.................... moves to amend H. F. No. 3372 as follows:
Page 6, after line 20, insert:
"Sec. 9. Minnesota Statutes 2007 Supplement, section 62J.536, is amended by adding a
subdivision to read:
1.5 Subd. 5. Compliance and investigations. (a) The commissioner of health will, to
1.6the extent practicable, seek the cooperation of health care providers and group purchasers
1.7in obtaining compliance with this section and may provide technical assistance to health
1.8care providers and group purchasers.
1.9 (b) A person who believes a health care provider or group purchaser is not complying
1.10with the requirements of this section may file a complaint with the commissioner of health.
1.11Complaints filed under this section must meet the following requirements:
1.12 (1) A complaint must be filed in writing, either on paper or electronically.
1.13 (2) A complaint must name the person that is the subject of the complaint and
1.14describe the acts or omissions believed to be in violation of this section.
1.15 (3) A complaint must be filed within 180 days of when the complainant knew or
1.16should have known that the act or omission complained of occurred.
1.17 (4) The commissioner may prescribe additional procedures for the filing of
1.18complaints as required to satisfy the requirements of this section.
1.19 (c) The commissioner of health may investigate complaints filed under this section.
1.20Such investigation may include a review of the pertinent policies, procedures, or practices
1.21of the health care provider or group purchaser and of the circumstances regarding any
1.22alleged violation. At the time of initial written communication with the health care
1.23provider or group purchaser about the complaint, the commissioner of health will describe
1.24the acts or omissions that are the basis of the complaint. The commissioner may conduct
1.25compliance reviews to determine whether health care providers and group purchasers
1.26are complying with this section.
2.1 (d) Health care providers and group purchasers must cooperate with the
2.2commissioner of health if the commissioner undertakes an investigation or compliance
2.3review of the policies, procedures, or practices of the health care provider or group
2.4purchaser to determine compliance with this section. This cooperation includes, but is
2.5not limited to:
2.6 (1) A health care provider or group purchaser must permit access by the
2.7commissioner of health during normal business hours to its facilities, books, records,
2.8accounts, and other sources of information that are pertinent to ascertaining compliance
2.9with this section.
2.10 (2) If any information required of a health care provider or group purchaser under
2.11this section is in the exclusive possession of any other agency, institution, or person and
2.12the other agency, institution, or person fails or refuses to furnish the information, the
2.13health care provider or group purchaser must so certify and set forth what efforts it has
2.14made to obtain the information.
2.15 (3) Any individually identifiable health information obtained by the commissioner
2.16of health in connection with an investigation or compliance review under this section
2.17may not be used or disclosed by the commissioner of health, except as necessary for
2.18ascertaining or enforcing compliance with this section.
2.19 (e) If an investigation of a complaint indicates noncompliance, the commissioner
2.20of health will attempt to reach a resolution of the matter by informal means. Informal
2.21means may include demonstrated compliance or a completed corrective action plan or
2.22other agreement. If the matter is resolved by informal means, the commissioner of health
2.23will so inform the health care provider or group purchaser and, if the matter arose from a
2.24complaint, the complainant, in writing. If the matter is not resolved by informal means,
2.25the commissioner of health will:
2.26 (1) inform the health care provider or group purchaser and provide an opportunity
2.27for the health care provider or group purchaser to submit written evidence of any
2.28mitigating factors or other considerations. The health care provider or group purchaser
2.29must submit any such evidence to the commissioner of health within 30 calendar days of
2.30receipt of such notification; and/or
2.31 (2) inform the health care provider or group purchaser, through a notice of proposed
2.32determination in accordance with paragraph (j), that the commissioner of health finds that
2.33a civil money penalty should be imposed.
2.34 (f) If, after an investigation or a compliance review, the commissioner of health
2.35determines that further action is not warranted, the commissioner of health will so inform
3.1the health care provider or group purchaser and, if the matter arose from a complaint, the
3.2complainant, in writing.
