Legal authority

Federally approved BI, CAC, CADI, DD and EW waiver plans, Alternative Care (AC) program (Minn. Stat. §256B.0913),Minn. Stat. §245C.02, subd. 11, Minn. Stat. §245C.04, subd. 6, Minn. Stat. §256B.4912, subd. 1(b) and 1(c)

Definitions

Individual service vendor: An individual who is approved by a lead agency to provide HCBS waiver/AC approval-option services. He or she is not enrolled with DHS as a Minnesota Health Care Programs (MHCP) provider.

Agency service vendor: An agency that is approved by a lead agency to provide HCBS waiver/AC approval-option services. Its structure includes an owner and/or managerial official, and employees. An agency service vendor is not enrolled with DHS as an MHCP provider.

“Direct-contact” service: Providing face-to-face care, training, supervision, counseling, consultation or medication assistance to a person.

Background

Everyone who provides "direct-contact" waiver/AC services must undergo a DHS background study and comply with Minnesota Statutes, Chapter 245C background study requirements.

"Direct-contact" waiver/AC services include the following approval-option services:

The lead agency must assure that each individual and agency service vendor it approves to deliver any of these direct-contact, approval-option services has undergone a DHS background study.

In addition, the lead agency must assure that each agency service vendor it approves agrees to:

The agency service vendor agrees by signing the required Approval-Option Service Vendor Assurance Statement, DHS-7004B.

Responsibility for DHS background study process

Individual service vendor

The lead agency is responsible to submit DHS background study requests and comply with results related to individual service vendors.

This means the lead agency:

The lead agency and the individual service vendor will receive the individual's initial background study results and any updates.

Agency service vendor

The agency service vendor is responsible to submit DHS background study requests for its owner(s) or managerial official(s) and employees who will provide direct-contact, approval-option services.

This means the agency service vendor:

The lead agency will not receive the agency service vendor's initial background study results or any updates. The agency service vendor must provide the lead agency with:

The approved agency service vendor must comply with employee background study results. The lead agency may, at any time, request an agency service vendor to verify the background study status of any owner/managerial official or employee.

Establish NETStudy 2.0 access

Whomever is responsible to submit the DHS background study request must establish access to the NETStudy 2.0 system. This process is called "onboarding." Each lead agency and agency service vendor only needs to complete onboarding once. To do so, follow these steps:

1. Send an email

To initiate onboarding, send an email to dhs.netstudy2@state.mn.us with the subject line "Background Study Account Request." This email is brief:

2. Complete and submit the form

The DHS Background Studies Division will respond with a form to complete and submit: "Unlicensed Home and Community-Based Service Background Study Account Request." The form includes instructions.

3. Review onboarding materials

After the Background Studies Division receives the completed form, it will send the submitting agency (i.e. the lead agency or agency service vendor) the following items via email:

Review this information. It provides instructions on how to complete the NETStudy 2.0 Onboarding Tool.

4. Complete the Onboarding Tool

The DHS Background Studies Division will send the NETStudy 2.0 Onboarding Tool via email within two days of sending the onboarding materials.

Complete and submit the Onboarding Tool per the instructions in the Onboarding Guide. The Onboarding Tool gives the submitting (i.e.lead agency or agency service vendor) access to the NETStudy 2.0 system.

Request a DHS background study

For complete instructions on how to request a DHS background study in NETStudy 2.0, see the Quickstart Guide and technical assistance videos included in the onboarding materials from the Background Studies Division. Below are important steps to note.

DHS privacy notice

The lead agency or agency service vendor must provide each study subject with the DHS privacy notice. To access the privacy notice, log in to NETStudy 2.0 and:

1. Hover on the "Application" tab
2. Select "Application Forms"
3. Select "Background Study Privacy Notice."

Fingerprint and photo

In order to complete the background study, the study subject must provide his or her fingerprints and have his or her photo taken at one of the authorized fingerprint and photo locations. The study subject must bring the Fingerprint Authorization Form (generated during the DHS background study request process in NETStudy 2.0). For authorized fingerprint and photo locations, see 3M Cogent – Minnesota.

