Section 071-18-5 - STATUTORY AND ADMINISTRATIVEA. Application/Reapplication for Licensure (1) Application. Any person who intends to operate a Residential Child Care Facility shall file an application for a license in a manner and on a form prescribed by the Department. The applicant shall be the owner of the facility or the person designated as having full responsibility for the administration of the agency. Initial contact for the purpose of requesting a license application may be made, as appropriate, to one of the three departments responsible for licensing.(2) Renewal of License. A facility seeking to renew its current license shall file a renewal application in a manner and on a form prescribed by the department not less than sixty (60) days prior to the date of expiration of its license. When a facility has made timely application for renewal the existing license shall remain in effect until the Department takes action on such application. a. For renewals subsequent to issuance of a provisional or conditional license the facility shall submit documentation of full compliance with these rules.b. For all renewals the facility shall submit the following documents at the time of re-application: i. Financial Report. An updated budget and financial report which demonstrates the facility's financial capability to carry out its program for the licensing period.ii. Documentation of Changes, Any documentary information which has changed since the time of its previous application.iii. Waiver Request, Any request for waiver of a particular regulation or renewal of any waiver granted under current licensure.(3) Change of Ownership or Location. A license shall not be transferable from one licensee to another, one location to another or from one facility to another.
(4) Role of the Department. a. Issuance of License. Upon receipt of an application for a license or renewal thereof, the department shall inform the applicant of the steps it will follow in the licensing process which shall include interviews, site visits, review of records, and technical assistance related to meeting and maintaining licensing requirements. The department shall issue a license if it finds the applicant in compliance with these rules.b. Request Fire and Safety Inspection. application for a license or renewal thereof, the department shall contact the State Fire Marshal's Office to request an inspection of the applicant's physical plant to ensure compliance with appropriate state and local regulations regarding safety. The department shall request copies of such inspection reports.c. Visits to Determine Compliance. Any employee authorized by the department shall, at any reasonable time, have the right of entry and may inspect the facility and any records required by these rules in order to determine compliance with law and with rules established by the department. The employee shall have access, in private, to any resident of the facility for the purpose of investigating a suspected violation of law and/or rules established by the department. An employee authorized by the department may enter a facility which the department knows or believes is operated without a license only with the permission of the owner or person in charge 'or with a search warrant from the District Court authorizing entry and inspection.d. Availability of Information. The department shall have access to any information which the facility is required to have under these rules and any information reasonably related to assessment of compliance with these rules.B. Terms and Types of Licenses No person shall operate a Residential Child Care Facility without a license from the department.
(1) Provisional License. A provisional license shall be issued by the department to an applicant who: Has not previously operated the facility for which the application is made or is licensed but has not operated during the term of that license Complies with all applicable laws and rules, except those which can only be complied with once clients are served by the applicant; and Demonstrates the ability to comply with all applicable laws and rules by the end of the provisional license term. The provisional license shall be issued for a minimum period of 3 months or a longer period, as deemed appropriate by the department, not to exceed 12 consecutive months.
(2) Full License. The department shall issue a full license to an applicant who complies with all applicable laws and rules. A full license is valid for two years from the date of issuance unless revoked, suspended or made conditional.(3) Conditional License. A conditional license may be issued by the department when the individual or agency fails to comply with applicable law and rules and, in the judgment of the commissioners, the best interest of the public would be so served by issuing a conditional license. The conditional license shall specify when and what corrections must be made during the term of the conditional license. The conditional license shall be issued for a specific periods, not to exceed one year, or the remaining period of the previous full license, whichever the department determines appropriate based on the laws and rules violated.
C. Sanctions and Corrective Actions (1) Options Available to the Department. Whenever the department finds that a person operating a Residential Child Care Facility or an applicant is not in compliance with any applicable rules, the department may take certain actions. The department shall notify the licensee of the opportunity to request an administrative hearing or shall file a complaint with the Administrative Court in accordance with the Maine Administrative Procedure Act, 5 MRSA58001 et seq. (pursuant to 22 MRSA §7802(3)(D)) .
a. Notification of Action and Order of Correction. The department except in cases of emergency, shall ensure that every notification of action and order of correction is in writing and provided to the facility 15 days in advance of the final date of correction. i. Content of Orders. Orders of Correction shall be in writing and shall include an identification of the law and regulations violated, reasons for citing the violations. period of time within which the violations must be corrected, notice of the licensee's right to request a hearing, if so desired, and the consequences of failure to meet conditions or request a hearing.ii. Sending of orders. Orders of Correction shall be sent to the administrative officer of the facility and a copy shall be sent to the governing body of the facility.b. Refusal to Issue or Renew. When an applicant fails to comply with applicable law and rules, the department may refuse to issue or renew the license.c. * Issuance of Conditional License. If, at the expiration of a full or provisional license or during the term of a full license the facility fails to comply with applicable law and rules and, in the Judgment of the commissioner, the best interest of the public would be served, the department may issue a conditional license or change a full license to a conditional license.d. Voiding a Conditional License. Failure by the conditional licensee to meet the conditions specified by the department shall permit the department to void the conditional license or refuse to issue a full license. The conditional license shall be void when the department has delivered in hand or by certified mail a written notice to the licensee or, if the licensee cannot be reached for service in hand or by certified mails has left written notice thereof at the agency or facility. The term "licensee" means the person, firm, corporation or association to whom a conditional license has been issued.e. Amend or Modify a License. The department may amend or modify a license as referred to in 22 MRSA §7802(5)(B).f. Emergency Suspension. Whenever, upon investigation, conditions are found which, in the opinion of the department, immediately endanger the health or safety of persons living in or attending a facility, the department may request the Administrative Court for an emergency suspension pursuant to 4 MRSA §1153.g. Suspension, Revocation. Any license issued may be suspended or revoked for violation of applicable law and rules, committing, permitting, aiding or abetting any illegal practices in the operation of the facility or conduct or practices detrimental to the welfare of persons living in or attending the facility. When the department believes that a license should be suspended or revoked, it shall file a complaint with the Administrative Court as provided in the Maine Administrative Procedure Act, 5 MRSA §10001.(2) Facility's Appeal Procedures Once the department determines that a licensee is not in compliance with a regulation and has determined what action shall be taken, the facility may avail itself of the following:
a. Request for Administrative Hearing. Within 10 days of receipt of the Order of Correction the facility may file a written request with the department for an administrative hearing. If the request for hearing is received within this period, the proposed action will not take effect until after the hearing. In any proceeding determined by the department to involve issues of substantial interest, the department shall notify the public in accordance with 5 MRSA §9052.b. Failure to Request a Hearing. In the event the facility falls to request a hearing within 10 days of the notice of action, the action will take effect at the expiration of the 10 day period.c. Appeal Procedures: A facility aggrieved by a court order or hearing decision may appeal the decision by the following means:d. Administrative Hearing. A facility aggrieved by a decision issued as a result of the department's administrative hearing, may file, within 30 days of the notice of the decisions. a complaint with the Superior Court as provided in 5 MRSA §11002.e. Administrative Court. A facility aggrieved by the decision of the Administrative Court shall be entitled to judicial review in Superior Court as provided in 5 MRSA5511001 et seq.f. Supreme Judicial Court. A facility aggrieved by the decision of the Superior Court shall be entitled to judicial review in the Supreme Judicial Court as provided in 5 MRSA §11008.(3) Reapplication Following Adverse Actions. A facility which has been denied a provisional license, issued a conditional license or whose current license has been modified, conditionalized, suspended, revoked, voided or refused for renewal may reapply for licensure when the deficiencies identified by the department have been corrected.
05-071 C.M.R. ch. 18, § 5