3.3 (g) A health care provider or group purchaser may not threaten, intimidate, coerce,
3.4harass, discriminate against, or take any other retaliatory action against any individual
3.5or other person for:
3.6 (1) filing of a complaint under this section;
3.7 (2) testifying, assisting, or participating in an investigation, compliance review,
3.8proceeding, or contested case proceeding under this section; or
3.9 (3) opposing any act or practice made unlawful by this section, provided the
3.10individual or person has a good faith belief that the practice opposed is unlawful, and
3.11the manner of opposition is reasonable and does not involve an unauthorized disclosure
3.12of a patient's health information.
3.13 (h) The commissioner of health may impose a civil money penalty upon a health
3.14care provider or group purchaser if the commissioner of health determines that the health
3.15care provider or group purchaser has violated this section. If the commissioner of health
3.16determines that more than one health care provider or group purchaser was responsible
3.17for a violation, the commissioner of health may impose a civil money penalty against
3.18each such health care provider or group purchaser. The amount of a civil money penalty
3.19shall be determined as follows:
3.20 (1) The amount of a civil money penalty shall be $100 for each violation, but not to
3.21exceed $25,000 for identical violations during a calendar year.
3.22 (2) In the case of continuing violation of this section, a separate violation occurs each
3.23business day that the health care provider or group purchaser is in violation of this section.
3.24 (3) In determining the amount of any civil money penalty, the commissioner of health
3.25may consider as aggravating or mitigating factors, as appropriate, any of the following:
3.26 (i) the nature of the violation, in light of the purpose of the goals of this section;
3.27 (ii) the time period during which the violation occurred;
3.28 (iii) whether the violation hindered or facilitated an individual's ability to obtain
3.30 (iv) whether the violation resulted in financial harm;
3.31 (v) whether the violation was intentional;
3.32 (vi) whether the violation was beyond the direct control of the health care provider
3.33or group purchaser;
3.34 (vii) any history of prior compliance with the provisions of this section, including
4.1 (viii) whether and to what extent the provider or group purchaser has attempted to
4.2correct previous violations;
4.3 (ix) how the health care provider or group purchaser has responded to technical
4.4assistance from the commissioner of health provided in the context of a compliance
4.6 (x) the financial condition of the health care provider or group purchaser including,
4.7but not limited to, whether the healthcare provider or group purchaser had financial
4.8difficulties that affected its ability to comply or whether the imposition of a civil money
4.9penalty would jeopardize the ability of the health care provider or group purchaser to
4.10continue to provide, or to pay for, health care.
4.11 (i) If a penalty is proposed in accordance with this section, the commissioner
4.12of health must deliver, or send by certified mail with return receipt requested, to the
4.13respondent, written notice of the commissioner of health's intent to impose a penalty. This
4.14notice of proposed determination must include:
4.15 (1) a reference to the statutory basis for the penalty;
4.16 (2) a description of the findings of fact regarding the violations with respect to
4.17which the penalty is proposed;
4.18 (3) the amount of the proposed penalty;
4.19 (4) any circumstances described in paragraph (i) that were considered in determining
4.20the amount of the proposed penalty;
4.21 (5) instructions for responding to the notice, including a statement of the respondent's
4.22right to a contested case proceeding and a statement that failure to request a contested case
4.23proceeding within 30 calendar days permits the imposition of the proposed penalty; and
4.24 (6) the address to which the contested case proceeding request must be sent.
4.25 (j) A health care provider or group purchaser may contest whether the finding of
4.26facts constitute a violation of this section, in accordance with a contested case proceeding
4.27as set forth in sections 14.57 to 14.62, subject to appeal in accordance with sections 14.63
4.29 (k) Any data collected by the commissioner of health as part of an active
4.30investigation or active compliance review under this section are classified as protected
4.31nonpublic data pursuant to section 13.02, subdivision 13, in the case of data not on
4.32individuals and confidential pursuant to section 13.02, subdivision 3, in the case of data
4.33on individuals. Data describing the final disposition of an investigation or compliance
4.34review are classified as public.
5.1 (l) Civil money penalties imposed and collected under this subdivision shall be
5.2deposited into a revolving fund and are appropriated to the commissioner of health for the
5.3purposes of this subdivision, including the provision of technical assistance.
Renumber the sections in sequence and correct the internal references
Amend the title accordingly