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June 23, 2023 CERTIFIED MAIL Emily Peach, Authorized Agent New Beginnings Waverly LLC 550 Main Street Suite 230 New Brighton, MN 55112 License Number: 1089815 (245G) ORDER TO PAY A FINE FOR BACKGROUND STUDY VIOLATIONS Dear Emily: The Department of Human Services (DHS) is ordering you to pay a fine of $600 for three background study violations. Details of our findings are provided below. Our next steps and your options are also detailed. Reason for the Fine DHS is issuing this fine order based on your failure to comply with the following background study requirements: Background Study Violations Determined on March 31, 2023: 1. As a result of a licensing review, a DHS licensor determined that you failed to request a background study for a staff person before they began working in a position allowing direct contact with persons served. A staff person (SP1) began a position allowing direct contact with persons served by license number 1089815 on March 9, 2020 and a background study request was submitted on March 21, 2023, following the licensing review. Statute Violated: Minnesota Statutes, section 245C.04, subdivision 1, paragraph (g). Fine: $200 (one violation at $200 per violation) 2. As a result of a licensing review, a DHS licensor determined that you failed to verify that the information collected about a person was correct before initiating a background study request to DHS. A background study was initiated on a staff person (SP2) using the name on SP2’s driver’s license at the time. However, a DHS licensor was informed that SP2 reported at the time the background study was initiated that their name had been legally changed with the Social Security Administration, and the driver’s license had not yet been updated. No prior names or aliases were identified in the background study entry. Statute Violated: Minnesota Statutes, section 245C.05, subdivision 2. Fine: $200 (one violation at $200 per violation) 3. As a result of a licensing review, a DHS licensor determined you failed to comply with a set aside notice. A set aside was issued for a staff person (SP3) specific to license 1089816, on January 25, 2022. However, SP3 was allowed to remain in a position allowing direct contact services to persons served at another of your licensed programs, license 1089815, which began on November 22, 2021. A set aside notice is issued based on the specifics of the staff person and the people they will provide direct contact to at a specific licensed program. License holders may not affiliate a person across all their licenses without set aside approval for each license. Statute Violated: Minnesota Statutes, section 245C.22, subdivision 5. Fine: $200 (one violation at $200 per violation) Corrective action required You must comply with all background study requirements in Minnesota Statutes, chapter 245C. Within 15 days of this order, submit written documentation to your licensor how you will maintain compliance in the future. Documentation may be sent: 1. By secure email to: Leah.Wachter@state.mn.us; or 2. By mail to: Commissioner, Department of Human Services ATTN: Leah Wachter Licensing Division PO Box 64242 St. Paul, MN 55164-0242 Billing and Payment of the Fine DHS will send you an invoice for the $600 fine. Payment must be made as directed on the invoice. If you request a contested case hearing, as described below, do not pay the fine at this time. Following the contested case hearing, the Commissioner of DHS will issue a final order on this matter. Please note, you may not avoid payment of this fine by closing, selling, or otherwise transferring the license to a third party. If this occurs, each controlling individual is personally and jointly responsible for payment. If you do not pay the fine on or before the date specified on the invoice and you did not request a contested case hearing, as described below, the Commissioner may issue a second fine, may not issue or reissue a license, or may suspend the license until the license holder pays the fine. Your Right to Appeal You have the right to appeal the fine. Your request must be in writing and clearly state that you are requesting a contested case hearing for this matter. Your request must be made before the deadlines provided below. If you do not meet this deadline, you lose your right to an administrative appeal. The timeline to appeal began when you received this order. If you are mailing your request, it must be sent by certified mail and postmarked within 10 calendar days from when you receive this order. Please send it to: Commissioner, Department of Human Services Office of Inspector General Legal Counsel’s Office Attn: Licensing Legal Unit PO Box 64953 St. Paul, MN 55164-0953 If your request is being personally delivered, it must be received by DHS within 10 calendar days from when you receive this order. Please bring it to: Commissioner, Department of Human Services Office of Inspector General Legal Counsel’s Office Attn: Licensing Legal Unit 444 Lafayette Road North St. Paul, MN 55155 Upon DHS’ receipt of your timely appeal, your case would be scheduled for a contested case hearing in front of an Administrative Law Judge. Following this hearing, the Commissioner of DHS will issue a final order. Legal representation at the contested case hearing You do not need a lawyer to appeal. However, a lawyer can help you with your appeal. The state or county will not get you a lawyer and will not pay for a lawyer. If you cannot afford a lawyer, you may be able to get free legal advice or help with your appeal. To find out if free help is available, contact: Volunteer Lawyers Network at 612-752-6677; Central Minnesota Legal Services at 612-332-8151; Southern Minnesota Legal Services at 651-222-4731; or go to www.lawhelpmn.org to find a local legal services program that may be able to help you. You can also find information on contested cases from the Office of Administrative Hearings website at https://mn.gov/oah/self-help. Click on Administrative Law Overview, then click on Administrative Law Contested Case Hearing Guide for a list of frequently asked questions. Legal Authority for this Licensing Action · DHS may impose a $200 fine for each background study violation under Minnesota Statutes, section 245A.07, subdivision 3, paragraph (c)(4)(iv). · The exception that allows a license holder who self-corrects a background study violation to avoid a fine does not apply when the license holder was cited for the same violation within the past 365 days, under Minnesota Statutes, section 245A.07, subdivision 3, paragraph (d). · Minnesota Statutes, section 245A.07, subdivision 3, paragraph (c)(5) states that license holders may not avoid payment of a fine by closing, selling, or transferring a license. · Minnesota Statutes, section 245A.04, subdivision 7, paragraph (d)(4), states that DHS shall not issue or reissue a license if the applicant, license holder, or controlling individual has an outstanding debt related to a license fee, licensing fine, or settlement agreement for which payment is delinquent. · Minnesota Statutes, section 245A.07, subdivision 3, paragraph (c)(2), states that that the license holder shall pay the fine assessed on or before the payment date specified, and if the license holder does not do so the commissioner may issue a second fine or suspend the license until the license holder complies. · License holders have a right to appeal licensing actions and request a contested case hearing, under Minnesota Statutes, chapter 14 and Minnesota Rules, parts 1400.8505 to 1400.8612. Questions If you have any further questions regarding this matter, you may contact Kristi Strang, Supervisor, at 651-431-6611. Sincerely,
Paula Halverson, Unit Manager Licensing Division Office of Inspector General
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