training required in this subdivision.
14.18 		Subd. 13.Flexible spending model. (a) Under the flexible spending model 
14.19 	participants can exercise more responsibility and control over the services and supports 
14.20 	described and budgeted within the CFSS service delivery plan. Under this model:
14.21 	(1) participants directly employ support workers;
14.22 	(2) participants may use a budget allocation to obtain supports and goods as defined 
14.23 	in subdivision 7; and
14.24 	(3) from the financial management services (FMS) contractor the participant may 
14.25 	choose a range of support assistance services relating to:
14.26 	(i) planning, budgeting, and management of services and support;
14.27 	(ii) the participant's employment, training, supervision, and evaluation of workers;
14.28 	(iii) acquisition and payment for supports and goods; and
14.29 	(iv) evaluation of individual service outcomes as needed for the scope of the 
14.30 	participant's degree of control and responsibility.
14.31 	(b) Participants who are unable to fulfill any of the functions listed in paragraph (a) 
14.32 	may authorize a legal representative or participant's representative to do so on their behalf.
14.33 	(c) The FMS contractor shall not provide CFSS services and supports under the 
14.34 	agency-provider service model. The FMS contractor shall provide service functions as 
14.35 	determined by the commissioner that include but are not limited to:
14.36 	(1) information and consultation about CFSS;
15.1 	(2) assistance with the development of the service delivery plan and flexible 
15.2 	spending model as requested by the participant;
15.3 	(3) billing and making payments for flexible spending model expenditures;
15.4 	(4) assisting participants in fulfilling employer-related requirements according to 
15.5 	Internal Revenue Code Procedure 70-6, section 3504, Agency Employer Tax Liability, 
15.6 	regulation 137036-08, which includes assistance with filing and paying payroll taxes, and 
15.7 	obtaining worker compensation coverage;
15.8 	(5) data recording and reporting of participant spending; and
15.9 	(6) other duties established in the contract with the department.
15.10 	(d) A participant who requests to purchase goods and supports along with support 
15.11 	worker services under the agency-provider model must use flexible spending model 
15.12 	with a service delivery plan that specifies the amount of services to be authorized to the 
15.13 	agency-provider and the expenditures to be paid by the FMS contractor.
15.14 	(e) The FMS contractor shall:
15.15 	(1) not limit or restrict the participant's choice of service or support providers or 
15.16 	service delivery models as authorized by the commissioner;
15.17 	(2) provide the participant and the targeted case manager, if applicable, with a 
15.18 	monthly written summary of the spending for services and supports that were billed 
15.19 	against the spending budget;
15.20 	(3) be knowledgeable of state and federal employment regulations under the Fair 
15.21 	Labor Standards Act of 1938, and comply with the requirements under the Internal 
15.22 	Revenue Service Revenue Code Procedure 70-6, Section 35-4, Agency Employer Tax 
15.23 	Liability for vendor or fiscal employer agent, and any requirements necessary to process 
15.24 	employer and employee deductions, provide appropriate and timely submission of 
15.25 	employer tax liabilities, and maintain documentation to support medical assistance claims;
15.26 	(4) have current and adequate liability insurance and bonding and sufficient cash 
15.27 	flow as determined by the commission and have on staff or under contract a certified 
15.28 	public accountant or an individual with a baccalaureate degree in accounting;
15.29 	(5) assume fiscal accountability for state funds designated for the program; and
15.30 	(6) maintain documentation of receipts, invoices, and bills to track all services and 
15.31 	supports expenditures for any goods purchased and maintain time records of support 
15.32 	workers. The documentation and time records must be maintained for a minimum of 
15.33 	five years from the claim date and be available for audit or review upon request by the 
15.34 	commissioner. Claims submitted by the FMS contractor to the commissioner for payment 
15.35 	must correspond with services, amounts, and time periods as authorized in the participant's 
15.36 	spending budget and service plan.
16.1 	(f) The commissioner of human services shall:
16.2 	(1) establish rates and payment methodology for the FMS contractor;
16.3 	(2) identify a process to ensure quality and performance standards for the FMS 
16.4 	contractor and ensure statewide access to FMS contractors; and
16.5 	(3) establish a uniform protocol for delivering and administering CFSS services 
16.6 	to be used by eligible FMS contractors.
16.7 	(g) Participants who are disenrolled from the model shall be transferred to the 
16.8 	agency-provider model.
16.9 		Subd. 14.Participant's responsibilities under flexible spending model. (a) A 
16.10 	participant using the flexible spending model must use a FMS contractor or vendor that is 
16.11 	under contract with the department. Upon a determination of eligibility and completion of 
16.12 	the assessment and community support plan, the participant shall choose a FMS contractor 
16.13 	from a list of eligible vendors maintained by the department.
16.14 	(b) When the participant, participant's representative, or legal representative chooses 
16.15 	to be the employer of the support worker, they are responsible for recruiting, interviewing, 
16.16 	hiring, training, scheduling, supervising, and discharging direct support workers.
16.17 	(c) In addition to the employer responsibilities in paragraph (b), the participant, 
16.18 	participant's representative, or legal representative is responsible for:
16.19 	(1) tracking the services provided and all expenditures for goods or other supports;
16.20 	(2) preparing and submitting time sheets, signed by both the participant and support 
16.21 	worker, to the FMS contractor on a regular basis and in a timely manner according to 
16.22 	the FMS contractor's procedures;
16.23 	(3) notifying the FMS contractor within ten days of any changes in circumstances 
16.24 	affecting the CFSS service plan or in the participant's place of residence including, but 
16.25 	not limited to, any hospitalization of the participant or change in the participant's address, 
16.26 	telephone number, or employment;
16.27 	(4) notifying the FMS contractor of any changes in the employment status of each 
16.28 	participant support worker; and
16.29 	(5) reporting any problems resulting from the quality of services rendered by the 
16.30 	support worker to the FMS contractor. If the participant is unable to resolve any problems 
16.31 	resulting from the quality of service rendered by the support worker with the assistance of 
16.32 	the FMS contractor, the participant shall report the situation to the department.
16.33 		Subd. 15.Documentation of support services provided. (a) Support services 
16.34 	provided to a participant by a support worker employed by either an agency-provider 
16.35 	or the participant acting as the employer must be documented daily by each support 
16.36 	worker, on a time sheet form approved by the commissioner. All documentation may be 
17.1 	Web-based, electronic, or paper documentation. The completed form must be submitted 
17.2 	on a monthly basis to the provider or the participant and the FMS contractor selected by 
17.3 	the participant to provide assistance with meeting the participant's employer obligations 
17.4 	and kept in the recipient's health record.
17.5 	(b) The activity documentation must correspond to the written service delivery plan 
17.6 	and be reviewed by the agency provider or the participant and the FMS contractor when 
17.7 	the participant is acting as the employer of the support worker.
17.8 	(c) The time sheet must be on a form approved by the commissioner documenting 
17.9 	time the support worker provides services in the home. The following criteria must be 
17.10 	included in the time sheet:
17.11 	(1) full name of the support worker and individual provider number;
17.12 	(2) provider name and telephone numbers, if an agency-provider is responsible for 
17.13 	delivery services under the written service plan;
17.14 	(3) full name of the participant;
17.15 	(4) consecutive dates, including month, day, and year, and arrival and departure 
17.16 	times with a.m. or p.m. notations;
17.17 	(5) signatures of the participant or the participant's representative;
17.18 	(6) personal signature of the support worker;
17.19 	(7) any shared care provided, if applicable;
17.20 	(8) a statement that it is a federal crime to provide false information on CFSS 
17.21 	billings for medical assistance payments; and
17.22 	(9) dates and location of recipient stays in a hospital, care facility, or incarceration.
17.23 		Subd. 16.Support workers requirements. (a) Support workers shall:
17.24 	(1) enroll with the department as a support worker after a background study under 
17.25 	chapter 245C has been completed and the support worker has received a notice from the 
17.26 	commissioner that:
17.27 	(i) the support worker is not disqualified under section 245C.14; or
17.28 	(ii) is disqualified, but the support worker has received a set-aside of the 
17.29 	disqualification under section 245C.22;
17.30 	(2) have the ability to effectively communicate with the participant or the 
17.31 	participant's representative;
17.32 	(3) have the skills and ability to provide the services and supports according to the 
17.33 	person's CFSS service delivery plan and respond appropriately to the participant's needs;
17.34 	(4) not be a participant of CFSS;
17.35 	(5) complete the basic standardized training as determined by the commissioner 
17.36 	before completing enrollment. The training must be available in languages other than 
18.1 	English and to those who need accommodations due to disabilities. Support worker 
18.2 	training must include successful completion of the following training components: basic 
18.3 	first aid, vulnerable adult, child maltreatment, OSHA universal precautions, basic roles 
18.4 	and responsibilities of support workers including information about basic body mechanics, 
18.5 	emergency preparedness, orientation to positive behavioral practices, orientation to 
18.6 	responding to a mental health crisis, fraud issues, time cards and documentation, and an 
18.7 	overview of person-centered planning and self-direction. Upon completion of the training 
18.8 	components, the support worker must pass the certification test to provide assistance 
18.9 	to participants;
18.10 	(6) complete training and orientation on the participant's individual needs; and
18.11 	(7) maintain the privacy and confidentiality of the participant, and not independently 
18.12 	determine the medication dose or time for medications for the participant.
18.13 	(b) The commissioner may deny or terminate a support worker's provider enrollment 
18.14 	and provider number if the support worker:
18.15 	(1) lacks the skills, knowledge, or ability to adequately or safely perform the 
18.16 	required work;
18.17 	(2) fails to provide the authorized services required by the participant employer;
18.18 	(3) has been intoxicated by alcohol or drugs while providing authorized services to 
18.19 	the participant or while in the participant's home;
18.20 	(4) has manufactured or distributed drugs while providing authorized services to the 
18.21 	participant or while in the participant's home; or
18.22 	(5) has been excluded as a provider by the commissioner of human services, or the 
18.23 	United States Department of Health and Human Services, Office of Inspector General, 
18.24 	from participation in Medicaid, Medicare, or any other federal health care program.
18.25 	(c) A support worker may appeal in writing to the commissioner to contest the 
18.26 	decision to terminate the support worker's provider enrollment and provider number.
18.27 		Subd. 17.Support specialist requirements and payments. The commissioner 
18.28 	shall develop qualifications, scope of functions, and payment rates and service limits for a 
18.29 	support specialist that may provide additional or specialized assistance necessary to plan, 
18.30 	implement, arrange, augment, or evaluate services and supports.
18.31 		Subd. 18.Service unit and budget allocation requirements. (a) For the 
18.32 	agency-provider model, services will be authorized in units of service. The total service 
18.33 	unit amount must be established based upon the assessed need for CFSS services, and 
18.34 	must not exceed the maximum number of units available as determined by section 
18.35 	256B.0652, subdivision 6. The unit rate established by the commissioner is used with 
18.36 	assessed units to determine the maximum available CFSS allocation.
19.1 	(b) For the flexible spending model, services and supports are authorized under 
19.2 	a budget limit.
19.3 	(c) The maximum available CFSS participant budget allocation shall be established 
19.4 	by multiplying the number of units authorized under subdivision 8 by the payment rate 
19.5 	established by the commissioner.
19.6 		Subd. 19.Support system. (a) The commissioner shall provide information, 
19.7 	consultation, training, and assistance to ensure the participant is able to manage the 
19.8 	services and supports and budgets, if applicable. This support shall include individual 
19.9 	consultation on how to select and employ workers, manage responsibilities under CFSS, 
19.10 	and evaluate personal outcomes.
19.11 	(b) The commissioner shall provide assistance with the development of risk 
19.12 	management agreements.
19.13 		Subd. 20.Service-related rights. Participants must be provided with adequate 
19.14 	information, counseling, training, and assistance, as needed, to ensure that the participant 
19.15 	is able to choose and manage services, models, and budgets. This support shall include 
19.16 	information regarding: (1) person-centered planning; (2) the range and scope of individual 
19.17 	choices; (3) the process for changing plans, services and budgets; (4) the grievance 
19.18 	process; (5) individual rights; (6) identifying and assessing appropriate services; (7) risks 
19.19 	and responsibilities; and (8) risk management. A participant who appeals a reduction in 
19.20 	previously authorized CFSS services may continue previously authorized services pending 
19.21 	an appeal under section 256.045. The commissioner must ensure that the participant 
19.22 	has a copy of the most recent service delivery plan that contains a detailed explanation 
19.23 	of which areas of covered CFSS are reduced, and provide notice of the amount of the 
19.24 	budget reduction, and the reasons for the reduction in the participant's notice of denial, 
19.25 	termination, or reduction.
19.26 		Subd. 21.Development and Implementation Council. The commissioner 
19.27 	shall establish a Development and Implementation Council of which the majority of 
19.28 	members are individuals with disabilities, elderly individuals, and their representatives. 
19.29 	The commissioner shall consult and collaborate with the council when developing and 
19.30 	implementing this section.
19.31 		Subd. 22.Quality assurance and risk management system. (a) The commissioner 
19.32 	shall establish quality assurance and risk management measures for use in developing and 
19.33 	implementing CFSS including those that (1) recognize the roles and responsibilities of those 
19.34 	involved in obtaining CFSS, and (2) ensure the appropriateness of such plans and budgets 
19.35 	based upon a recipient's resources and capabilities. Risk management measures must 
19.36 	include background studies, and backup and emergency plans, including disaster planning.
20.1 	(b) The commissioner shall provide ongoing technical assistance and resource and 
20.2 	educational materials for CFSS participants.
20.3 	(c) Performance assessment measures, such as a participant's satisfaction with the 
20.4 	services and supports, and ongoing monitoring of health and well-being shall be identified 
20.5 	in consultation with the council established in subdivision 21.
20.6 		Subd. 23.Commissioner's access. When the commissioner is investigating a 
20.7 	possible overpayment of Medicaid funds, the commissioner must be given immediate 
20.8 	access without prior notice to the agency provider or FMS contractor's office during 
20.9 	regular business hours and to documentation and records related to services provided and 
20.10 	submission of claims for services provided. Denying the commissioner access to records 
20.11 	is cause for immediate suspension of payment and terminating the agency provider's 
20.12 	enrollment according to section 256B.064 or terminating the FMS contract.
20.13 		Subd. 24.CFSS agency-providers; background studies. CFSS agency-providers 
20.14 	enrolled to provide personal care assistance services under the medical assistance program 
20.15 	shall comply with the following:
20.16 	(1) owners who have a five percent interest or more and all managing employees 
20.17 	are subject to a background study as provided in chapter 245C. This applies to currently 
20.18 	enrolled CFSS agency-providers and those agencies seeking enrollment as a CFSS 
20.19 	agency-provider. "Managing employee" has the same meaning as Code of Federal 
20.20 	Regulations, title 42, section 455. An organization is barred from enrollment if:
20.21 	(i) the organization has not initiated background studies on owners managing 
20.22 	employees; or
20.23 	(ii) the organization has initiated background studies on owners and managing 
20.24 	employees, but the commissioner has sent the organization a notice that an owner or 
20.25 	managing employee of the organization has been disqualified under section 245C.14, and 
20.26 	the owner or managing employee has not received a set-aside of the disqualification 
20.27 	under section 245C.22;
20.28 	(2) a background study must be initiated and completed for all support specialists; and
20.29 	(3) a background study must be initiated and completed for all support workers.

20.30 	EFFECTIVE DATE. This section is effective upon federal approval. The 
20.31 	commissioner of human services shall notify the revisor of statutes when this occurs.

20.32 	Sec. 2. Minnesota Statutes 2012, section 626.557, subdivision 4, is amended to read:
20.33 		Subd. 4.Reporting. (a) Except as provided in paragraph (b), a mandated reporter 
20.34 	shall immediately make an oral report to the common entry point. The common entry 
20.35 	point may accept electronic reports submitted through a Web-based reporting system 
21.1 	established by the commissioner. Use of a telecommunications device for the deaf or other 
21.2 	similar device shall be considered an oral report. The common entry point may not require 
21.3 	written reports. To the extent possible, the report must be of sufficient content to identify 
21.4 	the vulnerable adult, the caregiver, the nature and extent of the suspected maltreatment, 
21.5 	any evidence of previous maltreatment, the name and address of the reporter, the time, 
21.6 	date, and location of the incident, and any other information that the reporter believes 
21.7 	might be helpful in investigating the suspected maltreatment. A mandated reporter may 
21.8 	disclose not public data, as defined in section 13.02, and medical records under sections 
21.9 	144.291 to 144.298, to the extent necessary to comply with this subdivision.
21.10 	(b) A boarding care home that is licensed under sections 144.50 to 144.58 and 
21.11 	certified under Title 19 of the Social Security Act, a nursing home that is licensed under 
21.12 	section 144A.02 and certified under Title 18 or Title 19 of the Social Security Act, or a 
21.13 	hospital that is licensed under sections 144.50 to 144.58 and has swing beds certified under 
21.14 	Code of Federal Regulations, title 42, section 482.66, may submit a report electronically 
21.15 	to the common entry point instead of submitting an oral report. The report may be a 
21.16 	duplicate of the initial report the facility submits electronically to the commissioner of 
21.17 	health to comply with the reporting requirements under Code of Federal Regulations, title 
21.18 	42, section 483.13. The commissioner of health may modify these reporting requirements 
21.19 	to include items required under paragraph (a) that are not currently included in the 
21.20 	electronic reporting form.

21.21 	EFFECTIVE DATE. This section is effective July 1, 2014.

21.22 	Sec. 3. Minnesota Statutes 2012, section 626.557, subdivision 9, is amended to read:
21.23 		Subd. 9.Common entry point designation. (a) Each county board shall designate 
21.24 	a common entry point for reports of suspected maltreatment. Two or more county boards 
21.25 	may jointly designate a single The commissioner of human services shall establish a
21.26 	 common entry point effective July 1, 2014. The common entry point is the unit responsible 
21.27 	for receiving the report of suspected maltreatment under this section.
21.28 	(b) The common entry point must be available 24 hours per day to take calls from 
21.29 	reporters of suspected maltreatment. The common entry point shall use a standard intake 
21.30 	form that includes:
21.31 	(1) the time and date of the report;
21.32 	(2) the name, address, and telephone number of the person reporting;
21.33 	(3) the time, date, and location of the incident;
21.34 	(4) the names of the persons involved, including but not limited to, perpetrators, 
21.35 	alleged victims, and witnesses;
22.1 	(5) whether there was a risk of imminent danger to the alleged victim;
22.2 	(6) a description of the suspected maltreatment;
22.3 	(7) the disability, if any, of the alleged victim;
22.4 	(8) the relationship of the alleged perpetrator to the alleged victim;
22.5 	(9) whether a facility was involved and, if so, which agency licenses the facility;
22.6 	(10) any action taken by the common entry point;
22.7 	(11) whether law enforcement has been notified;
22.8 	(12) whether the reporter wishes to receive notification of the initial and final 
22.9 	reports; and
22.10 	(13) if the report is from a facility with an internal reporting procedure, the name, 
22.11 	mailing address, and telephone number of the person who initiated the report internally.
22.12 	(c) The common entry point is not required to complete each item on the form prior 
22.13 	to dispatching the report to the appropriate lead investigative agency.
22.14 	(d) The common entry point shall immediately report to a law enforcement agency 
22.15 	any incident in which there is reason to believe a crime has been committed.
22.16 	(e) If a report is initially made to a law enforcement agency or a lead investigative 
22.17 	agency, those agencies shall take the report on the appropriate common entry point intake 
22.18 	forms and immediately forward a copy to the common entry point.
22.19 	(f) The common entry point staff must receive training on how to screen and 
22.20 	dispatch reports efficiently and in accordance with this section.
22.21 	(g) The commissioner of human services shall maintain a centralized database 
22.22 	for the collection of common entry point data, lead investigative agency data including 
22.23 	maltreatment report disposition, and appeals data. The common entry point shall 
22.24 	have access to the centralized database and must log the reports into the database and 
22.25 	immediately identify and locate prior reports of abuse, neglect, or exploitation.
22.26 	(h) When appropriate, the common entry point staff must refer calls that do not 
22.27 	allege the abuse, neglect, or exploitation of a vulnerable adult to other organizations 
22.28 	that might resolve the reporter's concerns.
22.29 	(i) a common entry point must be operated in a manner that enables the 
22.30 	commissioner of human services to:
22.31 	(1) track critical steps in the reporting, evaluation, referral, response, disposition, 
22.32 	and investigative process to ensure compliance with all requirements for all reports;
22.33 	(2) maintain data to facilitate the production of aggregate statistical reports for 
22.34 	monitoring patterns of abuse, neglect, or exploitation;
23.1 	(3) serve as a resource for the evaluation, management, and planning of preventative 
23.2 	and remedial services for vulnerable adults who have been subject to abuse, neglect, 
23.3 	or exploitation;
23.4 	(4) set standards, priorities, and policies to maximize the efficiency and effectiveness 
23.5 	of the common entry point; and
23.6 	(5) track and manage consumer complaints related to the common entry point.
23.7 	(j) The commissioners of human services and health shall collaborate on the 
23.8 	creation of a system for referring reports to the lead investigative agencies. This system 
23.9 	shall enable the commissioner of human services to track critical steps in the reporting, 
23.10 	evaluation, referral, response, disposition, investigation, notification, determination, and 
23.11 	appeal processes.

23.12 	Sec. 4. Minnesota Statutes 2012, section 626.557, subdivision 9e, is amended to read:
23.13 		Subd. 9e.Education requirements. (a) The commissioners of health, human 
23.14 	services, and public safety shall cooperate in the development of a joint program for 
23.15 	education of lead investigative agency investigators in the appropriate techniques for 
23.16 	investigation of complaints of maltreatment. This program must be developed by July 
23.17 	1, 1996. The program must include but need not be limited to the following areas: (1) 
23.18 	information collection and preservation; (2) analysis of facts; (3) levels of evidence; (4) 
23.19 	conclusions based on evidence; (5) interviewing skills, including specialized training to 
23.20 	interview people with unique needs; (6) report writing; (7) coordination and referral 
23.21 	to other necessary agencies such as law enforcement and judicial agencies; (8) human 
23.22 	relations and cultural diversity; (9) the dynamics of adult abuse and neglect within family 
23.23 	systems and the appropriate methods for interviewing relatives in the course of the 
23.24 	assessment or investigation; (10) the protective social services that are available to protect 
23.25 	alleged victims from further abuse, neglect, or financial exploitation; (11) the methods by 
23.26 	which lead investigative agency investigators and law enforcement workers cooperate in 
23.27 	conducting assessments and investigations in order to avoid duplication of efforts; and 
23.28 	(12) data practices laws and procedures, including provisions for sharing data.
23.29 	(b) The commissioner of human services shall conduct an outreach campaign to 
23.30 	promote the common entry point for reporting vulnerable adult maltreatment. This 
23.31 	campaign shall use the Internet and other means of communication.
23.32 	(b) (c) The commissioners of health, human services, and public safety shall offer at 
23.33 	least annual education to others on the requirements of this section, on how this section is 
23.34 	implemented, and investigation techniques.
24.1 	(c) (d) The commissioner of human services, in coordination with the commissioner 
24.2 	of public safety shall provide training for the common entry point staff as required in this 
24.3 	subdivision and the program courses described in this subdivision, at least four times 
24.4 	per year. At a minimum, the training shall be held twice annually in the seven-county 
24.5 	metropolitan area and twice annually outside the seven-county metropolitan area. The 
24.6 	commissioners shall give priority in the program areas cited in paragraph (a) to persons 
24.7 	currently performing assessments and investigations pursuant to this section.
24.8 	(d) (e) The commissioner of public safety shall notify in writing law enforcement 
24.9 	personnel of any new requirements under this section. The commissioner of public 
24.10 	safety shall conduct regional training for law enforcement personnel regarding their 
24.11 	responsibility under this section.
24.12 	(e) (f) Each lead investigative agency investigator must complete the education 
24.13 	program specified by this subdivision within the first 12 months of work as a lead 
24.14 	investigative agency investigator.
24.15 	A lead investigative agency investigator employed when these requirements take 
24.16 	effect must complete the program within the first year after training is available or as soon 
24.17 	as training is available.
24.18 	All lead investigative agency investigators having responsibility for investigation 
24.19 	duties under this section must receive a minimum of eight hours of continuing education 
24.20 	or in-service training each year specific to their duties under this section.

24.21 	ARTICLE 2
24.22 	SAFE AND HEALTHY DEVELOPMENT OF CHILDREN

24.23 	Section 1. Minnesota Statutes 2012, section 245C.08, subdivision 1, is amended to read:
24.24 		Subdivision 1.Background studies conducted by Department of Human 
24.25 	Services. (a) For a background study conducted by the Department of Human Services, 
24.26 	the commissioner shall review:
24.27 	(1) information related to names of substantiated perpetrators of maltreatment of 
24.28 	vulnerable adults that has been received by the commissioner as required under section 
24.29 	626.557, subdivision 9c, paragraph (j);
24.30 	(2) the commissioner's records relating to the maltreatment of minors in licensed 
24.31 	programs, and from findings of maltreatment of minors as indicated through the social 
24.32 	service information system;
24.33 	(3) information from juvenile courts as required in subdivision 4 for individuals 
24.34 	listed in section 245C.03, subdivision 1, paragraph (a), when there is reasonable cause;
24.35 	(4) information from the Bureau of Criminal Apprehension;
25.1 	(5) except as provided in clause (6), information from the national crime information 
25.2 	system when the commissioner has reasonable cause as defined under section 245C.05, 
25.3 	subdivision 5; and
25.4 	(6) for a background study related to a child foster care application for licensure, a 
25.5 	transfer of permanent legal and physical custody under section 260C.515, or adoptions, 
25.6 	the commissioner shall also review:
25.7 	(i) information from the child abuse and neglect registry for any state in which the 
25.8 	background study subject has resided for the past five years; and
25.9 	(ii) information from national crime information databases, when the background 
25.10 	study subject is 18 years of age or older.
25.11 	(b) Notwithstanding expungement by a court, the commissioner may consider 
25.12 	information obtained under paragraph (a), clauses (3) and (4), unless the commissioner 
25.13 	received notice of the petition for expungement and the court order for expungement is 
25.14 	directed specifically to the commissioner.

25.15 	Sec. 2. Minnesota Statutes 2012, section 245C.33, subdivision 1, is amended to read:
25.16 		Subdivision 1.Background studies conducted by commissioner. (a) Before 
25.17 	placement of a child for purposes of adoption, the commissioner shall conduct a 
25.18 	background study on individuals listed in section 259.41, subdivision 3, for county 
25.19 	agencies and private agencies licensed to place children for adoption.
25.20 	(b) Before placement of a child for the purposes of a transfer of permanent legal and 
25.21 	physical custody to a relative under section 260C.515, the commissioner shall conduct a 
25.22 	background study on each person over the age of 13 living in the home. New background 
25.23 	studies do not need to be completed if the proposed relative custodian has a valid foster 
25.24 	care license, and background studies according to section 245C.08, subdivision 1, were 
25.25 	completed as part of the licensure process.

25.26 	Sec. 3. [256N.02] DEFINITIONS.
25.27 		Subdivision 1.Scope. For the purposes of sections 256N.001 to 256N.28, the terms 
25.28 	defined in this section have the meanings given them.
25.29 		Subd. 2.Adoption assistance. "Adoption assistance" means medical coverage as 
25.30 	allowable under section 256B.055 and reimbursement of nonrecurring expenses associated 
25.31 	with adoption and may include financial support provided under agreement with the 
25.32 	financially responsible agency, the commissioner, and the parents of an adoptive child 
25.33 	whose special needs would otherwise make it difficult to place the child for adoption to 
26.1 	assist with the cost of caring for the child. Financial support may include a basic rate 
26.2 	payment and a supplemental difficulty of care rate.
26.3 		Subd. 3.Assessment. "Assessment" means the process under section 256N.24 that 
26.4 	determines the benefits an eligible child may receive under section 256N.26.
26.5 		Subd. 4.At-risk child. "At-risk child" means a child who does not have a 
26.6 	documented disability but who is at risk of developing a physical, mental, emotional, or 
26.7 	behavioral disability based on being related within the first or second degree to persons 
26.8 	who have an inheritable physical, mental, emotional, or behavioral disabling condition, 
26.9 	or from a background which has the potential to cause the child to develop a physical, 
26.10 	mental, emotional, or behavioral disability that the child is at risk of developing. The 
26.11 	disability must manifest during childhood.
26.12 		Subd. 5.Basic rate. "Basic rate" means the maintenance payment made on behalf 
26.13 	of a child to support the costs caregivers incur to provide for a child's needs consistent with 
26.14 	the care parents customarily provide, including: food, clothing, shelter, daily supervision, 
26.15 	school supplies, and a child's personal incidentals. It also supports typical travel to the 
26.16 	child's home for visitation, and reasonable travel for the child to remain in the school in 
26.17 	which the child is enrolled at the time of placement.
26.18 		Subd. 6.Caregiver. "Caregiver" means the foster parent or parents of a child in 
26.19 	foster care who meet the requirements of emergency relative placement, licensed foster 
26.20 	parents under chapter 245A, or foster parents licensed or approved by a tribe; the relative 
26.21 	custodian or custodians; or the adoptive parent or parents who have legally adopted a child.
26.22 		Subd. 7.Commissioner. "Commissioner" means the commissioner of human 
26.23 	services or any employee of the Department of Human Services to whom the 
26.24 	commissioner has delegated appropriate authority.
26.25 		Subd. 8.County board. "County board" means the board of county commissioners 
26.26 	in each county.
26.27 		Subd. 9.Disability. "Disability" means a physical, mental, emotional, or behavioral 
26.28 	impairment that substantially limits one or more major life activities. Major life activities 
26.29 	include, but are not limited to: thinking, walking, hearing, breathing, working, seeing, 
26.30 	speaking, communicating, learning, developing and maintaining healthy relationships, 
26.31 	safely caring for oneself, and performing manual tasks. The nature, duration, and severity 
26.32 	of the impairment must be considered in determining if the limitation is substantial.
26.33 		Subd. 10.Financially responsible agency. "Financially responsible agency" means 
26.34 	the agency that is financially responsible for a child. These agencies include both local 
26.35 	social service agencies under section 393.07 and tribal social service agencies authorized 
26.36 	in section 256.01, subdivision 14b, as part of the American Indian Child Welfare Initiative, 
27.1 	and Minnesota tribes who assume financial responsibility of children from other states. 
27.2 	Under Northstar Care for Children, the agency that is financially responsible at the time of 
27.3 	placement for foster care continues to be responsible under section 256N.27 for the local 
27.4 	share of any maintenance payments, even after finalization of the adoption of transfer of 
27.5 	permanent legal and physical custody of a child.
27.6 		Subd. 11.Guardianship assistance. "Guardianship assistance" means medical 
27.7 	coverage, as allowable under section 256B.055, and reimbursement of nonrecurring 
27.8 	expenses associated with obtaining permanent legal and physical custody of a child, and 
27.9 	may include financial support provided under agreement with the financially responsible 
27.10 	agency, the commissioner, and the relative who has received a transfer of permanent legal 
27.11 	and physical custody of a child. Financial support may include a basic rate payment and a 
27.12 	supplemental difficulty of care rate to assist with the cost of caring for the child.
27.13 		Subd. 12.Human services board. "Human services board" means a board 
27.14 	established under section 402.02; Laws 1974, chapter 293; or Laws 1976, chapter 340.
27.15 		Subd. 13.Initial assessment. "Initial assessment" means the assessment conducted 
27.16 	within the first 30 days of a child's initial placement into foster care under section 
27.17 	256N.24, subdivisions 4 and 5.
27.18 		Subd. 14.Legally responsible agency. "Legally responsible agency" means the 
27.19 	Minnesota agency that is assigned responsibility for placement, care, and supervision 
27.20 	of the child through a court order, voluntary placement agreement, or voluntary 
27.21 	relinquishment. These agencies include local social service agencies under section 393.07, 
27.22 	tribal social service agencies authorized in section 256.01, subdivision 14b, and Minnesota 
27.23 	tribes that assume court jurisdiction when legal responsibility is transferred to the tribal 
27.24 	social service agency through a Minnesota district court order. A Minnesota local social 
27.25 	service agency is otherwise financially responsible.
27.26 		Subd. 15.Maintenance payments. "Maintenance payments" means the basic 
27.27 	rate plus any supplemental difficulty of care rate under Northstar Care for Children. It 
27.28 	specifically does not include the cost of initial clothing allowance, payment for social 
27.29 	services, or administrative payments to a child-placing agency. Payments are paid 
27.30 	consistent with section 256N.26.
27.31 		Subd. 16.Permanent legal and physical custody. "Permanent legal and physical 
27.32 	custody" means a transfer of permanent legal and physical custody to a relative ordered by 
27.33 	a Minnesota juvenile court under section 260C.515, subdivision 4, or for a child under 
27.34 	jurisdiction of a tribal court, a judicial determination under a similar provision in tribal 
27.35 	code which means that a relative will assume the duty and authority to provide care, 
28.1 	control, and protection of a child who is residing in foster care, and to make decisions 
28.2 	regarding the child's education, health care, and general welfare until adulthood.
28.3 		Subd. 17.Reassessment. "Reassessment" means an update of a previous assessment 
28.4 	through the process under section 256N.24 for a child who has been continuously eligible 
28.5 	for Northstar Care for Children, or when a child identified as an at-risk child (Level A) 
28.6 	under guardianship or adoption assistance has manifested the disability upon which 
28.7 	eligibility for the agreement was based according to section 256N.25, subdivision 3, 
28.8 	paragraph (b). A reassessment may be used to update an initial assessment, a special 
28.9 	assessment, or a previous reassessment.
28.10 		Subd. 18.Relative. "Relative," as described in section 260C.007, subdivision 27, 
28.11 	means a person related to the child by blood, marriage, or adoption, or an individual who 
28.12 	is an important friend with whom the child has resided or had significant contact. For an 
28.13 	Indian child, relative includes members of the extended family as defined by the law or 
28.14 	custom of the Indian child's tribe or, in the absence of law or custom, nieces, nephews, 
28.15 	or first or second cousins, as provided in the Indian Child Welfare Act of 1978, United 
28.16 	States Code, title 25, section 1903.
28.17 		Subd. 19.Relative custodian. "Relative custodian" means a person to whom 
28.18 	permanent legal and physical custody of a child has been transferred under section 
28.19 	260C.515, subdivision 4, or for a child under jurisdiction of a tribal court, a judicial 
28.20 	determination under a similar provision in tribal code, which means that a relative will 
28.21 	assume the duty and authority to provide care, control, and protection of a child who is 
28.22 	residing in foster care, and to make decisions regarding the child's education, health 
28.23 	care, and general welfare until adulthood.
28.24 		Subd. 20.Special assessment. "Special assessment" means an assessment 
28.25 	performed under section 256N.24 that determines the benefits that an eligible child may 
28.26 	receive under section 256N.26 at the time when a special assessment is required. A special 
28.27 	assessment is used in the following circumstances when a child's status within Northstar 
28.28 	Care is shifted from a pre-Northstar Care program into Northstar Care for Children when 
28.29 	the commissioner determines that a special assessment is appropriate instead of assigning 
28.30 	the transition child to a level under section 256N.28.
28.31 		Subd. 21.Supplemental difficulty of care rate. "Supplemental difficulty of care 
28.32 	rate" means the supplemental payment under section 256N.26, if any, as determined by 
28.33 	the financially responsible agency or the state, based upon an assessment under section 
28.34 	256N.24. The rate must support activities consistent with the care a parent provides a child 
28.35 	with special needs and not the equivalent of a purchased service. The rate must consider 
28.36 	the capacity and intensity of the activities associated with parenting duties provided in 
29.1 	the home to nurture the child, preserve the child's connections, and support the child's 
29.2 	functioning in the home and community.

29.3 	Sec. 4. [256N.20] NORTHSTAR CARE FOR CHILDREN; GENERALLY.
29.4 		Subdivision 1.Eligibility. A child is eligible for Northstar Care for Children if 
29.5 	the child is eligible for:
29.6 	(1) foster care under section 256N.21;
29.7 	(2) guardianship assistance under section 256N.22; or
29.8 	(3) adoption assistance under section 256N.23.
29.9 		Subd. 2.Assessments. Except as otherwise specified, a child eligible for Northstar 
29.10 	Care for Children shall receive an assessment under section 256N.24.
29.11 		Subd. 3.Agreements. When a child is eligible for guardianship assistance or 
29.12 	adoption assistance, negotiations with caregivers and the development of a written, 
29.13 	binding agreement must be conducted under section 256N.25.
29.14 		Subd. 4.Benefits and payments. A child eligible for Northstar Care for Children is 
29.15 	entitled to benefits specified in section 256N.26, based primarily on assessments under 
29.16 	section 256N.24, and, if appropriate, negotiations and agreements under section 256N.25. 
29.17 	Although paid to the caregiver, these benefits must be considered benefits of the child 
29.18 	rather than of the caregiver.
29.19 		Subd. 5.Federal, state, and local shares. The cost of Northstar Care for Children 
29.20 	must be shared among the federal government, state, counties of financial responsibility, 
29.21 	and certain tribes as specified in section 256N.27.
29.22 		Subd. 6.Administration and appeals. The commissioner and financially 
29.23 	responsible agency, or other agency designated by the commissioner, shall administer 
29.24 	Northstar Care for Children according to section 256N.28. The notification and fair 
29.25 	hearing process applicable to this chapter is defined in section 256N.28.
29.26 		Subd. 7.Transition. A child in foster care, relative custody assistance, or adoption 
29.27 	assistance prior to January 1, 2015, who remains with the same caregivers continues 
29.28 	to receive benefits under programs preceding Northstar Care for Children, unless the 
29.29 	child moves to a new foster care placement, permanency is obtained for the child, or the 
29.30 	commissioner initiates transition of a child receiving pre-Northstar Care for Children 
29.31 	relative custody assistance, guardianship assistance, or adoption assistance under this 
29.32 	chapter. Provisions for the transition to Northstar Care for Children for certain children in 
29.33 	preceding programs are specified in section 256N.28, subdivisions 2 and 7. Additional 
29.34 	provisions for children in: foster care are specified in section 256N.21, subdivision 
29.35 	6; relative custody assistance under section 257.85 are specified in section 256N.22, 
30.1 	subdivision 12; and adoption assistance under chapter 259A are specified in section 
30.2 	256N.23, subdivision 13.

30.3 	Sec. 5. [256N.21] ELIGIBILITY FOR FOSTER CARE BENEFITS.
30.4 		Subdivision 1.General eligibility requirements. (a) A child is eligible for foster 
30.5 	care benefits under this section if the child meets the requirements of subdivision 2 on 
30.6 	or after January 1, 2015.
30.7 	(b) The financially responsible agency shall make a title IV-E eligibility determination 
30.8 	for all foster children meeting the requirements of subdivision 2, provided the agency has 
30.9 	such authority under the state title IV-E plan. To be eligible for title IV-E foster care, a child 
30.10 	must also meet any additional criteria specified in section 472 of the Social Security Act.
30.11 	(c) Except as provided under section 256N.26, subdivision 1 or 6, the foster care 
30.12 	benefit to the child under this section must be determined under sections 256N.24 and 
30.13 	256N.26 through an individual assessment. Information from this assessment must be 
30.14 	used to determine a potential future benefit under guardianship assistance or adoption 
30.15 	assistance, if needed.
30.16 	(d) When a child is eligible for additional services, subdivisions 3 and 4 govern 
30.17 	the co-occurrence of program eligibility.
30.18 		Subd. 2.Placement in foster care. To be eligible for foster care benefits under this 
30.19 	section, the child must be in placement away from the child's legal parent or guardian and 
30.20 	all of the following criteria must be met:
30.21 	(1) the legally responsible agency must have placement authority and care 
30.22 	responsibility, including for a child 18 years old or older and under age 21, who maintains 
30.23 	eligibility for foster care consistent with section 260C.451;
30.24 	(2) the legally responsible agency must have authority to place the child with a 
30.25 	voluntary placement agreement or a court order, consistent with sections 260B.198, 
30.26 	260C.001, 260D.01, or continued eligibility consistent with section 260C.451; and
30.27 	(3) the child must be placed in an emergency relative placement under section 
30.28 	245A.035, a licensed foster family setting, foster residence setting, or treatment foster 
30.29 	care setting licensed under Minnesota Rules, parts 2960.3000 to 2960.3340, a family 
30.30 	foster home licensed or approved by a tribal agency or, for a child 18 years old or older 
30.31 	and under age 21, an unlicensed supervised independent living setting approved by the 
30.32 	agency responsible for the youth's care.
30.33 		Subd. 3.Minor parent. A child who is a minor parent in placement with the minor 
30.34 	parent's child in the same home is eligible for foster care benefits under this section. The 
31.1 	foster care benefit is limited to the minor parent, unless the legally responsible agency has 
31.2 	separate legal authority for placement of the minor parent's child.
31.3 		Subd. 4.Foster children ages 18 up to 21 placed in an unlicensed supervised 
31.4 	independent living setting. A foster child 18 years old or older and under age 21 who 
31.5 	maintains eligibility consistent with section 260C.451 and who is placed in an unlicensed 
31.6 	supervised independent living setting shall receive the level of benefit under section 
31.7 	256N.26.
31.8 		Subd. 5.Excluded activities. The basic and supplemental difficulty of care 
31.9 	payment represents costs for activities similar in nature to those expected of parents, 
31.10 	and does not cover services rendered by the licensed or tribally approved foster parent, 
31.11 	facility, or administrative costs or fees. The financially responsible agency may pay an 
31.12 	additional fee for specific services provided by the licensed foster parent or facility. A 
31.13 	foster parent or residence setting must distinguish such a service from the daily care of the 
31.14 	child as assessed through the process under section 256N.24.
31.15 		Subd. 6.Transition from pre-Northstar Care for Children program. (a) Section 
31.16 	256.82 establishes the pre-Northstar Care for Children foster care program for all children 
31.17 	residing in family foster care on December 31, 2014. Unless transitioned under paragraph 
31.18 	(b), a child in foster care with the same caregiver receives benefits under this pre-Northstar 
31.19 	Care for Children foster care program.
31.20 	(b) Transition from the pre-Northstar Care for Children foster care program to 
31.21 	Northstar Care for Children takes place on or after January 1, 2015, when the child:
31.22 	(1) moves to a different foster home or unlicensed supervised independent living 
31.23 	setting;
31.24 	(2) has permanent legal and physical custody transferred and, if applicable, meets 
31.25 	eligibility requirements in section 256N.22;
31.26 	(3) is adopted and, if applicable, meets eligibility requirements in section 256N.23; or
31.27 	(4) re-enters foster care after reunification or a trial home visit.
31.28 	(c) Upon becoming eligible, a foster child must be assessed according to section 
31.29 	256N.24 and then transitioned into Northstar Care for Children according to section 
31.30 	256N.28.

