PURPOSE: This rule establishes procedures for requesting an exception from the administrative rules of the Department of Mental Health.

1. (1) Definition. An exception is a decision by the department not to enforce an administrative rule under the individual circumstances described in the request for an exception and the conditions described in the approval. None of the following are subject matter of an exception:

   1. (A) A contention that the rule is not valid;
   2. (B) A contention that the provider is in fact in compliance with the rule; and
   3. (C) A request for an interpretation of a rule.

2. (2) Rules Subject to an Exception. Only the following statutes and rules may be the subject of an exception:

   1. (A) Statutes and rules related to crimes that disqualify from employment under section 630.170, RSMo and 9 CSR 10-5.190;
   2. (B) Licensure rules for residential facilities and day programs promulgated under 9 CSR 40;
   3. (C) Certification rules for alcohol and drug abuse programs and psychiatric programs promulgated under 9 CSR 30;
   4. (D) Certification rules under 9 CSR 45 for programs serving persons who are developmentally disabled under the Community Based Waiver Program;
   5. (E) Any other administrative rule promulgated by the Department of Mental Health that specifically allows for an exception.

3. (3) Who may apply for an exception?

   1. (A) A chief executive officer, or designee, on behalf of a residential facility, day program or specialized service, or an employee thereof.
   2. (B) An individual may request an exception on his or her own behalf with respect to criminal backgrounds under 9 CSR 10-5.190.
   3. (C) A facility operated by the department on behalf of a residential facility, day program or specialized service licensed, operated or funded by the department.
   4. (D) Any other person or entity affected by an administrative rule under subsection (2)(D) of this rule.

4. (4) How to request an exception.

   1. (A) A person may request an exception by sending to the exceptions committee a written request which—

      1. 1. Cites the rule number or statutes

number in question;

1. 2. Indicates why and for how long com-

pliance with the rule should be waived; and

1. 3. Is accompanied by supporting docu-

mentation, if appropriate.

1. (B) In addition, the following additional items must be part of a request under 9 CSR 10-5.190 Criminal Record Review.

   1. 1. A letter from the offender describing

the crime and other factors under paragraphs 1. through 12. of this subsection;

1. 2. A description of the specific crime or

crimes;

1. 3. When they occurred;
2. 4. Mitigating circumstances, if any;
3. 5. The sentence of the court, including

conviction date, sentence status and release date;

1. 6. Activities and accomplishments since

the crime;

1. 7. The names and dates of any rehabili-

tative services;

1. 8. The type of service and/or program

the applicant wishes to provide for mental health clients;

1. 9. Identification of the type of employ-

ment or position the applicant wishes to maintain or obtain and the name of the mental health program in which he or she wishes to work or continue working;

1. 10. Changes in personal life since the

crime (e.g. marriage, family, and education);

1. 11. References, i.e., written recommen-

dations from at least three (3) persons who verify the applicant’s assertions; and

1. 12. Work history, with particular

emphasis on work in the mental health field.

1. (C) Request for exceptions should be sent to Exceptions Committee Coordinator, Office of Quality Management, Department of Mental Health, PO Box 687, Jefferson City, MO 65102.

1. (5) Response. Within forty-five (45) calendar days of receiving a request for an exception, the exceptions committee shall respond in writing.

   1. (A) The committee may approve a request, approve the request with conditions, deny the request or defer a decision pending receipt of additional information.
   2. (B) An approved exception regarding criminal backgrounds under 9 CSR 10-5.190 becomes null and void if the subject changes employment or if there are other changes in the circumstances described in the request.
2. (6) Decisions of the exceptions committee are not subject to appeal. However persons aggrieved by a decision may modify and repeat a request after ninety (90) days. 9 CSR 10-5

Persons requesting an exception under 9 CSR 10-5.190 must wait twelve (12) months before repeating a request.

1. (7) Documentation. A recipient of an exception shall—

   1. (A) Maintain documentation of all approved exceptions and make the documentation available for review upon request by authorized staff of the department; and

   2. (B) Annually send to the exceptions committee documentation which—

      1. 1. Addresses whether the exception has

been implemented, the exception is still necessary and its effect on services;

1. 2. Is required under the terms and con-

ditions announced in the letter of approval.

1. (8) The Department of Mental Health will review the approved exceptions at least annually to determine whether the exception has been properly implemented and whether its implementation is having the intended impact on services.

2. (9) Expiration Date for an Exception.

   1. (A) An exception becomes null and void without any further action by the department under any of the following circumstances.

      1. 1. An expiration date is announced in

the letter of approval.

1. 2. The subject for whom the exception

was granted changes employment.

1. 3. There are changes in other circum-

stances described in the request.

1. (B) If an exception expires under this section, it may be renewed by submission of a new request.

1. (10) Rescinding Decisions. The exceptions committee may rescind any exception if, in its judgment, any of the following occur:

   1. (A) The provider failed to meet a condition of the exception, or to maintain documentation required under section (7);
   2. (B) It is discovered that the request contained misleading, incomplete or false information; or
   3. (C) The exception results in poor quality of care, or risk/harm to a client or resident.
2. (11) If the committee rescinds an exception, the committee shall provide all concerned parties with a notice of rescission with an effective date. There shall be no appeal of a rescission of an exception.

AUTHORITY: sections 630.050, 630.170 and 630.656 RSMo 2000.* Original rule filed Feb. 23, 2001, effective Sept. 30, 2001. *Original authority: 630.050, RSMo 1980, amended 1993, 1995; 630.170, RSMo 1980, amended 1982, 1996, 1998; 630.656, RSMo 1995.