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Lapsed certified assessor audit protocol

Updated 11/14/2024

Lead agencies are responsible for monitoring the certification status of their MnCHOICES certified assessors. To monitor certifications, they can use the Assessor Certification Status report by selecting reports in the MnCHOICES navigation header.

Each lead agency must make sure their certified assessors follow the certification protocol (initial and recertification). Go to these resources for more information:

Pursuant to Minn. Stat. §256B.0911, subd. 13, certified assessors are responsible for maintaining their own certification status.

Key Terms

Lapsed assessor: For the purposes of this protocol, a staff member’s credential lapses 30 days after its effective range end date.

Lapsed status: A staff member’s credential effective range end date has passed.

Audit protocol

Certification records are subject to DHS audit and must be kept for at least three years after a staff member’s most recent certification. DHS will follow this audit protocol:

1. DHS performs a quarterly audit of all lapsed assessors and compiles a list of assessors with a lapsed status of 30 days or more.
2. DHS sends an email to individual lead agencies to notify them of assessors with a lapsed certificate, incomplete training or other certification issues. If a lead agency does not receive an email from DHS, they do not have assessors completing assessments whose credentials lapsed more than 30 days ago.
3. The lead agency must address the lapse(s) within 10 business days of the first notice and tell DHS all assessor recertifications are complete. A lead agency can fix certification issues in these ways:

  • The certified assessor uses the MnCHOICES Step 4-Recertification (MNCH8020) TrainLink course to enter their continuing learning units (CLUs) and generate their certificate.
  • Use the MnCHOICES Help Desk Contact Form to report any issues with MNCH8020.

4. On business day 11, DHS sends a second documentation request to lead agencies that did not respond to the initial request telling the agency that DHS did not get the required documentation or receive a reply to the first message.
5. From the date of the second notification, a lead agency has five business days to complete the recertification(s) or provide other documentation.
6. When DHS gets the required documentation, it will confirm receipt of those records.
7. If DHS does not receive a response from a lead agency within five business days of the second notification, DHS will instruct the lead agency that the lapsed assessor(s) cannot complete assessments until they are recertified.

  • DHS will check the recertification database and MnCHOICES to verify certification data is updated.

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