31.31 	Sec. 6. [256N.22] GUARDIANSHIP ASSISTANCE ELIGIBILITY.
31.32 		Subdivision 1.General eligibility requirements. (a) To be eligible for the 
31.33 	guardianship assistance under this section, there must be a judicial determination under 
31.34 	section 260C.515, subdivision 4, that a transfer of permanent legal and physical custody to 
31.35 	a relative is in the child's best interest. For a child under jurisdiction of a tribal court, a 
32.1 	judicial determination under a similar provision in tribal code indicating that a relative 
32.2 	will assume the duty and authority to provide care, control, and protection of a child who 
32.3 	is residing in foster care, and to make decisions regarding the child's education, health 
32.4 	care, and general welfare until adulthood, and that this is in the child's best interest is 
32.5 	considered equivalent. Additionally, a child must:
32.6 	(1) have been removed from the child's home pursuant to a voluntary placement 
32.7 	agreement or court order;
32.8 	(2)(i) have resided in foster care for at least six consecutive months in the home 
32.9 	of the prospective relative custodian; or
32.10 	(ii) have received an exemption from the requirement in item (i) from the court 
32.11 	based on a determination that:
32.12 	(A) an expedited move to permanency is in the child's best interest;
32.13 	(B) expedited permanency cannot be completed without provision of guardianship 
32.14 	assistance; and
32.15 	(C) the prospective relative custodian is uniquely qualified to meet the child's needs 
32.16 	on a permanent basis;
32.17 	(3) meet the agency determinations regarding permanency requirements in 
32.18 	subdivision 2;
32.19 	(4) meet the applicable citizenship and immigration requirements in subdivision 
32.20 	3; and
32.21 	(5) have been consulted regarding the proposed transfer of permanent legal and 
32.22 	physical custody to a relative, if the child is at least 14 years of age or is expected to attain 
32.23 	14 years of age prior to the transfer of permanent legal and physical custody; and
32.24 	(6) have a written, binding agreement under section 256N.25 among the caregiver or 
32.25 	caregivers, the financially responsible agency, and the commissioner established prior to 
32.26 	transfer of permanent legal and physical custody.
32.27 	(b) In addition to the requirements in paragraph (a), the child's prospective relative 
32.28 	custodian or custodians must meet the applicable background study requirements in 
32.29 	subdivision 4.
32.30 	(c) To be eligible for title IV-E guardianship assistance, a child must also meet any 
32.31 	additional criteria in section 473(d) of the Social Security Act. The sibling of a child 
32.32 	who meets the criteria for title IV-E guardianship assistance in section 473(d) of the 
32.33 	Social Security Act is eligible for title IV-E guardianship assistance if the child and 
32.34 	sibling are placed with the same prospective relative custodian or custodians, and the 
32.35 	legally responsible agency, relatives, and commissioner agree on the appropriateness of 
32.36 	the arrangement for the sibling. A child who meets all eligibility criteria except those 
33.1 	specific to title IV-E guardianship assistance is entitled to guardianship assistance paid 
33.2 	through funds other than title IV-E.
33.3 		Subd. 2.Agency determinations regarding permanency. (a) To be eligible for 
33.4 	guardianship assistance, the legally responsible agency must complete the following 
33.5 	determinations regarding permanency for the child prior to the transfer of permanent 
33.6 	legal and physical custody:
33.7 	(1) a determination that reunification and adoption are not appropriate permanency 
33.8 	options for the child; and
33.9 	(2) a determination that the child demonstrates a strong attachment to the prospective 
33.10 	relative custodian and the prospective relative custodian has a strong commitment to 
33.11 	caring permanently for the child.
33.12 	(b) The legally responsible agency shall document the determinations in paragraph 
33.13 	(a) and the supporting information for completing each determination in the case file and 
33.14 	make them available for review as requested by the financially responsible agency and the 
33.15 	commissioner during the guardianship assistance eligibility determination process.
33.16 		Subd. 3.Citizenship and immigration status. A child must be a citizen of the 
33.17 	United States or otherwise be eligible for federal public benefits according to the Personal 
33.18 	Responsibility and Work Opportunity Reconciliation Act of 1996, as amended, in order 
33.19 	to be eligible for guardianship assistance.
33.20 		Subd. 4.Background study. (a) A background study under section 245C.33 must 
33.21 	be completed on each prospective relative custodian and any other adult residing in the 
33.22 	home of the prospective relative custodian. A background study on the prospective 
33.23 	relative custodian or adult residing in the household previously completed under section 
33.24 	245C.04 for the purposes of foster care licensure may be used for the purposes of this 
33.25 	section, provided that the background study is current at the time of the application for 
33.26 	guardianship assistance.
33.27 	(b) If the background study reveals:
33.28 	(1) a felony conviction at any time for:
33.29 	(i) child abuse or neglect;
33.30 	(ii) spousal abuse;
33.31 	(iii) a crime against a child, including child pornography; or
33.32 	(iv) a crime involving violence, including rape, sexual assault, or homicide, but not 
33.33 	including other physical assault or battery; or
33.34 	(2) a felony conviction within the past five years for:
33.35 	(i) physical assault;
33.36 	(ii) battery; or
34.1 	(iii) a drug-related offense;
34.2 	the prospective relative custodian is prohibited from receiving guardianship assistance 
34.3 	on behalf of an otherwise eligible child.
34.4 		Subd. 5.Responsibility for determining guardianship assistance eligibility. The 
34.5 	commissioner shall determine eligibility for:
34.6 	(1) a child under the legal custody or responsibility of a Minnesota county social 
34.7 	service agency who would otherwise remain in foster care;
34.8 	(2) a Minnesota child under tribal court jurisdiction who would otherwise remain 
34.9 	in foster care; and
34.10 	(3) an Indian child being placed in Minnesota who meets title IV-E eligibility defined 
34.11 	in section 473(d) of the Social Security Act. The agency or entity assuming responsibility 
34.12 	for the child is responsible for the nonfederal share of the guardianship assistance payment.
34.13 		Subd. 6.Exclusions. (a) A child with a guardianship assistance agreement under 
34.14 	Northstar Care for Children is not eligible for the Minnesota family investment program 
34.15 	child-only grant under chapter 256J.
34.16 	(b) The commissioner shall not enter into a guardianship assistance agreement with:
34.17 	(1) a child's biological parent;
34.18 	(2) an individual assuming permanent legal and physical custody of a child or the 
34.19 	equivalent under tribal code without involvement of the child welfare system; or
34.20 	(3) an individual assuming permanent legal and physical custody of a child who was 
34.21 	placed in Minnesota by another state or a tribe outside of Minnesota.
34.22 		Subd. 7.Guardianship assistance eligibility determination. The financially 
34.23 	responsible agency shall prepare a guardianship assistance eligibility determination 
34.24 	for review and final approval by the commissioner. The eligibility determination must 
34.25 	be completed according to requirements and procedures and on forms prescribed by 
34.26 	the commissioner. Supporting documentation for the eligibility determination must be 
34.27 	provided to the commissioner. The financially responsible agency and the commissioner 
34.28 	must make every effort to establish a child's eligibility for title IV-E guardianship 
34.29 	assistance. A child who is determined to be eligible for guardianship assistance must 
34.30 	have a guardianship assistance agreement negotiated on the child's behalf according to 
34.31 	section 256N.25.
34.32 		Subd. 8.Termination of agreement. (a) A guardianship assistance agreement must 
34.33 	be terminated in any of the following circumstances:
34.34 	(1) the child has attained the age of 18, or up to age 21 when the child meets a 
34.35 	condition for extension in subdivision 11;
35.1 	(2) the child has not attained the age of 18 years of age, but the commissioner 
35.2 	determines the relative custodian is no longer legally responsible for support of the child;
35.3 	(3) the commissioner determines the relative custodian is no longer providing 
35.4 	financial support to the child up to age 21;
35.5 	(4) the death of the child; or
35.6 	(5) the relative custodian requests in writing termination of the guardianship 
35.7 	assistance agreement.
35.8 	(b) A relative custodian is considered no longer legally responsible for support of 
35.9 	the child in any of the following circumstances:
35.10 	(1) permanent legal and physical custody or guardianship of the child is transferred 
35.11 	to another individual;
35.12 	(2) death of the relative custodian under subdivision 9;
35.13 	(3) child enlists in the military;
35.14 	(4) child gets married; or
35.15 	(5) child is determined an emancipated minor through legal action.
35.16 		Subd. 9.Death of relative custodian or dissolution of custody. The guardianship 
35.17 	assistance agreement ends upon death or dissolution of permanent legal and physical 
35.18 	custody of both relative custodians in the case of assignment of custody to two individuals, 
35.19 	or the sole relative custodian in the case of assignment of custody to one individual. 
35.20 	Guardianship assistance eligibility may be continued according to subdivision 10.
35.21 		Subd. 10.Assigning a child's guardianship assistance to a court-appointed 
35.22 	guardian or custodian. (a) Guardianship assistance may be continued with the written 
35.23 	consent of the commissioner to an individual who is a guardian or custodian appointed by 
35.24 	a court for the child upon the death of both relative custodians in the case of assignment 
35.25 	of custody to two individuals, or the sole relative custodian in the case of assignment 
35.26 	of custody to one individual, unless the child is under the custody of a county, tribal, 
35.27 	or child-placing agency.
35.28 	(b) Temporary assignment of guardianship assistance may be approved for a 
35.29 	maximum of six consecutive months from the death of the relative custodian or custodians 
35.30 	as provided in paragraph (a) and must adhere to the policies and procedures prescribed by 
35.31 	the commissioner. If a court has not appointed a permanent legal guardian or custodian 
35.32 	within six months, the guardianship assistance must terminate and must not be resumed.
35.33 	(c) Upon assignment of assistance payments under this subdivision, assistance must 
35.34 	be provided from funds other than title IV-E.
35.35 		Subd. 11.Extension of guardianship assistance after age 18. (a) Under the 
35.36 	circumstances outlined in paragraph (e), a child may qualify for extension of the 
36.1 	guardianship assistance agreement beyond the date the child attains age 18, up to the 
36.2 	date the child attains the age of 21.
36.3 	(b) A request for extension of the guardianship assistance agreement must be 
36.4 	completed in writing and submitted, including all supporting documentation, by the 
36.5 	relative custodian to the commissioner at least 60 calendar days prior to the date that the 
36.6 	current agreement will terminate.
36.7 	(c) A signed amendment to the current guardianship assistance agreement must be 
36.8 	fully executed between the relative custodian and the commissioner at least ten business 
36.9 	days prior to the termination of the current agreement. The request for extension and 
36.10 	the fully executed amendment must be made according to requirements and procedures 
36.11 	prescribed by the commissioner, including documentation of eligibility, and on forms 
36.12 	prescribed by the commissioner.
36.13 	(d) If an agency is certifying a child for guardianship assistance and the child will 
36.14 	attain the age of 18 within 60 calendar days of submission, the request for extension must 
36.15 	be completed in writing and submitted, including all supporting documentation, with 
36.16 	the guardianship assistance application.
36.17 	(e) A child who has attained the age of 16 prior to the effective date of the 
36.18 	guardianship assistance agreement is eligible for extension of the agreement up to the 
36.19 	date the child attains age 21 if the child:
36.20 	(1) is dependent on the relative custodian for care and financial support; and
36.21 	(2) meets at least one of the following conditions:
36.22 	(i) is completing a secondary education program or a program leading to an 
36.23 	equivalent credential;
36.24 	(ii) is enrolled in an institution which provides postsecondary or vocational education;
36.25 	(iii) is participating in a program or activity designed to promote or remove barriers 
36.26 	to employment;
36.27 	(iv) is employed for at least 80 hours per month; or
36.28 	(v) is incapable of doing any of the activities described in items (i) to (iv) due to 
36.29 	a medical condition where incapability is supported by professional documentation 
36.30 	according to the requirements and procedures prescribed by the commissioner.
36.31 	(f) A child who has not attained the age of 16 prior to the effective date of the 
36.32 	guardianship assistance agreement is eligible for extension of the guardianship assistance 
36.33 	agreement up to the date the child attains the age of 21 if the child is:
36.34 	(1) dependent on the relative custodian for care and financial support; and
37.1 	(2) possesses a physical or mental disability which impairs the capacity for 
37.2 	independent living and warrants continuation of financial assistance, as determined by 
37.3 	the commissioner.
37.4 		Subd. 12.Beginning guardianship assistance component of Northstar Care for 
37.5 	Children. Effective November 27, 2014, a child who meets the eligibility criteria for 
37.6 	guardianship assistance in subdivision 1 may have a guardianship assistance agreement 
37.7 	negotiated on the child's behalf according to section 256N.25. The effective date of the 
37.8 	agreement must be January 1, 2015, or the date of the court order transferring permanent 
37.9 	legal and physical custody, whichever is later. Except as provided under section 256N.26, 
37.10 	subdivision 1, paragraph (c), the rate schedule for an agreement under this subdivision 
37.11 	is determined under section 256N.26 based on the age of the child on the date that the 
37.12 	prospective relative custodian signs the agreement.
37.13 		Subd. 13.Transition to guardianship assistance under Northstar Care for 
37.14 	Children. The commissioner may execute guardianship assistance agreements for a child 
37.15 	with a relative custody agreement under section 257.85 executed on the child's behalf 
37.16 	on or before November 26, 2014, in accordance with the priorities outlined in section 
37.17 	256N.28, subdivision 7, paragraph (b). To facilitate transition into the guardianship 
37.18 	assistance program, the commissioner may waive any guardianship assistance eligibility 
37.19 	requirements for a child with a relative custody agreement under section 257.85 executed 
37.20 	on the child's behalf on or before November 26, 2014. Agreements negotiated under 
37.21 	this subdivision must be done according to the process outlined in section 256N.28, 
37.22 	subdivision 7. The maximum rate used in the negotiation process for an agreement under 
37.23 	this subdivision must be as outlined in section 256N.28, subdivision 7.

37.24 	Sec. 7. [256N.23] ADOPTION ASSISTANCE ELIGIBILITY.
37.25 		Subdivision 1.General eligibility requirements. (a) To be eligible for adoption 
37.26 	assistance under this section, a child must:
37.27 	(1) be determined to be a child with special needs under subdivision 2;
37.28 	(2) meet the applicable citizenship and immigration requirements in subdivision 3;
37.29 	(3)(i) meet the criteria in section 473 of the Social Security Act; or
37.30 	(ii) have had foster care payments paid on the child's behalf while in out-of-home 
37.31 	placement through the county or tribe and be either under the guardianship of the 
37.32 	commissioner or under the jurisdiction of a Minnesota tribe and adoption, according to 
37.33 	tribal law, is in the child's documented permanency plan; and
37.34 	(4) have a written, binding agreement under section 256N.25 among the adoptive 
37.35 	parent, the financially responsible agency, or if there is no financially responsible agency, 
38.1 	the agency designated by the commissioner, and the commissioner established prior to 
38.2 	finalization of the adoption.
38.3 	(b) In addition to the requirements in paragraph (a), an eligible child's adoptive parent 
38.4 	or parents must meet the applicable background study requirements in subdivision 4.
38.5 	(c) A child who meets all eligibility criteria except those specific to title IV-E adoption 
38.6 	assistance shall receive adoption assistance paid through funds other than title IV-E.
38.7 		Subd. 2.Special needs determination. (a) A child is considered a child with 
38.8 	special needs under this section if the requirements in paragraphs (b) to (g) are met.
38.9 	(b) There must be a determination that the child must not or should not be returned 
38.10 	to the home of the child's parents as evidenced by:
38.11 	(1) a court-ordered termination of parental rights;
38.12 	(2) a petition to terminate parental rights;
38.13 	(3) consent of parent to adoption accepted by the court under chapter 260C;
38.14 	(4) in circumstances when tribal law permits the child to be adopted without a 
38.15 	termination of parental rights, a judicial determination by a tribal court indicating the valid 
38.16 	reason why the child cannot or should not return home;
38.17 	(5) a voluntary relinquishment under section 259.25 or 259.47 or, if relinquishment 
38.18 	occurred in another state, the applicable laws in that state; or
38.19 	(6) the death of the legal parent or parents if the child has two legal parents.
38.20 	(c) There exists a specific factor or condition of which it is reasonable to conclude 
38.21 	that the child cannot be placed with adoptive parents without providing adoption 
38.22 	assistance as evidenced by:
38.23 	(1) a determination by the Social Security Administration that the child meets all 
38.24 	medical or disability requirements of title XVI of the Social Security Act with respect to 
38.25 	eligibility for Supplemental Security Income benefits;
38.26 	(2) a documented physical, mental, emotional, or behavioral disability not covered 
38.27 	under clause (1);
38.28 	(3) a member of a sibling group being adopted at the same time by the same parent;
38.29 	(4) an adoptive placement in the home of a parent who previously adopted a sibling 
38.30 	for whom they receive adoption assistance; or
38.31 	(5) documentation that the child is an at-risk child.
38.32 	(d) A reasonable but unsuccessful effort must have been made to place the child 
38.33 	with adoptive parents without providing adoption assistance as evidenced by:
38.34 	(1) a documented search for an appropriate adoptive placement; or
38.35 	(2) a determination by the commissioner that a search under clause (1) is not in the 
38.36 	best interests of the child.
39.1 	(e) The requirement for a documented search for an appropriate adoptive placement 
39.2 	under paragraph (d), including the registration of the child with the state adoption 
39.3 	exchange and other recruitment methods under paragraph (f), must be waived if:
39.4 	(1) the child is being adopted by a relative and it is determined by the child-placing 
39.5 	agency that adoption by the relative is in the best interests of the child;
39.6 	(2) the child is being adopted by a foster parent with whom the child has developed 
39.7 	significant emotional ties while in the foster parent's care as a foster child and it is 
39.8 	determined by the child-placing agency that adoption by the foster parent is in the best 
39.9 	interests of the child; or
39.10 	(3) the child is being adopted by a parent that previously adopted a sibling of the 
39.11 	child, and it is determined by the child-placing agency that adoption by this parent is 
39.12 	in the best interests of the child.
39.13 	For an Indian child covered by the Indian Child Welfare Act, a waiver must not be 
39.14 	granted unless the child-placing agency has complied with the placement preferences 
39.15 	required by the Indian Child Welfare Act, United States Code, title 25, section 1915(a).
39.16 	(f) To meet the requirement of a documented search for an appropriate adoptive 
39.17 	placement under paragraph (d), clause (1), the child-placing agency minimally must:
39.18 	(1) conduct a relative search as required by section 260C.221 and give consideration 
39.19 	to placement with a relative, as required by section 260C.212, subdivision 2;
39.20 	(2) comply with the placement preferences required by the Indian Child Welfare Act 
39.21 	when the Indian Child Welfare Act, United States Code, title 25, section 1915(a), applies;
39.22 	(3) locate prospective adoptive families by registering the child on the state adoption 
39.23 	exchange, as required under section 259.75; and
39.24 	(4) if registration with the state adoption exchange does not result in the identification 
39.25 	of an appropriate adoptive placement, the agency must employ additional recruitment 
39.26 	methods prescribed by the commissioner.
39.27 	(g) Once the legally responsible agency has determined that placement with an 
39.28 	identified parent is in the child's best interests and made full written disclosure about the 
39.29 	child's social and medical history, the agency must ask the prospective adoptive parent if 
39.30 	the prospective adoptive parent is willing to adopt the child without receiving adoption 
39.31 	assistance under this section. If the identified parent is either unwilling or unable to 
39.32 	adopt the child without adoption assistance, the legally responsible agency must provide 
39.33 	documentation as prescribed by the commissioner to fulfill the requirement to make a 
39.34 	reasonable effort to place the child without adoption assistance. If the identified parent is 
39.35 	willing to adopt the child without adoption assistance, the parent must provide a written 
39.36 	statement to this effect to the legally responsible agency and the statement must be 
40.1 	maintained in the permanent adoption record of the legally responsible agency. For children 
40.2 	under guardianship of the commissioner, the legally responsible agency shall submit a copy 
40.3 	of this statement to the commissioner to be maintained in the permanent adoption record.
40.4 		Subd. 3.Citizenship and immigration status. (a) A child must be a citizen of the 
40.5 	United States or otherwise eligible for federal public benefits according to the Personal 
40.6 	Responsibility and Work Opportunity Reconciliation Act of 1996, as amended, in order to 
40.7 	be eligible for the title IV-E adoption assistance program.
40.8 	(b) A child must be a citizen of the United States or meet the qualified alien 
40.9 	requirements as defined in the Personal Responsibility and Work Opportunity 
40.10 	Reconciliation Act of 1996, as amended, in order to be eligible for adoption assistance 
40.11 	paid through funds other than title IV-E.
40.12 		Subd. 4.Background study. A background study under section 259.41 must be 
40.13 	completed on each prospective adoptive parent. If the background study reveals:
40.14 	(1) a felony conviction at any time for:
40.15 	(i) child abuse or neglect;
40.16 	(ii) spousal abuse;
40.17 	(iii) a crime against a child, including child pornography; or
40.18 	(iv) a crime involving violence, including rape, sexual assault, or homicide, but not 
40.19 	including other physical assault or battery; or
40.20 	(2) a felony conviction within the past five years for:
40.21 	(i) physical assault;
40.22 	(ii) battery; or
40.23 	(iii) a drug-related offense;
40.24 	the adoptive parent is prohibited from receiving adoption assistance on behalf of an 
40.25 	otherwise eligible child.
40.26 		Subd. 5.Responsibility for determining adoption assistance eligibility. The 
40.27 	commissioner must determine eligibility for:
40.28 	(1) a child under the guardianship of the commissioner who would otherwise remain 
40.29 	in foster care;
40.30 	(2) a child who is not under the guardianship of the commissioner who meets title 
40.31 	IV-E eligibility defined in section 473 of the Social Security Act and no state agency has 
40.32 	legal responsibility for placement and care of the child;
40.33 	(3) a Minnesota child under tribal jurisdiction who would otherwise remain in foster 
40.34 	care; and
41.1 	(4) an Indian child being placed in Minnesota who meets title IV-E eligibility defined 
41.2 	in section 473 of the Social Security Act. The agency or entity assuming responsibility for 
41.3 	the child is responsible for the nonfederal share of the adoption assistance payment.
41.4 		Subd. 6.Exclusions. The commissioner must not enter into an adoption assistance 
41.5 	agreement with the following individuals:
41.6 	(1) a child's biological parent or stepparent;
41.7 	(2) a child's relative under section 260C.007, subdivision 27, with whom the child 
41.8 	resided immediately prior to child welfare involvement unless:
41.9 	(i) the child was in the custody of a Minnesota county or tribal agency pursuant to 
41.10 	an order under chapter 260C or equivalent provisions of tribal code and the agency had 
41.11 	placement and care responsibility for permanency planning for the child; and
41.12 	(ii) the child is under guardianship of the commissioner of human services according 
41.13 	to the requirements of section 260C.325, subdivision 1 or 3, or is a ward of a Minnesota 
41.14 	tribal court after termination of parental rights, suspension of parental rights, or a finding 
41.15 	by the tribal court that the child cannot safely return to the care of the parent;
41.16 	(3) an individual adopting a child who is the subject of a direct adoptive placement 
41.17 	under section 259.47 or the equivalent in tribal code;
41.18 	(4) a child's legal custodian or guardian who is now adopting the child; or
41.19 	(5) an individual who is adopting a child who is not a citizen or resident of the 
41.20 	United States and was either adopted in another country or brought to the United States 
41.21 	for the purposes of adoption.
41.22 		Subd. 7.Adoption assistance eligibility determination. (a) The financially 
41.23 	responsible agency shall prepare an adoption assistance eligibility determination for 
41.24 	review and final approval by the commissioner. When there is no financially responsible 
41.25 	agency, the adoption assistance eligibility determination must be completed by the 
41.26 	agency designated by the commissioner. The eligibility determination must be completed 
41.27 	according to requirements and procedures and on forms prescribed by the commissioner. 
41.28 	The financially responsible agency and the commissioner shall make every effort to 
41.29 	establish a child's eligibility for title IV-E adoption assistance. Documentation from a 
41.30 	qualified expert for the eligibility determination must be provided to the commissioner 
41.31 	to verify that a child meets the special needs criteria in subdivision 2. A child who 
41.32 	is determined to be eligible for adoption assistance must have an adoption assistance 
41.33 	agreement negotiated on the child's behalf according to section 256N.25.
41.34 	(b) Documentation from a qualified expert of a disability is limited to evidence 
41.35 	deemed appropriate by the commissioner and must be submitted to the commissioner with 
41.36 	the eligibility determination. Examples of appropriate documentation include, but are not 
42.1 	limited to, medical records, psychological assessments, educational or early childhood 
42.2 	evaluations, court findings, and social and medical history.
42.3 	(c) Documentation that the child is at risk of developing physical, mental, emotional, 
42.4 	or behavioral disabilities must be submitted according to policies and procedures 
42.5 	prescribed by the commissioner.
42.6 		Subd. 8.Termination of agreement. (a) An adoption assistance agreement must 
42.7 	terminate in any of the following circumstances:
42.8 	(1) the child has attained the age of 18, or up to age 21 when the child meets a 
42.9 	condition for extension in subdivision 12;
42.10 	(2) the child has not attained the age of 18, but the commissioner determines the 
42.11 	adoptive parent is no longer legally responsible for support of the child;
42.12 	(3) the commissioner determines the adoptive parent is no longer providing financial 
42.13 	support to the child up to age 21;
42.14 	(4) the death of the child; or
42.15 	(5) the adoptive parent requests in writing the termination of the adoption assistance 
42.16 	agreement.
42.17 	(b) An adoptive parent is considered no longer legally responsible for support of the 
42.18 	child in any of the following circumstances:
42.19 	(1) parental rights to the child are legally terminated or a court accepted the parent's 
42.20 	consent to adoption under chapter 260C;
42.21 	(2) permanent legal and physical custody or guardianship of the child is transferred 
42.22 	to another individual;
42.23 	(3) death of the adoptive parent under subdivision 9;
42.24 	(4) the child enlists in the military;
42.25 	(5) the child gets married; or
42.26 	(6) the child is determined an emancipated minor through legal action.
42.27 		Subd. 9.Death of adoptive parent or adoption dissolution. The adoption 
42.28 	assistance agreement ends upon death or termination of parental rights of both adoptive 
42.29 	parents in the case of a two-parent adoption, or the sole adoptive parent in the case of 
42.30 	a single-parent adoption. The child's adoption assistance eligibility may be continued 
42.31 	according to subdivision 10.
42.32 		Subd. 10.Continuing a child's title IV-E adoption assistance in a subsequent 
42.33 	adoption. (a) The child maintains eligibility for title IV-E adoption assistance in a 
42.34 	subsequent adoption if the following criteria are met:
42.35 	(1) the child is determined to be a child with special needs as outlined in subdivision 
42.36 	2; and
43.1 	(2) the subsequent adoptive parent resides in Minnesota.
43.2 	(b) If a child had a title IV-E adoption assistance agreement in effect prior to the 
43.3 	death of the adoptive parent or dissolution of the adoption, and the subsequent adoptive 
43.4 	parent resides outside of Minnesota, the commissioner is not responsible for determining 
43.5 	whether the child meets the definition of special needs, entering into the adoption 
43.6 	assistance agreement, and making any adoption assistance payments outlined in the new 
43.7 	agreement unless a state agency in Minnesota has responsibility for placement and care of 
43.8 	the child at the time of the subsequent adoption. If there is no state agency in Minnesota 
43.9 	that has responsibility for placement and care of the child at the time of the subsequent 
43.10 	adoption, the public child welfare agency in the subsequent adoptive parent's residence is 
43.11 	responsible for determining whether the child meets the definition of special needs and 
43.12 	entering into the adoption assistance agreement.
43.13 		Subd. 11.Assigning a child's adoption assistance to a court-appointed guardian 
43.14 	or custodian. (a) State-funded adoption assistance may be continued with the written 
43.15 	consent of the commissioner to an individual who is a guardian appointed by a court for 
43.16 	the child upon the death of both the adoptive parents in the case of a two-parent adoption, 
43.17 	or the sole adoptive parent in the case of a single-parent adoption, unless the child is 
43.18 	under the custody of a state agency.
43.19 	(b) Temporary assignment of adoption assistance may be approved by the 
43.20 	commissioner for a maximum of six consecutive months from the death of the adoptive 
43.21 	parent or parents under subdivision 9 and must adhere to the requirements and procedures 
43.22 	prescribed by the commissioner. If, within six months, the child has not been adopted by a 
43.23 	person agreed upon by the commissioner, or a court has not appointed a permanent legal 
43.24 	guardian under section 260C.325, 525.5-313, or similar law of another jurisdiction, the 
43.25 	adoption assistance must terminate.
43.26 	(c) Upon assignment of payments under this subdivision, assistance must be from 
43.27 	funds other than title IV-E.
43.28 		Subd. 12.Extension of adoption assistance agreement. (a) Under certain limited 
43.29 	circumstances a child may qualify for extension of the adoption assistance agreement 
43.30 	beyond the date the child attains age 18, up to the date the child attains the age of 21.
43.31 	(b) A request for extension of the adoption assistance agreement must be completed 
43.32 	in writing and submitted, including all supporting documentation, by the adoptive parent 
43.33 	to the commissioner at least 60 calendar days prior to the date that the current agreement 
43.34 	will terminate.
43.35 	(c) A signed amendment to the current adoption assistance agreement must be 
43.36 	fully executed between the adoptive parent and the commissioner at least ten business 
44.1 	days prior to the termination of the current agreement. The request for extension and the 
44.2 	fully executed amendment must be made according to the requirements and procedures 
44.3 	prescribed by the commissioner, including documentation of eligibility, on forms 
44.4 	prescribed by the commissioner.
44.5 	(d) If an agency is certifying a child for adoption assistance and the child will attain 
44.6 	the age of 18 within 60 calendar days of submission, the request for extension must be 
44.7 	completed in writing and submitted, including all supporting documentation, with the 
44.8 	adoption assistance application.
44.9 	(e) A child who has attained the age of 16 prior to the finalization of the child's 
44.10 	adoption is eligible for extension of the adoption assistance agreement up to the date the 
44.11 	child attains age 21 if the child is:
44.12 	(1) dependent on the adoptive parent for care and financial support; and
44.13 	(2)(i) completing a secondary education program or a program leading to an 
44.14 	equivalent credential;
44.15 	(ii) enrolled in an institution that provides postsecondary or vocational education;
44.16 	(iii) participating in a program or activity designed to promote or remove barriers to 
44.17 	employment;
44.18 	(iv) employed for at least 80 hours per month; or
44.19 	(v) incapable of doing any of the activities described in items (i) to (iv) due to 
44.20 	a medical condition where incapability is supported by documentation from an expert 
44.21 	according to the requirements and procedures prescribed by the commissioner.
44.22 	(f) A child who has not attained the age of 16 prior to finalization of the child's 
44.23 	adoption is eligible for extension of the adoption assistance agreement up to the date the 
44.24 	child attains the age of 21 if the child is:
44.25 	(1) dependent on the adoptive parent for care and financial support; and
44.26 	(2)(i) enrolled in a secondary education program or a program leading to the 
44.27 	equivalent; or
44.28 	(ii) possesses a physical or mental disability that impairs the capacity for independent 
44.29 	living and warrants continuation of financial assistance as determined by the commissioner.
44.30 		Subd. 13.Beginning adoption assistance under Northstar Care for Children.
 44.31 	Effective November 27, 2014, a child who meets the eligibility criteria for adoption 
44.32 	assistance in subdivision 1, may have an adoption assistance agreement negotiated on 
44.33 	the child's behalf according to section 256N.25, and the effective date of the agreement 
44.34 	must be January 1, 2015, or the date of the court order finalizing the adoption, whichever 
44.35 	is later. Except as provided under section 256N.26, subdivision 1, paragraph (c), the 
44.36 	maximum rate schedule for the agreement must be determined according to section 
45.1 	256N.26 based on the age of the child on the date that the prospective adoptive parent or 
45.2 	parents sign the agreement.
45.3 		Subd. 14.Transition to adoption assistance under Northstar Care for Children.
 45.4 	The commissioner may offer adoption assistance agreements under this chapter to a 
45.5 	child with an adoption assistance agreement under chapter 259A executed on the child's 
45.6 	behalf on or before November 26, 2014, according to the priorities outlined in section 
45.7 	256N.28, subdivision 7, paragraph (b). To facilitate transition into the Northstar Care for 
45.8 	Children adoption assistance program, the commissioner has the authority to waive any 
45.9 	Northstar Care for Children adoption assistance eligibility requirements for a child with 
45.10 	an adoption assistance agreement under chapter 259A executed on the child's behalf on 
45.11 	or before November 26, 2014. Agreements negotiated under this subdivision must be in 
45.12 	accordance with the process in section 256N.28, subdivision 7. The maximum rate used in 
45.13 	the negotiation process for an agreement under this subdivision must be as outlined in 
45.14 	section 256N.28, subdivision 7.

45.15 	Sec. 8. [256N.24] ASSESSMENTS.
45.16 		Subdivision 1.Assessment. (a) Each child eligible under sections 256N.21, 
45.17 	256N.22, and 256N.23, must be assessed to determine the benefits the child may receive 
45.18 	under section 256N.26, in accordance with the assessment tool, process, and requirements 
45.19 	specified in subdivision 2.
45.20 	(b) If an agency applies the emergency foster care rate for initial placement under 
45.21 	section 256N.26, the agency may wait up to 30 days to complete the initial assessment.
45.22 	(c) Unless otherwise specified in paragraph (d), a child must be assessed at the basic 
45.23 	level, level B, or one of ten supplemental difficulty of care levels, levels C to L.
45.24 	(d) An assessment must not be completed for:
45.25 	(1) a child eligible for guardianship assistance under section 256N.22 or adoption 
45.26 	assistance under section 256N.23 who is determined to be an at-risk child. A child under 
45.27 	this clause must be assigned level A under section 256N.26, subdivision 1; and
45.28 	(2) a child transitioning into Northstar Care for Children under section 256N.28, 
45.29 	subdivision 7, unless the commissioner determines an assessment is appropriate.
45.30 		Subd. 2.Establishment of assessment tool, process, and requirements. Consistent 
45.31 	with sections 256N.001 to 256N.28, the commissioner shall establish an assessment tool 
45.32 	to determine the basic and supplemental difficulty of care, and shall establish the process 
45.33 	to be followed and other requirements, including appropriate documentation, when 
45.34 	conducting the initial assessment of a child entering Northstar Care for Children or when 
45.35 	the special assessment and reassessments may be needed for children continuing in the 
46.1 	program. The assessment tool must take into consideration the strengths and needs of the 
46.2 	child and the extra parenting provided by the caregiver to meet the child's needs.
46.3 		Subd. 3.Child care allowance portion of assessment. (a) The assessment tool 
46.4 	established under subdivision 2 must include consideration of the caregiver's need for 
46.5 	child care under this subdivision, with greater consideration for children of younger ages.
46.6 	(b) The child's assessment must include consideration of the caregiver's need for 
46.7 	child care if the following criteria are met:
46.8 	(1) the child is under age 13;
46.9 	(2) all available adult caregivers are employed or attending educational or vocational 
46.10 	training programs;
46.11 	(3) the caregiver does not receive child care assistance for the child under chapter 
46.12 	119B.
46.13 	(c) For children younger than seven years of age, the level determined by the 
46.14 	non-child care portions of the assessment must be adjusted based on the average number 
46.15 	of hours child care is needed each week due to employment or attending a training or 
46.16 	educational program as follows:
46.17 	(1) fewer than ten hours or if the caregiver is participating in the child care assistance 
46.18 	program under chapter 119B, no adjustment;
46.19 	(2) ten to 19 hours or if needed during school summer vacation or equivalent only, 
46.20 	increase one level;
46.21 	(3) 20 to 29 hours, increase two levels;
46.22 	(4) 30 to 39 hours, increase three levels; and
46.23 	(5) 40 or more hours, increase four levels.
46.24 	(d) For children at least seven years of age but younger than 13, the level determined 
46.25 	by the non-child care portions of the assessment must be adjusted based on the average 
46.26 	number of hours child care is needed each week due to employment or attending a training 
46.27 	or educational program as follows:
46.28 	(1) fewer than 20 hours, needed during school summer vacation or equivalent only, 
46.29 	or if the caregiver is participating in the child care assistance program under chapter 
46.30 	119B, no adjustment;
46.31 	(2) 20 to 39 hours, increase one level; and
46.32 	(3) 40 or more hours, increase two levels.
46.33 	(e) When the child attains the age of seven, the child care allowance must be reduced 
46.34 	by reducing the level to that available under paragraph (d). For children in foster care, 
46.35 	benefits under section 256N.26 must be automatically reduced when the child turns seven. 
46.36 	For children who receive guardianship assistance or adoption assistance, agreements must 
47.1 	include similar provisions to ensure that the benefit provided to these children does not 
47.2 	exceed the benefit provided to children in foster care.
47.3 	(f) When the child attains the age of 13, the child care allowance must be eliminated 
47.4 	by reducing the level to that available prior to any consideration of the caregiver's need 
47.5 	for child care. For children in foster care, benefits under section 256N.26 must be 
47.6 	automatically reduced when the child attains the age of 13. For children who receive 
47.7 	guardianship assistance or adoption assistance, agreements must include similar provisions 
47.8 	to ensure that the benefit provided to these children does not exceed the benefit provided 
47.9 	to children in foster care.
47.10 	(g) The child care allowance under this subdivision is not available to caregivers 
47.11 	who receive the child care assistance under chapter 119B. A caregiver receiving a child 
47.12 	care allowance under this subdivision must notify the commissioner if the caregiver 
47.13 	subsequently receives the child care assistance program under chapter 119B, and the 
47.14 	level must be reduced to that available prior to any consideration of the caregiver's need 
47.15 	for child care.
47.16 	(h) In establishing the assessment tool under subdivision 2, the commissioner must 
47.17 	design the tool so that the levels applicable to the non-child care portions of the assessment 
47.18 	at a given age accommodate the requirements of this subdivision.
47.19 		Subd. 4.Timing of initial assessment. For a child entering Northstar Care for 
47.20 	Children under section 256N.21, the initial assessment must be completed within 30 
47.21 	days after the child is placed in foster care.
47.22 		Subd. 5.Completion of initial assessment. (a) The assessment must be completed 
47.23 	in consultation with the child's caregiver. Face-to-face contact with the caregiver is not 
47.24 	required to complete the assessment.
47.25 	(b) Initial assessments are completed for foster children, eligible under section 
47.26 	256N.21.
47.27 	(c) The initial assessment must be completed by the financially responsible agency, 
47.28 	in consultation with the legally responsible agency if different, within 30 days of the 
47.29 	child's placement in foster care.
47.30 	(d) If the foster parent is unable or unwilling to cooperate with the assessment process, 
47.31 	the child shall be assigned the basic level, level B under section 256N.26, subdivision 3.
47.32 	(e) Notice to the foster parent shall be provided as specified in subdivision 12.
47.33 		Subd. 6.Timing of special assessment. (a) A special assessment is required as part 
47.34 	of the negotiation of the guardianship assistance agreement under section 256N.22 if:
48.1 	(1) the child was not placed in foster care with the prospective relative custodian 
48.2 	or custodians prior to the negotiation of the guardianship assistance agreement under 
48.3 	section 256N.25; or
48.4 	(2) any requirement for reassessment under subdivision 8 is met.
48.5 	(b) A special assessment is required as part of the negotiation of the adoption 
48.6 	assistance agreement under section 256N.23 if:
48.7 	(1) the child was not placed in foster care with the prospective adoptive parent 
48.8 	or parents prior to the negotiation of the adoption assistance agreement under section 
48.9 	256N.25; or
48.10 	(2) any requirement for reassessment under subdivision 8 is met.
48.11 	(c) A special assessment is required when a child transitions from a pre-Northstar 
48.12 	Care for Children program into Northstar Care for Children if the commissioner 
48.13 	determines that a special assessment is appropriate instead of assigning the transition child 
48.14 	to a level under section 256N.28.
48.15 	(d) The special assessment must be completed prior to the establishment of a 
48.16 	guardianship assistance or adoption assistance agreement on behalf of the child.
48.17 		Subd. 7.Completing the special assessment. (a) The special assessment must 
48.18 	be completed in consultation with the child's caregiver. Face-to-face contact with the 
48.19 	caregiver is not required to complete the special assessment.
48.20 	(b) If a new special assessment is required prior to the effective date of the 
48.21 	guardianship assistance agreement, it must be completed by the financially responsible 
48.22 	agency, in consultation with the legally responsible agency if different. If the prospective 
48.23 	relative custodian is unable or unwilling to cooperate with the special assessment process, 
48.24 	the child shall be assigned the basic level, level B under section 256N.26, subdivision 3, 
48.25 	unless the child is known to be an at-risk child, in which case, the child shall be assigned 
48.26 	level A under section 256N.26, subdivision 1.
48.27 	(c) If a special assessment is required prior to the effective date of the adoption 
48.28 	assistance agreement, it must be completed by the financially responsible agency, in 
48.29 	consultation with the legally responsible agency if different. If there is no financially 
48.30 	responsible agency, the special assessment must be completed by the agency designated by 
48.31 	the commissioner. If the prospective adoptive parent is unable or unwilling to cooperate 
48.32 	with the special assessment process, the child must be assigned the basic level, level B 
48.33 	under section 256N.26, subdivision 3, unless the child is known to be an at-risk child, in 
48.34 	which case, the child shall be assigned level A under section 256N.26, subdivision 1.
48.35 	(d) Notice to the prospective relative custodians or prospective adoptive parents 
48.36 	must be provided as specified in subdivision 12.
49.1 		Subd. 8.Timing of and requests for reassessments. Reassessments for an eligible 
49.2 	child must be completed within 30 days of any of the following events:
49.3 	(1) for a child in continuous foster care, when six months have elapsed since 
49.4 	completion of the last assessment;
49.5 	(2) for a child in continuous foster care, change of placement location;
49.6 	(3) for a child in foster care, at the request of the financially responsible agency or 
49.7 	legally responsible agency;
49.8 	(4) at the request of the commissioner; or
49.9 	(5) at the request of the caregiver under subdivision 9.
49.10 		Subd. 9.Caregiver requests for reassessments. (a) A caregiver may initiate 
49.11 	a reassessment request for an eligible child in writing to the financially responsible 
49.12 	agency or, if there is no financially responsible agency, the agency designated by the 
49.13 	commissioner. The written request must include the reason for the request and the 
49.14 	name, address, and contact information of the caregivers. For an eligible child with a 
49.15 	guardianship assistance or adoption assistance agreement, the caregiver may request a 
49.16 	reassessment if at least six months have elapsed since any previously requested review. 
49.17 	For an eligible foster child, a foster parent may request reassessment in less than six 
49.18 	months with written documentation that there have been significant changes in the child's 
49.19 	needs that necessitate an earlier reassessment.
49.20 	(b) A caregiver may request a reassessment of an at-risk child for whom a 
49.21 	guardianship assistance or adoption assistance agreement has been executed if the 
49.22 	caregiver has satisfied the commissioner with written documentation from a qualified 
49.23 	expert that the potential disability upon which eligibility for the agreement was based has 
49.24 	manifested itself, consistent with section 256N.25, subdivision 3, paragraph (b).
49.25 	(c) If the reassessment cannot be completed within 30 days of the caregiver's request, 
49.26 	the agency responsible for reassessment must notify the caregiver of the reason for the 
49.27 	delay and a reasonable estimate of when the reassessment can be completed.
49.28 		Subd. 10.Completion of reassessment. (a) The reassessment must be completed 
49.29 	in consultation with the child's caregiver. Face-to-face contact with the caregiver is not 
49.30 	required to complete the reassessment.
49.31 	(b) For foster children eligible under section 256N.21, reassessments must be 
49.32 	completed by the financially responsible agency, in consultation with the legally 
49.33 	responsible agency if different.
49.34 	(c) If reassessment is required after the effective date of the guardianship assistance 
49.35 	agreement, the reassessment must be completed by the financially responsible agency.
50.1 	(d) If a reassessment is required after the effective date of the adoption assistance 
50.2 	agreement, it must be completed by the financially responsible agency or, if there is no 
50.3 	financially responsible agency, the agency designated by the commissioner.
50.4 	(e) If the child's caregiver is unable or unwilling to cooperate with the reassessment, 
50.5 	the child must be assessed at level B under section 256N.26, subdivision 3, unless the 
50.6 	child has an adoption assistance or guardianship assistance agreement in place and is 
50.7 	known to be an at-risk child, in which case the child must be assessed at level A under 
50.8 	section 256N.26, subdivision 1.
50.9 		Subd. 11.Approval of initial assessments, special assessments, and 
50.10 	reassessments. (a) Any agency completing initial assessments, special assessments, or 
50.11 	reassessments must designate one or more supervisors or other staff to examine and approve 
50.12 	assessments completed by others in the agency under subdivision 2. The person approving 
50.13 	an assessment must not be the case manager or staff member completing that assessment.
50.14 	(b) In cases where a special assessment or reassessment for guardian assistance 
50.15 	and adoption assistance is required under subdivision 7 or 10, the commissioner shall 
50.16 	review and approve the assessment as part of the eligibility determination process outlined 
50.17 	in section 256N.22, subdivision 7, for guardianship assistance, or section 256N.23, 
50.18 	subdivision 7, for adoption assistance. The assessment determines the maximum for the 
50.19 	negotiated agreement amount under section 256N.25.
50.20 	(c) The new rate is effective the calendar month that the assessment is approved, 
50.21 	or the effective date of the agreement, whichever is later.
50.22 		Subd. 12.Notice for caregiver. (a) The agency as defined in subdivision 5 or 10 
50.23 	that is responsible for completing the initial assessment or reassessment must provide the 
50.24 	child's caregiver with written notice of the initial assessment or reassessment.
50.25 	(b) Initial assessment notices must be sent within 15 days of completion of the initial 
50.26 	assessment and must minimally include the following:
50.27 	(1) a summary of the child's completed individual assessment used to determine the 
50.28 	initial rating;
50.29 	(2) statement of rating and benefit level;
50.30 	(3) statement of the circumstances under which the agency must reassess the child;
50.31 	(4) procedure to seek reassessment;
50.32 	(5) notice that the caregiver has the right to a fair hearing review of the assessment 
50.33 	and how to request a fair hearing, consistent with section 256.045, subdivision 3; and
50.34 	(6) the name, telephone number, and e-mail, if available, of a contact person at the 
50.35 	agency completing the assessment.
51.1 	(c) Reassessment notices must be sent within 15 days after the completion of the 
51.2 	reassessment and must minimally include the following:
51.3 	(1) a summary of the child's individual assessment used to determine the new rating;
51.4 	(2) any change in rating and its effective date;
51.5 	(3) procedure to seek reassessment;
51.6 	(4) notice that if a change in rating results in a reduction of benefits, the caregiver 
51.7 	has the right to a fair hearing review of the assessment and how to request a fair hearing 
51.8 	consistent with section 256.045, subdivision 3;
51.9 	(5) notice that a caregiver who requests a fair hearing of the reassessed rating within 
51.10 	ten days may continue at the current rate pending the hearing, but the agency may recover 
51.11 	any overpayment; and 
51.12 	(6) name, telephone number, and e-mail, if available, of a contact person at the 
51.13 	agency completing the reassessment.
51.14 	(d) Notice is not required for special assessments since the notice is part of the 
51.15 	guardianship assistance or adoption assistance negotiated agreement completed according 
51.16 	to section 256N.25.
51.17 		Subd. 13.Assessment tool determines rate of benefits. The assessment tool 
51.18 	established by the commissioner in subdivision 2 determines the monthly benefit level 
51.19 	for children in foster care. The monthly payment for guardian assistance or adoption 
51.20 	assistance may be negotiated up to the monthly benefit level under foster care for those 
51.21 	children eligible for a payment under section 256N.26, subdivision 1.

