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

1. (1) Definitions. The following terms are defined as follows:

   1. (A) Disqualifying incident, a crime which under 9 CSR 10-5.190 results in a person being disqualified from employment, or one

2. (1) or more administrative findings of abuse, neglect or misuse of client funds which, under 9 CSR 10-5.200 leads to a person being listed on the Department of Mental Health disqualification registry;

   1. (B) Exception, 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. 1. A contention that the rule is not

valid;

1. 2. A contention that the provider is in

fact in compliance with the rule; and

1. 3. A request for an interpretation of a

rule.

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

   1. (A) Licensure rules for residential facilities and day programs promulgated under 9 CSR 40;
   2. (B) Certification rules for alcohol and drug abuse programs and psychiatric programs promulgated under 9 CSR 10-7 and 9 CSR 30;
   3. (C) Certification rules under 9 CSR 45 for programs serving persons who are developmentally disabled under the Community Based Waiver Program;
   4. (D) Any other administrative rule promulgated by the Department of Mental Health that specifically allows for an exception; and

   5. (E) Rules related to disqualification from employment under 9 CSR 10-5.190 and 9 CSR 10-5.200. In the context of employment disqualification the following apply.

      1. 1. A person may not request an excep-

tion until twelve (12) months have passed since the sentence of the court or since the department gave official notice of the person’s name being added to the Department of Mental Health disqualification registry.

1. 2. The exceptions option under this

administrative rule does not replace or substitute for the appeal procedures afforded under Department Operating Regulation (DOR) 2.205 and 9 CSR 10-5.200 or any other administrative process. A person is not required to exhaust the appeal procedures as a prerequisite to requesting an exception; however, an exception will not be considered while an appeal is pending.

1. (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 disqualification from employment under 9 CSR 10-5.190 and 9 CSR 10-5.200.
   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)(E) of this rule.

2. (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 in question;
      2. 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, related to disqualification from employment.

   1. 1. A letter from the disqualified person

containing the following information:

1. A. A description of the disqualifying

incident;

1. B. When the disqualifying incident

occurred;

1. C. If the disqualifying incident was a

crime, the sentence of the court;

1. D. Mitigating circumstances, if any;
2. E. Activities and accomplishments

since the disqualifying incident;

1. F. The names and dates of any rele-

vant training or rehabilitative services;

1. G. The type of service and/or pro-

gram the applicant wishes to provide for mental health clients;

1. H. Identification of the type of

employment 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; and

1. I. Changes in personal life since the

disqualifying incident (e.g., marriage, family, and education); 9 CSR 10-5

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

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

1. 3. Work history, with particular empha-

sis 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. The committee may approve a request, approve the request with conditions, deny the request or defer a decision pending receipt of additional information.
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. Persons requesting an exception under 9 CSR 10-5.190 must wait twelve (12) months before repeating a request.
3. (7) Documentation. A recipient of an exception shall maintain documentation of all approved exceptions and make the documentation available for review upon request by authorized staff of the department.

4. (8) 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. (9) 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. (10) 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 and 630.656, RSMo 2000 and 630.170, RSMo Supp. 2003.* Original rule filed Feb. 23, 2001, effective Sept. 30, 2001. Amended: Filed Nov. 3, 2003, effective April 30, 2004. Amended: Filed April 13, 2004, effective Oct. 30, 2004.

*Original authority: 630.050, RSMo 1980, amended 1993, 1995; 630.170, RSMo 1980, amended 1982, 1996, 1998, 2001, 2003; 630.656, RSMo 1995.