Fees

There is a fee for both the DHS background study and the fingerprint and photo service:

DHS background study

The lead agency or agency service vendor pays the DHS background study fee through NETStudy 2.0 with a MasterCard, Visa or debit. When the lead agency requests a background study for an individual service vendor, the lead agency is responsible to submit the payment. It may collect this fee from the individual service vendor.

For current fee amount, see DHS – Background study fees (PDF). Reference the table's second to last row "Unlicensed home and community-based service providers."

Fingerprint and photo

The lead agency, agency service vendor or background study subject may pay the fingerprint and photo fee. The fee is paid directly to 3M Cogent either in-advance at 3M Cogent – Minnesota with a MasterCard, Visa, debit, or in-person with a check.

For current fee amount, see DHS – Changes to background study process and implementation of NETStudy 2.0. Select "fingerprints and photo," then "fingerprints and photo service locations, fee, and vendor information."

Background study results

Within three business days of submitting a background study request, DHS will send the study subject a notice through the U.S. Postal Service and the submitting agency an alert via email to check for an updated status in NETStudy 2.0. The information provided will state one of the following:

If the initial notice states that the background study is not yet complete, DHS will send a follow-up notice that states the final background study results.

Final results

The lead agency cannot approve an individual or agency service vendor to provide direct-contact, approval-option services if the individual or agency has been disqualified by the DHS background study process. An exception is if the individual's disqualification is "set aside". A "set aside" means that while the individual remains disqualified, DHS determined the person does not pose a risk of harm and is therefore deemed able to provide direct-contact services.

The agency service vendor is responsible for adhering to background study requirements, and allowing only employees who are not disqualified, or those whose disqualification is "set aside," to provide direct-contact services.

View status

In the NETStudy 2.0 system:

Lead agency document retention

The lead agency must keep copies of completed DHS background studies for all individual and agency service vendors it approves to deliver direct-contact, approval-option services. The vendor background study record may include one or more of the following:

Agency service vendor

The lead agency keeps a copy of the agency service vendor owner's/managerial official's DHS background study. The lead agency is not required to collect or manage agency service vendor employee records. This is the agency service vendor's responsibility.

Retention timelines

The lead agency must retain background study records for five years following the final date the vendor delivers services.

Changes to background study status

Through NETStudy 2.0, DHS receives updated criminal and/or substantiated maltreatment information for people who either are:

Notification

If the information DHS receives results in a change to a subject's background study status, the following will happen:

The agency service vendor must notify the lead agency of any change in an owner(s)/managerial official(s) background study status.

The individual service vendor must notify all lead agencies that DHS does not directly notify of any change in his or her background study status. (This scenario may occur when county or tribal agencies collaborate to review and approve an individual service vendor.)

When to stop service delivery

The lead agency must immediately stop service delivery by an individual or agency service vendor whose background study status is disqualified by DHS.

In some situations, an individual will be disqualified but allowed to continue working either with or without supervision. In other situations, an individual will be disqualified and must be immediately removed from providing services. If the instruction from DHS is to remove an individual, the lead agency may allow the individual or agency service vendor to resume service delivery if he or she is subsequently "set aside" and deemed able to provide direct-contact services.

Designate multiple NETStudy 2.0 users

The lead agency or agency service vendor can designate multiple NETStudy 2.0 users. For instructions, watch the video "User account creation," which you can access on DHS – NETStudy 2.0 training and technical assistance videos (PDF).

Lead agency collaboration

Lead agencies that authorize the same vendor to deliver direct-contact, approval-option services may collaborate to manage background study requirements.

If seeking approval from multiple lead agencies to deliver direct-contact, approval-option services, a vendor who successfully completes a DHS background study may give a copy of the completed background study) to multiple lead agencies.

Consideration

A lead agency will not receive notification from DHS of changes to a background study status for individual service vendors unless it submitted a background study request for that individual service vendor.

When a direct-contact service vendor signs DHS-7004B during the approval process, the vendor assures it will notify the lead agency of a change in its background study status. If the lead agency wants to receive individual service vendor background study notifications directly from DHS, it must request its own DHS background study for the vendor.

Additional resources