51.22 	Sec. 9. [256N.25] AGREEMENTS.
51.23 		Subdivision 1.Agreement; guardianship assistance; adoption assistance. (a) 
51.24 	In order to receive guardianship assistance or adoption assistance benefits on behalf of 
51.25 	an eligible child, a written, binding agreement between the caregiver or caregivers, the 
51.26 	financially responsible agency, or, if there is no financially responsible agency, the agency 
51.27 	designated by the commissioner, and the commissioner must be established prior to 
51.28 	finalization of the adoption or a transfer of permanent legal and physical custody. The 
51.29 	agreement must be negotiated with the caregiver or caregivers under subdivision 2.
51.30 	(b) The agreement must be on a form approved by the commissioner and must 
51.31 	specify the following:
51.32 	(1) duration of the agreement;
51.33 	(2) the nature and amount of any payment, services, and assistance to be provided 
51.34 	under such agreement;
51.35 	(3) the child's eligibility for Medicaid services;
52.1 	(4) the terms of the payment, including any child care portion as specified in section 
52.2 	256N.24, subdivision 3;
52.3 	(5) eligibility for reimbursement of nonrecurring expenses associated with adopting 
52.4 	or obtaining permanent legal and physical custody of the child, to the extent that the 
52.5 	total cost does not exceed $2,000 per child;
52.6 	(6) that the agreement must remain in effect regardless of the state of which the 
52.7 	adoptive parents or relative custodians are residents at any given time;
52.8 	(7) provisions for modification of the terms of the agreement, including renegotiation 
52.9 	of the agreement; and
52.10 	(8) the effective date of the agreement.
52.11 	(c) The caregivers, the commissioner, and the financially responsible agency, or, if 
52.12 	there is no financially responsible agency, the agency designated by the commissioner, must 
52.13 	sign the agreement. A copy of the signed agreement must be given to each party. Once 
52.14 	signed by all parties, the commissioner shall maintain the official record of the agreement.
52.15 	(d) The effective date of the guardianship assistance agreement must be the date of the 
52.16 	court order that transfers permanent legal and physical custody to the relative. The effective 
52.17 	date of the adoption assistance agreement is the date of the finalized adoption decree.
52.18 	(e) Termination or disruption of the preadoptive placement or the foster care 
52.19 	placement prior to assignment of custody makes the agreement with that caregiver void.
52.20 		Subd. 2.Negotiation of agreement. (a) When a child is determined to be eligible 
52.21 	for guardianship assistance or adoption assistance, the financially responsible agency, or, 
52.22 	if there is no financially responsible agency, the agency designated by the commissioner, 
52.23 	must negotiate with the caregiver to develop an agreement under subdivision 1. If and when 
52.24 	the caregiver and agency reach concurrence as to the terms of the agreement, both parties 
52.25 	shall sign the agreement. The agency must submit the agreement, along with the eligibility 
52.26 	determination outlined in sections 256N.22, subdivision 7, and 256N.23, subdivision 7, to 
52.27 	the commissioner for final review, approval, and signature according to subdivision 1.
52.28 	(b) A monthly payment is provided as part of the adoption assistance or guardianship 
52.29 	assistance agreement to support the care of children unless the child is determined to be an 
52.30 	at-risk child, in which case the special at-risk monthly payment under section 256N.26, 
52.31 	subdivision 7, must be made until the caregiver obtains written documentation from a 
52.32 	qualified expert that the potential disability upon which eligibility for the agreement 
52.33 	was based has manifested itself.
52.34 	(1) The amount of the payment made on behalf of a child eligible for guardianship 
52.35 	assistance or adoption assistance is determined through agreement between the prospective 
52.36 	relative custodian or the adoptive parent and the financially responsible agency, or, if there 
53.1 	is no financially responsible agency, the agency designated by the commissioner, using 
53.2 	the assessment tool established by the commissioner in section 256N.24, subdivision 2, 
53.3 	and the associated benefit and payments outlined in section 256N.26. Except as provided 
53.4 	under section 256N.24, subdivision 1, paragraph (c), the assessment tool establishes 
53.5 	the monthly benefit level for a child under foster care. The monthly payment under a 
53.6 	guardianship assistance agreement or adoption assistance agreement may be negotiated up 
53.7 	to the monthly benefit level under foster care. In no case may the amount of the payment 
53.8 	under a guardianship assistance agreement or adoption assistance agreement exceed the 
53.9 	foster care maintenance payment which would have been paid during the month if the 
53.10 	child with respect to whom the guardianship assistance or adoption assistance payment is 
53.11 	made had been in a foster family home in the state.
53.12 	(2) The rate schedule for the agreement is determined based on the age of the 
53.13 	child on the date that the prospective adoptive parent or parents or relative custodian or 
53.14 	custodians sign the agreement. 
53.15 	(3) The income of the relative custodian or custodians or adoptive parent or parents 
53.16 	must not be taken into consideration when determining eligibility for guardianship 
53.17 	assistance or adoption assistance or the amount of the payments under section 256N.26.
53.18 	(4) With the concurrence of the relative custodian or adoptive parent, the amount of 
53.19 	the payment may be adjusted periodically using the assessment tool established by the 
53.20 	commissioner in section 256N.24, subdivision 2, and the agreement renegotiated under 
53.21 	subdivision 3 when there is a change in the child's needs or the family's circumstances.
53.22 	(5) The guardianship assistance or adoption assistance agreement of a child who is 
53.23 	identified as at-risk receives the special at-risk monthly payment under section 256N.26, 
53.24 	subdivision 7, unless and until the potential disability manifests itself, as documented by 
53.25 	an appropriate professional, and the commissioner authorizes commencement of payment 
53.26 	by modifying the agreement accordingly. A relative custodian or adoptive parent of an 
53.27 	at-risk child with a guardianship assistance or adoption assistance agreement may request 
53.28 	a reassessment of the child under section 256N.24, subdivision 9, and renegotiation of 
53.29 	the guardianship assistance or adoption assistance agreement under subdivision 3 to 
53.30 	include a monthly payment, if the caregiver has written documentation from a qualified 
53.31 	expert that the potential disability upon which eligibility for the agreement was based has 
53.32 	manifested itself. Documentation of the disability must be limited to evidence deemed 
53.33 	appropriate by the commissioner.
53.34 	(c) For guardianship assistance agreements:
53.35 	(1) the initial amount of the monthly guardianship assistance payment must be 
53.36 	equivalent to the foster care rate in effect at the time that the agreement is signed less any 
54.1 	offsets under section 256N.26, subdivision 11, or a lesser negotiated amount if agreed to 
54.2 	by the prospective relative custodian and specified in that agreement, unless the child is 
54.3 	identified as at-risk or the guardianship assistance agreement is entered into when a child 
54.4 	is under the age of six;
54.5 	(2) an at-risk child must be assigned level A as outlined in section 256N.26 and 
54.6 	receive the special at-risk monthly payment under section 256N.26, subdivision 7, unless 
54.7 	and until the potential disability manifests itself, as documented by a qualified expert and 
54.8 	the commissioner authorizes commencement of payment by modifying the agreement 
54.9 	accordingly; and
54.10 	(3) the amount of the monthly payment for a guardianship assistance agreement for 
54.11 	a child, other than an at-risk child, who is under the age of six must be as specified in 
54.12 	section 256N.26, subdivision 5.
54.13 	(d) For adoption assistance agreements:
54.14 	(1) for a child in foster care with the prospective adoptive parent immediately prior 
54.15 	to adoptive placement, the initial amount of the monthly adoption assistance payment 
54.16 	must be equivalent to the foster care rate in effect at the time that the agreement is signed 
54.17 	less any offsets in section 256N.26, subdivision 11, or a lesser negotiated amount if agreed 
54.18 	to by the prospective adoptive parents and specified in that agreement, unless the child is 
54.19 	identified as at-risk or the adoption assistance agreement is entered into when a child is 
54.20 	under the age of six;
54.21 	(2) an at-risk child must be assigned level A as outlined in section 256N.26 and 
54.22 	receive the special at-risk monthly payment under section 256N.26, subdivision 7, unless 
54.23 	and until the potential disability manifests itself, as documented by an appropriate 
54.24 	professional and the commissioner authorizes commencement of payment by modifying 
54.25 	the agreement accordingly;
54.26 	(3) the amount of the monthly payment for an adoption assistance agreement for 
54.27 	a child under the age of six, other than an at-risk child, must be as specified in section 
54.28 	256N.26, subdivision 5;
54.29 	(4) for a child who is in the guardianship assistance program immediately prior 
54.30 	to adoptive placement, the initial amount of the adoption assistance payment must be 
54.31 	equivalent to the guardianship assistance payment in effect at the time that the adoption 
54.32 	assistance agreement is signed or a lesser amount if agreed to by the prospective adoptive 
54.33 	parent and specified in that agreement; and
54.34 	(5) for a child who is not in foster care placement or the guardianship assistance 
54.35 	program immediately prior to adoptive placement or negotiation of the adoption assistance 
54.36 	agreement, the initial amount of the adoption assistance agreement must be determined 
55.1 	using the assessment tool and process in this section and the corresponding payment 
55.2 	amount outlined in section 256N.26.
55.3 		Subd. 3.Renegotiation of agreement. (a) A relative custodian or adoptive parent 
55.4 	of a child with a guardianship assistance or adoption assistance agreement may request 
55.5 	renegotiation of the agreement when there is a change in the needs of the child or in the 
55.6 	family's circumstances. When a relative custodian or adoptive parent requests renegotiation 
55.7 	of the agreement, a reassessment of the child must be completed consistent with section 
55.8 	256N.24, subdivisions 9 and 10. If the reassessment indicates that the child's level has 
55.9 	changed, the financially responsible agency, or, if there is no financially responsible 
55.10 	agency, the agency designated by the commissioner or a designee and the caregiver must 
55.11 	renegotiate the agreement to include a payment with the level determined through the 
55.12 	reassessment process. The agreement must not be renegotiated unless the commissioner, 
55.13 	the financially responsible agency, and the caregiver mutually agree to the changes. The 
55.14 	effective date of any renegotiated agreement must be determined by the commissioner.
55.15 	(b) A relative custodian or adoptive parent of an at-risk child with a guardianship 
55.16 	assistance or adoption assistance agreement may request renegotiation of the agreement to 
55.17 	include a monthly payment higher than the special at-risk monthly payment under section 
55.18 	256N.26, subdivision 7, if the caregiver has written documentation from a qualified 
55.19 	expert that the potential disability upon which eligibility for the agreement was based has 
55.20 	manifested itself. Documentation of the disability must be limited to evidence deemed 
55.21 	appropriate by the commissioner. Prior to renegotiating the agreement, a reassessment 
55.22 	of the child must be conducted as outlined in section 256N.24, subdivision 9. The 
55.23 	reassessment must be used to renegotiate the agreement to include an appropriate monthly 
55.24 	payment. The agreement must not be renegotiated unless the commissioner, the financially 
55.25 	responsible agency, and the caregiver mutually agree to the changes. The effective date of 
55.26 	any renegotiated agreement must be determined by the commissioner.
55.27 	(c) Renegotiation of a guardianship assistance or adoption assistance agreement is 
55.28 	required when one of the circumstances outlined in section 256N.26, subdivision 13, 
55.29 	occurs.

55.30 	Sec. 10. [256N.26] BENEFITS AND PAYMENTS.
55.31 		Subdivision 1.Benefits.  (a) There are three benefits under Northstar Care for 
55.32 	Children: medical assistance, basic payment, and supplemental difficulty of care payment.
55.33 	(b) A child is eligible for medical assistance under subdivision 2.
56.1 	(c) A child is eligible for the basic payment under subdivision 3, except for a child 
56.2 	assigned level A under section 256N.24, subdivision 1, because the child is determined to 
56.3 	be an at-risk child receiving guardianship assistance or adoption assistance. 
56.4 	(d) A child, including a foster child age 18 to 21, is eligible for an additional 
56.5 	supplemental difficulty of care payment under subdivision 4, as determined by the 
56.6 	assessment under section 256N.24.
56.7 	(e) An eligible child entering guardianship assistance or adoption assistance under 
56.8 	the age of six receives a basic payment and supplemental difficulty of care payment as 
56.9 	specified in subdivision 5.
56.10 	(f) A child transitioning in from a pre-Northstar Care for Children program under 
56.11 	section 256N.28, subdivision 7, shall receive basic and difficulty of care supplemental 
56.12 	payments according to those provisions.
56.13 		Subd. 2.Medical assistance. Eligibility for medical assistance under this chapter 
56.14 	must be determined according to section 256B.055.
56.15 		Subd. 3.Basic monthly rate. From January 1, 2015, to June 30, 2016, the basic 
56.16 	monthly rate must be according to the following schedule:

56.17		Ages 0-5
	$565 per month
	
56.18		Ages 6-12
	$670 per month
	
56.19		Ages 13 and older
	$790 per month
	
56.20 		Subd. 4.Difficulty of care supplemental monthly rate. From January 1, 2015, 
56.21 	to June 30, 2016, the supplemental difficulty of care monthly rate is determined by the 
56.22 	following schedule:

56.23
56.24		Level A
	none (special rate under subdivision 7 
applies)
	
56.25		Level B
	none (basic under subdivision 3 only)
	
56.26		Level C
	$100 per month
	
56.27		Level D
	$200 per month
	
56.28		Level E
	$300 per month
	
56.29		Level F
	$400 per month
	
56.30		Level G
	$500 per month
	
56.31		Level H
	$600 per month
	
56.32		Level I
	$700 per month
	
56.33		Level J
	$800 per month
	
56.34		Level K
	$900 per month
	
56.35		Level L
	$1,000 per month
	
56.36 	A child assigned level A is not eligible for either the basic or supplemental difficulty 
56.37 	of care payment, while a child assigned level B is not eligible for the supplemental 
56.38 	difficulty of care payment but is eligible for the basic monthly rate under subdivision 3.
57.1 		Subd. 5.Alternate rates for preschool entry and certain transitioned children.
 57.2 	A child who entered the guardianship assistance or adoption assistance components 
57.3 	of Northstar Care for Children while under the age of six shall receive 50 percent of 
57.4 	the amount the child would otherwise be entitled to under subdivisions 3 and 4. The 
57.5 	commissioner may also use the 50 percent rate for a child who was transitioned into those 
57.6 	components through declaration of the commissioner under section 256N.28, subdivision 7.
57.7 		Subd. 6.Emergency foster care rate for initial placement. (a) A child who enters 
57.8 	foster care due to immediate custody by a police officer or court order, consistent with 
57.9 	section 260C.175, subdivisions 1 and 2, or equivalent provision under tribal code, shall 
57.10 	receive the emergency foster care rate for up to 30 days. The emergency foster care rate 
57.11 	cannot be extended beyond 30 days of the child's placement.
57.12 	(b) For this payment rate to be applied, at least one of three conditions must apply:
57.13 	(1) the child's initial placement must be in foster care in Minnesota;
57.14 	(2) the child's previous placement was more than two years ago; or
57.15 	(3) the child's previous placement was for fewer than 30 days and an assessment 
57.16 	under section 256N.24 was not completed by an agency under section 256N.24.
57.17 	(c) The emergency foster care rate consists of the appropriate basic monthly rate 
57.18 	under subdivision 3 plus a difficulty of care supplemental monthly rate of level D under 
57.19 	subdivision 4.
57.20 	(d) The emergency foster care rate ends under any of three conditions:
57.21 	(1) when an assessment under section 256N.24 is completed;
57.22 	(2) when the placement ends; or
57.23 	(3) after 30 days have elapsed.
57.24 	(e) The financially responsible agency, in consultation with the legally responsible 
57.25 	agency, if different, may replace the emergency foster care rate at any time by completing 
57.26 	an initial assessment on which a revised difficulty of care supplemental monthly rate 
57.27 	would be based. Consistent with section 256N.24, subdivision 9, the caregiver may 
57.28 	request a reassessment in writing for an initial assessment to replace the emergency foster 
57.29 	care rate. This written request would initiate an initial assessment under section 256N.24, 
57.30 	subdivision 5. If the revised difficulty of care supplemental level based on the initial 
57.31 	assessment is higher than Level D, then the revised higher rate shall apply retroactively to 
57.32 	the beginning of the placement. If the revised level is lower, the lower rate shall apply on 
57.33 	the date the initial assessment was completed.
57.34 	(f) If a child remains in foster care placement for more than 30 days, the emergency 
57.35 	foster care rate ends after the 30th day of placement and an assessment under section 
57.36 	256N.26 must be completed.
58.1 		Subd. 7.Special at-risk monthly payment for at-risk children in guardianship 
58.2 	assistance and adoption assistance. A child eligible for guardianship assistance under 
58.3 	section 256N.22 or adoption assistance under section 256N.23 who is determined to be 
58.4 	an at-risk child shall receive a special at-risk monthly payment of $1 per month basic, 
58.5 	unless and until the potential disability manifests itself and the agreement is renegotiated 
58.6 	to include reimbursement. Such an at-risk child shall receive neither a supplemental 
58.7 	difficulty of care monthly rate under subdivision 4 nor home and vehicle modifications 
58.8 	under subdivision 10, but must be considered for medical assistance under subdivision 2.
58.9 		Subd. 8.Daily rates. (a) The commissioner shall establish prorated daily rates to 
58.10 	the nearest cent for the monthly rates under subdivisions 3 to 7. Daily rates must be 
58.11 	routinely used when a partial month is involved for foster care, guardianship assistance, or 
58.12 	adoption assistance.
58.13 	(b) A full month payment is permitted if a foster child is temporarily absent from 
58.14 	the foster home if the brief absence does not exceed 14 days and the child's placement 
58.15 	continues with the same caregiver.
58.16 		Subd. 9.Revision. By April 1, 2016, for fiscal year 2017, and by each succeeding 
58.17 	April 1 for the subsequent fiscal year, the commissioner shall review and revise the rates 
58.18 	under subdivisions 3 to 7 based on the United States Department of Agriculture, Estimates 
58.19 	of the Cost of Raising a Child, published by the United States Department of Agriculture, 
58.20 	Agricultural Resources Service, Publication 1411. The revision shall be the average 
58.21 	percentage by which costs increase for the age ranges represented in the United States 
58.22 	Department of Agriculture, Estimates of the Cost of Raising a Child, except that in no 
58.23 	instance must the increase be more than three percent per annum. The monthly rates must 
58.24 	be revised to the nearest dollar and the daily rates to the nearest cent.
58.25 		Subd. 10.Home and vehicle modifications. (a) Except for a child assigned level A 
58.26 	under section 256N.24, subdivision 1, paragraph (b), clause (1), a child who is eligible 
58.27 	for an adoption assistance agreement may have reimbursement of home and vehicle 
58.28 	modifications necessary to accommodate the child's special needs upon which eligibility 
58.29 	for adoption assistance was based and included as part of the negotiation of the agreement 
58.30 	under section 256N.25, subdivision 2. Reimbursement of home and vehicle modifications 
58.31 	must not be available for a child who is assessed at level A under subdivision 1, unless 
58.32 	and until the potential disability manifests itself and the agreement is renegotiated to 
58.33 	include reimbursement.
58.34 	(b) Application for and reimbursement of modifications must be completed 
58.35 	according to a process specified by the commissioner. The type and cost of each 
59.1 	modification must be preapproved by the commissioner. The type of home and vehicle 
59.2 	modifications must be limited to those specified by the commissioner.
59.3 	(c) Reimbursement for home modifications as outlined in this subdivision is limited 
59.4 	to once every five years per child. Reimbursement for vehicle modifications as outlined in 
59.5 	this subdivision is limited to once every five years per family.
59.6 		Subd. 11.Child income or income attributable to the child. (a) A monthly 
59.7 	guardianship assistance or adoption assistance payment must be considered as income 
59.8 	and resource attributable to the child. Guardianship assistance and adoption assistance 
59.9 	are exempt from garnishment, except as permissible under the laws of the state where the 
59.10 	child resides.
59.11 	(b) When a child is placed into foster care, any income and resources attributable 
59.12 	to the child are treated as provided in sections 252.27 and 260C.331, or 260B.331, as 
59.13 	applicable to the child being placed.
59.14 	(c) Consideration of income and resources attributable to the child must be part of 
59.15 	the negotiation process outlined in section 256N.25, subdivision 2. In some circumstances, 
59.16 	the receipt of other income on behalf of the child may impact the amount of the monthly 
59.17 	payment received by the relative custodian or adoptive parent on behalf of the child 
59.18 	through Northstar Care for Children. Supplemental Security Income (SSI), retirement 
59.19 	survivor's disability insurance (RSDI), veteran's benefits, railroad retirement benefits, and 
59.20 	black lung benefits are considered income and resources attributable to the child.
59.21 		Subd. 12.Treatment of Supplemental Security Income. If a child placed in foster 
59.22 	care receives benefits through Supplemental Security Income (SSI) at the time of foster 
59.23 	care placement or subsequent to placement in foster care, the financially responsible 
59.24 	agency may apply to be the payee for the child for the duration of the child's placement in 
59.25 	foster care. If a child continues to be eligible for SSI after finalization of the adoption or 
59.26 	transfer of permanent legal and physical custody and is determined to be eligible for a 
59.27 	payment under Northstar Care for Children, a permanent caregiver may choose to receive 
59.28 	payment from both programs simultaneously. The permanent caregiver is responsible 
59.29 	to report the amount of the payment to the Social Security Administration and the SSI 
59.30 	payment will be reduced as required by Social Security.
59.31 		Subd. 13.Treatment of retirement survivor's disability insurance, veteran's 
59.32 	benefits, railroad retirement benefits, and black lung benefits. (a) If a child placed 
59.33 	in foster care receives retirement survivor's disability insurance, veteran's benefits, 
59.34 	railroad retirement benefits, or black lung benefits at the time of foster care placement or 
59.35 	subsequent to placement in foster care, the financially responsible agency may apply to 
59.36 	be the payee for the child for the duration of the child's placement in foster care. If it is 
60.1 	anticipated that a child will be eligible to receive retirement survivor's disability insurance, 
60.2 	veteran's benefits, railroad retirement benefits, or black lung benefits after finalization 
60.3 	of the adoption or assignment of permanent legal and physical custody, the permanent 
60.4 	caregiver shall apply to be the payee of those benefits on the child's behalf. The monthly 
60.5 	amount of the other benefits must be considered an offset to the amount of the payment 
60.6 	the child is determined eligible for under Northstar Care for Children.
60.7 	(b) If a child becomes eligible for retirement survivor's disability insurance, veteran's 
60.8 	benefits, railroad retirement benefits, or black lung benefits, after the initial amount of the 
60.9 	payment under Northstar Care for Children is finalized, the permanent caregiver shall 
60.10 	contact the commissioner to redetermine the payment under Northstar Care for Children. 
60.11 	The monthly amount of the other benefits must be considered an offset to the amount of 
60.12 	the payment the child is determined eligible for under Northstar Care for Children.
60.13 	(c) If a child ceases to be eligible for retirement survivor's disability insurance, 
60.14 	veteran's benefits, railroad retirement benefits, or black lung benefits after the initial amount 
60.15 	of the payment under Northstar Care for Children is finalized, the permanent caregiver 
60.16 	shall contact the commissioner to redetermine the payment under Northstar Care for 
60.17 	Children. The monthly amount of the payment under Northstar Care for Children must be 
60.18 	the amount the child was determined to be eligible for prior to consideration of any offset.
60.19 	(d) If the monthly payment received on behalf of the child under retirement survivor's 
60.20 	disability insurance, veteran's benefits, railroad retirement benefits, or black lung benefits 
60.21 	changes after the adoption assistance or guardianship assistance agreement is finalized, 
60.22 	the permanent caregiver shall notify the commissioner as to the new monthly payment 
60.23 	amount, regardless of the amount of the change in payment. If the monthly payment 
60.24 	changes by $75 or more, even if the change occurs incrementally over the duration of 
60.25 	the term of the adoption assistance or guardianship assistance agreement, the monthly 
60.26 	payment under Northstar Care for Children must be adjusted without further consent 
60.27 	to reflect the amount of the increase or decrease in the offset amount. Any subsequent 
60.28 	change to the payment must be reported and handled in the same manner. A change of 
60.29 	monthly payments of less than $75 is not a permissible reason to renegotiate the adoption 
60.30 	assistance or guardianship assistance agreement under section 256N.25, subdivision 3. 
60.31 	The commissioner shall review and revise the limit at which the adoption assistance or 
60.32 	guardian assistance agreement must be renegotiated in accordance with subdivision 9.
60.33 		Subd. 14.Treatment of child support and Minnesota family investment 
60.34 	program. (a) If a child placed in foster care receives child support, the child support 
60.35 	payment may be redirected to the financially responsible agency for the duration of the 
60.36 	child's placement in foster care. In cases where the child qualifies for Northstar Care 
61.1 	for Children by meeting the adoption assistance eligibility criteria or the guardianship 
61.2 	assistance eligibility criteria, any court ordered child support must not be considered 
61.3 	income attributable to the child and must have no impact on the monthly payment.
61.4 	(b) Consistent with section 256J.24, a child eligible for Northstar Care for Children 
61.5 	whose caregiver receives a payment on the child's behalf is excluded from a Minnesota 
61.6 	family investment program assistance unit.
61.7 		Subd. 15.Payments. (a) Payments to caregivers under Northstar Care for Children 
61.8 	must be made monthly. Consistent with section 256N.24, subdivision 12, the financially 
61.9 	responsible agency must send the caregiver the required written notice within 15 days of 
61.10 	a completed assessment or reassessment.
61.11 	(b) Unless paragraph (c) or (d) applies, the financially responsible agency shall pay 
61.12 	foster parents directly for eligible children in foster care.
61.13 	(c) When the legally responsible agency is different than the financially responsible 
61.14 	agency, the legally responsible agency may make the payments to the caregiver, provided 
61.15 	payments are made on a timely basis. The financially responsible agency must pay 
61.16 	the legally responsible agency on a timely basis. Caregivers must have access to the 
61.17 	financially and legally responsible agencies' records of the transaction, consistent with 
61.18 	the retention schedule for the payments.
61.19 	(d) For eligible children in foster care, the financially responsible agency may pay 
61.20 	the foster parent's payment for a licensed child-placing agency instead of paying the foster 
61.21 	parents directly. The licensed child-placing agency must timely pay the foster parents 
61.22 	and maintain records of the transaction. Caregivers must have access to the financially 
61.23 	responsible agency's records on the transaction and the child-placing agency's records of 
61.24 	the transaction, consistent with the retention schedule for the payments.
61.25 		Subd. 16.Effect of benefit on other aid. Payments received under this section 
61.26 	must not be considered as income for child care assistance under chapter 119B or any 
61.27 	other financial benefit. Consistent with section 256J.24, a child receiving a maintenance 
61.28 	payment under Northstar Care for Children is excluded from any Minnesota family 
61.29 	investment program assistance unit.
61.30 		Subd. 17.Home and community-based services waiver for persons with 
61.31 	disabilities. A child in foster care may qualify for home and community-based waivered 
61.32 	services, consistent with section 256B.092 for developmental disabilities, or section 
61.33 	256B.49 for community alternative care, community alternatives for disabled individuals, 
61.34 	or traumatic brain injury waivers. A waiver service must not be substituted for the foster 
61.35 	care program. When the child is simultaneously eligible for waivered services and for 
61.36 	benefits under Northstar Care for Children, the financially responsible agency must 
62.1 	assess and provide basic and supplemental difficulty of care rates as determined by the 
62.2 	assessment according to section 256N.24. If it is determined that additional services are 
62.3 	needed to meet the child's needs in the home that is not or cannot be met by the foster care 
62.4 	program, the need would be referred to the local waivered service program.
62.5 		Subd. 18.Overpayments. The commissioner has the authority to collect any 
62.6 	amount of foster care payment, adoption assistance, or guardianship assistance paid 
62.7 	to a caregiver in excess of the payment due. Payments covered by this subdivision 
62.8 	include basic maintenance needs payments, supplemental difficulty of care payments, and 
62.9 	reimbursement of home and vehicle modifications under subdivision 10. Prior to any 
62.10 	collection, the commissioner or designee shall notify the caregiver in writing, including:
62.11 	(1) the amount of the overpayment and an explanation of the cause of overpayment;
62.12 	(2) clarification of the corrected amount;
62.13 	(3) a statement of the legal authority for the decision;
62.14 	(4) information about how the caregiver can correct the overpayment;
62.15 	(5) if repayment is required, when the payment is due and a person to contact to 
62.16 	review a repayment plan;
62.17 	(6) a statement that the caregiver has a right to a fair hearing review by the 
62.18 	department; and
62.19 	(7) the procedure for seeking a fair hearing review by the department.
62.20 		Subd. 19.Payee. For adoption assistance and guardianship assistance cases, the 
62.21 	payment must only be made to the adoptive parent or relative custodian specified on the 
62.22 	agreement. If there is more than one adoptive parent or relative custodian, both parties will 
62.23 	be listed as the payee unless otherwise specified in writing according to policies outlined 
62.24 	by the commissioner. In the event of divorce or separation of the caregivers, a change of 
62.25 	payee must be made in writing according to policies outlined by the commissioner. If both 
62.26 	caregivers are in agreement as to the change, it may be made according to a process outlined 
62.27 	by the commissioner. If there is not agreement as to the change, a court order indicating 
62.28 	the party who is to receive the payment is needed before a change can be processed. If the 
62.29 	change of payee is disputed, the commissioner may withhold the payment until agreement 
62.30 	is reached. A noncustodial caregiver may request notice in writing of review, modification, 
62.31 	or termination of the adoption assistance or guardianship assistance agreement. In the 
62.32 	event of the death of a payee, a change of payee consistent with sections 256N.22 and 
62.33 	256N.23 may be made in writing according to policies outlined by the commissioner.
62.34 		Subd. 20.Notification of change. (a) A caregiver who has an adoption assistance 
62.35 	agreement or guardianship assistance agreement in place shall keep the agency 
63.1 	administering the program informed of changes in status or circumstances which would 
63.2 	make the child ineligible for the payments or eligible for payments in a different amount.
63.3 	(b) For the duration of the agreement, the caregiver agrees to notify the agency 
63.4 	administering the program in writing within 30 days of any of the following:
63.5 	(1) a change in the child's or caregiver's legal name;
63.6 	(2) a change in the family's address;
63.7 	(3) a change in the child's legal custody status;
63.8 	(4) the child's completion of high school, if this occurs after the child attains age 18;
63.9 	(5) the end of the caregiver's legal responsibility to support the child based on 
63.10 	termination of parental rights of the caregiver, transfer of guardianship to another person, 
63.11 	or transfer of permanent legal and physical custody to another person;
63.12 	(6) the end of the caregiver's financial support of the child;
63.13 	(7) the death of the child;
63.14 	(8) the death of the caregiver;
63.15 	(9) the child enlists in the military;
63.16 	(10) the child gets married;
63.17 	(11) the child becomes an emancipated minor through legal action;
63.18 	(12) the caregiver separates or divorces; and
63.19 	(13) the child is residing outside the caregiver's home for a period of more than 
63.20 	30 consecutive days.
63.21 		Subd. 21.Correct and true information. The caregiver must be investigated for 
63.22 	fraud if the caregiver reports information the caregiver knows is untrue, the caregiver 
63.23 	fails to notify the commissioner of changes that may affect eligibility, or the agency 
63.24 	administering the program receives relevant information that the caregiver did not report.
63.25 		Subd. 22.Termination notice for caregiver. The agency that issues the 
63.26 	maintenance payment shall provide the child's caregiver with written notice of termination 
63.27 	of payment. Termination notices must be sent at least 15 days before the final payment or 
63.28 	in the case of an unplanned termination, the notice is sent within three days of the end of 
63.29 	the payment. The written notice must minimally include the following:
63.30 	(1) the date payment will end;
63.31 	(2) the reason payments will end and the event that is the basis to terminate payment;
63.32 	(3) a statement that the provider has a right to a fair hearing review by the department 
63.33 	consistent with section 256.045, subdivision 3;
63.34 	(4) the procedure to request a fair hearing; and
63.35 	(5) name, telephone number, and email address of a contact person at the agency.

64.1 	Sec. 11. [256N.27] FEDERAL, STATE, AND LOCAL SHARES.
64.2 		Subdivision 1.Federal share. For the purposes of determining a child's eligibility 
64.3 	under title IV-E of the Social Security Act for a child in foster care, the financially 
64.4 	responsible agency shall use the eligibility requirements outlined in section 472 of the 
64.5 	Social Security Act. For a child who qualifies for guardianship assistance or adoption 
64.6 	assistance, the financially responsible agency and the commissioner shall use the 
64.7 	eligibility requirements outlined in section 473 of the Social Security Act. In each case, 
64.8 	the agency paying the maintenance payments must be reimbursed for the costs from the 
64.9 	federal money available for this purpose.
64.10 		Subd. 2.State share. The commissioner shall pay the state share of the maintenance 
64.11 	payments as determined under subdivision 4, and an identical share of the pre-Northstar 
64.12 	Care foster care program under section 260C.4411, subdivision 1, the relative custody 
64.13 	assistance program under section 257.85, and the pre-Northstar Care for Children adoption 
64.14 	assistance program under chapter 259A. The commissioner may transfer funds into the 
64.15 	account if a deficit occurs.
64.16 		Subd. 3.Local share. (a) The financially responsible agency at the time of 
64.17 	placement for foster care or finalization of the agreement for guardianship assistance or 
64.18 	adoption assistance shall pay the local share of the maintenance payments as determined 
64.19 	under subdivision 4, and an identical share of the pre-Northstar Care for Children foster 
64.20 	care program under section 260C.4411, subdivision 1, the relative custody assistance 
64.21 	program under section 257.85, and the pre-Northstar Care for Children adoption assistance 
64.22 	program under chapter 259A.
64.23 	(b) The financially responsible agency shall pay the entire cost of any initial clothing 
64.24 	allowance, administrative payments to child caring agencies specified in section 317A.907, 
64.25 	or other support services it authorizes, except as provided under other provisions of law.
64.26 	(c) In cases of federally required adoption assistance where there is no financially 
64.27 	responsible agency as provided in section 256N.24, subdivision 5, the commissioner 
64.28 	shall pay the local share.
64.29 	(d) When an Indian child being placed in Minnesota meets title IV-E eligibility 
64.30 	defined in section 473(d) of the Social Security Act and is receiving guardianship 
64.31 	assistance or adoption assistance, the agency or entity assuming responsibility for the 
64.32 	child is responsible for the nonfederal share of the payment.
64.33 		Subd. 4.Nonfederal share. (a) The commissioner shall establish a percentage share 
64.34 	of the maintenance payments, reduced by federal reimbursements under title IV-E of the 
64.35 	Social Security Act, to be paid by the state and to be paid by the financially responsible 
64.36 	agency.
65.1 	(b) These state and local shares must initially be calculated based on the ratio of the 
65.2 	average appropriate expenditures made by the state and all financially responsible agencies 
65.3 	during calendar years 2011, 2012, 2013, and 2014. For purposes of this calculation, 
65.4 	appropriate expenditures for the financially responsible agencies must include basic and 
65.5 	difficulty of care payments for foster care reduced by federal reimbursements, but not 
65.6 	including any initial clothing allowance, administrative payments to child care agencies 
65.7 	specified in section 317A.907, child care, or other support or ancillary expenditures. For 
65.8 	purposes of this calculation, appropriate expenditures for the state shall include adoption 
65.9 	assistance and relative custody assistance, reduced by federal reimbursements.
65.10 	(c) For each of the periods January 1, 2015, to June 30, 2016, fiscal years 2017, 2018, 
65.11 	and 2019, the commissioner shall adjust this initial percentage of state and local shares to 
65.12 	reflect the relative expenditure trends during calendar years 2011, 2012, 2013, and 2014, 
65.13 	taking into account appropriations for Northstar Care for Children and the turnover rates 
65.14 	of the components. In making these adjustments, the commissioner's goal shall be to make 
65.15 	these state and local expenditures other than the appropriations for Northstar Care to be 
65.16 	the same as they would have been had Northstar Care not been implemented, or if that 
65.17 	is not possible, proportionally higher or lower, as appropriate. The state and local share 
65.18 	percentages for fiscal year 2019 must be used for all subsequent years.
65.19 		Subd. 5.Adjustments for proportionate shares among financially responsible 
65.20 	agencies. (a) The commissioner shall adjust the expenditures under subdivision 4 by each 
65.21 	financially responsible agency so that its relative share is proportional to its foster care 
65.22 	expenditures, with the goal of making the local share similar to what the county or tribe 
65.23 	would have spent had Northstar Care for Children not been enacted.
65.24 	(b) For the period January 1, 2015, to June 30, 2016, the relative shares must be as 
65.25 	determined under subdivision 4 for calendar years 2011, 2012, 2013, and 2014 compared 
65.26 	with similar costs of all financially responsible agencies.
65.27 	(c) For subsequent fiscal years, the commissioner shall update the relative shares 
65.28 	based on actual utilization of Northstar Care for Children by the financially responsible 
65.29 	agencies during the previous period, so that those using relatively more than they did 
65.30 	historically are adjusted upward and those using less are adjusted downward.
65.31 	(d) The commissioner must ensure that the adjustments are not unduly influenced by 
65.32 	onetime events, anomalies, small changes that appear large compared to a narrow historic 
65.33 	base, or fluctuations that are the results of the transfer of responsibilities to tribal social 
65.34 	service agencies authorized in section 256.01, subdivision 14b, as part of the American 
65.35 	Indian Child Welfare Initiative.

66.1 	Sec. 12. [256N.28] ADMINISTRATION AND APPEALS.
66.2 		Subdivision 1.Responsibilities. (a) The financially responsible agency shall 
66.3 	determine the eligibility for Northstar Care for Children for children in foster care under 
66.4 	section 256N.21, and for those children determined eligible, shall further determine each 
66.5 	child's eligibility for title IV-E of the Social Security Act, provided the agency has such 
66.6 	authority under the state title IV-E plan.
66.7 	(b) Subject to commissioner review and approval, the financially responsible agency 
66.8 	shall prepare the eligibility determination for Northstar Care for Children for children in 
66.9 	guardianship assistance under section 256N.22 and children in adoption assistance under 
66.10 	section 256N.23. The AFDC relatedness determination, when necessary to determine a 
66.11 	child's eligibility for title IV-E funding, shall be made only by an authorized agency 
66.12 	according to policies and procedures prescribed by the commissioner.
66.13 	(c) The financially responsible agency is responsible for the administration of 
66.14 	Northstar Care for Children for children in foster care. The agency designated by the 
66.15 	commissioner is responsible for assisting the commissioner with the administration of 
66.16 	the Northstar Care for Children for children in guardianship assistance and adoption 
66.17 	assistance by conducting assessments, reassessments, negotiations, and other activities as 
66.18 	specified by the commissioner under subdivision 2.
66.19 		Subd. 2.Procedures, requirements, and deadlines. The commissioner shall 
66.20 	specify procedures, requirements, and deadlines for the administration of Northstar Care 
66.21 	for Children in accordance with sections 256N.001 to 256N.28, including for children 
66.22 	transitioning into Northstar Care for Children under subdivision 7. The commissioner 
66.23 	shall periodically review all procedures, requirements, and deadlines, including the 
66.24 	assessment tool and process under section 256N.24, in consultation with counties, tribes, 
66.25 	and representatives of caregivers, and may alter them as needed.
66.26 		Subd. 3.Administration of title IV-E programs. The title IV-E foster care, 
66.27 	guardianship assistance, and adoption assistance programs must operate within the 
66.28 	statutes, rules, and policies set forth by the federal government in the Social Security Act.
66.29 		Subd. 4.Reporting. The commissioner shall specify required fiscal and statistical 
66.30 	reports under section 256.01, subdivision 2, paragraph (q), and other reports as necessary.
66.31 		Subd. 5.Promotion of programs. Families who adopt a child under the 
66.32 	commissioner's guardianship must be informed as to the adoption tax credit. The 
66.33 	commissioner shall actively seek ways to promote the guardianship assistance and 
66.34 	adoption assistance programs, including informing prospective caregivers of eligible 
66.35 	children of the availability of guardianship assistance and adoption assistance.
67.1 		Subd. 6.Appeals and fair hearings. (a) A caregiver has the right to appeal to the 
67.2 	commissioner under section 256.045 when eligibility for Northstar Care for Children is 
67.3 	denied, and when payment or the agreement for an eligible child is modified or terminated.
67.4 	(b) A relative custodian or adoptive parent has additional rights to appeal to the 
67.5 	commissioner pursuant to section 256.045. These rights include when the commissioner 
67.6 	terminates or modifies the guardianship assistance or adoption assistance agreement or 
67.7 	when the commissioner denies an application for guardianship assistance or adoption 
67.8 	assistance. A prospective relative custodian or adoptive parent who disagrees with a 
67.9 	decision by the commissioner before transfer of permanent legal and physical custody or 
67.10 	finalization of the adoption may request review of the decision by the commissioner or 
67.11 	may appeal the decision under section 256.045. A guardianship assistance or adoption 
67.12 	assistance agreement must be signed and in effect before the court order that transfers 
67.13 	permanent legal and physical custody or the adoption finalization; however in some cases, 
67.14 	there may be extenuating circumstances as to why an agreement was not entered into 
67.15 	before finalization of permanency for the child. Caregivers who believe that extenuating 
67.16 	circumstances exist in the case of their child may request a fair hearing. Caregivers have the 
67.17 	responsibility of proving that extenuating circumstances exist. Caregivers must be required 
67.18 	to provide written documentation of each eligibility criterion at the fair hearing. Examples 
67.19 	of extenuating circumstances include: relevant facts regarding the child were known by 
67.20 	the placing agency and not presented to the caregivers before transfer of permanent legal 
67.21 	and physical custody or finalization of the adoption, or failure by the commissioner or a 
67.22 	designee to advise potential caregivers about the availability of guardianship assistance or 
67.23 	adoption assistance for children in the state foster care system. If an appeals judge finds 
67.24 	through the fair hearing process that extenuating circumstances existed and that the child 
67.25 	met all eligibility criteria at the time the transfer of permanent legal and physical custody 
67.26 	was ordered or the adoption was finalized, the effective date and any associated federal 
67.27 	financial participation shall be retroactive from the date of the request for a fair hearing.
67.28 		Subd. 7.Transitions from pre-Northstar Care for Children programs. (a) A child 
67.29 	in foster care who remains with the same caregiver shall continue to receive benefits under 
67.30 	the pre-Northstar Care for Children foster care program under section 256.82. Transitions 
67.31 	to Northstar Care for Children must occur as provided in section 256N.21, subdivision 6.
67.32 	(b) The commissioner may seek to transition into Northstar Care for Children a child 
67.33 	who is in pre-Northstar Care for Children relative custody assistance under section 257.85 
67.34 	or pre-Northstar Care for Children adoption assistance under chapter 259A, in accordance 
67.35 	with these priorities, in order of priority:
67.36 	(1) improving permanency for a child or children;
68.1 	(2) maintaining permanency for a child or children;
68.2 	(3) administrative simplification;
68.3 	(4) accessing additional federal funds;
68.4 	(5) converting pre-Northstar Care for Children relative custody assistance under 
68.5 	section 257.85 to the guardianship assistance component of Northstar Care for Children;
68.6 	(6) complying with federal regulations; and
68.7 	(7) financial and budgetary constraints.
68.8 	(c) Transitions shall be accomplished according to procedures, deadlines, and 
68.9 	requirements specified by the commissioner under subdivision 2.
68.10 	(d) The commissioner may accomplish a transition of a child from pre-Northstar 
68.11 	Care for Children relative custody assistance under section 257.85 to the guardianship 
68.12 	assistance component of Northstar Care for Children by declaration and appropriate notice 
68.13 	to the caregiver, provided that the benefit for a child under this paragraph is not reduced.
68.14 	(e) The commissioner may offer a transition of a child from pre-Northstar Care for 
68.15 	Children adoption assistance under chapter 259A to the adoption assistance component 
68.16 	of Northstar Care for Children by contacting the caregiver with an offer. The transition 
68.17 	must be accomplished only when the caregiver agrees to the offer. The caregiver shall 
68.18 	have a maximum of 90 days to review and accept the commissioner's offer. If the 
68.19 	commissioner's offer is not accepted within 90 days, the pre-Northstar Care for Children 
68.20 	adoption assistance agreement remains in effect until it terminates or a subsequent offer is 
68.21 	made by the commissioner.
68.22 	(f) For a child transitioning into Northstar Care for Children, the commissioner shall 
68.23 	assign an equivalent assessment level based on the most recently completed supplemental 
68.24 	difficulty of care level assessment, unless the commissioner determines that arranging 
68.25 	for a new assessment under section 256N.24 would be more appropriate based on the 
68.26 	priorities specified in paragraph (b).
68.27 	(g) For a child transitioning into Northstar Care for Children, regardless of the age 
68.28 	of the child, the commissioner shall use the rates under section 256N.26, subdivision 5, 
68.29 	unless the rates under section 256N.26, subdivisions 3 and 4, are more appropriate based 
68.30 	on the priorities specified in paragraph (b), as determined by the commissioner.
68.31 		Subd. 8.Purchase of child-specific adoption services. The commissioner may 
68.32 	reimburse the placing agency for appropriate adoption services for children eligible 
68.33 	under section 259A.75.

69.1 	ARTICLE 3
69.2 	DEPARTMENT OF HUMAN SERVICES PROGRAM INTEGRITY

69.3 	Section 1. Minnesota Statutes 2012, section 243.166, subdivision 7, is amended to read:
69.4 		Subd. 7.Use of data. (a) Except as otherwise provided in subdivision 7a or sections 
69.5 	244.052 and 299C.093, the data provided under this section is private data on individuals 
69.6 	under section 13.02, subdivision 12.
69.7 	(b)  The data may be used only for by law enforcement and corrections agencies for
69.8 	 law enforcement and corrections purposes.
69.9 	(c) The commissioner of human services is authorized to have access to the data for:
69.10 	(1) state-operated services, as defined in section 246.014, are also authorized to 
69.11 	have access to the data for the purposes described in section 246.13, subdivision 2, 
69.12 	paragraph (b); and
69.13 	(2) purposes of completing background studies under chapter 245C.

69.14 	Sec. 2. Minnesota Statutes 2012, section 245C.04, is amended by adding a subdivision 
69.15 	to read:
69.16 		Subd. 4a.Agency background studies. (a) The commissioner shall develop 
69.17 	and implement an electronic process for the regular transfer of new criminal history 
69.18 	information that is added to the Minnesota court information system. The commissioner's 
69.19 	system must include for review only information that relates to individuals who have been 
69.20 	the subject of a background study under this chapter that remain affiliated with the agency 
69.21 	that initiated the background study. For purposes of this paragraph, an individual remains 
69.22 	affiliated with an agency that initiated the background study until the agency informs the 
69.23 	commissioner that the individual is no longer affiliated. When any individual no longer 
69.24 	affiliated according to this paragraph returns to a position requiring a background study 
69.25 	under this chapter, the agency with whom the individual is again affiliated shall initiate 
69.26 	a new background study regardless of the length of time the individual was no longer 
69.27 	affiliated with the agency.
69.28 	(b) The commissioner shall develop and implement an online system for agencies that 
69.29 	initiate background studies under this chapter to access and maintain records of background 
69.30 	studies initiated by that agency. The system must show all active background study subjects 
69.31 	affiliated with that agency and the status of each individual's background study. Each 
69.32 	agency that initiates background studies must use this system to notify the commissioner 
69.33 	of discontinued affiliation for purposes of the processes required under paragraph (a).

