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Background Study Requirements

Who Requires a Background Study?


The purpose of the background study is to determine if a person has committed a crime or
other act (such as maltreatment of a vulnerable adult) that disqualifies him or her from
providing services to your programs clients.
Adult Day Programs must request that the Minnesota Department of Human Services (DHS)
conduct a criminal background study on all of the following individuals (see Minnesota Statutes
sections 245A.04, subd. 3 and 245C.03).
1) Applicants for licensure. As stated in the DHS licensing application, before a license will be
issued, background studies must be conducted and cleared by DHS for all controlling
individuals, as defined in Minnesota Statutes section 245A.02, subdivision 5a, including: (1)
the person(s) who signs the license application; and (2) the person with the highest degree
of decision-making authority over the program.
2) Employees who will have direct contact with persons served by the program. Direct
contact is defined as providing face-to-face care, training, supervision, counseling,
consultation, or medication assistance to persons served by the program (Minnesota
statutes section 245C.02, subd. 11).
3) Contractors of the program who will have direct contact with persons served by the
program. A program is responsible to request a background study on individuals not
directly employed by the program but who provide program services for hire under the
control of the program. Alternatively, the program must obtain and maintain
documentation that the contractor has had a DHS background study completed through his
or her employer.
4) Volunteers or student volunteers who will have direct contact with persons served by the
program as part of the programs services, if the volunteer or student volunteer is not under
the continuous, direct supervision by an individual listed in paragraph (1) or (2).
5) All managerial officials, which is defined to mean those individuals who have the decision-
making authority related to the operation of the program, and the responsibility for the
ongoing management of or direction of the policies, services, or employees of the program.
6) Others: If applicable, DHS will also conduct a background study on an individual age 13 and
over living in the household where the licensed program will be provided who is not
receiving licensed services from the program; or an individual age ten to 12 living in the
household where the licensed services will be provided when DHS has reasonable cause.
What is the Process for Initiating a Background Study?
There are three main steps in the background study process:
(1) Study Request. The process begins when a licensed program submits a background study
request. Programs must initiate background studies on-line through the DHS system called

Katie Adult Day Center Policies and Procedures Manual 01-009.16


A Product of LeadingAge Minnesota October 2016
NETStudy2.0. All adult day programs must take the steps necessary to use NETStudy 2.0, which
has replaced the prior NETStudy system. There is a $20 fee for each background study, which
the program pays on-line through NETStudy 2.0.
After an application is submitted, but before the study subject has his/her fingerprints and
photo recorded (see below), the study subject must be under continuous and direct
supervision. Once the study subject is fingerprinted and photographed, DHS will notify the
study subject and the program if the study subject must remain supervised while the
background study is being completed, or if the study subject may provide unsupervised services
(2) Fingerprinting and Photographing. The person who is the subject of the background study
must then provide fingerprints and be photographed at an approved location. The background
study does not begin processing until the applicant is fingerprinted and photographed at a DHS
authorized fingerprint and photo service location. There are more than 50 locations
throughout Minnesota, and a list of those locations can be found at:
https://www.cogentid.com/mn/Maps/MNFingerprintLocations.htm. If that map is not
functioning properly, or if you have questions about the sites, contact DHS at
dhs.netstudy2@state.mn.us or by phone at 651-431-6625.
After submitting a background study request, the NETStudy 2.0 system will generate a privacy
notice for the study subject, as well as a Fingerprint Authorization form which the study subject
must show the fingerprint and photo technician before being fingerprinted. The authorization
is valid for fourteen calendar days after the study was submitted. After that time, a new
background study must be initiated by the program to generate a new fingerprint authorization
form.
There is a $9.10 fee for the fingerprinting and photo, which is paid directly to the vendor, 3M
Cogent. That fee may be paid ahead of time on-line or at the fingerprinting location. A program
may pay the fee itself, or may require the person who is the subject of the background study to
pay the fee.
3) Processing and Notification of Results. Once the program has submitted its request, and the
individual has submitted fingerprints and a photograph, DHS will process the background study
and report the results to both the study subject and to the program that initiated the study.
Under NETStudy 2.0, most results will be available within 1-2 days, and in some cases within
just a few hours. If DHS determines that the person is disqualified from providing services, its
notification will include information about the persons right to request that DHS set-aside the
disqualification and about whether he or she may continue to work while DHS considers the
set-aside request.
Where Can I Find More Information?
DHS has published a NETStudy 2.0 Users Manual, which covers the background study process
in detail, including instructions for initiating studies, paying fees, understanding the results of a

Katie Adult Day Center Policies and Procedures Manual 01-009.16


A Product of LeadingAge Minnesota October 2016
background study (meaning whether a person is eligible to provide services or is disqualified
from providing services), and other important topics. At the time of this documents printing,
the User Manual was posted at this site:
https://mn.gov/dhs/assets/netstudy2.0_user_manual_v3.2016_tcm1053-218991.pdf.
Useful information is also available on the DHS background studies website:
http://mn.gov/dhs/general-public/background-studies/.
If those resources do not provide the information you need, contact DHS at
dhs.netstudy2@state.mn.us or by phone at 651-431-6625.

Katie Adult Day Center Policies and Procedures Manual 01-009.16


A Product of LeadingAge Minnesota October 2016