70.1 	Sec. 3. Minnesota Statutes 2012, section 245C.08, subdivision 1, is amended to read:
70.2 		Subdivision 1.Background studies conducted by Department of Human 
70.3 	Services. (a) For a background study conducted by the Department of Human Services, 
70.4 	the commissioner shall review:
70.5 	(1) information related to names of substantiated perpetrators of maltreatment of 
70.6 	vulnerable adults that has been received by the commissioner as required under section 
70.7 	626.557, subdivision 9c, paragraph (j);
70.8 	(2) the commissioner's records relating to the maltreatment of minors in licensed 
70.9 	programs, and from findings of maltreatment of minors as indicated through the social 
70.10 	service information system;
70.11 	(3) information from juvenile courts as required in subdivision 4 for individuals 
70.12 	listed in section 245C.03, subdivision 1, paragraph (a), when there is reasonable cause;
70.13 	(4) information from the Bureau of Criminal Apprehension, including information 
70.14 	regarding a background study subject's registration in Minnesota as a predatory offender 
70.15 	under section 243.166;
70.16 	(5) except as provided in clause (6), information from the national crime information 
70.17 	system when the commissioner has reasonable cause as defined under section 245C.05, 
70.18 	subdivision 5; and
70.19 	(6) for a background study related to a child foster care application for licensure or 
70.20 	adoptions, the commissioner shall also review:
70.21 	(i) information from the child abuse and neglect registry for any state in which the 
70.22 	background study subject has resided for the past five years; and
70.23 	(ii) information from national crime information databases, when the background 
70.24 	study subject is 18 years of age or older.
70.25 	(b) Notwithstanding expungement by a court, the commissioner may consider 
70.26 	information obtained under paragraph (a), clauses (3) and (4), unless the commissioner 
70.27 	received notice of the petition for expungement and the court order for expungement is 
70.28 	directed specifically to the commissioner.
70.29 	(c) The commissioner shall also review criminal history information received 
70.30 	according to section 245C.04, subdivision 4a, from the Minnesota court information 
70.31 	system that relates to individuals who have already been studied under this chapter and 
70.32 	who remain affiliated with the agency that initiated the background study.

70.33 	Sec. 4. [245E.01] CHILD CARE PROVIDER AND RECIPIENT FRAUD 
70.34 	INVESTIGATIONS WITHIN THE CHILD CARE ASSISTANCE PROGRAM.
71.1 		Subdivision 1.Definitions. (a) For purposes of this section, the terms defined in this 
71.2 	subdivision have the meanings given them.
71.3 	(b) "Applicant" has the meaning given in section 119B.011, subdivision 2.
71.4 	(c) "Child care assistance program" means any of the assistance programs under 
71.5 	chapter 119B.
71.6 	(d) "Commissioner" means the commissioner of human services.
71.7 	(e) "Controlling individual" has the meaning given in section 245A.02, subdivision 
71.8 	5a.
71.9 	(f) "County" means a local county child care assistance program staff or 
71.10 	subcontracted staff, or a county investigator acting on behalf of the commissioner.
71.11 	(g) "Department" means the Department of Human Services.
71.12 	(h) "Financial misconduct" or "misconduct" means an entity's or individual's acts or 
71.13 	omissions that result in fraud and abuse or error against the Department of Human Services.
71.14 	(i) "Identify" means to furnish the full name, current or last known address, phone 
71.15 	number, and e-mail address of the individual or business entity.
71.16 	(j) "License holder" has the meaning given in section 245A.02, subdivision 9.
71.17 	(k) "Mail" means the use of any mail service with proof of delivery and receipt.
71.18 	(l) "Provider" means either a provider as defined in section 119B.011, subdivision 
71.19 	19, or a legal unlicensed provider as defined in section 119B.011, subdivision 16.
71.20 	(m) "Recipient" means a family receiving assistance as defined under section 
71.21 	119B.011, subdivision 13.
71.22 	(n) "Terminate" means revocation of participation in the child care assistance 
71.23 	program.
71.24 		Subd. 2.Investigating provider or recipient financial misconduct. The 
71.25 	department shall investigate alleged or suspected financial misconduct by providers and 
71.26 	errors related to payments issued by the child care assistance program under this chapter. 
71.27 	Recipients, employees, and staff persons may be investigated when the evidence shows 
71.28 	that their conduct is related to the financial misconduct of a provider, license holder, 
71.29 	or controlling individual.
71.30 		Subd. 3.Scope of investigations. (a) The department may contact any person, 
71.31 	agency, organization, or other entity that is necessary to an investigation.
71.32 	(b) The department may examine or interview any individual, document, or piece of 
71.33 	evidence that may lead to information that is relevant to child care assistance program 
71.34 	benefits, payments, and child care provider authorizations. This includes, but is not 
71.35 	limited to:
71.36 	(1) child care assistance program payments;
72.1 	(2) services provided by the program or related to child care assistance program 
72.2 	recipients;
72.3 	(3) services provided to a provider;
72.4 	(4) provider financial records of any type;
72.5 	(5) daily attendance records of the children receiving services from the provider;
72.6 	(6) billings; and
72.7 	(7) verification of the credentials of a license holder, controlling individual, 
72.8 	employee, staff person, contractor, subcontractor, and entities under contract with the 
72.9 	provider to provide services or maintain service and the provider's financial records 
72.10 	related to those services.
72.11 		Subd. 4.Determination of investigation. After completing its investigation, the 
72.12 	department shall issue one of the following determinations:
72.13 	(1) no violation of child care assistance requirements occurred;
72.14 	(2) there is insufficient evidence to show that a violation of child care assistance 
72.15 	requirements occurred;
72.16 	(3) a preponderance of evidence shows a violation of child care assistance program 
72.17 	law, rule, or policy; or
72.18 	(4) there exists a credible allegation of fraud.
72.19 		Subd. 5.Actions or administrative sanctions. (a) In addition to section 256.98, 
72.20 	after completing the determination under subdivision 4, the department may take one or 
72.21 	more of the actions or sanctions specified in this subdivision.
72.22 	(b) The department may take the following actions:
72.23 	(1) refer the investigation to law enforcement or a county attorney for possible 
72.24 	criminal prosecution;
72.25 	(2) refer relevant information to the department's licensing division, the child care 
72.26 	assistance program, the Department of Education, the federal child and adult care food 
72.27 	program, or appropriate child or adult protection agency;
72.28 	(3) enter into a settlement agreement with a provider, license holder, controlling 
72.29 	individual, or recipient; or
72.30 	(4) refer the matter for review by a prosecutorial agency with appropriate jurisdiction 
72.31 	for possible civil action under the Minnesota False Claims Act, chapter 15C.
72.32 	(c) The department may impose sanctions by:
72.33 	(1) pursuing administrative disqualification through hearings or waivers;
72.34 	(2) establishing and seeking monetary recovery or recoupment; or 
72.35 	(3) issuing an order of corrective action that states the practices that are violations of 
72.36 	child care assistance program policies, laws, or regulations, and that they must be corrected.
73.1 		Subd. 6.Duty to provide access. (a) A provider, license holder, controlling 
73.2 	individual, employee, staff person, or recipient has an affirmative duty to provide access 
73.3 	upon request to information specified under subdivision 8 or the program facility.
73.4 	(b) Failure to provide access may result in denial or termination of authorizations for 
73.5 	or payments to a recipient, provider, license holder, or controlling individual in the child 
73.6 	care assistance program.
73.7 	(c) When a provider fails to provide access, a 15-day notice of denial or termination 
73.8 	must be issued to the provider, which prohibits the provider from participating in the child 
73.9 	care assistance program. Notice must be sent to recipients whose children are under the 
73.10 	provider's care pursuant to Minnesota Rules, part 3400.0185.
73.11 	(d) If the provider continues to fail to provide access at the expiration of the 15-day 
73.12 	notice period, child care assistance program payments to the provider must be denied 
73.13 	beginning the 16th day following notice of the initial failure or refusal to provide access. 
73.14 	The department may rescind the denial based upon good cause if the provider submits in 
73.15 	writing a good cause basis for having failed or refused to provide access. The writing must 
73.16 	be postmarked no later than the 15th day following the provider's notice of initial failure 
73.17 	to provide access. Additionally, the provider, license holder, or controlling individual 
73.18 	must immediately provide complete, ongoing access to the department. Repeated failures 
73.19 	to provide access must, after the initial failure or for any subsequent failure, result in 
73.20 	termination from participation in the child care assistance program.
73.21 	(e) The department, at its own expense, may photocopy or otherwise duplicate 
73.22 	records referenced in subdivision 8. Photocopying must be done on the provider's 
73.23 	premises on the day of the request or other mutually agreeable time, unless removal of 
73.24 	records is specifically permitted by the provider. If requested, a provider, license holder, 
73.25 	or controlling individual, or a designee, must assist the investigator in duplicating any 
73.26 	record, including a hard copy or electronically stored data, on the day of the request.
73.27 	(f) A provider, license holder, controlling individual, employee, or staff person must 
73.28 	grant the department access during the department's normal business hours, and any hours 
73.29 	that the program is operated, to examine the provider's program or the records listed in 
73.30 	subdivision 8. A provider shall make records available at the provider's place of business 
73.31 	on the day for which access is requested, unless the provider and the department both agree 
73.32 	otherwise. The department's normal business hours are 8:00 a.m. to 5:00 p.m., Monday 
73.33 	through Friday, excluding state holidays as defined in section 645.44, subdivision 5.
73.34 		Subd. 7.Honest and truthful statements. It shall be unlawful for a provider, 
73.35 	license holder, controlling individual, or recipient to:
73.36 	(1) falsify, conceal, or cover up by any trick, scheme, or device a material fact;
74.1 	(2) make any materially false, fictitious, or fraudulent statement or representation; or
74.2 	(3) make or use any false writing or document knowing the same to contain any 
74.3 	materially false, fictitious, or fraudulent statement or entry related to any child care 
74.4 	assistance program services that the provider, license holder, or controlling individual 
74.5 	supplies or in relation to any child care assistance payments received by a provider, license 
74.6 	holder, or controlling individual or to any fraud investigator or law enforcement officer 
74.7 	conducting a financial misconduct investigation.
74.8 		Subd. 8.Record retention. (a) The following records must be maintained, 
74.9 	controlled, and made immediately accessible to license holders, providers, and controlling 
74.10 	individuals. The records must be organized and labeled to correspond to categories that 
74.11 	make them easy to identify so that they can be made available immediately upon request 
74.12 	to an investigator acting on behalf of the commissioner at the provider's place of business:
74.13 	(1) payroll ledgers, canceled checks, bank deposit slips, and any other accounting 
74.14 	records;
74.15 	(2) daily attendance records required by and that comply with section 119B.125, 
74.16 	subdivision 6;
74.17 	(3) billing transmittal forms requesting payments from the child care assistance 
74.18 	program and billing adjustments related to child care assistance program payments;
74.19 	(4) records identifying all persons, corporations, partnerships, and entities with an 
74.20 	ownership or controlling interest in the provider's child care business;
74.21 	(5) employee records identifying those persons currently employed by the provider's 
74.22 	child care business or who have been employed by the business at any time within the 
74.23 	previous five years. The records must include each employee's name, hourly and annual 
74.24 	salary, qualifications, position description, job title, and dates of employment. In addition, 
74.25 	employee records that must be made available include the employee's time sheets, current 
74.26 	home address of the employee or last known address of any former employee, and 
74.27 	documentation of background studies required under chapter 119B or 245C;
74.28 	(6) records related to transportation of children in care, including but not limited to:
74.29 	(i) the dates and times that transportation is provided to children for transportation to 
74.30 	and from the provider's business location for any purpose. For transportation related to 
74.31 	field trips or locations away from the provider's business location, the names and addresses 
74.32 	of those field trips and locations must also be provided;
74.33 	(ii) the name, business address, phone number, and Web site address, if any, of the 
74.34 	transportation service utilized; and
74.35 	(iii) all billing or transportation records related to the transportation.
75.1 	(b) A provider, license holder, or controlling individual must retain all records 
75.2 	in paragraph (a) for at least six years after the date the record is created. Microfilm or 
75.3 	electronically stored records satisfy the record keeping requirements of this subdivision.
75.4 	(c) A provider, license holder, or controlling individual who withdraws or is 
75.5 	terminated from the child care assistance program must retain the records required under 
75.6 	this subdivision and make them available to the department on demand.
75.7 	(d) If the ownership of a provider changes, the transferor, unless otherwise provided 
75.8 	by law or by written agreement with the transferee, is responsible for maintaining, 
75.9 	preserving, and upon request from the department, making available the records related to 
75.10 	the provider that were generated before the date of the transfer. Any written agreement 
75.11 	affecting this provision must be held in the possession of the transferor and transferee. 
75.12 	The written agreement must be provided to the department or county immediately upon 
75.13 	request, and the written agreement must be retained by the transferor and transferee for six 
75.14 	years after the agreement is fully executed.
75.15 	(e) In the event of an appealed case, the provider must retain all records required in 
75.16 	this subdivision for the duration of the appeal or six years, whichever is longer.
75.17 	(f) A provider's use of electronic record keeping or electronic signatures is governed 
75.18 	by chapter 325L.
75.19 		Subd. 9.Factors regarding imposition of administrative sanctions. (a) The 
75.20 	department shall consider the following factors in determining the administrative sanctions 
75.21 	to be imposed:
75.22 	(1) nature and extent of financial misconduct;
75.23 	(2) history of financial misconduct;
75.24 	(3) actions taken or recommended by other state agencies, other divisions of the 
75.25 	department, and court and administrative decisions;
75.26 	(4) prior imposition of sanctions;
75.27 	(5) size and type of provider;
75.28 	(6) information obtained through an investigation from any source;
75.29 	(7) convictions or pending criminal charges; and
75.30 	(8) any other information relevant to the acts or omissions related to the financial 
75.31 	misconduct.
75.32 	(b) Any single factor under paragraph (a) may be determinative of the department's 
75.33 	decision of whether and what sanctions are imposed.
75.34 		Subd. 10.Written notice of department sanction. (a) The department shall give 
75.35 	notice in writing to a person of an administrative sanction that is to be imposed. The notice 
75.36 	shall be sent by mail as defined in subdivision 1, paragraph (k).
76.1 	(b) The notice shall state:
76.2 	(1) the factual basis for the department's determination;
76.3 	(2) the sanction the department intends to take;
76.4 	(3) the dollar amount of the monetary recovery or recoupment, if any;
76.5 	(4) how the dollar amount was computed;
76.6 	(5) the right to dispute the department's determination and to provide evidence;
76.7 	(6) the right to appeal the department's proposed sanction; and
76.8 	(7) the option to meet informally with department staff, and to bring additional 
76.9 	documentation or information, to resolve the issues.
76.10 	(c) In cases of determinations resulting in denial or termination of payments, in 
76.11 	addition to the requirements of paragraph (b), the notice must state:
76.12 	(1) the length of the denial or termination;
76.13 	(2) the requirements and procedures for reinstatement; and
76.14 	(3) the provider's right to submit documents and written arguments against the 
76.15 	denial or termination of payments for review by the department before the effective date 
76.16 	of denial or termination.
76.17 	(d) The submission of documents and written argument for review by the department 
76.18 	under paragraph (b), clause (5) or (7), or paragraph (c), clause (3), does not stay the 
76.19 	deadline for filing an appeal.
76.20 	(e) Unless timely appealed, the effective date of the proposed sanction shall be 30 
76.21 	days after the license holder's, provider's, controlling individual's, or recipient's receipt of 
76.22 	the notice. If a timely appeal is made, the proposed sanction shall be delayed pending 
76.23 	the final outcome of the appeal. Implementation of a proposed sanction following the 
76.24 	resolution of a timely appeal may be postponed if, in the opinion of the department, the 
76.25 	delay of sanction is necessary to protect the health or safety of children in care. The 
76.26 	department may consider the economic hardship of a person in implementing the proposed 
76.27 	sanction, but economic hardship shall not be a determinative factor in implementing the 
76.28 	proposed sanction.
76.29 	(f) Requests for an informal meeting to attempt to resolve issues and requests 
76.30 	for appeals must be sent or delivered to the department's Office of Inspector General, 
76.31 	Financial Fraud and Abuse Division.
76.32 		Subd. 11.Appeal of department sanction under this section. (a) If the department 
76.33 	does not pursue a criminal action against a provider, license holder, controlling individual, 
76.34 	or recipient for financial misconduct, but the department imposes an administrative 
76.35 	sanction, any individual or entity against whom the sanction was imposed may appeal the 
77.1 	department's administrative sanction under this section pursuant to section 119B.16 or 
77.2 	256.045 with the additional requirements in clauses (1) to (4). An appeal must specify:
77.3 	(1) each disputed item, the reason for the dispute, and an estimate of the dollar 
77.4 	amount involved for each disputed item, if appropriate;
77.5 	(2) the computation that is believed to be correct, if appropriate;
77.6 	(3) the authority in the statute or rule relied upon for each disputed item; and
77.7 	(4) the name, address, and phone number of the person at the provider's place of 
77.8 	business with whom contact may be made regarding the appeal.
77.9 	(b) An appeal is considered timely only if postmarked or received by the 
77.10 	department's Office of Inspector General, Financial Fraud and Abuse Division within 30 
77.11 	days after receiving a notice of department sanction.
77.12 	(c) Before the appeal hearing, the department may deny or terminate authorizations 
77.13 	or payment to the entity or individual if the department determines that the action is 
77.14 	necessary to protect the public welfare or the interests of the child care assistance program.
77.15 		Subd. 12.Consolidated hearings with licensing sanction. If a financial 
77.16 	misconduct sanction has an appeal hearing right and it is timely appealed, and a licensing 
77.17 	sanction exists for which there is an appeal hearing right and the sanction is timely 
77.18 	appealed, and the overpayment recovery action and licensing sanction involve the same 
77.19 	set of facts, the overpayment recovery action and licensing sanction must be consolidated 
77.20 	in the contested case hearing related to the licensing sanction.
77.21 		Subd. 13.Grounds for and methods of monetary recovery. (a) The department 
77.22 	may obtain monetary recovery from a provider who has been improperly paid by the 
77.23 	child care assistance program, regardless of whether the error was intentional or county 
77.24 	error. The department does not need to establish a pattern as a precondition of monetary 
77.25 	recovery of erroneous or false billing claims, duplicate billing claims, or billing claims 
77.26 	based on false statements or financial misconduct.
77.27 	(b) The department shall obtain monetary recovery from providers by the following 
77.28 	means:
77.29 	(1) permitting voluntary repayment of money, either in lump-sum payment or 
77.30 	installment payments;
77.31 	(2) using any legal collection process;
77.32 	(3) deducting or withholding program payments; or
77.33 	(4) utilizing the means set forth in chapter 16D.
77.34 		Subd. 14.Reporting of suspected fraudulent activity. (a) A person who, in 
77.35 	good faith, makes a report of or testifies in any action or proceeding in which financial 
77.36 	misconduct is alleged, and who is not involved in, has not participated in, or has not aided 
78.1 	and abetted, conspired, or colluded in the financial misconduct, shall have immunity from 
78.2 	any liability, civil or criminal, that results by reason of the person's report or testimony. 
78.3 	For the purpose of any proceeding, the good faith of any person reporting or testifying 
78.4 	under this provision shall be presumed.
78.5 	(b) If a person that is or has been involved in, participated in, aided and abetted, 
78.6 	conspired, or colluded in the financial misconduct reports the financial misconduct, 
78.7 	the department may consider that person's report and assistance in investigating the 
78.8 	misconduct as a mitigating factor in the department's pursuit of civil, criminal, or 
78.9 	administrative remedies.
78.10 		Subd. 15.Data privacy. Data of any kind obtained or created in relation to a provider 
78.11 	or recipient investigation under this section is defined, classified, and protected the same as 
78.12 	all other data under section 13.46, and this data has the same classification as licensing data.
78.13 		Subd. 16.Monetary recovery; random sample extrapolation. The department is 
78.14 	authorized to calculate the amount of monetary recovery from a provider, license holder, or 
78.15 	controlling individual based upon extrapolation from a statistical random sample of claims 
78.16 	submitted by the provider, license holder, or controlling individual and paid by the child 
78.17 	care assistance program. The department's random sample extrapolation shall constitute a 
78.18 	rebuttable presumption of the accuracy of the calculation of monetary recovery. If the 
78.19 	presumption is not rebutted by the provider, license holder, or controlling individual in the 
78.20 	appeal process, the department shall use the extrapolation as the monetary recovery figure. 
78.21 	The department may use sampling and extrapolation to calculate the amount of monetary 
78.22 	recovery if the claims to be reviewed represent services to 50 or more children in care.
78.23 		Subd. 17.Effect of department's monetary penalty determination. Unless 
78.24 	a timely and proper appeal is received by the department's Office of Inspector General, 
78.25 	Financial Fraud and Abuse Division, the department's administrative determination or 
78.26 	sanction shall be considered a final department determination.
78.27 		Subd. 18.Office of Inspector General recoveries. Overpayment recoveries 
78.28 	resulting from child care provider fraud investigations initiated by the department's Office 
78.29 	of Inspector General's fraud investigations staff are excluded from the county recovery 
78.30 	provision in section 119B.11, subdivision 3.

78.31 	ARTICLE 4
78.32 	WAIVER PROVIDER STANDARDS

78.33 	Section 1. Minnesota Statutes 2012, section 245D.05, is amended to read:
78.34 	245D.05 HEALTH SERVICES.
79.1 		Subdivision 1.Health needs. (a) The license holder is responsible for providing
79.2 	 meeting health services service needs assigned in the coordinated service and support plan 
79.3 	andor the coordinated service and support plan addendum, consistent with the person's 
79.4 	health needs. The license holder is responsible for promptly notifying the person or
79.5 	 the person's legal representative, if any, and the case manager of changes in a person's 
79.6 	physical and mental health needs affecting assigned health services service needs assigned 
79.7 	to the license holder in the coordinated service and support plan or the coordinated service 
79.8 	and support plan addendum, when discovered by the license holder, unless the license 
79.9 	holder has reason to know the change has already been reported. The license holder 
79.10 	must document when the notice is provided.
79.11 	(b) When assigned in the service plan, If responsibility for meeting the person's 
79.12 	health service needs has been assigned to the license holder in the coordinated service and 
79.13 	support plan or the coordinated service and support plan addendum, the license holder is 
79.14 	required to must maintain documentation on how the person's health needs will be met, 
79.15 	including a description of the procedures the license holder will follow in order to:
79.16 	(1) provide medication administration,assistance or medication assistance, or 
79.17 	medication management administration according to this chapter;
79.18 	(2) monitor health conditions according to written instructions from the person's 
79.19 	physician or a licensed health professional;
79.20 	(3) assist with or coordinate medical, dental, and other health service appointments; or
79.21 	(4) use medical equipment, devices, or adaptive aides or technology safely and 
79.22 	correctly according to written instructions from the person's physician or a licensed 
79.23 	health professional.
79.24 		Subd. 1a.Medication setup. For the purposes of this subdivision, "medication 
79.25 	setup" means the arranging of medications according to instructions from the pharmacy, 
79.26 	the prescriber, or a licensed nurse, for later administration when the license holder 
79.27 	is assigned responsibility for medication assistance or medication administration in 
79.28 	the coordinated service and support plan or the coordinated service and support plan 
79.29 	addendum. A prescription label or the prescriber's written or electronically recorded order 
79.30 	for the prescription is sufficient to constitute written instructions from the prescriber. The 
79.31 	license holder must document in the person's medication administration record: dates 
79.32 	of setup, name of medication, quantity of dose, times to be administered, and route of 
79.33 	administration at time of setup; and, when the person will be away from home, to whom 
79.34 	the medications were given.
79.35 		Subd. 1b.Medication assistance. If responsibility for medication assistance 
79.36 	is assigned to the license holder in the coordinated service and support plan or the 
80.1 	coordinated service and support plan addendum, the license holder must ensure that 
80.2 	the requirements of subdivision 2, paragraph (b), have been met when staff provides 
80.3 	medication assistance to enable a person to self-administer medication or treatment when 
80.4 	the person is capable of directing the person's own care, or when the person's legal 
80.5 	representative is present and able to direct care for the person. For the purposes of this 
80.6 	subdivision, "medication assistance" means any of the following:
80.7 	(1) bringing to the person and opening a container of previously set up medications, 
80.8 	emptying the container into the person's hand, or opening and giving the medications in 
80.9 	the original container to the person;
80.10 	(2) bringing to the person liquids or food to accompany the medication; or
80.11 	(3) providing reminders to take regularly scheduled medication or perform regularly 
80.12 	scheduled treatments and exercises.
80.13 		Subd. 2.Medication administration. (a) If responsibility for medication 
80.14 	administration is assigned to the license holder in the coordinated service and support plan 
80.15 	or the coordinated service and support plan addendum, the license holder must implement 
80.16 	the following medication administration procedures to ensure a person takes medications 
80.17 	and treatments as prescribed:
80.18 	(1) checking the person's medication record;
80.19 	(2) preparing the medication as necessary;
80.20 	(3) administering the medication or treatment to the person;
80.21 	(4) documenting the administration of the medication or treatment or the reason for 
80.22 	not administering the medication or treatment; and
80.23 	(5) reporting to the prescriber or a nurse any concerns about the medication or 
80.24 	treatment, including side effects, effectiveness, or a pattern of the person refusing to 
80.25 	take the medication or treatment as prescribed. Adverse reactions must be immediately 
80.26 	reported to the prescriber or a nurse.
80.27 	(b)(1) The license holder must ensure that the following criteria requirements in 
80.28 	clauses (2) to (4) have been met before staff that is not a licensed health professional 
80.29 	administersadministering medication or treatment:.
80.30 	(1) (2) The license holder must obtain written authorization has been obtained from 
80.31 	the person or the person's legal representative to administer medication or treatment 
80.32 	orders; and must obtain reauthorization annually as needed. If the person or the person's 
80.33 	legal representative refuses to authorize the license holder to administer medication, the 
80.34 	medication must not be administered. The refusal to authorize medication administration 
80.35 	must be reported to the prescriber as expediently as possible.
81.1 	(2) (3) The staff person has completed responsible for administering the medication 
81.2 	or treatment must complete medication administration training according to section 
81.3 	245D.09, subdivision 4, paragraph 4a, paragraphs (a) and (c), clause (2); and, as applicable 
81.4 	to the person, paragraph (d).
81.5 	(3) The medication or treatment will be administered under administration 
81.6 	procedures established for the person in consultation with a licensed health professional. 
81.7 	written instruction from the person's physician may constitute the medication 
81.8 	administration procedures. A prescription label or the prescriber's order for the 
81.9 	prescription is sufficient to constitute written instructions from the prescriber. A licensed 
81.10 	health professional may delegate medication administration procedures.
81.11 	(4) For a license holder providing intensive support services, the medication or 
81.12 	treatment must be administered according to the license holder's medication administration 
81.13 	policy and procedures as required under section 245D.11, subdivision 2, clause (3).
81.14 	(b) (c) The license holder must ensure the following information is documented in 
81.15 	the person's medication administration record:
81.16 	(1) the information on the current prescription label or the prescriber's current written 
81.17 	or electronically recorded order or prescription that includes directions for the person's 
81.18 	name, description of the medication or treatment to be provided, and the frequency and 
81.19 	other information needed to safely and correctly administering administer the medication 
81.20 	or treatment to ensure effectiveness;
81.21 	(2) information on any discomforts, risks, or other side effects that are reasonable to 
81.22 	expect, and any contraindications to its use. This information must be readily available 
81.23 	to all staff administering the medication;
81.24 	(3) the possible consequences if the medication or treatment is not taken or 
81.25 	administered as directed;
81.26 	(4) instruction from the prescriber on when and to whom to report the following:
81.27 	(i) if the a dose of medication or treatment is not administered or treatment is not 
81.28 	performed as prescribed, whether by error by the staff or the person or by refusal by 
81.29 	the person; and
81.30 	(ii) the occurrence of possible adverse reactions to the medication or treatment;
81.31 	(5) notation of any occurrence of a dose of medication not being administered or 
81.32 	treatment not performed as prescribed, whether by error by the staff or the person or by 
81.33 	refusal by the person, or of adverse reactions, and when and to whom the report was 
81.34 	made; and
81.35 	(6) notation of when a medication or treatment is started, administered, changed, or 
81.36 	discontinued.
82.1 	(c) The license holder must ensure that the information maintained in the medication 
82.2 	administration record is current and is regularly reviewed with the person or the person's 
82.3 	legal representative and the staff administering the medication to identify medication 
82.4 	administration issues or errors. At a minimum, the review must be conducted every three 
82.5 	months or more often if requested by the person or the person's legal representative. 
82.6 	Based on the review, the license holder must develop and implement a plan to correct 
82.7 	medication administration issues or errors. If issues or concerns are identified related to 
82.8 	the medication itself, the license holder must report those as required under subdivision 4.
82.9 		Subd. 3.Medication assistance. The license holder must ensure that the 
82.10 	requirements of subdivision 2, paragraph (a), have been met when staff provides assistance 
82.11 	to enable a person to self-administer medication when the person is capable of directing 
82.12 	the person's own care, or when the person's legal representative is present and able to 
82.13 	direct care for the person.
82.14 		Subd. 4.Reviewing and reporting medication and treatment issues. The 
82.15 	following medication administration issues must be reported to the person or the person's 
82.16 	legal representative and case manager as they occur or following timelines established 
82.17 	in the person's service plan or as requested in writing by the person or the person's legal 
82.18 	representative, or the case manager: (a) When assigned responsibility for medication 
82.19 	administration, the license holder must ensure that the information maintained in 
82.20 	the medication administration record is current and is regularly reviewed to identify 
82.21 	medication administration errors. At a minimum, the review must be conducted every 
82.22 	three months, or more frequently as directed in the coordinated service and support plan 
82.23 	or coordinated service and support plan addendum or as requested by the person or the 
82.24 	person's legal representative. Based on the review, the license holder must develop and 
82.25 	implement a plan to correct patterns of medication administration errors when identified.
82.26 	(b) If assigned responsibility for medication assistance or medication administration, 
82.27 	the license holder must report the following to the person's legal representative and case 
82.28 	manager as they occur or as otherwise directed in the coordinated service and support plan 
82.29 	or the coordinated service and support plan addendum:
82.30 	(1) any reports made to the person's physician or prescriber required under 
82.31 	subdivision 2, paragraph (b) (c), clause (4);
82.32 	(2) a person's refusal or failure to take or receive medication or treatment as 
82.33 	prescribed; or
82.34 	(3) concerns about a person's self-administration of medication or treatment.
83.1 		Subd. 5.Injectable medications. Injectable medications may be administered 
83.2 	according to a prescriber's order and written instructions when one of the following 
83.3 	conditions has been met:
83.4 	(1) a registered nurse or licensed practical nurse will administer the subcutaneous or 
83.5 	intramuscular injection;
83.6 	(2) a supervising registered nurse with a physician's order has delegated the 
83.7 	administration of subcutaneous injectable medication to an unlicensed staff member 
83.8 	and has provided the necessary training; or
83.9 	(3) there is an agreement signed by the license holder, the prescriber, and the 
83.10 	person or the person's legal representative specifying what subcutaneous injections may 
83.11 	be given, when, how, and that the prescriber must retain responsibility for the license 
83.12 	holder's giving the injections. A copy of the agreement must be placed in the person's 
83.13 	service recipient record.
83.14 	Only licensed health professionals are allowed to administer psychotropic 
83.15 	medications by injection.

83.16 	EFFECTIVE DATE. This section is effective January 1, 2014.

83.17 	Sec. 2. [245D.051] PSYCHOTROPIC MEDICATION USE AND MONITORING.
83.18 		Subdivision 1.Conditions for psychotropic medication administration. (a) 
83.19 	When a person is prescribed a psychotropic medication and the license holder is assigned 
83.20 	responsibility for administration of the medication in the person's coordinated service 
83.21 	and support plan or the coordinated service and support plan addendum, the license 
83.22 	holder must ensure that the requirements in paragraphs (b) to (d) and section 245D.05, 
83.23 	subdivision 2, are met.
83.24 	(b) Use of the medication must be included in the person's coordinated service and 
83.25 	support plan or in the coordinated service and support plan addendum and based on a 
83.26 	prescriber's current written or electronically recorded prescription.
83.27 	(c) The license holder must develop, implement, and maintain the following 
83.28 	documentation in the person's coordinated service and support plan addendum according 
83.29 	to the requirements in sections 245D.07 and 245D.071:
83.30 	(1) a description of the target symptoms that the psychotropic medication is to 
83.31 	alleviate; and
83.32 	(2) documentation methods the license holder will use to monitor and measure 
83.33 	changes in the target symptoms that are to be alleviated by the psychotropic medication if 
83.34 	required by the prescriber. The license holder must collect and report on medication and 
83.35 	symptom-related data as instructed by the prescriber. The license holder must provide 
84.1 	the monitoring data to the expanded support team for review every three months, or as 
84.2 	otherwise requested by the person or the person's legal representative.
84.3 	For the purposes of this section, "target symptom" refers to any perceptible 
84.4 	diagnostic criteria for a person's diagnosed mental disorder as defined by the Diagnostic 
84.5 	and Statistical Manual of Mental Disorders Fourth Edition Text Revision (DSM-IV-TR) or 
84.6 	successive editions that has been identified for alleviation.
84.7 	(d) If a person is prescribed a psychotropic medication, monitoring the use of the 
84.8 	psychotropic medication must be assigned to the license holder in the coordinated service 
84.9 	and support plan or the coordinated service and support plan addendum. The assigned 
84.10 	license holder must monitor the psychotropic medication as required by this section.
84.11 		Subd. 2.Refusal to authorize psychotropic medication. If the person or the 
84.12 	person's legal representative refuses to authorize the administration of a psychotropic 
84.13 	medication as ordered by the prescriber, the license holder must follow the requirement 
84.14 	in section 245D.05, subdivision 2, paragraph (b), clause (2). After reporting the refusal 
84.15 	to the prescriber, the license holder must follow any directives or orders given by the 
84.16 	prescriber. A court order must be obtained to override the refusal. Refusal to authorize 
84.17 	administration of a specific psychotropic medication is not grounds for service termination 
84.18 	and does not constitute an emergency. A decision to terminate services must be reached in 
84.19 	compliance with section 245D.10, subdivision 3.

84.20 	EFFECTIVE DATE. This section is effective January 1, 2014.

84.21 	Sec. 3. Minnesota Statutes 2012, section 245D.06, is amended to read:
84.22 	245D.06 PROTECTION STANDARDS.
84.23 		Subdivision 1.Incident response and reporting.  (a) The license holder must 
84.24 	respond to all incidents under section 245D.02, subdivision 11, that occur while providing 
84.25 	services to protect the health and safety of and minimize risk of harm to the person.
84.26 	(b) The license holder must maintain information about and report incidents to the 
84.27 	person's legal representative or designated emergency contact and case manager within 24 
84.28 	hours of an incident occurring while services are being provided, or within 24 hours of 
84.29 	discovery or receipt of information that an incident occurred, unless the license holder 
84.30 	has reason to know that the incident has already been reported, or as otherwise directed 
84.31 	in a person's coordinated service and support plan or coordinated service and support 
84.32 	plan addendum. An incident of suspected or alleged maltreatment must be reported as 
84.33 	required under paragraph (d), and an incident of serious injury or death must be reported 
84.34 	as required under paragraph (e).
85.1 	(c) When the incident involves more than one person, the license holder must not 
85.2 	disclose personally identifiable information about any other person when making the report 
85.3 	to each person and case manager unless the license holder has the consent of the person.
85.4 	(d) Within 24 hours of reporting maltreatment as required under section 626.556
85.5 	or 626.557, the license holder must inform the case manager of the report unless there is 
85.6 	reason to believe that the case manager is involved in the suspected maltreatment. The 
85.7 	license holder must disclose the nature of the activity or occurrence reported and the 
85.8 	agency that received the report.
85.9 	(e) The license holder must report the death or serious injury of the person to the legal 
85.10 	representative, if any, and case manager, as required in paragraph (b) and to  the Department 
85.11 	of Human Services Licensing Division, and the Office of Ombudsman for Mental Health 
85.12 	and Developmental Disabilities as required under section 245.94, subdivision 2a, within 
85.13 	24 hours of the death, or receipt of information that the death occurred, unless the license 
85.14 	holder has reason to know that the death has already been reported.
85.15 	(f) When a death or serious injury occurs in a facility certified as an intermediate 
85.16 	care facility for persons with developmental disabilities, the death or serious injury must 
85.17 	be reported to the Department of Health, Office of Health Facility Complaints, and the 
85.18 	Office of Ombudsman for Mental Health and Developmental Disabilities, as required 
85.19 	under sections 245.91 and 245.94, subdivision 2a, unless the license holder has reason to 
85.20 	know that the death has already been reported.
85.21 	(f) (g) The license holder must conduct a an internal review of incident reports of 
85.22 	deaths and serious injuries that occurred while services were being provided and that 
85.23 	were not reported by the program as alleged or suspected maltreatment, for identification 
85.24 	of incident patterns, and implementation of corrective action as necessary to reduce 
85.25 	occurrences. The review must include an evaluation of whether related policies and 
85.26 	procedures were followed, whether the policies and procedures were adequate, whether 
85.27 	there is a need for additional staff training, whether the reported event is similar to past 
85.28 	events with the persons or the services involved, and whether there is a need for corrective 
85.29 	action by the license holder to protect the health and safety of persons receiving services. 
85.30 	Based on the results of this review, the license holder must develop, document, and 
85.31 	implement a corrective action plan designed to correct current lapses and prevent future 
85.32 	lapses in performance by staff or the license holder, if any.
85.33 	(h) The license holder must verbally report the emergency use of manual restraint of 
85.34 	a person as required in paragraph (b), within 24 hours of the occurrence. The license holder 
85.35 	must ensure the written report and internal review of all incident reports of the emergency 
85.36 	use of manual restraints are completed according to the requirements in section 245D.061.
86.1 		Subd. 2.Environment and safety. The license holder must:
86.2 	(1) ensure the following when the license holder is the owner, lessor, or tenant 
86.3 	of the an unlicensed service site:
86.4 	(i) the service site is a safe and hazard-free environment;
86.5 	(ii) doors are locked or toxic substances or dangerous items normally accessible are 
86.6 	inaccessible to persons served by the program are stored in locked cabinets, drawers, or 
86.7 	containers only to protect the safety of a person receiving services and not as a substitute 
86.8 	for staff supervision or interactions with a person who is receiving services. If doors are 
86.9 	locked or toxic substances or dangerous items normally accessible to persons served by the 
86.10 	program are stored in locked cabinets, drawers, or containers are made inaccessible, the 
86.11 	license holder must justify and document how this determination was made in consultation 
86.12 	with the person or person's legal representative, and how access will otherwise be provided 
86.13 	to the person and all other affected persons receiving services; and document an assessment 
86.14 	of the physical plant, its environment, and its population identifying the risk factors which 
86.15 	require toxic substances or dangerous items to be inaccessible and a statement of specific 
86.16 	measures to be taken to minimize the safety risk to persons receiving services;
86.17 	(iii) doors are locked from the inside to prevent a person from exiting only when 
86.18 	necessary to protect the safety of a person receiving services and not as a substitute for 
86.19 	staff supervision or interactions with the person. If doors are locked from the inside, the 
86.20 	license holder must document an assessment of the physical plant, the environment and 
86.21 	the population served, identifying the risk factors which require the use of locked doors, 
86.22 	and a statement of specific measures to be taken to minimize the safety risk to persons 
86.23 	receiving services at the service site; and
86.24 	(iii) (iv) a staff person is available on site who is trained in basic first aid and, when 
86.25 	required in a person's coordinated service and support plan or coordinated service and 
86.26 	support plan addendum, cardiopulmonary resuscitation, whenever persons are present and 
86.27 	staff are required to be at the site to provide direct service. The training must include 
86.28 	in-person instruction, hands-on practice, and an observed skills assessment under the 
86.29 	direct supervision of a first aid instructor;
86.30 	(2) maintain equipment, vehicles, supplies, and materials owned or leased by the 
86.31 	license holder in good condition when used to provide services;
86.32 	(3) follow procedures to ensure safe transportation, handling, and transfers of the 
86.33 	person and any equipment used by the person, when the license holder is responsible for 
86.34 	transportation of a person or a person's equipment;
86.35 	(4) be prepared for emergencies and follow emergency response procedures to 
86.36 	ensure the person's safety in an emergency; and
87.1 	(5) follow universal precautions and sanitary practices, including hand washing, for 
87.2 	infection prevention and control, and to prevent communicable diseases.
87.3 		Subd. 3.Compliance with fire and safety codes. When services are provided at a
87.4 	 service site licensed according to chapter 245A or where the license holder is the owner, 
87.5 	lessor, or tenant of the service site, the license holder must document compliance with 
87.6 	applicable building codes, fire and safety codes, health rules, and zoning ordinances, or 
87.7 	document that an appropriate waiver has been granted.
87.8 		Subd. 4.Funds and property. (a) Whenever the license holder assists a person 
87.9 	with the safekeeping of funds or other property according to section 245A.04, subdivision 
87.10 	13, the license holder must have obtain written authorization to do so from the person or 
87.11 	the person's legal representative and the case manager. Authorization must be obtained 
87.12 	within five working days of service initiation and renewed annually thereafter. At the time 
87.13 	initial authorization is obtained, the license holder must survey, document, and implement 
87.14 	the preferences of the person or the person's legal representative and the case manager 
87.15 	for frequency of receiving a statement that itemizes receipts and disbursements of funds 
87.16 	or other property. The license holder must document changes to these preferences when 
87.17 	they are requested.
87.18 	(b) A license holder or staff person may not accept powers-of-attorney from a 
87.19 	person receiving services from the license holder for any purpose, and may not accept an 
87.20 	appointment as guardian or conservator of a person receiving services from the license 
87.21 	holder. This does not apply to license holders that are Minnesota counties or other 
87.22 	units of government or to staff persons employed by license holders who were acting 
87.23 	as power-of-attorney, guardian, or conservator attorney-in-fact for specific individuals 
87.24 	prior to April 23, 2012 implementation of this chapter. The license holder must maintain 
87.25 	documentation of the power-of-attorney, guardianship, or conservatorship in the service 
87.26 	recipient record.
87.27 	(c) Upon the transfer or death of a person, any funds or other property of the person 
87.28 	must be surrendered to the person or the person's legal representative, or given to the 
87.29 	executor or administrator of the estate in exchange for an itemized receipt.
87.30 		Subd. 5.Prohibitions. (a) The license holder is prohibited from using psychotropic 
87.31 	medication chemical restraints, mechanical restraint practices, manual restraints, time out, 
87.32 	or seclusion as a substitute for adequate staffing, for a behavioral or therapeutic program 
87.33 	to reduce or eliminate behavior, as punishment, or for staff convenience, or for any reason 
87.34 	other than as prescribed.
87.35 	(b) The license holder is prohibited from using restraints or seclusion under any 
87.36 	circumstance, unless the commissioner has approved a variance request from the license 
88.1 	holder that allows for the emergency use of restraints and seclusion according to terms 
88.2 	and conditions approved in the variance. Applicants and license holders who have 
88.3 	reason to believe they may be serving an individual who will need emergency use of 
88.4 	restraints or seclusion may request a variance on the application or reapplication, and 
88.5 	the commissioner shall automatically review the request for a variance as part of the 
88.6 	application or reapplication process. License holders may also request the variance any 
88.7 	time after issuance of a license. In the event a license holder uses restraint or seclusion for 
88.8 	any reason without first obtaining a variance as required, the license holder must report 
88.9 	the unauthorized use of restraint or seclusion to the commissioner within 24 hours of the 
88.10 	occurrence and request the required variance.
88.11 	(b) For the purposes of this subdivision, "chemical restraint" means the 
88.12 	administration of a drug or medication to control the person's behavior or restrict the 
88.13 	person's freedom of movement and is not a standard treatment of dosage for the person's 
88.14 	medical or psychological condition.
88.15 	(c) For the purposes of this subdivision, "mechanical restraint practice" means the 
88.16 	use of any adaptive equipment or safety device to control the person's behavior or restrict 
88.17 	the person's freedom of movement and not as ordered by a licensed health professional. 
88.18 	Mechanical restraint practices include, but are not limited to, the use of bed rails or similar 
88.19 	devices on a bed to prevent the person from getting out of bed, chairs that prevent a person 
88.20 	from rising, or placing a person in a wheelchair so close to a wall that the wall prevents 
88.21 	the person from rising. Wrist bands or devices on clothing that trigger electronic alarms to 
88.22 	warn staff that a person is leaving a room or area do not, in and of themselves, restrict 
88.23 	freedom of movement and should not be considered restraints.
88.24 	(d) A license holder must not use manual restraints, time out, or seclusion under any 
88.25 	circumstance, except for emergency use of manual restraints according to the requirements 
88.26 	in section 245D.061 or the use of controlled procedures with a person with a developmental 
88.27 	disability as governed by Minnesota Rules, parts 9525.2700 to 9525.2810, or its successor 
88.28 	provisions. License holders implementing nonemergency use of manual restraint, or any 
88.29 	other programmatic use of mechanical restraint, time out, or seclusion with persons who 
88.30 	do not have a developmental disability that is not subject to the requirements of Minnesota 
88.31 	Rules, parts 9525.2700 to 9525.2810, must submit a variance request to the commissioner 
88.32 	for continued use of the procedure within three months of implementation of this chapter.

88.33 	EFFECTIVE DATE. This section is effective January 1, 2014.

88.34 	Sec. 4. [245D.095] RECORD REQUIREMENTS.
89.1 		Subdivision 1.Record-keeping systems. The license holder must ensure that the 
89.2 	content and format of service recipient, personnel, and program records are uniform and 
89.3 	legible according to the requirements of this chapter.
89.4 		Subd. 2.Admission and discharge register. The license holder must keep a written 
89.5 	or electronic register, listing in chronological order the dates and names of all persons 
89.6 	served by the program who have been admitted, discharged, or transferred, including 
89.7 	service terminations initiated by the license holder and deaths.
89.8 		Subd. 3.Service recipient record. (a) The license holder must maintain a record of 
89.9 	current services provided to each person on the premises where the services are provided 
89.10 	or coordinated. When the services are provided in a licensed facility, the records must 
89.11 	be maintained at the facility, otherwise the records must be maintained at the license 
89.12 	holder's program office. The license holder must protect service recipient records against 
89.13 	loss, tampering, or unauthorized disclosure according to the requirements in sections 
89.14 	13.01 to 13.10 and 13.46.
89.15 	(b) The license holder must maintain the following information for each person:
89.16 	(1) an admission form signed by the person or the person's legal representative 
89.17 	that includes:
89.18 	(i) identifying information, including the person's name, date of birth, address, 
89.19 	and telephone number; and
89.20 	(ii) the name, address, and telephone number of the person's legal representative, if 
89.21 	any, and a primary emergency contact, the case manager, and family members or others as 
89.22 	identified by the person or case manager;
89.23 	(2) service information, including service initiation information, verification of the 
89.24 	person's eligibility for services, documentation verifying that services have been provided 
89.25 	as identified in the coordinated service and support plan or coordinated service and support 
89.26 	plan addendum according to paragraph (a), and date of admission or readmission;
89.27 	(3) health information, including medical history, special dietary needs, and 
89.28 	allergies, and when the license holder is assigned responsibility for meeting the person's 
89.29 	health service needs according to section 245D.05:
89.30 	(i) current orders for medication, treatments, or medical equipment and a signed 
89.31 	authorization from the person or the person's legal representative to administer or assist in 
89.32 	administering the medication or treatments, if applicable;
89.33 	(ii) a signed statement authorizing the license holder to act in a medical emergency 
89.34 	when the person's legal representative, if any, cannot be reached or is delayed in arriving;
89.35 	(iii) medication administration procedures;
90.1 	(iv) a medication administration record documenting the implementation of the 
90.2 	medication administration procedures, the medication administration record reviews, and 
90.3 	including any agreements for administration of injectable medications by the license 
90.4 	holder according to the requirements in section 245D.05; and
90.5 	(v) a medical appointment schedule when the license holder is assigned 
90.6 	responsibility for assisting with medical appointments;
90.7 	(4) the person's current coordinated service and support plan or that portion of the 
90.8 	plan assigned to the license holder;
90.9 	(5) copies of the individual abuse prevention plan and assessments as required under 
90.10 	section 245D.071, subdivisions 2 and 3;
90.11 	(6) a record of other service providers serving the person when the person's 
90.12 	coordinated service and support plan or coordinated service and support plan addendum 
90.13 	identifies the need for coordination between the service providers, that includes a contact 
90.14 	person and telephone numbers, services being provided, and names of staff responsible for 
90.15 	coordination;
90.16 	(7) documentation of orientation to service recipient rights according to section 
90.17 	245D.04, subdivision 1, and maltreatment reporting policies and procedures according to 
90.18 	section 245A.65, subdivision 1, paragraph (c);
90.19 	(8) copies of authorizations to handle a person's funds, according to section 245D.06, 
90.20 	subdivision 4, paragraph (a);
90.21 	(9) documentation of complaints received and grievance resolution;
90.22 	(10) incident reports involving the person, required under section 245D.06, 
90.23 	subdivision 1;
90.24 	(11) copies of written reports regarding the person's status when requested according 
90.25 	to section 245D.07, subdivision 3, progress review reports as required under section 
90.26 	245D.071, subdivision 5, progress or daily log notes that are recorded by the program, 
90.27 	and reports received from other agencies involved in providing services or care to the 
90.28 	person; and
90.29 	(12) discharge summary, including service termination notice and related 
90.30 	documentation, when applicable.
90.31 		Subd. 4.Access to service recipient records. The license holder must ensure that 
90.32 	the following people have access to the information in subdivision 1 in accordance with 
90.33 	applicable state and federal law, regulation, or rule:
90.34 	(1) the person, the person's legal representative, and anyone properly authorized 
90.35 	by the person;
90.36 	(2) the person's case manager;
91.1 	(3) staff providing services to the person unless the information is not relevant to 
91.2 	carrying out the coordinated service and support plan or coordinated service and support 
91.3 	plan addendum; and
91.4 	(4) the county child or adult foster care licensor, when services are also licensed as 
91.5 	child or adult foster care.
91.6 		Subd. 5.Personnel records. (a) The license holder must maintain a personnel 
91.7 	record of each employee to document and verify staff qualifications, orientation, and 
91.8 	training. The personnel record must include:
91.9 	(1) the employee's date of hire, completed application, an acknowledgement signed 
91.10 	by the employee that job duties were reviewed with the employee and the employee 
91.11 	understands those duties, and documentation that the employee meets the position 
91.12 	requirements as determined by the license holder;
91.13 	 (2) documentation of staff qualifications, orientation, training, and performance 
91.14 	evaluations as required under section 245D.09, subdivisions 3 to 5, including the date 
91.15 	the training was completed, the number of hours per subject area, and the name of the 
91.16 	trainer or instructor; and
91.17 	(3) a completed background study as required under chapter 245C.
91.18 	(b) For employees hired after January 1, 2014, the license holder must maintain 
91.19 	documentation in the personnel record or elsewhere, sufficient to determine the date of the 
91.20 	employee's first supervised direct contact with a person served by the program, and the 
91.21 	date of first unsupervised direct contact with a person served by the program.

91.22 	EFFECTIVE DATE. This section is effective January 1, 2014.

91.23 	Sec. 5. Minnesota Statutes 2012, section 245D.10, is amended to read:
91.24 	245D.10 POLICIES AND PROCEDURES.
91.25 		Subdivision 1.Policy and procedure requirements.  The A license holder
91.26 	 providing either basic or intensive supports and services must establish, enforce, and 
91.27 	maintain policies and procedures as required in this chapter, chapter 245A, and other 
91.28 	applicable state and federal laws and regulations governing the provision of home and 
91.29 	community-based services licensed according to this chapter.
91.30 		Subd. 2.Grievances. The license holder must establish policies and procedures 
91.31 	that provide promote service recipient rights by providing a simple complaint process for 
91.32 	persons served by the program and their authorized representatives to bring a grievance that:
91.33 	(1) provides staff assistance with the complaint process when requested, and the 
91.34 	addresses and telephone numbers of outside agencies to assist the person;
92.1 	(2) allows the person to bring the complaint to the highest level of authority in the 
92.2 	program if the grievance cannot be resolved by other staff members, and that provides 
92.3 	the name, address, and telephone number of that person;
92.4 	(3) requires the license holder to promptly respond to all complaints affecting a 
92.5 	person's health and safety. For all other complaints, the license holder must provide an 
92.6 	initial response within 14 calendar days of receipt of the complaint. All complaints must 
92.7 	be resolved within 30 calendar days of receipt or the license holder must document the 
92.8 	reason for the delay and a plan for resolution;
92.9 	(4) requires a complaint review that includes an evaluation of whether:
92.10 	(i) related policies and procedures were followed and adequate;
92.11 	(ii) there is a need for additional staff training;
92.12 	(iii) the complaint is similar to past complaints with the persons, staff, or services 
92.13 	involved; and
92.14 	(iv) there is a need for corrective action by the license holder to protect the health 
92.15 	and safety of persons receiving services;
92.16 	(5) based on the review in clause (4), requires the license holder to develop, 
92.17 	document, and implement a corrective action plan designed to correct current lapses and 
92.18 	prevent future lapses in performance by staff or the license holder, if any;
92.19 	(6) provides a written summary of the complaint and a notice of the complaint 
92.20 	resolution to the person and case manager that:
92.21 	(i) identifies the nature of the complaint and the date it was received;
92.22 	(ii) includes the results of the complaint review;
92.23 	(iii) identifies the complaint resolution, including any corrective action; and
92.24 	(7) requires that the complaint summary and resolution notice be maintained in the 
92.25 	service recipient record.
92.26 		Subd. 3.Service suspension and service termination. (a) The license holder must 
92.27 	establish policies and procedures for temporary service suspension and service termination 
92.28 	that promote continuity of care and service coordination with the person and the case 
92.29 	manager and with other licensed caregivers, if any, who also provide support to the person.
92.30 	(b) The policy must include the following requirements:
92.31 	(1) the license holder must notify the person or the person's legal representative and 
92.32 	case manager in writing of the intended termination or temporary service suspension, and 
92.33 	the person's right to seek a temporary order staying the termination of service according to 
92.34 	the procedures in section 256.045, subdivision 4a, or 6, paragraph (c);
92.35 	(2) notice of the proposed termination of services, including those situations 
92.36 	that began with a temporary service suspension, must be given at least 60 days before 
93.1 	the proposed termination is to become effective when a license holder is providing 
93.2 	independent living skills training, structured day, prevocational or supported employment 
93.3 	services to the person intensive supports and services identified in section 245D.03, 
93.4 	subdivision 1, paragraph (c), and 30 days prior to termination for all other services 
93.5 	licensed under this chapter;
93.6 	(3) the license holder must provide information requested by the person or case 
93.7 	manager when services are temporarily suspended or upon notice of termination;
93.8 	(4) prior to giving notice of service termination or temporary service suspension, 
93.9 	the license holder must document actions taken to minimize or eliminate the need for 
93.10 	service suspension or termination;
93.11 	(5) during the temporary service suspension or service termination notice period, 
93.12 	the license holder will work with the appropriate county agency to develop reasonable 
93.13 	alternatives to protect the person and others;
93.14 	(6) the license holder must maintain information about the service suspension or 
93.15 	termination, including the written termination notice, in the service recipient record; and
93.16 	(7) the license holder must restrict temporary service suspension to situations in 
93.17 	which the person's behavior causes immediate and serious danger to the health and safety 
93.18 	of the person or others conduct poses an imminent risk of physical harm to self or others 
93.19 	and less restrictive or positive support strategies would not achieve safety.
93.20 		Subd. 4.Availability of current written policies and procedures. (a) The license 
93.21 	holder must review and update, as needed, the written policies and procedures required 
93.22 	under this chapter.
93.23 	(b)(1) The license holder must inform the person and case manager of the policies 
93.24 	and procedures affecting a person's rights under section 245D.04, and provide copies of 
93.25 	those policies and procedures, within five working days of service initiation.
93.26 	(2) If a license holder only provides basic services and supports, this includes the:
93.27 	(i) grievance policy and procedure required under subdivision 2; and
93.28 	(ii) service suspension and termination policy and procedure required under 
93.29 	subdivision 3.
93.30 	(3) For all other license holders this includes the:
93.31 	(i) policies and procedures in clause (2);
93.32 	(ii) emergency use of manual restraints policy and procedure required under 
93.33 	subdivision 3a; and
93.34 	(iii) data privacy requirements under section 245D.11, subdivision 3.
93.35 	(c) The license holder must provide a written notice at least 30 days before 
93.36 	implementing any revised policies and procedures procedural revisions to policies
94.1 	 affecting a person's service-related or protection-related rights under section 245D.04 and 
94.2 	maltreatment reporting policies and procedures. The notice must explain the revision that 
94.3 	was made and include a copy of the revised policy and procedure. The license holder 
94.4 	must document the reason reasonable cause for not providing the notice at least 30 days 
94.5 	before implementing the revisions.
94.6 	(d) Before implementing revisions to required policies and procedures, the license 
94.7 	holder must inform all employees of the revisions and provide training on implementation 
94.8 	of the revised policies and procedures.
94.9 	(e) The license holder must annually notify all persons, or their legal representatives, 
94.10 	and case managers of any procedural revisions to policies required under this chapter, 
94.11 	other than those in paragraph (c). Upon request, the license holder must provide the 
94.12 	person, or the person's legal representative, and case manager with copies of the revised 
94.13 	policies and procedures.

94.14 	EFFECTIVE DATE. This section is effective January 1, 2014.

94.15 	ARTICLE 5
94.16 	HOME CARE PROVIDERS

94.17 	Section 1. Minnesota Statutes 2012, section 144.051, is amended by adding a 
94.18 	subdivision to read:
94.19 		Subd. 3.Data classification; private data. For providers regulated pursuant to 
94.20 	sections 144A.043 to 144A.482, the following data collected, created, or maintained by the 
94.21 	commissioner are classified as "private data" as defined in section 13.02, subdivision 12:
94.22 	(1) data submitted by or on behalf of applicants for licenses prior to issuance of 
94.23 	the license;
94.24 	(2) the identity of complainants who have made reports concerning licensees or 
94.25 	applicants unless the complainant consents to the disclosure;
94.26 	(3) the identity of individuals who provide information as part of surveys and 
94.27 	investigations;
94.28 	(4) Social Security numbers; and
94.29 	(5) health record data.

94.30 	Sec. 2. Minnesota Statutes 2012, section 144.051, is amended by adding a subdivision 
94.31 	to read:
95.1 		Subd. 4.Data classification; public data. For providers regulated pursuant to 
95.2 	sections 144A.043 to 144A.482, the following data collected, created, or maintained by the 
95.3 	commissioner are classified as "public data" as defined in section 13.02, subdivision 15:
95.4 	(1) all application data on licensees, license numbers, license status;
95.5 	(2) licensing information about licenses previously held under this chapter;
95.6 	(3) correction orders, including information about compliance with the order and 
95.7 	whether the fine was paid;
95.8 	(4) final enforcement actions pursuant to chapter 14;
95.9 	(5) orders for hearing, findings of fact and conclusions of law; and
95.10 	(6) when the licensee and department agree to resolve the matter without a hearing, 
95.11 	the agreement and specific reasons for the agreement are public data.

95.12 	Sec. 3. Minnesota Statutes 2012, section 144.051, is amended by adding a subdivision 
95.13 	to read:
95.14 		Subd. 5.Data classification; confidential data. For providers regulated pursuant 
95.15 	to sections 144A.043 to 144A.482, the following data collected, created, or maintained 
95.16 	by the Department of Health are classified as "confidential data" as defined in section 
95.17 	13.02, subdivision 3: active investigative data relating to the investigation of potential 
95.18 	violations of law by licensee including data from the survey process before the correction 
95.19 	order is issued by the department.

95.20 	Sec. 4. Minnesota Statutes 2012, section 144.051, is amended by adding a subdivision 
95.21 	to read:
95.22 		Subd. 6.Release of private or confidential data. For providers regulated pursuant 
95.23 	to sections 144A.043 to 144A.482, the department may release private or confidential 
95.24 	data, except Social Security numbers, to the appropriate state, federal, or local agency 
95.25 	and law enforcement office to enhance investigative or enforcement efforts or further 
95.26 	public health protective process. Types of offices include, but are not limited to, Adult 
95.27 	Protective Services, Office of the Ombudsmen for Long-Term Care and Office of the 
95.28 	Ombudsmen for Mental Health and Developmental Disabilities, the health licensing 
95.29 	boards, Department of Human Services, county or city attorney's offices, police, and local 
95.30 	or county public health offices.

95.31 	Sec. 5. [144A.471] HOME CARE PROVIDER AND HOME CARE SERVICES.
95.32 		Subdivision 1.License required. A home care provider may not open, operate, 
95.33 	manage, conduct, maintain, or advertise itself as a home care provider or provide home 
96.1 	care services in Minnesota without a temporary or current home care provider license 
96.2 	issued by the commissioner of health.
96.3 		Subd. 2.Determination of direct home care service. "Direct home care service" 
96.4 	means a home care service provided to a client by the home care provider or its employees, 
96.5 	and not by contract. Factors that must be considered in determining whether an individual 
96.6 	or a business entity provides at least one home care service directly include, but are not 
96.7 	limited to, whether the individual or business entity:
96.8 	(1) has the right to control, and does control, the types of services provided;
96.9 	(2) has the right to control, and does control, when and how the services are provided;
96.10 	(3) establishes the charges;
96.11 	(4) collects fees from the clients or receives payment from third-party payers on 
96.12 	the clients' behalf;
96.13 	(5) pays individuals providing services compensation on an hourly, weekly, or 
96.14 	similar basis;
96.15 	(6) treats the individuals providing services as employees for the purposes of payroll 
96.16 	taxes and workers' compensation insurance; and
96.17 	(7) holds itself out as a provider of home care services or acts in a manner that 
96.18 	leads clients or potential clients to believe that it is a home care provider providing home 
96.19 	care services.
96.20 	None of the factors listed in this subdivision is solely determinative.
96.21 		Subd. 3.Determination of regularly engaged. "Regularly engaged" means 
96.22 	providing, or offering to provide, home care services as a regular part of a business. The 
96.23 	following factors must be considered by the commissioner in determining whether an 
96.24 	individual or a business entity is regularly engaged in providing home care services:
96.25 	(1) whether the individual or business entity states or otherwise promotes that the 
96.26 	individual or business entity provides home care services;
96.27 	(2) whether persons receiving home care services constitute a substantial part of the 
96.28 	individual's or the business entity's clientele; and
96.29 	(3) whether the home care services provided are other than occasional or incidental 
96.30 	to the provision of services other than home care services.
96.31 	None of the factors listed in this subdivision is solely determinative.
96.32 		Subd. 4.Penalties for operating without license. A person involved in the 
96.33 	management, operation, or control of a home care provider that operates without an 
96.34 	appropriate license is guilty of a misdemeanor. This section does not apply to a person 
96.35 	who has no legal authority to affect or change decisions related to the management, 
96.36 	operation, or control of a home care provider.
97.1 		Subd. 5.Basic and comprehensive levels of licensure. An applicant seeking 
97.2 	to become a home care provider must apply for either a basic or comprehensive home 
97.3 	care license.
97.4 		Subd. 6.Basic home care license provider. Home care services that can be 
97.5 	provided with a basic home care license are assistive tasks provided by licensed or 
97.6 	unlicensed personnel that include:
97.7 	(1) assisting with dressing, self-feeding, oral hygiene, hair care, grooming, toileting, 
97.8 	and bathing;
97.9 	(2) providing standby assistance;
97.10 	(3) providing verbal or visual reminders to the client to take regularly scheduled 
97.11 	medication which includes bringing the client previously set-up medication, medication in 
97.12 	original containers, or liquid or food to accompany the medication;
97.13 	(4) providing verbal or visual reminders to the client to perform regularly scheduled 
97.14 	treatments and exercises;
97.15 	(5) preparing modified diets ordered by a licensed health professional; and
97.16 	(6) assisting with laundry, housekeeping, meal preparation, shopping, or other 
97.17 	household chores and services if the provider is also providing at least one of the activities 
97.18 	in clauses (1) to (5)
97.19 		Subd. 7.Comprehensive home care license provider. Home care services that 
97.20 	may be provided with a comprehensive home care license include any of the basic home 
97.21 	care services listed in subdivision 6, and one or more of the following:
97.22 	(1) services of an advanced practice nurse, registered nurse, licensed practical 
97.23 	nurse, physical therapist, respiratory therapist, occupational therapist, speech-language 
97.24 	pathologist, dietician or nutritionist, or social worker;
97.25 	(2) tasks delegated to unlicensed personnel by a registered nurse or assigned by a 
97.26 	licensed health professional within the person's scope of practice;
97.27 	(3) medication management services;
97.28 	(4) hands-on assistance with transfers and mobility;
97.29 	(5) assisting clients with eating when the clients have complicating eating problems 
97.30 	as identified in the client record or through an assessment such as difficulty swallowing, 
97.31 	recurrent lung aspirations, or requiring the use of a tube or parenteral or intravenous 
97.32 	instruments to be fed; or
97.33 	(6) providing other complex or specialty health care services.
97.34 		Subd. 8.Exemptions from home care services licensure. (a) Except as otherwise 
97.35 	provided in this chapter, home care services that are provided by the state, counties, or 
97.36 	other units of government must be licensed under this chapter.
98.1 	(b) An exemption under this subdivision does not excuse the exempted individual or 
98.2 	organization from complying with applicable provisions of the home care bill of rights 
98.3 	in section 144A.44. The following individuals or organizations are exempt from the 
98.4 	requirement to obtain a home care provider license:
98.5 	(1) an individual or organization that offers, provides, or arranges for personal care 
98.6 	assistance services under the medical assistance program as authorized under sections 
98.7 	256B.04, subdivision 16; 256B.0625, subdivision 19a; and 256B.0659;
98.8 	(2) a provider that is licensed by the commissioner of human services to provide 
98.9 	semi-independent living services for persons with developmental disabilities under section 
98.10 	252.275 and Minnesota Rules, parts 9525.0900 to 9525.1020;
98.11 	(3) a provider that is licensed by the commissioner of human services to provide 
98.12 	home and community-based services for persons with developmental disabilities under 
98.13 	section 256B.092 and Minnesota Rules, parts 9525.1800 to 9525.1930;
98.14 	(4) an individual or organization that provides only home management services, if 
98.15 	the individual or organization is registered under section 144A.482; or 
98.16 	(5) an individual who is licensed in this state as a nurse, dietitian, social worker, 
98.17 	occupational therapist, physical therapist, or speech-language pathologist who provides 
98.18 	health care services in the home independently and not through any contractual or 
98.19 	employment relationship with a home care provider or other organization.
98.20 		Subd. 9.Exclusions from home care licensure. The following are excluded from 
98.21 	home care licensure and are not required to provide the home care bill of rights:
98.22 	(1) an individual or business entity providing only coordination of home care that 
98.23 	includes one or more of the following:
98.24 	(i) determination of whether a client needs home care services, or assisting a client 
98.25 	in determining what services are needed;
98.26 	(ii) referral of clients to a home care provider;
98.27 	(iii) administration of payments for home care services; or
98.28 	(iv) administration of a health care home established under section 256B.0751;
98.29 	(2) an individual who is not an employee of a licensed home care provider if the 
98.30 	individual:
98.31 	(i) only provides services as an independent contractor to one or more licensed 
98.32 	home care providers;
98.33 	(ii) provides no services under direct agreements or contracts with clients; and
98.34 	(iii) is contractually bound to perform services in compliance with the contracting 
98.35 	home care provider's policies and service plans;
99.1 	(3) a business that provides staff to home care providers, such as a temporary 
99.2 	employment agency, if the business:
99.3 	(i) only provides staff under contract to licensed or exempt providers;
99.4 	(ii) provides no services under direct agreements with clients; and
99.5 	(iii) is contractually bound to perform services under the contracting home care 
99.6 	provider's direction and supervision;
99.7 	(4) any home care services conducted by and for the adherents of any recognized 
99.8 	church or religious denomination for its members through spiritual means, or by prayer 
99.9 	for healing;
99.10 	(5) an individual who only provides home care services to a relative;
99.11 	(6) an individual not connected with a home care provider that provides assistance 
99.12 	with basic home care needs if the assistance is provided primarily as a contribution and 
99.13 	not as a business;
99.14 	(7) an individual not connected with a home care provider that shares housing with 
99.15 	and provides primarily housekeeping or homemaking services to an elderly or disabled 
99.16 	person in return for free or reduced-cost housing;
99.17 	(8) an individual or provider providing home-delivered meal services;
99.18 	(9) an individual providing senior companion services and other Older American 
99.19 	Volunteer Programs (OAVP) established under the Domestic Volunteer Service Act of 
99.20 	1973, United States Code, title 42, chapter 66;
99.21 	(10) an employee of a nursing home licensed under this chapter or an employee of a 
99.22 	boarding care home licensed under sections 144.50 to 144.56 who responds to occasional 
99.23 	emergency calls from individuals residing in a residential setting that is attached to or 
99.24 	located on property contiguous to the nursing home or boarding care home;
99.25 	(11) a member of a professional corporation organized under chapter 319B that 
99.26 	does not regularly offer or provide home care services as defined in section 144A.43, 
99.27 	subdivision 3;
99.28 	(12) the following organizations established to provide medical or surgical services 
99.29 	that do not regularly offer or provide home care services as defined in section 144A.43, 
99.30 	subdivision 3: a business trust organized under sections 318.01 to 318.04, a nonprofit 
99.31 	corporation organized under chapter 317A, a partnership organized under chapter 323, or 
99.32 	any other entity determined by the commissioner;
99.33 	(13) an individual or agency that provides medical supplies or durable medical 
99.34 	equipment, except when the provision of supplies or equipment is accompanied by a 
99.35 	home care service;
99.36 	(14) a physician licensed under chapter 147;
100.1 	(15) an individual who provides home care services to a person with a developmental 
100.2 	disability who lives in a place of residence with a family, foster family, or primary caregiver;
100.3 	(16) a business that only provides services that are primarily instructional and not 
100.4 	medical services or health-related support services;
100.5 	(17) an individual who performs basic home care services for no more than 14 hours 
100.6 	each calendar week to no more than one client;
100.7 	(18) an individual or business licensed as hospice as defined in sections 144A.75 to 
100.8 	144A.755 who is not providing home care services independent of hospice service;
100.9 	(19) activities conducted by the commissioner of health or a board of health as 
100.10 	defined in section 145A.02, subdivision 2, including communicable disease investigations 
100.11 	or testing; or
100.12 	(20) administering or monitoring a prescribed therapy necessary to control or 
100.13 	prevent a communicable disease, or the monitoring of an individual's compliance with a 
100.14 	health directive as defined in section 144.4172, subdivision 6.

100.15 	Sec. 6. [144A.472] HOME CARE PROVIDER LICENSE; APPLICATION AND 
100.16 	RENEWAL.
100.17 		Subdivision 1.License applications. Each application for a home care provider 
100.18 	license must include information sufficient to show that the applicant meets the 
100.19 	requirements of licensure, including:
100.20 	(1) the applicant's name, e-mail address, physical address, and mailing address, 
100.21 	including the name of the county in which the applicant resides and has a principal 
100.22 	place of business;
100.23 	(2) the initial license fee in the amount specified in subdivision 7;
100.24 	(3) e-mail address, physical address, mailing address, and telephone number of the 
100.25 	principal administrative office;
100.26 	(4) e-mail address, physical address, mailing address, and telephone number of 
100.27 	each branch office, if any;
100.28 	(5) names, e-mail and mailing addresses, and telephone numbers of all owners 
100.29 	and managerial officials;
100.30 	(6) documentation of compliance with the background study requirements of section 
100.31 	144A.476 for all persons involved in the management, operation, or control of the home 
100.32 	care provider;
100.33 	(7) documentation of a background study as required by section 144.057 for any 
100.34 	individual seeking employment, paid or volunteer, with the home care provider;
101.1 	(8) evidence of workers' compensation coverage as required by sections 176.181 
101.2 	and 176.182;
101.3 	(9) documentation of liability coverage, if the provider has it;
101.4 	(10) identification of the license level the provider is seeking;
101.5 	(11) documentation that identifies the managerial official who is in charge of 
101.6 	day-to-day operations and attestation that the person has reviewed and understands the 
101.7 	home care provider regulations;
101.8 	(12) documentation that the applicant has designated one or more owners, 
101.9 	managerial officials, or employees as an agent or agents, which shall not affect the legal 
101.10 	responsibility of any other owner or managerial official under this chapter;
101.11 	(13) the signature of the officer or managing agent on behalf of an entity, corporation, 
101.12 	association, or unit of government;
101.13 	(14) verification that the applicant has the following policies and procedures in place 
101.14 	so that if a license is issued, the applicant will implement the policies and procedures 
101.15 	and keep them current:
101.16 	(i) requirements in sections 626.556, reporting of maltreatment of minors, and 
101.17 	626.557, reporting of maltreatment of vulnerable adults;
101.18 	(ii) conducting and handling background studies on employees;
101.19 	(iii) orientation, training, and competency evaluations of home care staff, and a 
101.20 	process for evaluating staff performance;
101.21 	(iv) handling complaints from clients, family members, or client representatives 
101.22 	regarding staff or services provided by staff;
101.23 	(v) conducting initial evaluation of clients' needs and the providers' ability to provide 
101.24 	those services;
101.25 	(vi) conducting initial and ongoing client evaluations and assessments and how 
101.26 	changes in a client's condition are identified, managed, and communicated to staff and 
101.27 	other health care providers as appropriate;
101.28 	(vii) orientation to and implementation of the home care client bill of rights;
101.29 	(viii) infection control practices;
101.30 	(ix) reminders for medications, treatments, or exercises, if provided; and
101.31 	(x) conducting appropriate screenings, or documentation of prior screenings, to 
101.32 	show that staff are free of tuberculosis, consistent with current United States Centers for 
101.33 	Disease Control standards; and
101.34 	(15) other information required by the department.
101.35 		Subd. 2.Comprehensive home care license applications. In addition to the 
101.36 	information and fee required in subdivision 1, applicants applying for a comprehensive 
102.1 	home care license must also provide verification that the applicant has the following 
102.2 	policies and procedures in place so that if a license is issued, the applicant will implement 
102.3 	the policies and procedures in this subdivision and keep them current:
102.4 	(1) conducting initial and ongoing assessments of the client's needs by a registered 
102.5 	nurse or appropriate licensed health professional, including how changes in the client's 
102.6 	conditions are identified, managed, and communicated to staff and other health care 
102.7 	providers, as appropriate;
102.8 	(2) ensuring that nurses and licensed health professionals have current and valid 
102.9 	licenses to practice;
102.10 	(3) medication and treatment management;
102.11 	(4) delegation of home care tasks by registered nurses or licensed health professionals;
102.12 	(5) supervision of registered nurses and licensed health professionals; and
102.13 	(6) supervision of unlicensed personnel performing delegated home care tasks.
102.14 		Subd. 3.License renewal. (a) Except as provided in section 144A.475, a license 
102.15 	may be renewed for a period of one year if the licensee satisfies the following:
102.16 	(1) submits an application for renewal in the format provided by the commissioner 
102.17 	at least 30 days before expiration of the license;
102.18 	(2) submits the renewal fee in the amount specified in subdivision 7;
102.19 	(3) has provided home care services within the past 12 months;
102.20 	(4) complies with sections 144A.43 to 144A.4799;
102.21 	(5) provides information sufficient to show that the applicant meets the requirements 
102.22 	of licensure, including items required under subdivision 1;
102.23 	(6) provides verification that all policies under subdivision 1, are current; and 
102.24 	(7) provides any other information deemed necessary by the commissioner.
102.25 	(b) A renewal applicant who holds a comprehensive home care license must also 
102.26 	provide verification that policies listed under subdivision 2 are current.
102.27 		Subd. 4.Multiple units. Multiple units or branches of a licensee must be separately 
102.28 	licensed if the commissioner determines that the units cannot adequately share supervision 
102.29 	and administration of services from the main office.
102.30 		Subd. 5.Transfers prohibited; changes in ownership. Any home care license 
102.31 	issued by the commissioner may not be transferred to another party. Before acquiring 
102.32 	ownership of a home care provider business, a prospective applicant must apply for a 
102.33 	new temporary license. A change of ownership is a transfer of operational control to 
102.34 	a different business entity, and includes:
102.35 	(1) transfer of the business to a different or new corporation;
103.1 	(2) in the case of a partnership, the dissolution or termination of the partnership under 
103.2 	chapter 323A, with the business continuing by a successor partnership or other entity; 
103.3 	(3) relinquishment of control of the provider to another party, including to a contract 
103.4 	management firm that is not under the control of the owner of the business' assets;
103.5 	(4) transfer of the business by a sole proprietor to another party or entity; or
103.6 	(5) in the case of a privately held corporation, the change in ownership or control of 
103.7 	50 percent or more of the outstanding voting stock.
103.8 		Subd. 6.Notification of changes of information. The temporary licensee or 
103.9 	licensee shall notify the commissioner in writing within ten working days after any 
103.10 	change in the information required in subdivision 1, except the information required in 
103.11 	subdivision 1, clause (5), is required at the time of license renewal.
103.12 		Subd. 7.Fees; application, change of ownership, and renewal. (a) An initial 
103.13 	applicant seeking initial temporary home care licensure must submit the following 
103.14 	application fee to the commissioner along with a completed application:
103.15 	(1) basic home care provider, $2,100; or
103.16 	(2) comprehensive home care provider, $4,200.
103.17 	(b) A home care provider who is filing a change of ownership as required under 
103.18 	subdivision 5 must submit the following application fee to the commissioner, along with 
103.19 	the documentation required for the change of ownership:
103.20 	(1) basic home care provider, $2,100; or
103.21 	(2) comprehensive home care provider, $4,200.
103.22 	(c) A home care provider who is seeking to renew the provider's license shall pay a 
103.23 	fee to the commissioner based on revenues derived from the provision of home care 
103.24 	services during the calendar year prior to the year in which the application is submitted, 
103.25 	according to the following schedule:
103.26 	License Renewal Fee

103.27	Provider Annual Revenue
	Fee
		
103.28	greater than $1,500,000
	$6,625
		
103.29
103.30	greater than $1,275,000 and no more than 
$1,500,000
	$5,797
		
103.31
103.32	greater than $1,100,000 and no more than 
$1,275,000
	$4,969
		
103.33
103.34	greater than $950,000 and no more than 
$1,100,000
	$4,141
		
103.35
103.36	greater than $850,000 and no more than 
$950,000
	$3,727
		
103.37
103.38	greater than $750,000 and no more than 
$850,000
	$3,313
		
104.1
104.2	greater than $650,000 and no more than 
$750,000
	$2,898
		
104.3
104.4	greater than $550,000 and no more than 
$650,000
	$2,485
		
104.5
104.6	greater than $450,000 and no more than 
$550,000
	$2,070
		
104.7
104.8	greater than $350,000 and no more than 
$450,000
	$1,656
		
104.9104.10
	greater than $250,000 and no more than 
$350,000
	$1,242
		
104.11
104.12	greater than $100,000 and no more than 
$250,000
	$828
		
104.13	greater than $25,000 and no more than $100,000
	$414
		
104.14	no more than $25,000
	$166
		
104.15 	(d) If requested, the home care provider shall provide the commissioner information 
104.16 	to verify the provider's annual revenues or other information as needed, including copies 
104.17 	of documents submitted to the Department of Revenue.
104.18 	(e) A temporary license or license applicant, or temporary licensee or licensee that 
104.19 	knowingly provides the commissioner incorrect revenue amounts for the purpose of 
104.20 	paying a lower license fee, shall be subject to a civil penalty in the amount of double the 
104.21 	fee the provider should have paid.
104.22 	(f) Fees and penalties collected under this section shall be deposited in the state 
104.23 	treasury and credited to the special state government revenue fund.

104.24 	Sec. 7. [144A.473] ISSUANCE OF TEMPORARY LICENSE AND LICENSE 
104.25 	RENEWAL.
104.26 		Subdivision 1.Temporary license and renewal of license. (a) The department 
104.27 	shall review each application to determine the applicant's knowledge of and compliance 
104.28 	with Minnesota home care regulations. Before granting a temporary license or renewing a 
104.29 	license, the commissioner may further evaluate the applicant or licensee by requesting 
104.30 	additional information or documentation or by conducting an on-site survey of the 
104.31 	applicant to determine compliance with sections 144A.43 to 144A.482.
104.32 	(b) Within 14 calendar days after receiving an application for a license, 
104.33 	the commissioner shall acknowledge receipt of the application in writing. The 
104.34 	acknowledgment must indicate whether the application appears to be complete or whether 
104.35 	additional information is required before the application will be considered complete.
104.36 	(c) Within 90 days after receiving a complete application, the commissioner shall 
104.37 	issue a temporary license, renew the license, or deny the license.
105.1 	(d) The commissioner shall issue a license that contains the home care provider's 
105.2 	name, address, license level, expiration date of the license, and unique license number. All 
105.3 	licenses are valid for one year from the date of issuance.
105.4 		Subd. 2.Temporary license. (a) For new license applicants, the commissioner 
105.5 	shall issue a temporary license for either the basic or comprehensive home care level. A 
105.6 	temporary license is effective for one year from the date of issuance. Temporary licensees 
105.7 	must comply with sections 144A.43 to 144A.482.
105.8 	(b) During the temporary license year, the commissioner shall survey the temporary 
105.9 	licensee after the commissioner is notified or has evidence that the temporary licensee 
105.10 	is providing home care services.
105.11 	(c) Within five days of beginning the provision of services, the temporary 
105.12 	licensee must notify the commissioner that it is serving clients. The notification to the 
105.13 	commissioner may be mailed or e-mailed to the commissioner at the address provided by 
105.14 	the commissioner. If the temporary licensee does not provide home care services during 
105.15 	the temporary license year, then the temporary license expires at the end of the year and 
105.16 	the applicant must reapply for a temporary home care license.
105.17 	(d) A temporary licensee may request a change in the level of licensure prior to 
105.18 	being surveyed and granted a license by notifying the commissioner in writing and 
105.19 	providing additional documentation or materials required to update or complete the 
105.20 	changed temporary license application. The applicant must pay the difference between the 
105.21 	application fees when changing from the basic to the comprehensive level of licensure. 
105.22 	No refund will be made if the provider chooses to change the license application to the 
105.23 	basic level.
105.24 	(e) If the temporary licensee notifies the commissioner that the licensee has clients 
105.25 	within 45 days prior to the temporary license expiration, the commissioner may extend the 
105.26 	temporary license for up to 60 days in order to allow the commissioner to complete the 
105.27 	on-site survey required under this section and follow-up survey visits.
105.28 		Subd. 3.Temporary licensee survey. (a) If the temporary licensee is in substantial 
105.29 	compliance with the survey, the commissioner shall issue either a basic or comprehensive 
105.30 	home care license. If the temporary licensee is not in substantial compliance with the 
105.31 	survey, the commissioner shall not issue a basic or comprehensive license and there will 
105.32 	be no contested hearing right under chapter 14.
105.33 	(b) If the temporary licensee whose basic or comprehensive license has been denied 
105.34 	disagrees with the conclusions of the commissioner, then the licensee may request a 
105.35 	reconsideration by the commissioner or commissioner's designee. The reconsideration 
106.1 	request process will be conducted internally by the commissioner or commissioner's 
106.2 	designee, and chapter 14 does not apply.
106.3 	(c) The temporary licensee requesting reconsideration must make the request in 
106.4 	writing and must list and describe the reasons why the licensee disagrees with the decision 
106.5 	to deny the basic or comprehensive home care license.
106.6 	(d) A temporary licensee whose license is denied must comply with the requirements 
106.7 	for notification and transfer of clients in section 144A.475, subdivision 5.

106.8 	Sec. 8. [144A.474] SURVEYS AND INVESTIGATIONS.
106.9 		Subdivision 1.Surveys. The commissioner shall conduct surveys of each home care 
106.10 	provider. Survey frequency may be based on the license level, the provider's compliance 
106.11 	history, number of clients served, or other factors as determined by the department deemed 
106.12 	necessary to ensure the health, safety, and welfare of clients and compliance with the law.
106.13 		Subd. 2.Scheduling surveys. Surveys and investigations shall be conducted 
106.14 	without advance notice to home care providers. Surveyors may contact the home care 
106.15 	provider on the day of a survey to arrange for someone to be available at the survey site. 
106.16 	The contact does not constitute advance notice.
106.17 		Subd. 3.Information provided by home care provider. The home care provider 
106.18 	shall provide accurate and truthful information to the department during a survey, 
106.19 	investigation, or other licensing activities.
106.20 		Subd. 4.Providing client records. Upon request of a surveyor, home care providers 
106.21 	shall provide a list of current and past clients or client representatives that includes 
106.22 	addresses and telephone numbers and any other information requested about the services 
106.23 	to clients within a reasonable period of time.
106.24 		Subd. 5.Contacting and visiting clients. Surveyors may contact or visit a home 
106.25 	care provider's clients to gather information without notice to the home care provider. 
106.26 	Before visiting a client, a surveyor shall obtain the client's or client's representative's 
106.27 	permission by telephone, mail, or in person. Surveyors shall inform all clients or client's 
106.28 	representatives of their right to decline permission for a visit.
106.29 		Subd. 6.Complaint investigations. Upon receiving information alleging that 
106.30 	a home care provider has violated or is currently violating a requirement of sections 
106.31 	144A.43 to 144A.482, 626.556, and 626.557, the commissioner shall investigate the 
106.32 	complaint according to sections 144A.51 to 144A.54.
106.33 		Subd. 7.Correction orders. (a) A correction order may be issued whenever the 
106.34 	commissioner finds upon survey or during a complaint investigation that a home care 
106.35 	provider, a controlling person, or an employee of the provider is not in compliance with 
107.1 	sections 144A.43 to 144A.482, 626.556, or 626.557. The correction order shall cite the 
107.2 	specific rule or statute and document areas of noncompliance and the time allowed for 
107.3 	correction.
107.4 	(b) The commissioner shall mail copies of any correction order to the last known 
107.5 	address of the home care provider. A copy of each correction order and copies of any 
107.6 	documentation supplied to the commissioner shall be kept on file by the home care 
107.7 	provider, and public documents shall be made available for viewing by any person upon 
107.8 	request. Copies may be kept electronically.
107.9 	(c) By the correction order date, the home care provider must document in the 
107.10 	provider's records any action taken to comply with the correction order. The commissioner 
107.11 	may request a copy of this documentation and the home care provider's action to respond 
107.12 	to the correction order in future surveys, upon a complaint investigation, and as otherwise 
107.13 	needed.
107.14 		Subd. 8.Reconsideration of survey findings. (a) If the applicant or licensee 
107.15 	believes that the contents of the commissioner's order for correction are in error, the 
107.16 	applicant or license holder may ask the commissioner to reconsider the parts of the 
107.17 	correction order that are alleged to be in error. The request for reconsideration must be 
107.18 	made in writing and must be postmarked and sent to the commissioner within 20 calendar 
107.19 	days after receipt of the correction order by the applicant or license holder, and:
107.20 	(1) specify the parts of the correction order that are alleged to be in error;
107.21 	(2) explain why they are in error; and
107.22 	(3) include documentation to support the allegation of error.
107.23 	(b) A request for reconsideration does not stay any provisions or requirements of the 
107.24 	correction order. The commissioner's disposition of a request for reconsideration is final 
107.25 	and not subject to appeal under chapter 14.
107.26 		Subd. 9.Fines. (a) The commissioner may assess fines according to this subdivision.
107.27 	(b) In addition to any enforcement action authorized under this chapter, the 
107.28 	commissioner may assess a licensed home care provider a fine from $1,000 to $10,000 for 
107.29 	any of the following violations:
107.30 	(1) failure to report maltreatment of a child under section 626.556 or the 
107.31 	maltreatment of a vulnerable adult under section 626.557;
107.32 	(2) failure to establish and implement procedures for reporting suspected 
107.33 	maltreatment under section 144A.479, subdivision 6, paragraph (a);
107.34 	(3) failure to complete and implement an abuse prevention plan under section 
107.35 	144.479, subdivision 6, paragraph (b);
108.1 	(4) an act, omission, or practice that results in a client's illness, injury, or death or 
108.2 	places the client at imminent risk including physical abuse, sexual abuse, questionable or 
108.3 	wrongful death, serious unexplained injuries, or serious medical emergency;
108.4 	(5) failure to obtain background check clearance or exemption for direct care staff 
108.5 	prior to provision of services;
108.6 	(6) willful violation of state licensing laws and regulations; and
108.7 	(7) violation of employee health status guidance relating to control of infectious 
108.8 	diseases such as tuberculosis.
108.9 	(c) If the commissioner finds that the applicant or a home care provider required to 
108.10 	be licensed under sections 144A.43 to 144A.482 has not corrected violations identified 
108.11 	in a survey or complaint investigation that were specified in the correction order or 
108.12 	conditional license, the commissioner may impose a fine. A notice of noncompliance with 
108.13 	a correction order must be mailed to the applicant's or provider's last known address. The 
108.14 	noncompliance notice must list the violations not corrected.
108.15 	(d) Fines under this subdivision may be assessed according to paragraph (b), or 
108.16 	the commissioner may assess a fine other than those identified in paragraph (b) from 
108.17 	$500 to $2,000 per violation when the provider has failed to correct an order relating to 
108.18 	violation of state licensing laws.
108.19 	(e) The license holder must pay the fines assessed on or before the payment date 
108.20 	specified. If the license holder fails to fully comply with the order, the commissioner may 
108.21 	issue a second fine or suspend the license until the license holder complies by paying the 
108.22 	fine. If the license holder receives state funds, the state, county, or municipal agencies or 
108.23 	departments responsible for administering the funds shall withhold payments and recover 
108.24 	any payments made while the license is suspended for failure to pay a fine. A timely 
108.25 	appeal shall stay payment of the fine until the commissioner issues a final order.
108.26 	(f) A license holder shall promptly notify the commissioner in writing, including 
108.27 	by e-mail, when a violation specified in the order to forfeit a fine is corrected. If upon 
108.28 	reinspection the commissioner determines that a violation has not been corrected as 
108.29 	indicated by the order to forfeit a fine, the commissioner may issue a second fine. The 
108.30 	commissioner shall notify the license holder by mail to the last known address in the 
108.31 	licensing record that a second fine has been assessed. The license holder may appeal the 
108.32 	second fine as provided under this subdivision.
108.33 	(g) A home care provider that has been assessed a fine under this subdivision has a 
108.34 	right to a hearing under this section and chapter 14.
108.35 	(h) When a fine has been assessed, the license holder may not avoid payment by 
108.36 	closing, selling, or otherwise transferring the licensed program to a third party. In such an 
109.1 	event, the license holder shall be personally liable for payment of the fine. In the case 
109.2 	of a corporation, each controlling individual is personally and jointly liable for payment 
109.3 	of the fine.
109.4 	(i) In addition to any fine imposed under this section, the commissioner may assess 
109.5 	costs related to an investigation that results in a final order assessing a fine or other 
109.6 	enforcement action authorized by this chapter.
109.7 	(j) Fines collected under this subdivision shall be deposited in the state government 
109.8 	special revenue fund and credited to an account separate from the revenue collected under 
109.9 	section 144A.472. Subject to an appropriation by the legislature, the revenue from the 
109.10 	fines collected may be used by the commissioner for special projects to improve home care 
109.11 	regulations as recommended by the advisory council established in section 144A.4799.

109.12 	Sec. 9. [144A.475] ENFORCEMENT.
109.13 		Subdivision 1.Conditions. (a) The commissioner may refuse to grant a temporary 
109.14 	license, renew a license, suspend or revoke a license, or impose a conditional license if the 
109.15 	home care provider or owner or managerial official of the home care provider:
109.16 	(1) is in violation of, or during the term of the license has violated, any of the 
109.17 	requirements in sections 144A.471 to 144A.482;
109.18 	(2) permits, aids, or abets the commission of any illegal act in the provision of 
109.19 	home care;
109.20 	(3) performs any act detrimental to the health, safety, and welfare of a client;
109.21 	(4) obtains the license by fraud or misrepresentation;
109.22 	(5) knowingly made or makes a false statement of a material fact in the application 
109.23 	for a license or in any other record or report required by this chapter;
109.24 	(6) denies representatives of the department access to any part of the home care 
109.25 	provider's books, records, files, or employees;
109.26 	(7) interferes with or impedes a representative of the department in contacting the 
109.27 	home care provider's clients;
109.28 	(8) interferes with or impedes a representative of the department in the enforcement 
109.29 	of this chapter or has failed to fully cooperate with an inspection, survey, or investigation 
109.30 	by the department;
109.31 	(9) destroys or makes unavailable any records or other evidence relating to the home 
109.32 	care provider's compliance with this chapter;
109.33 	(10) refuses to initiate a background study under section 144.057 or 245A.04;
109.34 	(11) fails to timely pay any fines assessed by the department;
109.35 	(12) violates any local, city, or township ordinance relating to home care services;
110.1 	(13) has repeated incidents of personnel performing services beyond their 
110.2 	competency level; or
110.3 	(14) has operated beyond the scope of the home care provider's license level.
110.4 	(b) A violation by a contractor providing the home care services of the home care 
110.5 	provider is a violation by the home care provider.
110.6 		Subd. 2.Terms to suspension or conditional license. A suspension or conditional 
110.7 	license designation may include terms that must be completed or met before a suspension 
110.8 	or conditional license designation is lifted. A conditional license designation may include 
110.9 	restrictions or conditions that are imposed on the provider. Terms for a suspension or 
110.10 	conditional license may include one or more of the following and the scope of each will be 
110.11 	determined by the commissioner:
110.12 	(1) requiring a consultant to review, evaluate, and make recommended changes to 
110.13 	the home care provider's practices and submit reports to the commissioner at the cost of 
110.14 	the home care provider;
110.15 	(2) requiring supervision of the home care provider or staff practices at the cost 
110.16 	of the home care provider by an unrelated person who has sufficient knowledge and 
110.17 	qualifications to oversee the practices and who will submit reports to the commissioner;
110.18 	(3) requiring the home care provider or employees to obtain training at the cost of 
110.19 	the home care provider;
110.20 	(4) requiring the home care provider to submit reports to the commissioner;
110.21 	(5) prohibiting the home care provider from taking any new clients for a period 
110.22 	of time; or
110.23 	(6) any other action reasonably required to accomplish the purpose of this 
110.24 	subdivision and section 144A.45, subdivision 2.
110.25 		Subd. 3.Notice. Prior to any suspension, revocation, or refusal to renew a license, 
110.26 	the home care provider shall be entitled to notice and a hearing as provided by sections 
110.27 	14.57 to 14.69. In addition to any other remedy provided by law, the commissioner may, 
110.28 	without a prior contested case hearing, temporarily suspend a license or prohibit delivery 
110.29 	of services by a provider for not more than 90 days if the commissioner determines that 
110.30 	the health or safety of a consumer is in imminent danger, provided:
110.31 	(1) advance notice is given to the home care provider;
110.32 	(2) after notice, the home care provider fails to correct the problem;
110.33 	(3) the commissioner has reason to believe that other administrative remedies are not 
110.34 	likely to be effective; and
110.35 	(4) there is an opportunity for a contested case hearing within the 90 days.
111.1 		Subd. 4.Time limits for appeals. To appeal the assessment of civil penalties 
111.2 	under section 144A.45, subdivision 2, clause (5), and an action against a license under 
111.3 	this section, a provider must request a hearing no later than 15 days after the provider 
111.4 	receives notice of the action.
111.5 		Subd. 5.Plan required. (a) The process of suspending or revoking a license 
111.6 	must include a plan for transferring affected clients to other providers by the home care 
111.7 	provider, which will be monitored by the commissioner. Within three business days of 
111.8 	being notified of the final revocation or suspension action, the home care provider shall 
111.9 	provide the commissioner, the lead agencies as defined in section 256B.0911, and the 
111.10 	ombudsman for long-term care with the following information:
111.11 	(1) a list of all clients, including full names and all contact information on file;
111.12 	(2) a list of each client's representative or emergency contact person, including full 
111.13 	names and all contact information on file;
111.14 	(3) the location or current residence of each client;
111.15 	(4) the payor sources for each client, including payor source identification numbers; 
111.16 	and
111.17 	(5) for each client, a copy of the client's service plan, and a list of the types of 
111.18 	services being provided.
111.19 	(b) The revocation or suspension notification requirement is satisfied by mailing the 
111.20 	notice to the address in the license record. The home care provider shall cooperate with 
111.21 	the commissioner and the lead agencies during the process of transferring care of clients to 
111.22 	qualified providers. Within three business days of being notified of the final revocation or 
111.23 	suspension action, the home care provider must notify and disclose to each of the home 
111.24 	care provider's clients, or the client's representative or emergency contact persons, that 
111.25 	the commissioner is taking action against the home care provider's license by providing a 
111.26 	copy of the revocation or suspension notice issued by the commissioner.
111.27 		Subd. 6.Owners and managerial officials; refusal to grant license. (a) The 
111.28 	owner and managerial officials of a home care provider whose Minnesota license has not 
111.29 	been renewed or that has been revoked because of noncompliance with applicable laws or 
111.30 	rules shall not be eligible to apply for nor will be granted a home care license, including 
111.31 	other licenses under this chapter, or be given status as an enrolled personal care assistance 
111.32 	provider agency or personal care assistant by the Department of Human Services under 
111.33 	section 256B.0659 for five years following the effective date of the nonrenewal or 
111.34 	revocation. If the owner and managerial officials already have enrollment status, their 
111.35 	enrollment will be terminated by the Department of Human Services.
112.1 	(b) The commissioner shall not issue a license to a home care provider for five 
112.2 	years following the effective date of license nonrenewal or revocation if the owner or 
112.3 	managerial official, including any individual who was an owner or managerial official 
112.4 	of another home care provider, had a Minnesota license that was not renewed or was 
112.5 	revoked as described in paragraph (a).
112.6 	(c) Notwithstanding subdivision 1, the commissioner shall not renew, or shall 
112.7 	suspend or revoke, the license of any home care provider that includes any individual 
112.8 	as an owner or managerial official who was an owner or managerial official of a home 
112.9 	care provider whose Minnesota license was not renewed or was revoked as described in 
112.10 	paragraph (a) for five years following the effective date of the nonrenewal or revocation.
112.11 	(d) The commissioner shall notify the home care provider 30 days in advance of 
112.12 	the date of nonrenewal, suspension, or revocation of the license. Within ten days after 
112.13 	the receipt of the notification, the home care provider may request, in writing, that the 
112.14 	commissioner stay the nonrenewal, revocation, or suspension of the license. The home 
112.15 	care provider shall specify the reasons for requesting the stay; the steps that will be taken 
112.16 	to attain or maintain compliance with the licensure laws and regulations; any limits on the 
112.17 	authority or responsibility of the owners or managerial officials whose actions resulted in 
112.18 	the notice of nonrenewal, revocation, or suspension; and any other information to establish 
112.19 	that the continuing affiliation with these individuals will not jeopardize client health, safety, 
112.20 	or well-being. The commissioner shall determine whether the stay will be granted within 
112.21 	30 days of receiving the provider's request. The commissioner may propose additional 
112.22 	restrictions or limitations on the provider's license and require that the granting of the stay 
112.23 	be contingent upon compliance with those provisions. The commissioner shall take into 
112.24 	consideration the following factors when determining whether the stay should be granted:
112.25 	(1) the threat that continued involvement of the owners and managerial officials with 
112.26 	the home care provider poses to client health, safety, and well-being;
112.27 	(2) the compliance history of the home care provider; and
112.28 	(3) the appropriateness of any limits suggested by the home care provider.
112.29 	If the commissioner grants the stay, the order shall include any restrictions or 
112.30 	limitation on the provider's license. The failure of the provider to comply with any 
112.31 	restrictions or limitations shall result in the immediate removal of the stay and the 
112.32 	commissioner shall take immediate action to suspend, revoke, or not renew the license.
112.33 		Subd. 7.Request for hearing. A request for a hearing must be in writing and must:
112.34 	(1) be mailed or delivered to the department or the commissioner's designee;
112.35 	(2) contain a brief and plain statement describing every matter or issue contested; and
113.1 	(3) contain a brief and plain statement of any new matter that the applicant or home 
113.2 	care provider believes constitutes a defense or mitigating factor.
113.3 		Subd. 8.Informal conference. At any time, the applicant or home care provider 
113.4 	and the commissioner may hold an informal conference to exchange information, clarify 
113.5 	issues, or resolve issues.
113.6 		Subd. 9.Injunctive relief. In addition to any other remedy provided by law, the 
113.7 	commissioner may bring an action in district court to enjoin a person who is involved in 
113.8 	the management, operation, or control of a home care provider or an employee of the 
113.9 	home care provider from illegally engaging in activities regulated by sections 144A.43 to 
113.10 	144A.482. The commissioner may bring an action under this subdivision in the district 
113.11 	court in Ramsey County or in the district in which a home care provider is providing 
113.12 	services. The court may grant a temporary restraining order in the proceeding if continued 
113.13 	activity by the person who is involved in the management, operation, or control of a home 
113.14 	care provider, or by an employee of the home care provider, would create an imminent 
113.15 	risk of harm to a recipient of home care services.
113.16 		Subd. 10.Subpoena. In matters pending before the commissioner under sections 
113.17 	144A.43 to 144A.482, the commissioner may issue subpoenas and compel the attendance 
113.18 	of witnesses and the production of all necessary papers, books, records, documents, and 
113.19 	other evidentiary material. If a person fails or refuses to comply with a subpoena or 
113.20 	order of the commissioner to appear or testify regarding any matter about which the 
113.21 	person may be lawfully questioned or to produce any papers, books, records, documents, 
113.22 	or evidentiary materials in the matter to be heard, the commissioner may apply to the 
113.23 	district court in any district, and the court shall order the person to comply with the 
113.24 	commissioner's order or subpoena. The commissioner of health may administer oaths to 
113.25 	witnesses or take their affirmation. Depositions may be taken in or outside the state in the 
113.26 	manner provided by law for the taking of depositions in civil actions. A subpoena or other 
113.27 	process or paper may be served on a named person anywhere in the state by an officer 
113.28 	authorized to serve subpoenas in civil actions, with the same fees and mileage and in the 
113.29 	same manner as prescribed by law for a process issued out of a district court. A person 
113.30 	subpoenaed under this subdivision shall receive the same fees, mileage, and other costs 
113.31 	that are paid in proceedings in district court.

113.32 	Sec. 10. [144A.476] BACKGROUND STUDIES.
113.33 		Subdivision 1.Prior criminal convictions; owner and managerial officials. (a) 
113.34 	Before the commissioner issues a temporary license or renews a license, an owner or 
113.35 	managerial official is required to complete a background study under section 144.057. No 
114.1 	person may be involved in the management, operation, or control of a home care provider 
114.2 	if the person has been disqualified under chapter 245C. If an individual is disqualified 
114.3 	under section 144.056 or chapter 245C, the individual may request reconsideration of 
114.4 	the disqualification. If the individual requests reconsideration and the commissioner 
114.5 	sets aside or rescinds the disqualification, the individual is eligible to be involved in the 
114.6 	management, operation, or control of the provider. If an individual has a disqualification 
114.7 	under section 245C.15, subdivision 1, and the disqualification is affirmed, the individual's 
114.8 	disqualification is barred from a set aside, and the individual must not be involved in the 
114.9 	management, operation, or control of the provider.
114.10 	(b) For purposes of this section, owners of a home care provider subject to the 
114.11 	background check requirement are those individuals whose ownership interest provides 
114.12 	sufficient authority or control to affect or change decisions related to the operation of the 
114.13 	home care provider. An owner includes a sole proprietor, a general partner, or any other 
114.14 	individual whose individual ownership interest can affect the management and direction 
114.15 	of the policies of the home care provider.
114.16 	(c) For the purposes of this section, managerial officials subject to the background 
114.17 	check requirement are individuals who provide direct contact as defined in section 245C.02, 
114.18 	subdivision 11, or individuals who have the responsibility for the ongoing management or 
114.19 	direction of the policies, services, or employees of the home care provider. Data collected 
114.20 	under this subdivision shall be classified as private data under section 13.02, subdivision 12.
114.21 	(d) The department shall not issue any license if the applicant or owner or managerial 
114.22 	official has been unsuccessful in having a background study disqualification set aside 
114.23 	under section 144.057 and chapter 245C; if the owner or managerial official, as an owner 
114.24 	or managerial official of another home care provider, was substantially responsible for 
114.25 	the other home care provider's failure to substantially comply with sections 144A.43 to 
114.26 	144A.482; or if an owner that has ceased doing business, either individually or as an 
114.27 	owner of a home care provider, was issued a correction order for failing to assist clients in 
114.28 	violation of this chapter.
114.29 		Subd. 2.Employees, contractors, and volunteers. (a) Employees, contractors, 
114.30 	and volunteers of a home care provider are subject to the background study required by 
114.31 	section 144.057, and may be disqualified under chapter 245C. Nothing in this section shall 
114.32 	be construed to prohibit a home care provider from requiring self-disclosure of criminal 
114.33 	conviction information.
114.34 	(b) Termination of an employee in good faith reliance on information or records 
114.35 	obtained under paragraph (a) or subdivision 1, regarding a confirmed conviction does not 
114.36 	subject the home care provider to civil liability or liability for unemployment benefits.

115.1 	Sec. 11. [144A.477] COMPLIANCE.
115.2 		Subdivision 1.Medicare-certified providers; coordination of surveys. If feasible, 
115.3 	the commissioner shall survey licensees to determine compliance with this chapter at the 
115.4 	same time as surveys for certification for Medicare if Medicare certification is based on 
115.5 	compliance with the federal conditions of participation and on survey and enforcement 
115.6 	by the Department of Health as agent for the United States Department of Health and 
115.7 	Human Services.
115.8 		Subd. 2.Medicare-certified providers; equivalent requirements. For home care 
115.9 	providers licensed to provide comprehensive home care services that are also certified for 
115.10 	participation in Medicare as a home health agency under Code of Federal Regulations, 
115.11 	title 42, part 484, the following state licensure regulations are considered equivalent to 
115.12 	the federal requirements:
115.13 	(1) quality management, section 144A.479, subdivision 3;
115.14 	(2) personnel records, section 144A.479, subdivision 7;
115.15 	(3) acceptance of clients, section 144A.4791, subdivision 4;
115.16 	(4) referrals, section 144A.4791, subdivision 5;
115.17 	(5) client assessment, sections 144A.4791, subdivision 8, and 144A.4792, 
115.18 	subdivisions 2 and 3;
115.19 	(6) individualized monitoring and reassessment, sections 144A.4791, subdivision 
115.20 	8, and 144A.4792, subdivisions 2 and 3;
115.21 	(7) individualized service plan, sections 144A.4791, subdivision 9, 144A.4792, 
115.22 	subdivision 5, and 144A.4793, subdivision 3;
115.23 	(8) client complaint and investigation process, section 144A.4791, subdivision 11;
115.24 	(9) prescription orders, section 144A.4792, subdivisions 13 to 16;
115.25 	(10) client records, section 144A.4794, subdivisions 1 to 3;
115.26 	(11) qualifications for unlicensed personnel performing delegated tasks, section 
115.27 	144A.4795;
115.28 	(12) training and competency staff, section 144A.4795;
115.29 	(13) training and competency for unlicensed personnel, section 144A.4795, 
115.30 	subdivision 7;
115.31 	(14) delegation of home care services, section 144A.4795, subdivision 4;
115.32 	(15) availability of contact person, section 144A.4797, subdivision 1; and
115.33 	(16) supervision of staff, section 144A.4797, subdivisions 2 and 3.
115.34 	Violations of requirements in clauses (1) to (16) may lead to enforcement actions 
115.35 	under section 144A.474.

116.1 	Sec. 12. [144A.478] INNOVATION VARIANCE.
116.2 		Subdivision 1.Definition. For purposes of this section, "innovation variance" 
116.3 	means a specified alternative to a requirement of this chapter. An innovation variance 
116.4 	may be granted to allow a home care provider to offer home care services of a type or 
116.5 	in a manner that is innovative, will not impair the services provided, will not adversely 
116.6 	affect the health, safety, or welfare of the clients, and is likely to improve the services 
116.7 	provided. The innovative variance cannot change any of the client's rights under section 
116.8 	144A.44, home care bill of rights.
116.9 		Subd. 2.Conditions. The commissioner may impose conditions on the granting of 
116.10 	an innovation variance that the commissioner considers necessary.
116.11 		Subd. 3.Duration and renewal. The commissioner may limit the duration of any 
116.12 	innovation variance and may renew a limited innovation variance.
116.13 		Subd. 4.Applications; innovation variance. An application for innovation 
116.14 	variance from the requirements of this chapter may be made at any time, must be made in 
116.15 	writing to the commissioner, and must specify the following:
116.16 	(1) the statute or law from which the innovation variance is requested;
116.17 	(2) the time period for which the innovation variance is requested;
116.18 	(3) the specific alternative action that the licensee proposes;
116.19 	(4) the reasons for the request; and
116.20 	(5) justification that an innovation variance will not impair the services provided, 
116.21 	will not adversely affect the health, safety, or welfare of clients, and is likely to improve 
116.22 	the services provided.
116.23 	The commissioner may require additional information from the home care provider before 
116.24 	acting on the request.
116.25 		Subd. 5.Grants and denials. The commissioner shall grant or deny each request 
116.26 	for an innovation variance in writing within 45 days of receipt of a complete request. 
116.27 	Notice of a denial shall contain the reasons for the denial. The terms of a requested 
116.28 	innovation variance may be modified upon agreement between the commissioner and 
116.29 	the home care provider.
116.30 		Subd. 6.Violation of innovation variances. A failure to comply with the terms of 
116.31 	an innovation variance shall be deemed to be a violation of this chapter.
116.32 		Subd. 7.Revocation or denial of renewal. The commissioner shall revoke or 
116.33 	deny renewal of an innovation variance if:
116.34 	(1) it is determined that the innovation variance is adversely affecting the health, 
116.35 	safety, or welfare of the licensee's clients;
117.1 	(2) the home care provider has failed to comply with the terms of the innovation 
117.2 	variance;
117.3 	(3) the home care provider notifies the commissioner in writing that it wishes to 
117.4 	relinquish the innovation variance and be subject to the statute previously varied; or
117.5 	(4) the revocation or denial is required by a change in law.

117.6 	Sec. 13. [144A.479] HOME CARE PROVIDER RESPONSIBILITIES; 
117.7 	BUSINESS OPERATION.
117.8 		Subdivision 1.Display of license. The original current license must be displayed 
117.9 	in the home care providers' principal business office and copies must be displayed in 
117.10 	any branch office. The home care provider must provide a copy of the license to any 
117.11 	person who requests it.
117.12 		Subd. 2.Advertising. Home care providers shall not use false, fraudulent, 
117.13 	or misleading advertising in the marketing of services. For purposes of this section, 
117.14 	advertising includes any verbal, written, or electronic means of communicating to 
117.15 	potential clients about the availability, nature, or terms of home care services.
117.16 		Subd. 3.Quality management. The home care provider shall engage in quality 
117.17 	management appropriate to the size of the home care provider and relevant to the type 
117.18 	of services the home care provider provides. The quality management activity means 
117.19 	evaluating the quality of care by periodically reviewing client services, complaints made, 
117.20 	and other issues that have occurred and determining whether changes in services, staffing, 
117.21 	or other procedures need to be made in order to ensure safe and competent services to 
117.22 	clients. Documentation about quality management activity must be available for two 
117.23 	years. Information about quality management must be available to the commissioner at 
117.24 	the time of the survey, investigation, or renewal.
117.25 		Subd. 4.Provider restrictions. (a) This subdivision does not apply to licensees 
117.26 	that are Minnesota counties or other units of government.
117.27 	(b) A home care provider or staff cannot accept powers-of-attorney from clients for 
117.28 	any purpose, and may not accept appointments as guardians or conservators of clients.
117.29 	(c) A home care provider cannot serve as a client's representative. 
117.30 		Subd. 5.Handling of client's finances and property. (a) A home care provider 
117.31 	may assist clients with household budgeting, including paying bills and purchasing 
117.32 	household goods, but may not otherwise manage a client's property. A home care provider 
117.33 	must provide a client with receipts for all transactions and purchases paid with the clients' 
117.34 	funds. When receipts are not available, the transaction or purchase must be documented. 
117.35 	A home care provider must maintain records of all such transactions.
118.1 	(b) A home care provider or staff may not borrow a client's funds or personal or 
118.2 	real property, nor in any way convert a client's property to the home care provider's or 
118.3 	staff's possession.
118.4 	(c) Nothing in this section precludes a home care provider or staff from accepting 
118.5 	gifts of minimal value, or precludes the acceptance of donations or bequests made to a 
118.6 	home care provider that are exempt from income tax under section 501(c) of the Internal 
118.7 	Revenue Code of 1986.
118.8 		Subd. 6.Reporting maltreatment of vulnerable adults and minors. (a) All 
118.9 	home care providers must comply with requirements for the reporting of maltreatment 
118.10 	of minors in section 626.556 and the requirements for the reporting of maltreatment 
118.11 	of vulnerable adults in section 626.557. Home care providers must report suspected 
118.12 	maltreatment of minors and vulnerable adults to the common entry point. Each home 
118.13 	care provider must establish and implement a written procedure to ensure that all cases 
118.14 	of suspected maltreatment are reported.
118.15 	(b) Each home care provider must develop and implement an individual abuse 
118.16 	prevention plan for each vulnerable minor or adult for whom home care services are 
118.17 	provided by a home care provider. The plan shall contain an individualized review or 
118.18 	assessment of the person's susceptibility to abuse by another individual, including other 
118.19 	vulnerable adults or minors; the person's risk of abusing other vulnerable adults or minors; 
118.20 	and statements of the specific measures to be taken to minimize the risk of abuse to that 
118.21 	person and other vulnerable adults or minors. For purposes of the abuse prevention plan, 
118.22 	the term abuse includes self-abuse.
118.23 		Subd. 7.Employee records. The home care provider must maintain current records 
118.24 	of each paid employee, regularly scheduled volunteers providing home care services, and 
118.25 	of each individual contractor providing home care services. The records must include 
118.26 	the following information:
118.27 	(1) evidence of current professional licensure, registration, or certification, if 
118.28 	licensure, registration, or certification is required by this statute, or other rules;
118.29 	(2) records of orientation, required annual training and infection control training, 
118.30 	and competency evaluations;
118.31 	(3) current job description, including qualifications, responsibilities, and 
118.32 	identification of staff providing supervision;
118.33 	(4) documentation of annual performance reviews which identify areas of 
118.34 	improvement needed and training needs;
118.35 	(5) for individuals providing home care services, verification that required health 
118.36 	screenings under section 144A.4798 have taken place and the dates of those screenings; and
119.1 	(6) documentation of the background study as required under section 144.057.
119.2 	Each employee record must be retained for at least three years after a paid employee, 
119.3 	home care volunteer, or contractor ceases to be employed by or under contract with the 
119.4 	home care provider. If a home care provider ceases operation, employee records must be 
119.5 	maintained for three years.

119.6 	Sec. 14. [144A.4791] HOME CARE PROVIDER RESPONSIBILITIES WITH 
119.7 	RESPECT TO CLIENTS.
119.8 		Subdivision 1.Home care bill of rights; notification to client. (a) The home 
119.9 	care provider shall provide the client or the client's representative a written notice of the 
119.10 	rights under section 144A.44 in a language that the client or the client's representative 
119.11 	can understand before the initiation of services to that client. If a written version is not 
119.12 	available, the home care bill of rights must be communicated to the client or client's 
119.13 	representative in a language they can understand.
119.14 	(b) In addition to the text of the home care bill of rights in section 144A.44, 
119.15 	subdivision 1, the notice shall also contain the following statement describing how to file 
119.16 	a complaint with these offices.
119.17 	"If you have a complaint about the provider or the person providing your 
119.18 	home care services, you may call, write, or visit the Office of Health Facility 
119.19 	Complaints, Minnesota Department of Health. You may also contact the Office of 
119.20 	Ombudsman for Long-Term Care or the Office of Ombudsman for Mental Health 
119.21 	and Developmental Disabilities."
119.22 	The statement should include the telephone number, Web site address, e-mail 
119.23 	address, mailing address, and street address of the Office of Health Facility Complaints at 
119.24 	the Minnesota Department of Health, the Office of the Ombudsman for Long-Term Care, 
119.25 	and the Office of the Ombudsman for Mental Health and Developmental Disabilities. The 
119.26 	statement should also include the home care provider's name, address, e-mail, telephone 
119.27 	number, and name or title of the person at the provider to whom problems or complaints 
119.28 	may be directed. It must also include a statement that the home care provider will not 
119.29 	retaliate because of a complaint.
119.30 	(c) The home care provider shall obtain written acknowledgment of the client's 
119.31 	receipt of the home care bill of rights or shall document why an acknowledgment cannot 
119.32 	be obtained. The acknowledgment may be obtained from the client or the client's 
119.33 	representative. Acknowledgment of receipt shall be retained in the client's record.
119.34 		Subd. 2.Notice of services for dementia, Alzheimer's disease, or related 
119.35 	disorders. The home care provider that provides services to clients with dementia shall 
120.1 	provide in written or electronic form, to clients and families or other persons who request 
120.2 	it, a description of the training program and related training it provides, including the 
120.3 	categories of employees trained, the frequency of training, and the basic topics covered. 
120.4 	This information satisfies the disclosure requirements in section 325F.72, subdivision 
120.5 	2, clause (4).
120.6 		Subd. 3.Statement of home care services. Prior to the initiation of services, 
120.7 	a home care provider must provide to the client or the client's representative a written 
120.8 	statement which identifies if they have a basic or comprehensive home care license, the 
120.9 	services they are authorized to provide, and which services they cannot provide under the 
120.10 	scope of their license. The home care provider shall obtain written acknowledgment 
120.11 	from the clients that they have provided the statement or must document why they could 
120.12 	not obtain the acknowledgment.
120.13 		Subd. 4.Acceptance of clients. No home care provider may accept a person as a 
120.14 	client unless the home care provider has staff, sufficient in qualifications, competency, 
120.15 	and numbers, to adequately provide the services agreed to in the service plan and that 
120.16 	are within the provider's scope of practice.
120.17 		Subd. 5.Referrals. If a home care provider reasonably believes that a client is in 
120.18 	need of another medical or health service, including a licensed health professional, or 
120.19 	social service provider, the home care provider shall:
120.20 	(1) determine the client's preferences with respect to obtaining the service; and
120.21 	(2) inform the client of resources available, if known, to assist the client in obtaining 
120.22 	services.
120.23 		Subd. 6.Initiation of services. When a provider initiates services and the 
120.24 	individualized review or assessment required in subdivisions 7 and 8 has not been 
120.25 	completed, the provider must complete a temporary plan and agreement with the client for 
120.26 	services.
120.27 		Subd. 7.Basic individualized client review and monitoring. (a) When services 
120.28 	being provided are basic home care services, an individualized initial review of the client's 
120.29 	needs and preferences must be conducted at the client's residence with the client or client's 
120.30 	representative. This initial review must be completed within 30 days after the initiation of 
120.31 	the home care services.
120.32 	(b) Client monitoring and review must be conducted as needed based on changes 
120.33 	in the needs of the client and cannot exceed 90 days from the date of the last review. 
120.34 	The monitoring and review may be conducted at the client's residence or through the 
120.35 	utilization of telecommunication methods based on practice standards that meet the 
120.36 	individual client's needs.
121.1 		Subd. 8.Comprehensive assessment, monitoring, and reassessment. (a) When 
121.2 	the services being provided are comprehensive home care services, an individualized 
121.3 	initial assessment must be conducted in-person by a registered nurse. When the services 
121.4 	are provided by other licensed health professionals, the assessment must be conducted by 
121.5 	the appropriate health professional. This initial assessment must be completed within five 
121.6 	days after initiation of home care services.
121.7 	(b) Client monitoring and reassessment must be conducted in the client's home no 
121.8 	more than 14 days after initiation of services.
121.9 	(c) Ongoing client monitoring and reassessment must be conducted as needed based 
121.10 	on changes in the needs of the client and cannot exceed 90 days from the last date of the 
121.11 	assessment. The monitoring and reassessment may be conducted at the client's residence 
121.12 	or through the utilization of telecommunication methods based on practice standards that 
121.13 	meet the individual client's needs.
121.14 		Subd. 9.Service plan, implementation, and revisions to service plan. (a) No later 
121.15 	than 14 days after the initiation of services, a home care provider shall finalize a current 
121.16 	written service plan.
121.17 	(b) The service plan and any revisions must include a signature or other 
121.18 	authentication by the home care provider and by the client or the client's representative 
121.19 	documenting agreement on the services to be provided. The service plan must be revised, 
121.20 	if needed, based on client review or reassessment under subdivisions 7 and 8. The provider 
121.21 	must provide information to the client about changes to the provider's fee for services and 
121.22 	how to contact the Office of the Ombudsman for Long-Term Care.
121.23 	(c) The home care provider must implement and provide all services required by 
121.24 	the current service plan.
121.25 	(d) The service plan and revised service plan must be entered into the client's record, 
121.26 	including notice of a change in a client's fees when applicable.
121.27 	(e) Staff providing home care services must be informed of the current written 
121.28 	service plan.
121.29 	(f) The service plan must include:
121.30 	(1) a description of the home care services to be provided, the fees for services, and 
121.31 	the frequency of each service, according to the client's current review or assessment and 
121.32 	client preferences;
121.33 	(2) the identification of the staff or categories of staff who will provide the services;
121.34 	(3) the schedule and methods of monitoring reviews or assessments of the client;
121.35 	(4) the frequency of sessions of supervision of staff and type of personnel who 
121.36 	will supervise staff; and
122.1 	(5) a contingency plan that includes:
122.2 	(i) the action to be taken by the home care provider and by the client or client's 
122.3 	representative if the scheduled service cannot be provided;
122.4 	(ii) information and method for a client or client's representative to contact the 
122.5 	home care provider;
122.6 	(iii) names and contact information of persons the client wishes to have notified 
122.7 	in an emergency or if there is a significant adverse change in the client's condition, 
122.8 	including identification of and information as to who has authority to sign for the client in 
122.9 	an emergency; and
122.10 	(iv) the circumstances in which emergency medical services are not to be summoned 
122.11 	consistent with chapters 145B and 145C, and declarations made by the client under those 
122.12 	chapters.
122.13 		Subd. 10.Termination of service plan. (a) If a home care provider terminates a 
122.14 	service plan with a client, and the client continues to need home care services, the home 
122.15 	care provider shall provide the client and the client's representative, if any, with a written 
122.16 	notice of termination which includes the following information:
122.17 	(1) the effective date of termination;
122.18 	(2) the reason for termination;
122.19 	(3) a list of known licensed home care providers in the client's immediate geographic 
122.20 	area;
122.21 	(4) a statement that the home care provider will participate in a coordinated transfer 
122.22 	of care of the client to another home care provider, health care provider, or caregiver, as 
122.23 	required by the home care bill of rights, section 144A.44, subdivision 1, clause (17);
122.24 	(5) the name and contact information of a person employed by the home care 
122.25 	provider with whom the client may discuss the notice of termination; and
122.26 	(6) if applicable, a statement that the notice of termination of home care services 
122.27 	does not constitute notice of termination of the housing with services contract with a 
122.28 	housing with services establishment.
122.29 	(b) When the home care provider voluntarily discontinues services to all clients, the 
122.30 	home care provider must notify the commissioner, lead agencies, and the ombudsman for 
122.31 	long-term care about its clients and comply with the requirements in this subdivision.
122.32 		Subd. 11.Client complaint and investigative process. (a) The home care 
122.33 	provider must have a written policy and system for receiving, investigating, reporting, 
122.34 	and attempting to resolve complaints from its clients or clients' representatives. The 
122.35 	policy should clearly identify the process by which clients may file a complaint or concern 
122.36 	about home care services and an explicit statement that the home care provider will not 
123.1 	discriminate or retaliate against a client for expressing concerns or complaints. A home 
123.2 	care provider must have a process in place to conduct investigations of complaints made 
123.3 	by the client or the client's representative about the services in the client's plan that are or 
123.4 	are not being provided or other items covered in the client's home care bill of rights. This 
123.5 	complaint system must provide reasonable accommodations for any special needs of the 
123.6 	client or client's representative if requested.
123.7 	(b) The home care provider must document the complaint, name of the client, 
123.8 	investigation, and resolution of each complaint filed. The home care provider must 
123.9 	maintain a record of all activities regarding complaints received, including the date the 
123.10 	complaint was received, and the home care provider's investigation and resolution of the 
123.11 	complaint. This complaint record must be kept for each event for at least two years after 
123.12 	the date of entry and must be available to the commissioner for review.
123.13 	(c) The required complaint system must provide for written notice to each client or 
123.14 	client's representative that includes:
123.15 	(1) the client's right to complain to the home care provider about the services received;
123.16 	(2) the name or title of the person or persons with the home care provider to contact 
123.17 	with complaints;
123.18 	(3) the method of submitting a complaint to the home care provider; and
123.19 	(4) a statement that the provider is prohibited against retaliation according to 
123.20 	paragraph (d).
123.21 	(d) A home care provider must not take any action that negatively affects a client 
123.22 	in retaliation for a complaint made or a concern expressed by the client or the client's 
123.23 	representative.
123.24 		Subd. 12.Disaster planning and emergency preparedness plan. The home care 
123.25 	provider must have a written plan of action to facilitate the management of the client's care 
123.26 	and services in response to a natural disaster, such as flood and storms, or other emergencies 
123.27 	that may disrupt the home care provider's ability to provide care or services. The licensee 
123.28 	must provide adequate orientation and training of staff on emergency preparedness.
123.29 		Subd. 13.Request for discontinuation of life-sustaining treatment. (a) If a 
123.30 	client, family member, or other caregiver of the client requests that an employee or other 
123.31 	agent of the home care provider discontinue a life-sustaining treatment, the employee or 
123.32 	agent receiving the request:
123.33 	(1) shall take no action to discontinue the treatment; and
123.34 	(2) shall promptly inform their supervisor or other agent of the home care provider 
123.35 	of the client's request.
124.1 	(b) Upon being informed of a request for termination of treatment, the home care 
124.2 	provider shall promptly:
124.3 	(1) inform the client that the request will be made known to the physician who 
124.4 	ordered the client's treatment;
124.5 	(2) inform the physician of the client's request; and
124.6 	(3) work with the client and the client's physician to comply with the provisions of 
124.7 	the Health Care Directive Act in chapter 145C.
124.8 	(c) This section does not require the home care provider to discontinue treatment, 
124.9 	except as may be required by law or court order.
124.10 	(d) This section does not diminish the rights of clients to control their treatments, 
124.11 	refuse services, or terminate their relationships with the home care provider.
124.12 	(e) This section shall be construed in a manner consistent with chapter 145B or 
124.13 	145C, whichever applies, and declarations made by clients under those chapters.

124.14 	Sec. 15. [144A.4792] MEDICATION MANAGEMENT.
124.15 		Subdivision 1.Medication management services; comprehensive home care 
124.16 	license. (a) This subdivision applies only to home care providers with a comprehensive 
124.17 	home care license that provides medication management services to clients. Medication 
124.18 	management services may not be provided by a home care provider that has a basic 
124.19 	home care license.
124.20 	(b) A comprehensive home care provider who provides medication management 
124.21 	services must develop, implement, and maintain current written medication management 
124.22 	policies and procedures. The policies and procedures must be developed under the 
124.23 	supervision and direction of a registered nurse, licensed health professional, or pharmacist 
124.24 	consistent with current practice standards and guidelines.
124.25 	(c) The written policies and procedures must address requesting and receiving 
124.26 	prescriptions for medications; preparing and giving medications; verifying that 
124.27 	prescription drugs are administered as prescribed; documenting medication management 
124.28 	activities; controlling and storing medications; monitoring and evaluating medication use; 
124.29 	resolving medication errors; communicating with the prescriber, pharmacist, and client 
124.30 	and client representative, if any; disposing of unused medications; and educating clients 
124.31 	and client representatives about medications. When controlled substances are being 
124.32 	managed, the policies and procedures must also identify how the provider will ensure 
124.33 	security and accountability for the overall management, control, and disposition of those 
124.34 	substances in compliance with state and federal regulations and with subdivision 22.
125.1 		Subd. 2.Provision of medication management services. (a) For each client who 
125.2 	requests medication management services, the comprehensive home care provider shall, 
125.3 	prior to providing medication management services, have a registered nurse, licensed 
125.4 	health professional, or authorized prescriber under section 151.37 conduct an assessment 
125.5 	to determine what mediation management services will be provided and how the services 
125.6 	will be provided. This assessment must be conducted face-to-face with the client. The 
125.7 	assessment must include an identification and review of all medications the client is known 
125.8 	to be taking. The review and identification must include indications for medications, side 
125.9 	effects, contraindications, allergic or adverse reactions, and actions to address these issues.
125.10 	(b) The assessment must identify interventions needed in management of 
125.11 	medications to prevent diversion of medication by the client or others who may have 
125.12 	access to the medications. Diversion of medications means the misuse, theft, or illegal 
125.13 	or improper disposition of medications.
125.14 		Subd. 3.Individualized medication monitoring and reassessment. The 
125.15 	comprehensive home care provider must monitor and reassess the client's medication 
125.16 	management services as needed under subdivision 14 when the client presents with 
125.17 	symptoms or other issues that may be medication-related and, at a minimum, annually.
125.18 		Subd. 4.Client refusal. The home care provider must document in the client's 
125.19 	record any refusal for an assessment for medication management by the client. The 
125.20 	provider must discuss with the client the possible consequences of the client's refusal and 
125.21 	document the discussion in the client's record.
125.22 		Subd. 5.Individualized medication management plan. For each client receiving 
125.23 	medication management services, the comprehensive home care provider must prepare 
125.24 	and include in the service plan a written medication management plan. The written plan 
125.25 	must be updated when changes are made to the plan. The plan must contain at least the 
125.26 	following provisions:
125.27 	(1) a statement describing the medication management services that will be provided;
125.28 	(2) a description of storage of medications based on the client's needs and 
125.29 	preferences, risk of diversion, and consistent with the manufacturer's directions;
125.30 	(3) procedures for documenting medications that clients are taking;
125.31 	(4) procedures for verifying all prescription drugs are administered as prescribed;
125.32 	(5) procedures for monitoring medication use to prevent possible complications or 
125.33 	adverse reactions;
125.34 	(6) identification of persons responsible for monitoring medication supplies and 
125.35 	ensuring that medication refills are ordered on a timely basis;
126.1 	(7) identification of medication management tasks that may be delegated to 
126.2 	unlicensed personnel; and
126.3 	(8) procedures for staff notifying a registered nurse or appropriate licensed health 
126.4 	professional when a problem arises with medication management services.
126.5 		Subd. 6.Administration of medication. Medications may be administered by a 
126.6 	nurse, physician, or other licensed health practitioner authorized to administer medications 
126.7 	or by unlicensed personnel who have been delegated medication administration tasks by 
126.8 	a registered nurse.
126.9 		Subd. 7.Delegation of medication administration. When administration of 
126.10 	medications is delegated to unlicensed personnel, the comprehensive home care provider 
126.11 	must ensure that the registered nurse has:
126.12 	(1) instructed the unlicensed personnel in the proper methods to administer the 
126.13 	medications with respect to each client, and the unlicensed personnel has demonstrated 
126.14 	ability to competently follow the procedures;
126.15 	(2) specified, in writing, specific instructions for each client and documented those 
126.16 	instructions in the client's records; and
126.17 	(3) communicated with the unlicensed personnel about the individual needs of 
126.18 	the client.
126.19 		Subd. 8.Documentation of administration of medications. Each medication 
126.20 	administered by comprehensive home care provider staff must be documented in the 
126.21 	client's record. The documentation must include the signature and title of the person 
126.22 	who administered the medication. The documentation must include the medication 
126.23 	name, dosage, date and time administered, and method and route of administration. The 
126.24 	staff must document the reason why medication administration was not completed as 
126.25 	prescribed and document any follow-up procedures that were provided to meet the client's 
126.26 	needs when medication was not administered as prescribed and in compliance with the 
126.27 	client's medication management plan.
126.28 		Subd. 9.Documentation of medication set up. Documentation of dates of 
126.29 	medication set up, name of medication, quantity of dose, times to be administered, route 
126.30 	of administration, and name of person completing medication set up must be done at 
126.31 	time of set up.
126.32 		Subd. 10.Medications when client is away from home. (a) A home care provider 
126.33 	providing medication management services must develop a policy and procedures for the 
126.34 	issuance of medications to clients for planned and unplanned times the client will be 
126.35 	away from home and need to have their medications with them which complies with 
126.36 	the following:
127.1 	(1) for planned time away, the medications must be obtained from the pharmacy or 
127.2 	set up by the registered nurse according to appropriate state and federal laws and nurse 
127.3 	standards of practice; and
127.4 	(2) for unplanned times away from home for temporary periods when an adequate 
127.5 	medication supply cannot be obtained from the pharmacy or set up by the registered nurse in 
127.6 	a timely manner, the provider may allow an unlicensed personnel to set up the medications.
127.7 	(b) The task of medication set up may be done by an unlicensed personnel who is 
127.8 	trained and has been determined competent according to subdivisions 6 and 7. Prior 
127.9 	to providing the medications to the client, the unlicensed personnel must speak with 
127.10 	the registered nurse to ensure that all appropriate precautions are taken. The unlicensed 
127.11 	personnel may provide the client or the client's representative up to a 72-hour supply of 
127.12 	the client's medications.
127.13 	(c) When preparing the medications, the medications must be taken from the 
127.14 	original containers prepared by the pharmacist and then placed in a suitable container. The 
127.15 	container must be labeled with the client's name; the medication name, strength, dose, and 
127.16 	route of administration; and the dates and times the medications are to be taken by the 
127.17 	client and any other information that the client should know regarding the medications. 
127.18 	For those medications which cannot be prepared in advance, the client must be given 
127.19 	the original container and complete directions and information for the administration 
127.20 	of that medication.
127.21 	(d) The client or client's representative must also be provided in writing with the home 
127.22 	care provider's name and contact information for the home care provider's registered nurse.
127.23 	The unlicensed personnel must document in the client's record the date the medications 
127.24 	were provided to the client; the name of medication; the medication's strength, dose, and 
127.25 	routes and administration times; the amounts of medications that were provided to the 
127.26 	client and to whom the medications were given. The registered nurse must review the 
127.27 	set up of medication and documentation to ensure that the issuance of medications by the 
127.28 	unlicensed personnel was handled appropriately.
127.29 		Subd. 11.Prescribed and nonprescribed medication. The comprehensive home 
127.30 	care provider must determine whether it will require a prescription for all medications it 
127.31 	manages. The comprehensive home care provider must inform the client or the client's 
127.32 	representative whether the comprehensive home care provider requires a prescription 
127.33 	for all over-the-counter and dietary supplements before the comprehensive home care 
127.34 	provider will agree to manage those medications.
127.35 		Subd. 12.Medications; over-the-counter; dietary supplements not prescribed.
 127.36 	A comprehensive home care provider providing medication management services for 
128.1 	over-the-counter drugs or dietary supplements must retain those items in the original labeled 
128.2 	container with directions for use prior to setting up for immediate or later administration. 
128.3 	The provider must verify that the medications are up-to-date and stored as appropriate.
128.4 		Subd. 13.Prescriptions. There must be a current written or electronically recorded 
128.5 	prescription as defined in Minnesota Rules, part 6800.0100, subpart 11a, for all prescribed 
128.6 	medications that the comprehensive home care provider is managing for the client.
128.7 		Subd. 14.Renewal of prescriptions. Prescriptions must be renewed at least 
128.8 	every 12 months or more frequently as indicated by the assessment in subdivision 2. 
128.9 	Prescriptions for controlled substances must comply with chapter 152.
128.10 		Subd. 15.Verbal prescription orders. Verbal prescription orders from an 
128.11 	authorized prescriber must be received by a nurse or pharmacist. The order must be 
128.12 	handled according to Minnesota Rules, part 6800.6200. 
128.13 		Subd. 16.Written or electronic prescription. When a written or electronic 
128.14 	prescription is received, it must be communicated to the registered nurse in charge and 
128.15 	recorded or placed in the client's record.
128.16 		Subd. 17.Records confidential. A prescription or order received verbally, in 
128.17 	writing, or electronically must be kept confidential according to sections 144.291 to 
128.18 	144.298 and 144A.44.
128.19 		Subd. 18.Medications provided by client or family members. When the 
128.20 	comprehensive home care provider is aware of any medications or dietary supplements 
128.21 	that are being used by the client and are not included in the assessment for medication 
128.22 	management services, the staff must advise the registered nurse and document that in 
128.23 	the client's record.
128.24 		Subd. 19.Storage of drugs. A comprehensive home care provider providing 
128.25 	storage of medications outside of the client's private living space must store all prescription 
128.26 	drugs in securely locked and substantially constructed compartments according to the 
128.27 	manufacturer's directions and permit only authorized personnel to have access.
128.28 		Subd. 20.Prescription drugs. A prescription drug, prior to being set up for 
128.29 	immediate or later administration, must be kept in the original container in which it was 
128.30 	dispensed by the pharmacy bearing the original prescription label with legible information 
128.31 	including the expiration or beyond-use date of a time-dated drug.
128.32 		Subd. 21.Prohibitions. No prescription drug supply for one client may be used or 
128.33 	saved for use by anyone other than the client.
128.34 		Subd. 22.Disposition of drugs. (a) Any current medications being managed by the 
128.35 	comprehensive home care provider must be given to the client or the client's representative 
128.36 	when the client's service plan ends or medication management services are no longer part 
129.1 	of the service plan. Medications that have been stored in the client's private living space 
129.2 	for a client that is deceased or that have been discontinued or that have expired may be 
129.3 	given to the client or the client's representative for disposal.
129.4 	(b) The comprehensive home care provider will dispose of any medications 
129.5 	remaining with the comprehensive home care provider that are discontinued or expired or 
129.6 	upon the termination of the service contract or the client's death according to state and 
129.7 	federal regulations for disposition of drugs and controlled substances.
129.8 	(c) Upon disposition, the comprehensive home care provider must document in the 
129.9 	client's record the disposition of the medications including the medication's name, strength, 
129.10 	prescription number as applicable, quantity, to whom the medications were given, date of 
129.11 	disposition, and names of staff and other individuals involved in the disposition.
129.12 		Subd. 23.Loss or spillage. (a) Comprehensive home care providers providing 
129.13 	medication management must develop and implement procedures for loss or spillage of all 
129.14 	controlled substances defined in Minnesota Rules, part 6800.4220. These procedures must 
129.15 	require that when a spillage of a controlled substance occurs, a notation must be made 
129.16 	in the client's record explaining the spillage and the actions taken. The notation must 
129.17 	be signed by the person responsible for the spillage and include verification that any 
129.18 	contaminated substance was disposed of according to state or federal regulations.
129.19 	(b) The procedures must require the comprehensive home care provider of 
129.20 	medication management to investigate any known loss or unaccounted for prescription 
129.21 	drugs and take appropriate action required under state or federal regulations and document 
129.22 	the investigation in required records.

129.23 	Sec. 16. [144A.4793] TREATMENT AND THERAPY MANAGEMENT 
129.24 	SERVICES.
129.25 		Subdivision 1.Providers with a comprehensive home care license. This section 
129.26 	applies only to home care providers with a comprehensive home care license that provide 
129.27 	treatment or therapy management services to clients. Treatment or therapy management 
129.28 	services cannot be provided by a home care provider that has a basic home care license.
129.29 		Subd. 2.Policies and procedures. (a) A comprehensive home care provider who 
129.30 	provides treatment and therapy management services must develop, implement, and 
129.31 	maintain up-to-date written treatment or therapy management policies and procedures. 
129.32 	The policies and procedures must be developed under the supervision and direction of 
129.33 	a registered nurse or appropriate licensed health professional consistent with current 
129.34 	practice standards and guidelines.
130.1 	(b) The written policies and procedures must address requesting and receiving 
130.2 	orders or prescriptions for treatments or therapies, providing the treatment or therapy, 
130.3 	documenting of treatment or therapy activities, educating and communicating with clients 
130.4 	about treatments or therapy they are receiving, monitoring and evaluating the treatment 
130.5 	and therapy, and communicating with the prescriber.
130.6 		Subd. 3.Individualized treatment or therapy management plan. For each 
130.7 	client receiving management of ordered or prescribed treatments or therapy services, the 
130.8 	comprehensive home care provider must include in the service plan a written management 
130.9 	plan which contains at least the following provisions:
130.10 	(1) a statement of the type of services that will be provided;
130.11 	(2) procedures for documenting treatments or therapies the client is receiving;
130.12 	(3) procedures for monitoring treatments or therapy to prevent possible 
130.13 	complications or adverse reactions;
130.14 	(4) identification of treatment or therapy tasks that will be delegated to unlicensed 
130.15 	personnel; and
130.16 	(5) procedures for notifying a registered nurse or appropriate licensed health 
130.17 	professional when a problem arises with treatments or therapy services.
130.18 		Subd. 4.Administration of treatments and therapy. Ordered or prescribed 
130.19 	treatments or therapies must be administered by a nurse, physician, or other licensed health 
130.20 	professional authorized to perform the treatment or therapy, or may be delegated or assigned 
130.21 	to unlicensed personnel by the licensed health professional according to the appropriate 
130.22 	practice standards for delegation or assignment. When administration of a treatment or 
130.23 	therapy is delegated or assigned to unlicensed personnel, the home care provider must 
130.24 	ensure that the registered nurse or authorized licensed health professional has:
130.25 	(1) instructed the unlicensed personnel in the proper methods with respect to each 
130.26 	client and has demonstrated their ability to competently follow the procedures;
130.27 	(2) specified, in writing, specific instructions for each client and documented those 
130.28 	instructions in the client's record; and
130.29 	(3) communicated with the unlicensed personnel about the individual needs of 
130.30 	the client.
130.31 		Subd. 5.Documentation of administration of treatments and therapies. Each 
130.32 	treatment or therapy administered by a comprehensive home care provider must be 
130.33 	documented in the client's record. The documentation must include the signature and title 
130.34 	of the person who administered the treatment or therapy and must include the date and 
130.35 	time of administration. When treatment or therapies are not administered as ordered or 
131.1 	prescribed, the provider must document the reason why it was not administered and any 
131.2 	follow-up procedures that were provided to meet the client's needs.
131.3 		Subd. 6.Orders or prescriptions. There must be an up-to-date written or 
131.4 	electronically recorded order or prescription for all treatments and therapies. The order 
131.5 	must contain the name of the client, description of the treatment or therapy to be provided, 
131.6 	and the frequency and other information needed to administer the treatment or therapy.

131.7 	Sec. 17. [144A.4794] CLIENT RECORD REQUIREMENTS.
131.8 		Subdivision 1.Client record. (a) The home care provider must maintain records 
131.9 	for each client for whom it is providing services. Entries in the client records must be 
131.10 	current, legible, permanently recorded, dated, and authenticated with the name and title 
131.11 	of the person making the entry.
131.12 	(b) Client records, whether written or electronic, must be protected against loss, 
131.13 	tampering, or unauthorized disclosure in compliance with chapter 13 and other applicable 
131.14 	relevant federal and state laws. The home care provider shall establish and implement 
131.15 	written procedures to control use, storage, and security of client's records and establish 
131.16 	criteria for release of client information.
131.17 	(c) The home care provider may not disclose to any other person any personal, 
131.18 	financial, medical, or other information about the client, except:
131.19 	(1) as may be required by law;
131.20 	(2) to employees or contractors of the home care provider, another home care 
131.21 	provider, other health care practitioner or provider, or inpatient facility needing 
131.22 	information in order to provide services to the client, but only such information that 
131.23 	is necessary for the provision of services;
131.24 	(3) to persons authorized in writing by the client or the client's representative to 
131.25 	receive the information, including third-party payers; and
131.26 	(4) to representatives of the commissioner authorized to survey or investigate home 
131.27 	care providers under this chapter or federal laws.
131.28 		Subd. 2.Access to records. The home care provider must ensure that the 
131.29 	appropriate records are readily available to employees or contractors authorized to access 
131.30 	the records. Client records must be maintained in a manner that allows for timely access, 
131.31 	printing, or transmission of the records.
131.32 		Subd. 3.Contents of client record. Contents of a client record include the 
131.33 	following for each client:
131.34 	(1) identifying information, including the client's name, date of birth, address, and 
131.35 	telephone number;
132.1 	(2) the name, address, and telephone number of an emergency contact, family 
132.2 	members, client's representative, if any, or others as identified;
132.3 	(3) names, addresses, and telephone numbers of the client's health and medical 
132.4 	service providers and other home care providers, if known;
132.5 	(4) health information, including medical history, allergies, and when the provider 
132.6 	is managing medications, treatments or therapies that require documentation, and other 
132.7 	relevant health records;
132.8 	(5) client's advance directives, if any;
132.9 	(6) the home care provider's current and previous assessments and service plans;
132.10 	(7) all records of communications pertinent to the client's home care services;
132.11 	(8) documentation of significant changes in the client's status and actions taken in 
132.12 	response to the needs of the client including reporting to the appropriate supervisor or 
132.13 	health care professional;
132.14 	(9) documentation of incidents involving the client and actions taken in response 
132.15 	to the needs of the client including reporting to the appropriate supervisor or health 
132.16 	care professional;
132.17 	(10) documentation that services have been provided as identified in the service plan;
132.18 	(11) documentation that the client has received and reviewed the home care bill 
132.19 	of rights;
132.20 	(12) documentation that the client has been provided the statement of disclosure on 
132.21 	limitations of services under section 144A.4791, subdivision 3;
132.22 	(13) documentation of complaints received and resolution;
132.23 	(14) discharge summary, including service termination notice and related 
132.24 	documentation, when applicable; and
132.25 	(15) other documentation required under this chapter and relevant to the client's 
132.26 	services or status.
132.27 		Subd. 4.Transfer of client records. If a client transfers to another home care 
132.28 	provider or other health care practitioner or provider, or is admitted to an inpatient facility, 
132.29 	the home care provider, upon request of the client or the client's representative, shall take 
132.30 	steps to ensure a coordinated transfer including sending a copy or summary of the client's 
132.31 	record to the new home care provider, facility, or the client, as appropriate.
132.32 		Subd. 5.Record retention. Following the client's discharge or termination of 
132.33 	services, a home care provider must retain a client's record for at least five years, or as 
132.34 	otherwise required by state or federal regulations. Arrangements must be made for secure 
132.35 	storage and retrieval of client records if the home care provider ceases business.

133.1 	Sec. 18. [144A.4795] HOME CARE PROVIDER RESPONSIBILITIES; STAFF.
133.2 		Subdivision 1.Qualifications, training, and competency. All staff providing 
133.3 	home care services must be trained and competent in the provision of home care services 
133.4 	consistent with current practice standards appropriate to the client's needs.
133.5 		Subd. 2.Licensed health professionals and nurses. (a) Licensed health 
133.6 	professionals and nurses providing home care services as an employee of a licensed home 
133.7 	care provider must possess current Minnesota license or registration to practice.
133.8 	(b) Licensed health professionals and registered nurses must be competent in 
133.9 	assessing client needs, planning appropriate home care services to meet client needs, 
133.10 	implementing services, and supervising staff if assigned.
133.11 	(c) Nothing in this section limits or expands the rights of nurses or licensed health 
133.12 	professionals to provide services within the scope of their licenses or registrations, as 
133.13 	provided by law.
133.14 		Subd. 3.Unlicensed personnel. (a) Unlicensed personnel providing basic home 
133.15 	care services must have:
133.16 	(1) successfully completed a training and competency evaluation appropriate to 
133.17 	the services provided by the home care provider and the topics listed in subdivision 7, 
133.18 	paragraph (b); or
133.19 	(2) demonstrated competency by satisfactorily completing a written or oral test on 
133.20 	the tasks the unlicensed personnel will perform and in the topics listed in subdivision 
133.21 	7, paragraph (b); and successfully demonstrate competency of topics in subdivision 7, 
133.22 	paragraph (b), clauses (5), (7), and (8), by a practical skills test.
133.23 	Unlicensed personnel providing home care services for a basic home care provider may 
133.24 	not perform delegated nursing or therapy tasks.
133.25 	(b) Unlicensed personnel performing delegated nursing tasks for a comprehensive 
133.26 	home care provider must have:
133.27 	(1) successfully completed training and demonstrated competency by successfully 
133.28 	completing a written or oral test of the topics in subdivision 7, paragraphs (b) and (c), and 
133.29 	a practical skills test on tasks listed in subdivision 7, paragraphs (b), clauses (5) and (7), 
133.30 	and (c), clauses (3), (5), (6), and (7), and all the delegated tasks they will perform; or
133.31 	(2) satisfy the current requirements of Medicare for training or competency of home 
133.32 	health aides or nursing assistants, as provided by Code of Federal Regulations, title 42, 
133.33 	section 483 or section 484.36; or
133.34 	(3) before April 19, 1993, completed a training course for nursing assistants that was 
133.35 	approved by the commissioner.
134.1 	(c) Unlicensed personnel performing therapy or treatment tasks delegated or 
134.2 	assigned by a licensed health professional must meet the requirements for delegated 
134.3 	tasks in subdivision 4 and any other training or competency requirements within the 
134.4 	licensed health professional scope of practice relating to delegation or assignment of tasks 
134.5 	to unlicensed personnel.
134.6 		Subd. 4.Delegation of home care tasks. A registered nurse or licensed health 
134.7 	professional may delegate tasks only to staff that are competent and possess the knowledge 
134.8 	and skills consistent with the complexity of the tasks and according to the appropriate 
134.9 	Minnesota Practice Act. The comprehensive home care provider must establish and 
134.10 	implement a system to communicate up-to-date information to the registered nurse or 
134.11 	licensed health professional regarding the current available staff and their competency so 
134.12 	the registered nurse or licensed health professional has sufficient information to determine 
134.13 	the appropriateness of delegating tasks to meet individual client needs and preferences.
134.14 		Subd. 5.Individual contractors. When a home care provider contracts with an 
134.15 	individual contractor excluded from licensure under section 144A.471 to provide home 
134.16 	care services, the contractor must meet the same requirements required by this section for 
134.17 	personnel employed by the home care provider.
134.18 		Subd. 6.Temporary staff. When a home care provider contracts with a temporary 
134.19 	staffing agency excluded from licensure under section 144A.471, those individuals must 
134.20 	meet the same requirements required by this section for personnel employed by the home 
134.21 	care provider and shall be treated as if they are staff of the home care provider.
134.22 		Subd. 7.Requirements for instructors, training content, and competency 
134.23 	evaluations for unlicensed personnel. (a) Instructors and competency evaluators must 
134.24 	meet the following requirements:
134.25 	(1) training and competency evaluations of unlicensed personnel providing basic 
134.26 	home care services must be conducted by individuals with work experience and training in 
134.27 	providing home care services listed in section 144A.471, subdivisions 6 and 7; and
134.28 	(2) training and competency evaluations of unlicensed personnel providing 
134.29 	comprehensive home care services must be conducted by a registered nurse, or another 
134.30 	instructor may provide training in conjunction with the registered nurse. If the home care 
134.31 	provider is providing services by licensed health professionals only, then that specific 
134.32 	training and competency evaluation may be conducted by the licensed health professionals 
134.33 	as appropriate.
134.34 	(b) Training and competency evaluations for all unlicensed personnel must include 
134.35 	the following:
134.36 	(1) documentation requirements for all services provided;
135.1 	(2) reports of changes in the client's condition to the supervisor designated by the 
135.2 	home care provider;
135.3 	(3) basic infection control, including blood-borne pathogens;
135.4 	(4) maintenance of a clean and safe environment;
135.5 	(5) appropriate and safe techniques in personal hygiene and grooming, including:
135.6 	(i) hair care and bathing;
135.7 	(ii) care of teeth, gums, and oral prosthetic devices;
135.8 	(iii) care and use of hearing aids; and
135.9 	(iv) dressing and assisting with toileting;
135.10 	(6) training on the prevention of falls for providers working with the elderly or 
135.11 	individuals at risk of falls;
135.12 	(7) standby assistance techniques and how to perform them;
135.13 	(8) medication, exercise, and treatment reminders;
135.14 	(9) basic nutrition, meal preparation, food safety, and assistance with eating;
135.15 	(10) preparation of modified diets as ordered by a licensed health professional;
135.16 	(11) communication skills that include preserving the dignity of the client and 
135.17 	showing respect for the client and the client's preferences, cultural background, and family;
135.18 	(12) awareness of confidentiality and privacy;
135.19 	(13) understanding appropriate boundaries between staff and clients and the client's 
135.20 	family;
135.21 	(14) procedures to utilize in handling various emergency situations; and
135.22 	(15) awareness of commonly used health technology equipment and assistive devices.
135.23 	(c) In addition to paragraph (b), training and competency evaluation for unlicensed 
135.24 	personnel providing comprehensive home care services must include:
135.25 	(1) observation, reporting, and documenting of client status;
135.26 	(2) basic knowledge of body functioning and changes in body functioning, injuries, 
135.27 	or other observed changes that must be reported to appropriate personnel;
135.28 	(3) reading and recording temperature, pulse, and respirations of the client;
135.29 	(4) recognizing physical, emotional, cognitive, and developmental needs of the client;
135.30 	(5) safe transfer techniques and ambulation;
135.31 	(6) range of motioning and positioning; and
135.32 	(7) administering medications or treatments as required.
135.33 	(d) When the registered nurse or licensed health professional delegates tasks, they 
135.34 	must ensure that prior to the delegation the unlicensed personnel is trained in the proper 
135.35 	methods to perform the tasks or procedures for each client and are able to demonstrate 
135.36 	the ability to competently follow the procedures and perform the tasks. If an unlicensed 
136.1 	personnel has not regularly performed the delegated home care task for a period of 24 
136.2 	consecutive months, the unlicensed personnel must demonstrate competency in the task 
136.3 	to the registered nurse or appropriate licensed health professional. The registered nurse 
136.4 	or licensed health professional must document instructions for the delegated tasks in 
136.5 	the client's record.

136.6 	Sec. 19. [144A.4796] ORIENTATION AND ANNUAL TRAINING 
136.7 	REQUIREMENTS.
136.8 		Subdivision 1.Orientation of staff and supervisors to home care. All staff 
136.9 	providing and supervising direct home care services must complete an orientation to home 
136.10 	care licensing requirements and regulations before providing home care services to clients. 
136.11 	The orientation may be incorporated into the training required under subdivision 6. The 
136.12 	orientation need only be completed once for each staff person and is not transferable 
136.13 	to another home care provider.
136.14 		Subd. 2.Content. The orientation must contain the following topics:
136.15 	(1) an overview of sections 144A.43 to 144A.4798;
136.16 	(2) introduction and review of all the provider's policies and procedures related to 
136.17 	the provision of home care services;
136.18 	(3) handling of emergencies and use of emergency services;
136.19 	(4) compliance with and reporting the maltreatment of minors or vulnerable adults 
136.20 	under sections 626.556 and 626.557;
136.21 	(5) home care bill of rights, under section 144A.44;
136.22 	(6) handling of clients' complaints; reporting of complaints and where to report 
136.23 	complaints including information on the Office of Health Facility Complaints and the 
136.24 	Common Entry Point;
136.25 	(7) consumer advocacy services of the Office of Ombudsman for Long-Term Care, 
136.26 	Office of Ombudsman for Mental Health and Developmental Disabilities, Managed Care 
136.27 	Ombudsman at the Department of Human Services, county managed care advocates, 
136.28 	or other relevant advocacy services; and
136.29 	(8) review of the types of home care services the employee will be providing and 
136.30 	the provider's scope of licensure.
136.31 		Subd. 3.Verification and documentation of orientation. Each home care provider 
136.32 	shall retain evidence in the employee record of each staff person having completed the 
136.33 	orientation required by this section.
137.1 		Subd. 4.Orientation to client. Staff providing home care services must be oriented 
137.2 	specifically to each individual client and the services to be provided. This orientation may 
137.3 	be provided in person, orally, in writing, or electronically.
137.4 		Subd. 5.Training required relating to Alzheimer's disease and related 
137.5 	disorders. For home care providers that market, promote, or provide services for persons 
137.6 	with Alzheimer's or related disorders, all direct care staff and their supervisors must 
137.7 	receive training that includes a current explanation of Alzheimer's disease and related 
137.8 	disorders, how to assist clients with activities of daily living, effective approaches to 
137.9 	use to problem solve when working with a client's challenging behaviors, and how to 
137.10 	communicate with clients who have Alzheimer's or related disorders.
137.11 		Subd. 6.Required annual training. All staff that perform direct home care 
137.12 	services must complete at least eight hours of annual training for each 12 months of 
137.13 	employment. The training may be obtained from the home care provider or another source 
137.14 	and must include topics relevant to the provision of home care services. The annual 
137.15 	training must include:
137.16 	(1) training on reporting of maltreatment of minors under section 626.556 and 
137.17 	maltreatment of vulnerable adults under section 626.557, whichever is applicable to the 
137.18 	services provided;
137.19 	(2) review of the home care bill of rights in section 144A.44;
137.20 	(3) review of infection control techniques used in the home and implementation of 
137.21 	infection control standards including a review of hand washing techniques; the need for 
137.22 	and use of protective gloves, gowns, and masks; appropriate disposal of contaminated 
137.23 	materials and equipment, such as dressings, needles, syringes, and razor blades; 
137.24 	disinfecting reusable equipment; disinfecting environmental surfaces; and reporting of 
137.25 	communicable diseases; and
137.26 	(4) review of the provider's policies and procedures relating to the provision of home 
137.27 	care services and how to implement those policies and procedures.
137.28 		Subd. 7.Documentation. A home care provider must retain documentation in the 
137.29 	employee records of the staff that have satisfied the orientation and training requirements 
137.30 	of this section.

137.31 	Sec. 20. [144A.4797] PROVISION OF SERVICES.
137.32 		Subdivision 1.Availability of contact person to staff. (a) A home care provider 
137.33 	with a basic home care license must have a person available to staff for consultation on 
137.34 	items relating to the provision of services or about the client.
138.1 	(b) A home care provider with a comprehensive home care license must have a 
138.2 	registered nurse available for consultation to staff performing delegated nursing tasks 
138.3 	and must have an appropriate licensed health professional available if performing other 
138.4 	delegated services such as therapies.
138.5 	(c) The appropriate contact person must be readily available either in person, by 
138.6 	telephone, or by other means to the staff at times when the staff is providing services.
138.7 		Subd. 2.Supervision of staff; basic home care services. (a) Staff who perform 
138.8 	basic home care services must be supervised periodically where the services are being 
138.9 	provided to verify that the work is being performed competently and to identify problems 
138.10 	and solutions to address issues relating to the staff's ability to provide the services. The 
138.11 	supervision of the unlicensed personnel must be done by staff of the home care provider 
138.12 	having the authority, skills, and ability to provide the supervision of unlicensed personnel 
138.13 	and who can implement changes as needed, and train staff.
138.14 	(b) Supervision includes direct observation of unlicensed personnel while they 
138.15 	are providing the services and may also include indirect methods of gaining input such 
138.16 	as gathering feedback from the client. Supervisory review of staff must be provided at a 
138.17 	frequency based on the staff person's competency and performance.
138.18 	(c) For an individual who is licensed as a home care provider, this section does 
138.19 	not apply.
138.20 		Subd. 3.Supervision of staff providing delegated nursing or therapy home 
138.21 	care tasks. (a) Staff who perform delegated nursing or therapy home care tasks must be 
138.22 	supervised by an appropriate licensed health professional or a registered nurse periodically 
138.23 	where the services are being provided to verify that the work is being performed 
138.24 	competently and to identify problems and solutions related to the staff person's ability to 
138.25 	perform the tasks. Supervision of staff performing medication or treatment administration 
138.26 	shall be provided by a registered nurse or appropriate licensed health professional and 
138.27 	must include observation of the staff administering the medication or treatment and the 
138.28 	interaction with the client.
138.29 	(b) The direct supervision of staff performing delegated tasks must be provided 
138.30 	within 30 days after the individual begins working for the home care provider and 
138.31 	thereafter as needed based on performance. This requirement also applies to staff who 
138.32 	have not performed delegated tasks for one year or longer.
138.33 		Subd. 4.Documentation. A home care provider must retain documentation of 
138.34 	supervision activities in the personnel records.
138.35 		Subd. 5.Exemption. This section does not apply to an individual licensed under 
138.36 	sections 144A.43 to 144A.4799.

139.1 	Sec. 21. [144A.4798] EMPLOYEE HEALTH STATUS.
139.2 		Subdivision 1.Tuberculosis (TB) prevention and control. A home care provider 
139.3 	must establish and maintain a TB prevention and control program based on the most 
139.4 	current guidelines issued by the Centers for Disease Control and Prevention (CDC). 
139.5 	Components of a TB prevention and control program include screening all staff providing 
139.6 	home care services, both paid and unpaid, at the time of hire for active TB disease and 
139.7 	latent TB infection, and developing and implementing a written TB infection control plan. 
139.8 	The commissioner shall make the most recent CDC standards available to home care 
139.9 	providers on the department's Web site.
139.10 		Subd. 2.Communicable diseases. A home care provider must follow 
139.11 	current federal or state guidelines for prevention, control, and reporting of human 
139.12 	immunodeficiency virus (HIV), hepatitis B virus (HBV), hepatitis C virus, or other 
139.13 	communicable diseases as defined in Minnesota Rules, part 4605.7040.

139.14 	Sec. 22. [144A.4799] DEPARTMENT OF HEALTH LICENSED HOME CARE 
139.15 	PROVIDER ADVISORY COUNCIL.
139.16 		Subdivision 1.Membership. The commissioner of health shall appoint eight 
139.17 	persons to a home care provider advisory council consisting of the following:
139.18 	(1) three public members as defined in section 214.02 who shall be either persons 
139.19 	who are currently receiving home care services or have family members receiving home 
139.20 	care services, or persons who have family members who have received home care services 
139.21 	within five years of the application date;
139.22 	(2) three Minnesota home care licensees representing basic and comprehensive 
139.23 	levels of licensure who may be a managerial official, an administrator, a supervising 
139.24 	registered nurse, or an unlicensed personnel performing home care tasks;
139.25 	(3) one member representing the Minnesota Board of Nursing; and
139.26 	(4) one member representing the ombudsman for long-term care.
139.27 		Subd. 2.Organizations and meetings. The advisory council shall be organized 
139.28 	and administered under section 15.059 with per diems and costs paid within the limits of 
139.29 	available appropriations. Meetings will be held quarterly and hosted by the department. 
139.30 	Subcommittees may be developed as necessary by the commissioner. Advisory council 
139.31 	meetings are subject to the Open Meeting Law under chapter 13D.
139.32 		Subd. 3.Duties. At the commissioner's request, the advisory council shall provide 
139.33 	advice regarding regulations of Department of Health licensed home care providers in 
139.34 	this chapter such as:
140.1 	(1) advice to the commissioner regarding community standards for home care 
140.2 	practices;
140.3 	(2) advice to the commissioner on enforcement of licensing standards and whether 
140.4 	certain disciplinary actions are appropriate;
140.5 	(3) advice to the commissioner about ways of distributing information to licensees 
140.6 	and consumers of home care;
140.7 	(4) advice to the commissioner about training standards;
140.8 	(5) identify emerging issues and opportunities in the home care field, including the 
140.9 	use of technology in home and telehealth capabilities; and
140.10 	(6) perform other duties as directed by the commissioner.

140.11 	Sec. 23. [144A.481] HOME CARE LICENSING IMPLEMENTATION FOR 
140.12 	NEW LICENSEES AND TRANSITION PERIOD FOR CURRENT LICENSEES.
140.13 		Subdivision 1.Initial home care licenses and changes of ownership. (a) 
140.14 	Beginning October 1, 2013, all initial license applicants must apply for either a temporary 
140.15 	basic or comprehensive home care license.
140.16 	(b) Initial home care temporary licenses or licenses issued beginning October 1, 
140.17 	2013, will be issued according to the provisions in sections 144A.43 to 144A.4799 and 
140.18 	fees in section 144A.472 and will be required to comply with this chapter.
140.19 	(c) No initial temporary licenses or initial licenses will be accepted or issued 
140.20 	between July 1, 2013, and October 1, 2013.
140.21 	(d) Beginning July 1, 2013, changes in ownership applications will require payment 
140.22 	of the new fees listed in section 144A.472.
140.23 		Subd. 2.Current home care licensees with licenses on July 1, 2013. (a) 
140.24 	Beginning October 1, 2013, department licensed home care providers who are licensed 
140.25 	on July 1, 2013, must apply for either the basic or comprehensive home care license 
140.26 	on their regularly scheduled renewal date.
140.27 	(b) By September 30, 2014, all home care providers must either have a basic or 
140.28 	comprehensive home care license or temporary license.

140.29 	Sec. 24. [144A.4811] APPLICATION OF HOME CARE LICENSURE DURING 
140.30 	TRANSITION PERIOD.
140.31 	Renewal of home care licenses issued beginning October 1, 2013, will be issued 
140.32 	according to sections 144A.43 to 144A.4799 and, upon license renewal, providers must 
140.33 	comply with sections 144A.43 to 144A.4799. Prior to renewal, providers must comply 
140.34 	with the home care licensure law in effect on June 30, 2013.

141.1 	Sec. 25. [144A.482] REGISTRATION OF HOME MANAGEMENT 
141.2 	PROVIDERS.
141.3 	(a) For purposes of this section, a home management provider is an individual or 
141.4 	organization that provides at least two of the following services: housekeeping, meal 
141.5 	preparation, and shopping, to a person who is unable to perform these activities due to 
141.6 	illness, disability, or physical condition.
141.7 	(b) A person or organization that provides only home management services may not 
141.8 	operate in the state without a current certificate of registration issued by the commissioner 
141.9 	of health. To obtain a certificate of registration, the person or organization must annually 
141.10 	submit to the commissioner the name, mailing and physical address, e-mail address, and 
141.11 	telephone number of the individual or organization and a signed statement declaring that 
141.12 	the individual or organization is aware that the home care bill of rights applies to their 
141.13 	clients and that the person or organization will comply with the home care bill of rights 
141.14 	provisions contained in section 144A.44. An individual or organization applying for a 
141.15 	certificate must also provide the name, business address, and telephone number of each of 
141.16 	the individuals responsible for the management or direction of the organization. 
141.17 	(c) The commissioner shall charge an annual registration fee of $20 for individuals 
141.18 	and $50 for organizations. The registration fee shall be deposited in the state treasury and 
141.19 	credited to the state government special revenue fund.
141.20 	(d) A home care provider that provides home management services and other home 
141.21 	care services must be licensed, but licensure requirements other than the home care bill of 
141.22 	rights do not apply to those employees or volunteers who provide only home management 
141.23 	services to clients who do not receive any other home care services from the provider. 
141.24 	A licensed home care provider need not be registered as a home management service 
141.25 	provider, but must provide an orientation on the home care bill of rights to its employees 
141.26 	or volunteers who provide home management services.
141.27 	(e) An individual who provides home management services under this section must, 
141.28 	within 120 days after beginning to provide services, attend an orientation session approved 
141.29 	by the commissioner that provides training on the home care bill of rights and an orientation 
141.30 	on the aging process and the needs and concerns of elderly and disabled persons.
141.31 	(f) The commissioner may suspend or revoke a provider's certificate of registration 
141.32 	or assess fines for violation of the home care bill of rights. Any fine assessed for a 
141.33 	violation of the home care bill of rights by a provider registered under this section shall be 
141.34 	in the amount established in the licensure rules for home care providers. As a condition 
141.35 	of registration, a provider must cooperate fully with any investigation conducted by the 
141.36 	commissioner, including providing specific information requested by the commissioner on 
142.1 	clients served and the employees and volunteers who provide services. Fines collected 
142.2 	under this paragraph shall be deposited in the state treasury and credited to the fund 
142.3 	specified in the statute or rule in which the penalty was established.
142.4 	(g) The commissioner may use any of the powers granted in sections 144A.43 to 
142.5 	144A.4799 to administer the registration system and enforce the home care bill of rights 
142.6 	under this section.

142.7 	ARTICLE 6
142.8 	HEALTH DEPARTMENT

142.9 	Section 1. Minnesota Statutes 2012, section 144.212, is amended to read:
142.10 	144.212 DEFINITIONS.
142.11 		Subdivision 1.Scope. As used in sections 144.211 to 144.227, the following terms 
142.12 	have the meanings given.
142.13 		Subd. 1a.Amendment. "Amendment" means completion or correction of made 
142.14 	to certification items on  a vital record. after a certification has been issued or more 
142.15 	than one year after the event, whichever occurs first, that does not result in a sealed or 
142.16 	replaced record.
142.17 		Subd. 1b.Authorized representative. "Authorized representative" means an agent 
142.18 	designated in a written and witnessed statement signed by the subject of the record or 
142.19 	other qualified applicant.
142.20 		Subd. 1c.Certification item. "Certification item" means all individual items 
142.21 	appearing on a certificate of birth and the demographic and legal items on a certificate 
142.22 	of death.
142.23 		Subd. 2.Commissioner. "Commissioner" means the commissioner of health.
142.24 		Subd. 2a.Correction. "Correction" means a change made to a noncertification 
142.25 	item, including information collected for medical and statistical purposes. A correction 
142.26 	also means a change to a certification item within one year of the event provided that no 
142.27 	certification, whether paper or electronic, has been issued.
142.28 		Subd. 2b.Court of competent jurisdiction. "Court of competent jurisdiction" 
142.29 	means a court within the United States with jurisdiction over the individual and such other 
142.30 	individuals that the court deems necessary.
142.31 		Subd. 2a 2c.Delayed registration. "Delayed registration" means registration of a 
142.32 	record of birth or death filed one or more years after the date of birth or death.
143.1 		Subd. 2d.Disclosure. "Disclosure" means to make available or make known 
143.2 	personally identifiable information contained in a vital record, by any means of 
143.3 	communication.
143.4 		Subd. 3.File. "File" means to present a vital record or report for registration to the 
143.5 	Office of the State Registrar Vital Records and to have the vital record or report accepted 
143.6 	for registration by the Office of the State Registrar Vital Records.
143.7 		Subd. 4.Final disposition. "Final disposition" means the burial, interment, 
143.8 	cremation, removal from the state, or other authorized disposition of a dead body or 
143.9 	dead fetus.
143.10 		Subd. 4a.Institution. "Institution" means a public or private establishment that:
143.11 	(1) provides inpatient or outpatient medical, surgical, or diagnostic care or treatment; 
143.12 	or
143.13 	(2) provides nursing, custodial, or domiciliary care, or to which persons are 
143.14 	committed by law.
143.15 		Subd. 4b.Legal representative. "Legal representative" means a licensed attorney 
143.16 	representing an individual.
143.17 		Subd. 4c.Local issuance office. "Local issuance office" means a county 
143.18 	governmental office authorized by the state registrar to issue certified birth and death 
143.19 	records.
143.20 		Subd. 4d.Record. "Record" means a report of a vital event that has been registered 
143.21 	by the state registrar.
143.22 		Subd. 5.Registration. "Registration" means the process by which vital records 
143.23 	are completed, filed, and incorporated into the official records of the Office of the State 
143.24 	Registrar.
143.25 		Subd. 6.State registrar. "State registrar" means the commissioner of health or a 
143.26 	designee.
143.27 		Subd. 7.System of vital statistics. "System of vital statistics" includes the 
143.28 	registration, collection, preservation, amendment, verification, the maintenance of the 
143.29 	security and integrity of, and certification of vital records, the collection of other reports 
143.30 	required by sections 144.211 to 144.227, and related activities including the tabulation, 
143.31 	analysis, publication, and dissemination of vital statistics.
143.32 		Subd. 7a.Verification. "Verification" means a confirmation of the information on a 
143.33 	vital record based on the facts contained in a certification.
143.34 		Subd. 8.Vital record. "Vital record" means a record or report of birth, stillbirth, 
143.35 	death, marriage, dissolution and annulment, and data related thereto. The birth record is 
143.36 	not a medical record of the mother or the child.
144.1 		Subd. 9.Vital statistics. "Vital statistics" means the data derived from records and 
144.2 	reports of birth, death, fetal death, induced abortion, marriage, dissolution and annulment, 
144.3 	and related reports.
144.4 		Subd. 10.Local registrar. "Local registrar" means an individual designated under 
144.5 	section 144.214, subdivision 1, to perform the duties of a local registrar.
144.6 		Subd. 11.Consent to disclosure. "Consent to disclosure" means an affidavit filed 
144.7 	with the state registrar which sets forth the following information:
144.8 	(1) the current name and address of the affiant;
144.9 	(2) any previous name by which the affiant was known;
144.10 	(3) the original and adopted names, if known, of the adopted child whose original 
144.11 	birth record is to be disclosed;
144.12 	(4) the place and date of birth of the adopted child;
144.13 	(5) the biological relationship of the affiant to the adopted child; and
144.14 	(6) the affiant's consent to disclosure of information from the original birth record of 
144.15 	the adopted child.

144.16 	Sec. 2. Minnesota Statutes 2012, section 144.213, is amended to read:
144.17 	144.213 OFFICE OF THE STATE REGISTRAR VITAL RECORDS.
144.18 		Subdivision 1.Creation; state registrar; Office of Vital Records. The 
144.19 	commissioner shall establish an Office of the State RegistrarVital Records under the 
144.20 	supervision of the state registrar. The commissioner shall furnish to local registrars the 
144.21 	forms necessary for correct reporting of vital statistics, and shall instruct the local registrars 
144.22 	in the collection and compilation of the data. The commissioner shall promulgate rules for 
144.23 	the collection, filing, and registering of vital statistics information by the state and local 
144.24 	registrars registrar, physicians, morticians, and others. Except as otherwise provided in 
144.25 	sections 144.211 to 144.227, rules previously promulgated by the commissioner relating to 
144.26 	the collection, filing and registering of vital statistics shall remain in effect until repealed, 
144.27 	modified or superseded by a rule promulgated by the commissioner.
144.28 		Subd. 2.General duties. (a) The state registrar shall coordinate the work of 
144.29 	local registrars to maintain a statewide system of vital statistics. The state registrar is 
144.30 	responsible for the administration and enforcement of sections 144.211 to 144.227, and 
144.31 	shall supervise local registrars in the enforcement of sections 144.211 to 144.227 and the 
144.32 	rules promulgated thereunder. Local issuance offices that fail to comply with the statutes 
144.33 	or rules or to properly train employees may have their issuance privileges and access to 
144.34 	the vital records system revoked.
145.1 	(b) To preserve vital records the state registrar is authorized to prepare typewritten, 
145.2 	photographic, electronic or other reproductions of original records and files in the Office 
145.3 	of Vital Records. The reproductions when certified by the state registrar shall be accepted 
145.4 	as the original records.
145.5 	(c) The state registrar shall also:
145.6 	(1) establish, designate, and eliminate offices in the state to aid in the efficient 
145.7 	issuance of vital records;
145.8 	(2) direct the activities of all persons engaged in activities pertaining to the operation 
145.9 	of the system of vital statistics;
145.10 	(3) develop and conduct training programs to promote uniformity of policy and 
145.11 	procedures throughout the state in matters pertaining to the system of vital statistics; and
145.12 	(4) prescribe, furnish, and distribute all forms required by sections 144.211 to 
145.13 	144.227 and any rules adopted under these sections, and prescribe other means for the 
145.14 	transmission of data, including electronic submission, that will accomplish the purpose of 
145.15 	complete, accurate, and timely reporting and registration.
145.16 		Subd. 3.Record keeping. To preserve vital records the state registrar is authorized 
145.17 	to prepare typewritten, photographic, electronic or other reproductions of original records 
145.18 	and files in the Office of the State Registrar. The reproductions when certified by the state 
145.19 	or local registrar shall be accepted as the original records.

145.20 	Sec. 3. [144.2131] SECURITY OF VITAL RECORDS SYSTEM.
145.21 	The state registrar shall:
145.22 	(1) authenticate all users of the system of vital statistics and document that all users 
145.23 	require access based on their official duties;
145.24 	(2) authorize authenticated users of the system of vital statistics to access specific 
145.25 	components of the vital statistics systems necessary for their official roles and duties;
145.26 	(3) establish separation of duties between staff roles that may be susceptible to fraud 
145.27 	or misuse and routinely perform audits of staff work for the purposes of identifying fraud 
145.28 	or misuse within the vital statistics system;
145.29 	(4) require that authenticated and authorized users of the system of vital 
145.30 	statistics maintain a specified level of training related to security and provide written 
145.31 	acknowledgment of security procedures and penalties;
145.32 	(5) validate data submitted for registration through site visits or with independent 
145.33 	sources outside the registration system at a frequency specified by the state registrar to 
145.34 	maximize the integrity of the data collected;
146.1 	(6) protect personally identifiable information and maintain systems pursuant to 
146.2 	applicable state and federal laws;
146.3 	(7) accept a report of death if the decedent was born in Minnesota or if the decedent 
146.4 	was a resident of Minnesota from the United States Department of Defense or the United 
146.5 	States Department of State when the death of a United States citizen occurs outside the 
146.6 	United States;
146.7 	(8) match death records registered in Minnesota and death records provided from 
146.8 	other jurisdictions to live birth records in Minnesota;
146.9 	(9) match death records received from the United States Department of Defense 
146.10 	or the United States Department of State for deaths of United States citizens occurring 
146.11 	outside the United States to live birth records in Minnesota;
146.12 	(10) work with law enforcement to initiate and provide evidence for active fraud 
146.13 	investigations;
146.14 	(11) provide secure workplace, storage, and technology environments that have 
146.15 	limited role-based access;
146.16 	(12) maintain overt, covert, and forensic security measures for certifications, 
146.17 	verifications, and automated systems that are part of the vital statistics system; and
146.18 	(13) comply with applicable state and federal laws and rules associated with 
146.19 	information technology systems and related information security requirements.

146.20 	Sec. 4. Minnesota Statutes 2012, section 144.215, subdivision 3, is amended to read:
146.21 		Subd. 3.Father's name; child's name. In any case in which paternity of a child is 
146.22 	determined by a court of competent jurisdiction, a declaration of parentage is executed 
146.23 	under section 257.34, or a recognition of parentage is executed under section 257.75, the 
146.24 	name of the father shall be entered on the birth record. If the order of the court declares 
146.25 	the name of the child, it shall also be entered on the birth record. If the order of the court 
146.26 	does not declare the name of the child, or there is no court order, then upon the request of 
146.27 	both parents in writing, the surname of the child shall be defined by both parents.

146.28 	Sec. 5. Minnesota Statutes 2012, section 144.215, subdivision 4, is amended to read:
146.29 		Subd. 4.Social Security number registration. (a) Parents of a child born within 
146.30 	this state shall give the parents' Social Security numbers to the Office of the State Registrar
146.31 	 Vital Records at the time of filing the birth record, but the numbers shall not appear on 
146.32 	the certified record.
146.33 	(b) The Social Security numbers are classified as private confidential data, as defined 
146.34 	in section 13.02, subdivision 12, on individuals, but the Office of the State Registrar Vital 
147.1 	Records shall provide a Social Security number to the public authority responsible for 
147.2 	child support services upon request by the public authority for use in the establishment of 
147.3 	parentage and the enforcement of child support obligations.

147.4 	Sec. 6. Minnesota Statutes 2012, section 144.216, subdivision 1, is amended to read:
147.5 		Subdivision 1.Reporting a foundling. Whoever finds a live born infant of unknown 
147.6 	parentage shall report within five days to the Office of the State Registrar Vital Records
147.7 	 such information as the commissioner may by rule require to identify the foundling.

147.8 	Sec. 7. Minnesota Statutes 2012, section 144.217, subdivision 2, is amended to read:
147.9 		Subd. 2.Court petition. If a delayed record of birth is rejected under subdivision 
147.10 	1, a person may petition the appropriate court in the county in which the birth allegedly 
147.11 	occurred for an order establishing a record of the date and place of the birth and the 
147.12 	parentage of the person whose birth is to be registered. The petition shall state:
147.13 	(1) that the person for whom a delayed record of birth is sought was born in this state;
147.14 	(2) that no record of birth can be found in the Office of the State Registrar Vital 
147.15 	Records;
147.16 	(3) that diligent efforts by the petitioner have failed to obtain the evidence required 
147.17 	in subdivision 1;
147.18 	(4) that the state registrar has refused to register a delayed record of birth; and
147.19 	(5) other information as may be required by the court.

147.20 	Sec. 8. Minnesota Statutes 2012, section 144.218, subdivision 5, is amended to read:
147.21 		Subd. 5.Replacement of vital records. Upon the order of a court of this state, upon 
147.22 	the request of a court of another state, upon the filing of a declaration of parentage under 
147.23 	section 257.34, or upon the filing of a recognition of parentage with a the state registrar, a 
147.24 	replacement birth record must be registered consistent with the findings of the court, the 
147.25 	declaration of parentage, or the recognition of parentage.

147.26 	Sec. 9. [144.2181] AMENDMENT AND CORRECTION OF VITAL RECORDS.
147.27 	(a) A vital record registered under sections 144.212 to 144.227 may be amended 
147.28 	or corrected only according to sections 144.212 to 144.227 and rules adopted by the 
147.29 	commissioner of health to protect the integrity and accuracy of vital records.
147.30 	(b)(1) A vital record that is amended under this section shall indicate that it has been 
147.31 	amended, except as otherwise provided in this section or by rule.
148.1 	(2) Electronic documentation shall be maintained by the state registrar that 
148.2 	identifies the evidence upon which the amendment or correction was based, the date 
148.3 	of the amendment or correction, and the identity of the authorized person making the 
148.4 	amendment or correction.
148.5 	(c) Upon receipt of a certified copy of an order of a court of competent jurisdiction 
148.6 	changing the name of a person whose birth is registered in Minnesota and upon request of 
148.7 	such person if 18 years of age or older or having the status of emancipated minor, the state 
148.8 	registrar shall amend the birth record to show the new name. If the person is a minor or 
148.9 	an incapacitated person then a parent, guardian, or legal representative of the minor or 
148.10 	incapacitated person may make the request.
148.11 	(d) When an applicant does not submit the minimum documentation required for 
148.12 	amending a vital record or when the state registrar has cause to question the validity 
148.13 	or completeness of the applicant's statements or the documentary evidence, and the 
148.14 	deficiencies are not corrected, the state registrar shall not amend the vital record. The 
148.15 	state registrar shall advise the applicant of the reason for this action and shall further 
148.16 	advise the applicant of the right of appeal to a court with competent jurisdiction over 
148.17 	the Department of Health.

148.18 	Sec. 10. Minnesota Statutes 2012, section 144.225, is amended to read:
148.19 	144.225 DISCLOSURE OF INFORMATION FROM VITAL RECORDS.
148.20 		Subdivision 1.Public information; access to vital records. Except as otherwise 
148.21 	provided for in this section and section 144.2252, information contained in vital records 
148.22 	shall be public information. Physical access to vital records shall be subject to the 
148.23 	supervision and regulation of the state and local registrars registrar and their employees 
148.24 	pursuant to rules promulgated by the commissioner in order to protect vital records from 
148.25 	loss, mutilation or destruction and to prevent improper disclosure of vital records which 
148.26 	are confidential or private data on individuals, as defined in section 13.02, subdivisions 
148.27 	3 and 12.
148.28 		Subd. 2.Data about births. (a) Except as otherwise provided in this subdivision, 
148.29 	data pertaining to the birth of a child to a woman who was not married to the child's father 
148.30 	when the child was conceived nor when the child was born, including the original record 
148.31 	of birth and the certified vital record an individual, are confidential data. At the time of 
148.32 	the birth of a child to a woman who was not married to the child's father when the child 
148.33 	was conceived nor when the child was born, the mother may designate demographic data 
148.34 	pertaining to the birth as public. Notwithstanding the designation of the data as confidential, 
149.1 	it may upon the proper completion of an attestation provided by the commissioner and 
149.2 	payment of the required fee, demographic birth data by certified record shall be disclosed:
149.3 	(1) to a parent or guardian of the child individual;
149.4 	(2) to the child individual when the child individual is 16 years of age or older;
149.5 	(3) under paragraph (b) or (e); or
149.6 	(4) pursuant to a court order. For purposes of this section, a subpoena does not 
149.7 	constitute a court order.;
149.8 	(5) to the legal custodian, guardian or conservator, or health care agent of the 
149.9 	individual;
149.10 	(6) to adoption agencies in order to complete confidential postadoption searches as 
149.11 	required by section 259.83;
149.12 	(7) to any local, state, or federal governmental agency upon request if the certified 
149.13 	vital record is necessary for the governmental agency to perform its authorized duties; or
149.14 	(8) to a representative authorized by a person under clauses (1) to (7).
149.15 	(b) Unless the child individual is adopted, data pertaining to the birth of a child an 
149.16 	individual that are not accessible to the public become public data if 100 125 years have 
149.17 	elapsed since the birth of the child individual who is the subject of the data, or as provided 
149.18 	under section 13.10, whichever occurs first.
149.19 	(c) If a child is adopted, data pertaining to the child's birth are governed by the 
149.20 	provisions relating to adoption records, including sections 13.10, subdivision 5; 144.218, 
149.21 	subdivision 1; 144.2252; and 259.89.
149.22 	(d) The name and address of a mother under paragraph (a) and the child's date of 
149.23 	birth may be disclosed to the county social services or public health member of a family 
149.24 	services collaborative for purposes of providing services under section 124D.23.
149.25 	(e) The commissioner of human services shall have access to birth records for:
149.26 	(1) the purposes of administering medical assistance, general assistance medical 
149.27 	care, and the MinnesotaCare program;
149.28 	(2) child support enforcement purposes; and
149.29 	(3) other public health purposes as determined by the commissioner of health.
149.30 	(f) The fact of birth consisting of the name of the individual, date of birth, county of 
149.31 	birth, and state file number are public data.
149.32 		Subd. 2a.Health data associated with birth registration. Information from which 
149.33 	an identification of risk for disease, disability, or developmental delay in a mother or child 
149.34 	can be made, that is collected in conjunction with birth registration or fetal death reporting, 
149.35 	is private confidential data as defined in section 13.02, subdivision 12. The commissioner 
149.36 	may disclose to a local board of health, as defined in section 145A.02, subdivision 2, 
150.1 	health data associated with birth registration which identifies a mother or child at high 
150.2 	risk for serious disease, disability, or developmental delay in order to assure access to 
150.3 	appropriate health, social, or educational services. Notwithstanding the designation of the 
150.4 	private confidential data, the commissioner of human services shall have access to health 
150.5 	data associated with birth registration for:
150.6 	(1) purposes of administering medical assistance, general assistance medical care, 
150.7 	and the MinnesotaCare program; and
150.8 	(2) for other public health purposes as determined by the commissioner of health.
150.9 		Subd. 2b.Commissioner of health; duties. Notwithstanding the designation of 
150.10 	certain of this data as confidential under subdivision 2 or private under subdivision 2a, 
150.11 	the commissioner shall give the commissioner of human services access to birth record 
150.12 	data and data contained in recognitions of parentage prepared according to section 257.75
150.13 	necessary to enable the commissioner of human services to identify a child who is subject 
150.14 	to threatened injury, as defined in section 626.556, subdivision 2, paragraph (l), by a 
150.15 	person responsible for the child's care, as defined in section 626.556, subdivision 2, 
150.16 	paragraph (b), clause (1). The commissioner shall be given access to all data included 
150.17 	on official birth records.
150.18 		Subd. 3.Laws and rules for preparing vital records. No person shall prepare or 
150.19 	issue any vital record which purports to be an original, certified copy, or copy of a vital 
150.20 	record except as authorized in sections 144.211 to 144.227 or the rules of the commissioner.
150.21 		Subd. 4.Access to records for research purposes. The state registrar may permit 
150.22 	persons performing medical research access to the information restricted in subdivision 
150.23 	2 or 2a if those persons agree in writing not to disclose private or confidential data on 
150.24 	individuals.
150.25 		Subd. 5.Residents of other states. When a resident of another state is born or dies in 
150.26 	this state, the state registrar shall send a report of the birth or death to the state of residence.
150.27 		Subd. 6.Group purchaser identity; nonpublic data; disclosure. (a) Except 
150.28 	as otherwise provided in this subdivision, the named identity of a group purchaser as 
150.29 	defined in section 62J.03, subdivision 6, collected in association with birth registration is 
150.30 	nonpublic data as defined in section 13.02.
150.31 	(b) The commissioner may publish, or by other means release to the public, the 
150.32 	named identity of a group purchaser as part of an analysis of information collected from 
150.33 	the birth registration process. Analysis means the identification of trends in prenatal care 
150.34 	and birth outcomes associated with group purchasers. The commissioner may not reveal 
150.35 	the named identity of the group purchaser until the group purchaser has had 21 days 
150.36 	after receipt of the analysis to review the analysis and comment on it. In releasing data 
151.1 	under this subdivision, the commissioner shall include comments received from the group 
151.2 	purchaser related to the scientific soundness and statistical validity of the methods used in 
151.3 	the analysis. This subdivision does not authorize the commissioner to make public any 
151.4 	individual identifying data except as permitted by law.
151.5 	(c) A group purchaser may contest whether an analysis made public under paragraph 
151.6 	(b) is based on scientifically sound and statistically valid methods in a contested case 
151.7 	proceeding under sections 14.57 to 14.62, subject to appeal under sections 14.63 to 
151.8 	14.68. To obtain a contested case hearing, the group purchaser must present a written 
151.9 	request to the commissioner before the end of the time period for review and comment. 
151.10 	Within ten days of the assignment of an administrative law judge, the group purchaser 
151.11 	must demonstrate by clear and convincing evidence the group purchaser's likelihood of 
151.12 	succeeding on the merits. If the judge determines that the group purchaser has made 
151.13 	this demonstration, the data may not be released during the contested case proceeding 
151.14 	and through appeal. If the judge finds that the group purchaser has not made this 
151.15 	demonstration, the commissioner may immediately publish, or otherwise make public, the 
151.16 	nonpublic group purchaser data, with comments received as set forth in paragraph (b).
151.17 	(d) The contested case proceeding and subsequent appeal is not an exclusive remedy 
151.18 	and any person may seek a remedy pursuant to section 13.08, subdivisions 1 to 4, or 
151.19 	as otherwise authorized by law.
151.20 		Subd. 7.Certified birth or death record. (a) The state or local registrar or local 
151.21 	issuance office shall issue a certified birth or death record or a statement of no vital record 
151.22 	found to an individual upon the individual's proper completion of an attestation provided 
151.23 	by the commissioner and payment of the required fee:
151.24 	(1) to a person who has a tangible interest in the requested vital record. A person 
151.25 	who has a tangible interest is:
151.26 	(i) the subject of the vital record;
151.27 	(ii) (i) a child of the subject decedent;
151.28 	(iii) (ii) the spouse of the subject decedent;
151.29 	(iv)(iii) a parent of the subject decedent;
151.30 	(v)(iv) the grandparent or grandchild of the subject decedent;
151.31 	(vi) if the requested record is a death record, (v) a sibling of the subject decedent;
151.32 	(vii) (vi) the party responsible for filing the vital record;
151.33 	(viii) (vii) the legal custodian, guardian or conservator, or health care agent of the 
151.34 	subject decedent;
151.35 	(ix) (viii) a personal representative, by sworn affidavit of the fact that the certified 
151.36 	copy is required for administration of the estate;
152.1 	(x) (ix) a successor of the subject decedent, as defined in section 524.1-201, if 
152.2 	the subject is deceased, by sworn affidavit of the fact that the certified copy is required 
152.3 	for administration of the estate;
152.4 	(xi) if the requested record is a death record, (x) a trustee of a trust by sworn affidavit 
152.5 	of the fact that the certified copy is needed for the proper administration of the trust; or
152.6 	(xii) (xi) a person or entity who demonstrates that a certified vital record is necessary 
152.7 	for the determination or protection of a personal or property right, pursuant to rules 
152.8 	adopted by the commissioner; or
152.9 	(xiii) adoption agencies in order to complete confidential postadoption searches as 
152.10 	required by section 259.83;
152.11 	(2) to any local, state, or federal governmental agency upon request if the certified 
152.12 	vital record is necessary for the governmental agency to perform its authorized duties. 
152.13 	An authorized governmental agency includes the Department of Human Services, the 
152.14 	Department of Revenue, and the United States Citizenship and Immigration Services;
152.15 	(3) to an attorney upon evidence of the attorney's license;
152.16 	(4) pursuant to a court order issued by a court of competent jurisdiction. For 
152.17 	purposes of this section, a subpoena does not constitute a court order; or
152.18 	(5) to a representative authorized by a person under clauses (1) to (4).
152.19 	(b) The state or local registrar or local issuance office shall also issue a certified 
152.20 	death record to an individual described in paragraph (a), clause (1), items (ii) to (viii), if, 
152.21 	on behalf of the individual, a licensed mortician furnishes the registrar with a properly 
152.22 	completed attestation in the form provided by the commissioner within 180 days of the 
152.23 	time of death of the subject of the death record. This paragraph is not subject to the 
152.24 	requirements specified in Minnesota Rules, part 4601.2600, subpart 5, item B.
152.25 		Subd. 8.Standardized format for certified birth and death records. No later than 
152.26 	July 1, 2000, The commissioner shall develop maintain a standardized format for certified 
152.27 	birth records and death records issued by the state and local registrars registrar and local 
152.28 	issuance offices. The format shall incorporate security features in accordance with this 
152.29 	section. The standardized format must be implemented on a statewide basis by July 1, 2001.

152.30 	Sec. 11. Minnesota Statutes 2012, section 144.226, is amended to read:
152.31 	144.226 FEES.
152.32 		Subdivision 1.Which services are for fee. The fees for the following services shall 
152.33 	be the following or an amount prescribed by rule of the commissioner:
152.34 	(a) The fee for the issuance of a certified vital record, a search for a vital record that 
152.35 	cannot be issued, or a certification that the vital record cannot be found is $9. No fee shall be 
153.1 	charged for a certified birth, stillbirth, or death record that is reissued within one year of the 
153.2 	original issue, if an amendment is made to the vital record and if the previously issued vital 
153.3 	record is surrendered. The fee is payable at the time of application and is nonrefundable.
153.4 	(b) The fee for processing a request for the replacement of a birth record for 
153.5 	all events, except when filing a recognition of parentage pursuant to section 257.73, 
153.6 	subdivision 1, is $40. The fee is payable at the time of application and is nonrefundable.
153.7 	(c) The fee for reviewing and processing a request for the filing of a delayed 
153.8 	registration of birth, stillbirth, or death is $40. The fee is payable at the time of application 
153.9 	and is nonrefundable. This fee includes one subsequent review of the request if the request 
153.10 	is not acceptable upon the initial receipt.
153.11 	(d) The fee for reviewing and processing a request for the amendment of any vital 
153.12 	record when requested more than 45 days after the filing of the vital record is $40. No fee 
153.13 	shall be charged for an amendment requested within 45 days after the filing of the vital 
153.14 	record. The fee is payable at the time of application and is nonrefundable. This fee includes 
153.15 	one subsequent review of the request if the request is not acceptable upon the initial receipt.
153.16 	(e) The fee for reviewing and processing a request for the verification of information 
153.17 	from vital records is $9 when the applicant furnishes the specific information to locate 
153.18 	the vital record. When the applicant does not furnish specific information, the fee is 
153.19 	$20 per hour for staff time expended. Specific information includes the correct date of 
153.20 	the event and the correct name of the registrant subject of the record. Fees charged shall 
153.21 	approximate the costs incurred in searching and copying the vital records. The fee is 
153.22 	payable at the time of application and is nonrefundable.
153.23 	(f) The fee for reviewing and processing a request for the issuance of a copy of any 
153.24 	document on file pertaining to a vital record or statement that a related document cannot 
153.25 	be found is $9. The fee is payable at the time of application and is nonrefundable.
153.26 		Subd. 2.Fees to state government special revenue fund. Fees collected under 
153.27 	this section by the state registrar shall be deposited in the state treasury and credited to 
153.28 	the state government special revenue fund.
153.29 		Subd. 3.Birth record surcharge. (a) In addition to any fee prescribed under 
153.30 	subdivision 1, there shall be a nonrefundable surcharge of $3 for each certified birth or 
153.31 	stillbirth record and for a certification that the vital record cannot be found. The local or
153.32 	 state registrar or local issuance office shall forward this amount to the commissioner of 
153.33 	management and budget for deposit into the account for the children's trust fund for the 
153.34 	prevention of child abuse established under section 256E.22. This surcharge shall not be 
153.35 	charged under those circumstances in which no fee for a certified birth or stillbirth record 
153.36 	is permitted under subdivision 1, paragraph (a). Upon certification by the commissioner of 
154.1 	management and budget that the assets in that fund exceed $20,000,000, this surcharge 
154.2 	shall be discontinued.
154.3 	(b) In addition to any fee prescribed under subdivision 1, there shall be a 
154.4 	nonrefundable surcharge of $10 for each certified birth record. The local or state registrar 
154.5 	or local issuance office shall forward this amount to the commissioner of management and 
154.6 	budget for deposit in the general fund. This surcharge shall not be charged under those 
154.7 	circumstances in which no fee for a certified birth record is permitted under subdivision 1, 
154.8 	paragraph (a).
154.9 		Subd. 4.Vital records surcharge. (a) In addition to any fee prescribed under 
154.10 	subdivision 1, there is a nonrefundable surcharge of $2 $4 for each certified and 
154.11 	noncertified birth, stillbirth, or death record, and for a certification that the record cannot 
154.12 	be found. The local issuance office or state registrar shall forward this amount to the 
154.13 	commissioner of management and budget to be deposited into the state government special 
154.14 	revenue fund. This surcharge shall not be charged under those circumstances in which no 
154.15 	fee for a birth, stillbirth, or death record is permitted under subdivision 1, paragraph (a).
154.16 	(b) Effective August 1, 2005, the surcharge in paragraph (a) is $4.
154.17 		Subd. 5.Electronic verification. A fee for the electronic verification or electronic 
154.18 	certification of a vital event, when the information being verified or certified is obtained 
154.19 	from a certified birth or death record, shall be established through contractual or 
154.20 	interagency agreements with interested local, state, or federal government agencies.
154.21 		Subd. 6.Alternative payment methods. Notwithstanding subdivision 1, alternative 
154.22 	payment methods may be approved and implemented by the state registrar or a local 
154.23 	registrar issuance office.

154.24 	Sec. 12. [149A.54] LICENSE TO OPERATE AN ALKALINE HYDROLYSIS 
154.25 	FACILITY.
154.26 		Subdivision 1.License requirement. Except as provided in section 149A.01, 
154.27 	subdivision 3, a place or premise shall not be maintained, managed, or operated which 
154.28 	is devoted to or used in the holding and alkaline hydrolysis of a dead human body 
154.29 	without possessing a valid license to operate an alkaline hydrolysis facility issued by the 
154.30 	commissioner of health.
154.31 		Subd. 2.Requirements for an alkaline hydrolysis facility. (a) An alkaline 
154.32 	hydrolysis facility licensed under this section must consist of:
154.33 	(1) a building or structure that complies with applicable local and state building 
154.34 	codes, zoning laws and ordinances, wastewater management and environmental standards, 
155.1 	containing one or more alkaline hydrolysis vessels for the alkaline hydrolysis of dead 
155.2 	human bodies;
155.3 	(2) a method approved by the commissioner of health to dry the hydrolyzed remains 
155.4 	and which is located within the licensed facility;
155.5 	(3) a means approved by the commissioner of health for refrigeration of dead human 
155.6 	bodies awaiting alkaline hydrolysis;
155.7 	(4) an appropriate means of processing hydrolyzed remains to a granulated 
155.8 	appearance appropriate for final disposition; and
155.9 	(5) an appropriate holding facility for dead human bodies awaiting alkaline 
155.10 	hydrolysis.
155.11 	(b) An alkaline hydrolysis facility licensed under this section may also contain a 
155.12 	display room for funeral goods.
155.13 		Subd. 3.Application procedure; documentation; initial inspection. An 
155.14 	application to license and operate an alkaline hydrolysis facility shall be submitted to the 
155.15 	commissioner of health. A completed application includes:
155.16 	(1) a completed application form, as provided by the commissioner;
155.17 	(2) proof of business form and ownership;
155.18 	(3) proof of liability insurance coverage or other financial documentation, as 
155.19 	determined by the commissioner, that demonstrates the applicant's ability to respond in 
155.20 	damages for liability arising from the ownership, maintenance management, or operation 
155.21 	of an alkaline hydrolysis facility; and
155.22 	(4) copies of wastewater and other environmental regulatory permits and 
155.23 	environmental regulatory licenses necessary to conduct operations.
155.24 	Upon receipt of the application and appropriate fee, the commissioner shall review and 
155.25 	verify all information. Upon completion of the verification process and resolution of any 
155.26 	deficiencies in the application information, the commissioner shall conduct an initial 
155.27 	inspection of the premises to be licensed. After the inspection and resolution of any 
155.28 	deficiencies found and any reinspections as may be necessary, the commissioner shall 
155.29 	make a determination, based on all the information available, to grant or deny licensure. If 
155.30 	the commissioner's determination is to grant the license, the applicant shall be notified and 
155.31 	the license shall issue and remain valid for a period prescribed on the license, but not to 
155.32 	exceed one calendar year from the date of issuance of the license. If the commissioner's 
155.33 	determination is to deny the license, the commissioner must notify the applicant in writing 
155.34 	of the denial and provide the specific reason for denial.
155.35 		Subd. 4.Nontransferability of license. A license to operate an alkaline hydrolysis 
155.36 	facility is not assignable or transferable and shall not be valid for any entity other than the 
156.1 	one named. Each license issued to operate an alkaline hydrolysis facility is valid only for the 
156.2 	location identified on the license. A 50 percent or more change in ownership or location of 
156.3 	the alkaline hydrolysis facility automatically terminates the license. Separate licenses shall 
156.4 	be required of two or more persons or other legal entities operating from the same location.
156.5 		Subd. 5.Display of license. Each license to operate an alkaline hydrolysis 
156.6 	facility must be conspicuously displayed in the alkaline hydrolysis facility at all times. 
156.7 	Conspicuous display means in a location where a member of the general public within the 
156.8 	alkaline hydrolysis facility will be able to observe and read the license.
156.9 		Subd. 6.Period of licensure. All licenses to operate an alkaline hydrolysis facility 
156.10 	issued by the commissioner are valid for a period of one calendar year beginning on July 1 
156.11 	and ending on June 30, regardless of the date of issuance.
156.12 		Subd. 7.Reporting changes in license information. Any change of license 
156.13 	information must be reported to the commissioner, on forms provided by the 
156.14 	commissioner, no later than 30 calendar days after the change occurs. Failure to report 
156.15 	changes is grounds for disciplinary action.
156.16 		Subd. 8.Notification to the commissioner. If the licensee is operating under a 
156.17 	wastewater or an environmental permit or license that is subsequently revoked, denied, 
156.18 	or terminated, the licensee shall notify the commissioner.
156.19 		Subd. 9.Application information. All information submitted to the commissioner 
156.20 	for a license to operate an alkaline hydrolysis facility is classified as licensing data under 
156.21 	section 13.41, subdivision 5.

156.22 	Sec. 13. [149A.55] RENEWAL OF LICENSE TO OPERATE AN ALKALINE 
156.23 	HYDROLYSIS FACILITY.
156.24 		Subdivision 1.Renewal required. All licenses to operate an alkaline hydrolysis 
156.25 	facility issued by the commissioner expire on June 30 following the date of issuance of the 
156.26 	license and must be renewed to remain valid.
156.27 		Subd. 2.Renewal procedure and documentation. Licensees who wish to renew 
156.28 	their licenses must submit to the commissioner a completed renewal application no later 
156.29 	than June 30 following the date the license was issued. A completed renewal application 
156.30 	includes:
156.31 	(1) a completed renewal application form, as provided by the commissioner; and
156.32 	(2) proof of liability insurance coverage or other financial documentation, as 
156.33 	determined by the commissioner, that demonstrates the applicant's ability to respond in 
156.34 	damages for liability arising from the ownership, maintenance, management, or operation 
156.35 	of an alkaline hydrolysis facility.
157.1 	Upon receipt of the completed renewal application, the commissioner shall review and 
157.2 	verify the information. Upon completion of the verification process and resolution of 
157.3 	any deficiencies in the renewal application information, the commissioner shall make a 
157.4 	determination, based on all the information available, to reissue or refuse to reissue the 
157.5 	license. If the commissioner's determination is to reissue the license, the applicant shall 
157.6 	be notified and the license shall issue and remain valid for a period prescribed on the 
157.7 	license, but not to exceed one calendar year from the date of issuance of the license. If 
157.8 	the commissioner's determination is to refuse to reissue the license, section 149A.09, 
157.9 	subdivision 2, applies.
157.10 		Subd. 3.Penalty for late filing. Renewal applications received after the expiration 
157.11 	date of a license will result in the assessment of a late filing penalty. The late filing penalty 
157.12 	must be paid before the reissuance of the license and received by the commissioner no 
157.13 	later than 31 calendar days after the expiration date of the license.
157.14 		Subd. 4.Lapse of license. Licenses to operate alkaline hydrolysis facilities 
157.15 	shall automatically lapse when a completed renewal application is not received by the 
157.16 	commissioner within 31 calendar days after the expiration date of a license, or a late 
157.17 	filing penalty assessed under subdivision 3 is not received by the commissioner within 31 
157.18 	calendar days after the expiration of a license.
157.19 		Subd. 5.Effect of lapse of license. Upon the lapse of a license, the person to whom 
157.20 	the license was issued is no longer licensed to operate an alkaline hydrolysis facility in 
157.21 	Minnesota. The commissioner shall issue a cease and desist order to prevent the lapsed 
157.22 	license holder from operating an alkaline hydrolysis facility in Minnesota and may pursue 
157.23 	any additional lawful remedies as justified by the case.
157.24 		Subd. 6.Restoration of lapsed license. The commissioner may restore a lapsed 
157.25 	license upon receipt and review of a completed renewal application, receipt of the late 
157.26 	filing penalty, and reinspection of the premises, provided that the receipt is made within 
157.27 	one calendar year from the expiration date of the lapsed license and the cease and desist 
157.28 	order issued by the commissioner has not been violated. If a lapsed license is not restored 
157.29 	within one calendar year from the expiration date of the lapsed license, the holder of the 
157.30 	lapsed license cannot be relicensed until the requirements in section 149A.54 are met.
157.31 		Subd. 7.Reporting changes in license information. Any change of license 
157.32 	information must be reported to the commissioner, on forms provided by the 
157.33 	commissioner, no later than 30 calendar days after the change occurs. Failure to report 
157.34 	changes is grounds for disciplinary action.
158.1 		Subd. 8.Application information. All information submitted to the commissioner 
158.2 	by an applicant for renewal of licensure to operate an alkaline hydrolysis facility is 
158.3 	classified as licensing data under section 13.41, subdivision 5.

158.4 	Sec. 14. [149A.941] ALKALINE HYDROLYSIS FACILITIES AND ALKALINE 
158.5 	HYDROLYSIS.
158.6 		Subdivision 1.License required. A dead human body may only be hydrolyzed in 
158.7 	this state at an alkaline hydrolysis facility licensed by the commissioner of health.
158.8 		Subd. 2.General requirements. Any building to be used as an alkaline hydrolysis 
158.9 	facility must comply with all applicable local and state building codes, zoning laws and 
158.10 	ordinances, wastewater management regulations, and environmental statutes, rules, and 
158.11 	standards. An alkaline hydrolysis facility must have, on site, a purpose built human 
158.12 	alkaline hydrolysis system approved by the commissioner of health, a system approved by 
158.13 	the commissioner of health for drying the hydrolyzed remains, a motorized mechanical 
158.14 	device approved by the commissioner of health for processing hydrolyzed remains and 
158.15 	must have in the building a holding facility approved by the commissioner of health for 
158.16 	the retention of dead human bodies awaiting alkaline hydrolysis. The holding facility 
158.17 	must be secure from access by anyone except the authorized personnel of the alkaline 
158.18 	hydrolysis facility, preserve the dignity of the remains, and protect the health and safety of 
158.19 	the alkaline hydrolysis facility personnel.
158.20 		Subd. 3.Lighting and ventilation. The room where the alkaline hydrolysis vessel 
158.21 	is located and the room where the chemical storage takes place shall be properly lit and 
158.22 	ventilated with an exhaust fan that provides at least 12 air changes per hour.
158.23 		Subd. 4.Plumbing connections. All plumbing fixtures, water supply lines, 
158.24 	plumbing vents, and waste drains shall be properly vented and connected pursuant to the 
158.25 	Minnesota Plumbing Code. The alkaline hydrolysis facility shall be equipped with a 
158.26 	functional sink with hot and cold running water.
158.27 		Subd. 5.Flooring, walls, ceiling, doors, and windows. The room where the 
158.28 	alkaline hydrolysis vessel is located and the room where the chemical storage takes place 
158.29 	shall have nonporous flooring, so that a sanitary condition is provided. The walls and 
158.30 	ceiling of the room where the alkaline hydrolysis vessel is located and the room where 
158.31 	the chemical storage takes place shall run from floor to ceiling and be covered with tile, 
158.32 	or by plaster or sheetrock painted with washable paint or other appropriate material so 
158.33 	that a sanitary condition is provided. The doors, walls, ceiling, and windows shall be 
158.34 	constructed to prevent odors from entering any other part of the building. All windows 
158.35 	or other openings to the outside must be screened and all windows must be treated in a 
159.1 	manner that prevents viewing into the room where the alkaline hydrolysis vessel is located 
159.2 	and the room where the chemical storage takes place. A viewing window for authorized 
159.3 	family members or their designees is not a violation of this subdivision.
159.4 		Subd. 6.Equipment and supplies. The alkaline hydrolysis facility must have a 
159.5 	functional emergency eye wash and quick drench shower.
159.6 		Subd. 7.Access and privacy. (a) The room where the alkaline hydrolysis vessel is 
159.7 	located and the room where the chemical storage takes place must be private and have no 
159.8 	general passageway through it. The room shall, at all times, be secure from the entrance of 
159.9 	unauthorized persons. Authorized persons are:
159.10 	(1) licensed morticians;
159.11 	(2) registered interns or students as described in section 149A.91, subdivision 6;
159.12 	(3) public officials or representatives in the discharge of their official duties; 
159.13 	(4) trained alkaline hydrolysis facility operators; and
159.14 	(5) the person(s) with the right to control the dead human body as defined in section 
159.15 	149A.80, subdivision 2, and their designees.
159.16 	(b) Each door allowing ingress or egress shall carry a sign that indicates that the 
159.17 	room is private and access is limited. All authorized persons who are present in or enter 
159.18 	the room where the alkaline hydrolysis vessel is located while a body is being prepared for 
159.19 	final disposition must be attired according to all applicable state and federal regulations 
159.20 	regarding the control of infectious disease and occupational and workplace health and 
159.21 	safety.
159.22 		Subd. 8.Sanitary conditions and permitted use. The room where the alkaline 
159.23 	hydrolysis vessel is located and the room where the chemical storage takes place and all 
159.24 	fixtures, equipment, instruments, receptacles, clothing, and other appliances or supplies 
159.25 	stored or used in the room must be maintained in a clean and sanitary condition at all times.
159.26 		Subd. 9.Boiler use. When a boiler is required by the manufacturer of the alkaline 
159.27 	hydrolysis vessel for its operation, all state and local regulations for that boiler must be 
159.28 	followed.
159.29 		Subd. 10.Occupational and workplace safety. All applicable provisions of state 
159.30 	and federal regulations regarding exposure to workplace hazards and accidents shall be 
159.31 	followed in order to protect the health and safety of all authorized persons at the alkaline 
159.32 	hydrolysis facility.
159.33 		Subd. 11.Licensed personnel. A licensed alkaline hydrolysis facility must employ 
159.34 	a licensed mortician to carry out the process of alkaline hydrolysis of a dead human body. 
159.35 	It is the duty of the licensed alkaline hydrolysis facility to provide proper procedures for 
159.36 	all personnel, and the licensed alkaline hydrolysis facility shall be strictly accountable for 
160.1 	compliance with this chapter and other applicable state and federal regulations regarding 
160.2 	occupational and workplace health and safety.
160.3 		Subd. 12.Authorization to hydrolyze required. No alkaline hydrolysis facility 
160.4 	shall hydrolyze or cause to be hydrolyzed any dead human body or identifiable body part 
160.5 	without receiving written authorization to do so from the person or persons who have the 
160.6 	legal right to control disposition as described in section 149A.80 or the person's legal 
160.7 	designee. The written authorization must include:
160.8 	(1) the name of the deceased and the date of death of the deceased;
160.9 	(2) a statement authorizing the alkaline hydrolysis facility to hydrolyze the body;
160.10 	(3) the name, address, telephone number, relationship to the deceased, and signature 
160.11 	of the person or persons with legal right to control final disposition or a legal designee;
160.12 	(4) directions for the disposition of any nonhydrolyzed materials or items recovered 
160.13 	from the alkaline hydrolysis vessel;
160.14 	(5) acknowledgment that the hydrolyzed remains will be dried and mechanically 
160.15 	reduced to a granulated appearance and placed in an appropriate container and 
160.16 	authorization to place any hydrolyzed remains that a selected urn or container will not 
160.17 	accommodate into a temporary container;
160.18 	(6) acknowledgment that, even with the exercise of reasonable care, it is not possible 
160.19 	to recover all particles of the hydrolyzed remains and that some particles may inadvertently 
160.20 	become commingled with particles of other hydrolyzed remains that remain in the alkaline 
160.21 	hydrolysis vessel or other mechanical devices used to process the hydrolyzed remains;
160.22 	(7) directions for the ultimate disposition of the hydrolyzed remains; and
160.23 	(8) a statement that includes, but is not limited to, the following information: 
160.24 	"During the alkaline hydrolysis process, chemical dissolution using heat, water, and an 
160.25 	alkaline solution is used to chemically break down the human tissue and the hydrolyzable 
160.26 	alkaline hydrolysis container. After the process is complete, the liquid effluent solution 
160.27 	contains the chemical by-products of the alkaline hydrolysis process except for the 
160.28 	deceased's bone fragments. The solution is cooled and released according to local 
160.29 	environmental regulations. A water rinse is applied to the hydrolyzed remains which are 
160.30 	then dried and processed to facilitate inurnment or scattering."
160.31 		Subd. 13.Limitation of liability. A licensed alkaline hydrolysis facility acting in 
160.32 	good faith, with reasonable reliance upon an authorization to hydrolyze, pursuant to an 
160.33 	authorization to hydrolyze and in an otherwise lawful manner, shall be held harmless from 
160.34 	civil liability and criminal prosecution for any actions taken by the alkaline hydrolysis 
160.35 	facility.
161.1 		Subd. 14.Acceptance of delivery of body. (a) No dead human body shall be 
161.2 	accepted for final disposition by alkaline hydrolysis unless:
161.3 	(1) encased in an appropriate alkaline hydrolysis container;
161.4 	(2) accompanied by a disposition permit issued pursuant to section 149A.93, 
161.5 	subdivision 3, including a photocopy of the completed death record or a signed release 
161.6 	authorizing alkaline hydrolysis of the body received from the coroner or medical 
161.7 	examiner; and
161.8 	(3) accompanied by an alkaline hydrolysis authorization that complies with 
161.9 	subdivision 12.
161.10 	(b) An alkaline hydrolysis facility shall refuse to accept delivery of an alkaline 
161.11 	hydrolysis container where there is:
161.12 	(1) evidence of leakage of fluids from the alkaline hydrolysis container;
161.13 	(2) a known dispute concerning hydrolysis of the body delivered;
161.14 	(3) a reasonable basis for questioning any of the representations made on the written 
161.15 	authorization to hydrolyze; or
161.16 	(4) any other lawful reason.
161.17 		Subd. 15.Bodies awaiting hydrolysis. A dead human body must be hydrolyzed 
161.18 	within 24 hours of the alkaline hydrolysis facility accepting legal and physical custody of 
161.19 	the body.
161.20 		Subd. 16.Handling of alkaline hydrolysis containers for dead human bodies.
 161.21 	All alkaline hydrolysis facility employees handling alkaline hydrolysis containers for 
161.22 	dead human bodies shall use universal precautions and otherwise exercise all reasonable 
161.23 	precautions to minimize the risk of transmitting any communicable disease from the body. 
161.24 	No dead human body shall be removed from the container in which it is delivered.
161.25 		Subd. 17.Identification of body. All licensed alkaline hydrolysis facilities shall 
161.26 	develop, implement, and maintain an identification procedure whereby dead human 
161.27 	bodes can be identified from the time the alkaline hydrolysis facility accepts delivery 
161.28 	of the remains until the hydrolyzed remains are released to an authorized party. After 
161.29 	hydrolyzation, an identifying disk, tab, or other permanent label shall be placed within the 
161.30 	hydrolyzed remains container before the hydrolyzed remains are released from the alkaline 
161.31 	hydrolysis facility. Each identification disk, tab, or label shall have a number that shall 
161.32 	be recorded on all paperwork regarding the decedent. This procedure shall be designed 
161.33 	to reasonably ensure that the proper body is hydrolyzed and that the hydrolyzed remains 
161.34 	are returned to the appropriate party. Loss of all or part of the hydrolyzed remains or the 
161.35 	inability to individually identify the hydrolyzed remains is a violation of this subdivision.
162.1 		Subd. 18.Alkaline hydrolysis vessel for human remains. A licensed alkaline 
162.2 	hydrolysis facility shall knowingly hydrolyze only dead human bodies or human remains 
162.3 	in an alkaline hydrolysis vessel, along with the alkaline hydrolysis container used for 
162.4 	infectious disease control.
162.5 		Subd. 19.Alkaline hydrolysis procedures; privacy. The final disposition of 
162.6 	dead human bodies by alkaline hydrolysis shall be done in privacy. Unless there is 
162.7 	written authorization from the person with the legal right to control the disposition, 
162.8 	only authorized alkaline hydrolysis facility personnel shall be permitted in the alkaline 
162.9 	hydrolysis area while any dead human body is in the alkaline hydrolysis area awaiting 
162.10 	alkaline hydrolysis, in the alkaline hydrolysis vessel, being removed from the alkaline 
162.11 	hydrolysis vessel, or being processed and placed in a hydrolyzed remains container.
162.12 		Subd. 20.Alkaline hydrolysis procedures; commingling of hydrolyzed remains 
162.13 	prohibited. Except with the express written permission of the person with the legal right 
162.14 	to control the disposition, no alkaline hydrolysis facility shall hydrolyze more than one 
162.15 	dead human body at the same time and in the same alkaline hydrolysis vessel, or introduce 
162.16 	a second dead human body into an alkaline hydrolysis vessel until reasonable efforts have 
162.17 	been employed to remove all fragments of the preceding hydrolyzed remains, or hydrolyze 
162.18 	a dead human body and other human remains at the same time and in the same alkaline 
162.19 	hydrolysis vessel. This section does not apply where commingling of human remains 
162.20 	during alkaline hydrolysis is otherwise provided by law. The fact that there is incidental 
162.21 	and unavoidable residue in the alkaline hydrolysis vessel used in a prior hydrolyzation is 
162.22 	not a violation of this subdivision.
162.23 		Subd. 21.Alkaline hydrolysis procedures; removal from alkaline hydrolysis 
162.24 	vessel. Upon completion of the alkaline hydrolysis process, reasonable efforts shall be 
162.25 	made to remove from the alkaline hydrolysis vessel all of the recoverable hydrolyzed 
162.26 	remains and nonhydrolyzed materials or items. Further, all reasonable efforts shall be 
162.27 	made to separate and recover the nonhydrolyzed materials or items from the hydrolyzed 
162.28 	human remains and dispose of these materials in a lawful manner, by the alkaline 
162.29 	hydrolysis facility. The hydrolyzed human remains shall be placed in an appropriate 
162.30 	container to be transported to the processing area.
162.31 		Subd. 22.Drying device or mechanical processor procedures; commingling of 
162.32 	hydrolyzed remains prohibited. Except with the express written permission of the 
162.33 	person with the legal right to control the final disposition or otherwise provided by 
162.34 	law, no alkaline hydrolysis facility shall dry or mechanically process the hydrolyzed 
162.35 	human remains of more than one body at a time in the same drying device or mechanical 
162.36 	processor, or introduce the hydrolyzed human remains of a second body into a drying 
163.1 	device or mechanical processor until processing of any preceding hydrolyzed human 
163.2 	remains has been terminated and reasonable efforts have been employed to remove all 
163.3 	fragments of the preceding hydrolyzed remains. The fact that there is incidental and 
163.4 	unavoidable residue in the drying device, the mechanical processor, or any container used 
163.5 	in a prior alkaline hydrolysis process, is not a violation of this provision.
163.6 		Subd. 23.Alkaline hydrolysis procedures; processing hydrolyzed remains. The 
163.7 	hydrolyzed human remains shall be dried and then reduced by a motorized mechanical 
163.8 	device to a granulated appearance appropriate for final disposition and placed in an 
163.9 	alkaline hydrolysis remains container along with the appropriate identifying disk, tab, 
163.10 	or permanent label. Processing must take place within the licensed alkaline hydrolysis 
163.11 	facility. Dental gold, silver or amalgam, jewelry, or mementos, to the extent that they 
163.12 	can be identified, may be removed prior to processing the hydrolyzed remains, only by 
163.13 	staff licensed or registered by the commissioner of health; however, any dental gold and 
163.14 	silver, jewelry, or mementos that are removed shall be returned to the hydrolyzed remains 
163.15 	container unless otherwise directed by the person or persons having the right to control the 
163.16 	final disposition. Every person who removes or possesses dental gold or silver, jewelry, 
163.17 	or mementos from any hydrolyzed remains without specific written permission of the 
163.18 	person or persons having the right to control those remains is guilty of a misdemeanor. 
163.19 	The fact that residue and any unavoidable dental gold or dental silver, or other precious 
163.20 	metals remain in the alkaline hydrolysis vessel or other equipment or any container used 
163.21 	in a prior hydrolysis is not a violation of this section.
163.22 		Subd. 24.Alkaline hydrolysis procedures; container of insufficient capacity.
 163.23 	If a hydrolyzed remains container is of insufficient capacity to accommodate all 
163.24 	hydrolyzed remains of a given dead human body, subject to directives provided in the 
163.25 	written authorization to hydrolyze, the alkaline hydrolysis facility shall place the excess 
163.26 	hydrolyzed remains in a secondary alkaline hydrolysis remains container and attach the 
163.27 	second container, in a manner so as not to be easily detached through incidental contact, to 
163.28 	the primary alkaline hydrolysis remains container. The secondary container shall contain a 
163.29 	duplicate of the identification disk, tab, or permanent label that was placed in the primary 
163.30 	container and all paperwork regarding the given body shall include a notation that the 
163.31 	hydrolyzed remains were placed in two containers. Keepsake jewelry or similar miniature 
163.32 	hydrolyzed remains containers are not subject to the requirements of this subdivision.
163.33 		Subd. 25.Disposition procedures; commingling of hydrolyzed remains 
163.34 	prohibited. No hydrolyzed remains shall be disposed of or scattered in a manner or in 
163.35 	a location where the hydrolyzed remains are commingled with those of another person 
163.36 	without the express written permission of the person with the legal right to control 
164.1 	disposition or as otherwise provided by law. This subdivision does not apply to the 
164.2 	scattering or burial of hydrolyzed remains at sea or in a body of water from individual 
164.3 	containers, to the scattering or burial of hydrolyzed remains in a dedicated cemetery, to 
164.4 	the disposal in a dedicated cemetery of accumulated residue removed from an alkaline 
164.5 	hydrolysis vessel or other alkaline hydrolysis equipment, to the inurnment of members 
164.6 	of the same family in a common container designed for the hydrolyzed remains of more 
164.7 	than one body, or to the inurnment in a container or interment in a space that has been 
164.8 	previously designated, at the time of sale or purchase, as being intended for the inurnment 
164.9 	or interment of the hydrolyzed remains of more than one person.
164.10 		Subd. 26.Alkaline hydrolysis procedures; disposition of accumulated residue.
 164.11 	Every alkaline hydrolysis facility shall provide for the removal and disposition in a 
164.12 	dedicated cemetery of any accumulated residue from any alkaline hydrolysis vessel, 
164.13 	drying device, mechanical processor, container, or other equipment used in alkaline 
164.14 	hydrolysis. Disposition of accumulated residue shall be according to the regulations of the 
164.15 	dedicated cemetery and any applicable local ordinances.
164.16 		Subd. 27.Alkaline hydrolysis procedures; release of hydrolyzed remains.
 164.17 	Following completion of the hydrolyzation, the inurned hydrolyzed remains shall be 
164.18 	released according to the instructions given on the written authorization to hydrolyze. If 
164.19 	the hydrolyzed remains are to be shipped, they must be securely packaged and transported 
164.20 	by a method which has an internal tracing system available and which provides for a 
164.21 	receipt signed by the person accepting delivery. Where there is a dispute over release 
164.22 	or disposition of the hydrolyzed remains, an alkaline hydrolysis facility may deposit 
164.23 	the hydrolyzed remains with a court of competent jurisdiction pending resolution of the 
164.24 	dispute or retain the hydrolyzed remains until the person with the legal right to control 
164.25 	disposition presents satisfactory indication that the dispute is resolved.
164.26 		Subd. 28.Unclaimed hydrolyzed remains. If, after 30 calendar days following 
164.27 	the inurnment, the hydrolyzed remains are not claimed or disposed of according to the 
164.28 	written authorization to hydrolyze, the alkaline hydrolysis facility or funeral establishment 
164.29 	may give written notice, by certified mail, to the person with the legal right to control 
164.30 	the final disposition or a legal designee, that the hydrolyzed remains are unclaimed and 
164.31 	requesting further release directions. Should the hydrolyzed remains be unclaimed 120 
164.32 	calendar days following the mailing of the written notification, the alkaline hydrolysis 
164.33 	facility or funeral establishment may dispose of the hydrolyzed remains in any lawful 
164.34 	manner deemed appropriate.
164.35 		Subd. 29.Required records. Every alkaline hydrolysis facility shall create and 
164.36 	maintain on its premises or other business location in Minnesota an accurate record of 
165.1 	every hydrolyzation provided. The record shall include all of the following information 
165.2 	for each hydrolyzation:
165.3 	(1) the name of the person or funeral establishment delivering the body for alkaline 
165.4 	hydrolysis;
165.5 	(2) the name of the deceased and the identification number assigned to the body;
165.6 	(3) the date of acceptance of delivery;
165.7 	(4) the names of the alkaline hydrolysis vessel, drying device, and mechanical 
165.8 	processor operator;
165.9 	(5) the time and date that the body was placed in and removed from the alkaline 
165.10 	hydrolysis vessel;
165.11 	(6) the time and date that processing and inurnment of the hydrolyzed remains 
165.12 	was completed;
165.13 	(7) the time, date, and manner of release of the hydrolyzed remains;
165.14 	(8) the name and address of the person who signed the authorization to hydrolyze;
165.15 	(9) all supporting documentation, including any transit or disposition permits, a 
165.16 	photocopy of the death record, and the authorization to hydrolyze; and
165.17 	(10) the type of alkaline hydrolysis container.
165.18 		Subd. 30.Retention of records. Records required under subdivision 29 shall be 
165.19 	maintained for a period of three calendar years after the release of the hydrolyzed remains. 
165.20 	Following this period and subject to any other laws requiring retention of records, the 
165.21 	alkaline hydrolysis facility may then place the records in storage or reduce them to 
165.22 	microfilm, microfiche, laser disc, or any other method that can produce an accurate 
165.23 	reproduction of the original record, for retention for a period of ten calendar years from 
165.24 	the date of release of the hydrolyzed remains. At the end of this period and subject to any 
165.25 	other laws requiring retention of records, the alkaline hydrolysis facility may destroy 
165.26 	the records by shredding, incineration, or any other manner that protects the privacy of 
165.27 	the individuals identified.

165.28 	Sec. 15. Minnesota Statutes 2012, section 257.75, subdivision 7, is amended to read:
165.29 		Subd. 7.Hospital and Department of Health; recognition form. Hospitals that 
165.30 	provide obstetric services and the state registrar of vital statistics shall distribute the 
165.31 	educational materials and recognition of parentage forms prepared by the commissioner of 
165.32 	human services to new parents, shall assist parents in understanding the recognition of 
165.33 	parentage form, including following the provisions for notice under subdivision 5, shall 
165.34 	provide notary services for parents who complete the recognition of parentage form, and 
165.35 	shall timely file the completed recognition of parentage form with the Office of the State 
166.1 	Registrar of Vital Statistics Records unless otherwise instructed by the Office of the State 
166.2 	Registrar of Vital Statistics Records. On and after January 1, 1994, hospitals may not 
166.3 	distribute the declaration of parentage forms.

166.4 	Sec. 16. Minnesota Statutes 2012, section 260C.635, subdivision 1, is amended to read:
166.5 		Subdivision 1.Legal effect. (a) Upon adoption, the adopted child becomes the legal 
166.6 	child of the adopting parent and the adopting parent becomes the legal parent of the child 
166.7 	with all the rights and duties between them of a birth parent and child.
166.8 	(b) The child shall inherit from the adoptive parent and the adoptive parent's 
166.9 	relatives the same as though the child were the birth child of the parent, and in case of the 
166.10 	child's death intestate, the adoptive parent and the adoptive parent's relatives shall inherit 
166.11 	the child's estate as if the child had been the adoptive parent's birth child.
166.12 	(c) After a decree of adoption is entered, the birth parents or previous legal parents 
166.13 	of the child shall be relieved of all parental responsibilities for the child except child 
166.14 	support that has accrued to the date of the order for guardianship to the commissioner 
166.15 	which continues to be due and owing. The child's birth or previous legal parent shall not 
166.16 	exercise or have any rights over the adopted child or the adopted child's property, person, 
166.17 	privacy, or reputation.
166.18 	(d) The adopted child shall not owe the birth parents or the birth parent's relatives 
166.19 	any legal duty nor shall the adopted child inherit from the birth parents or kindred unless 
166.20 	otherwise provided for in a will of the birth parent or kindred.
166.21 	(e) Upon adoption, the court shall complete a certificate of adoption form and mail 
166.22 	the form to the Office of the State Registrar Vital Records at the Minnesota Department 
166.23 	of Health. Upon receiving the certificate of adoption, the state registrar shall register a 
166.24 	replacement vital record in the new name of the adopted child as required under section 
166.25 	144.218.

166.26 	Sec. 17. Minnesota Statutes 2012, section 517.001, is amended to read:
166.27 	517.001 DEFINITION.
166.28 	As used in this chapter, "local registrar" has the meaning given in section 144.212, 
166.29 	subdivision 10 means an individual designated by the county board of commissioners to 
166.30 	register marriages.