10-144-117 Me. Code R. § 2

Current through 2024-51, December 18, 2024

Section 144-117-2 - Obtaining a License

2.1Requirements. Adult Day Services is a group program designed to meet the needs of adults who, through an assessment and service plan, are determined to need therapeutic activities and services of socialization, supervision, support services, assistance with activities of daily living and/or health monitoring.

2.1.1 No person or entity shall operate an Adult Day Services Program of more than two (2) consumers without a license from the Department in force, authorizing such operation.

2.1.2 The person or entity applying for the license shall be responsible for complying with Maine Statutes and regulations adopted pursuant thereto.

2.1.3 Reimbursement shall not be accepted by any person for rendering Adult Day Services for more than two (2) persons who are not blood relatives without such person having first secured a license authorizing such operation in accordance with these regulations.

2.1.4 The license is valid only for the named licensee(s).

2.2Appointment of Program Administrator. Each licensee shall appoint an administrator, who shall be responsible for complying with these rules. The administrator must be at least twenty-one (21) years of age. When the administrator is not on-site for at least fifty percent (50%) of the hours of operation, the administrator shall appoint an individual to be responsible for site operation and management during those hours of operation.

2.3Application Procedure

2.3.1Filing of Application. The applicant is required to submit a written application for license on a form approved by the Department. A license must be issued prior to the commencement of operation, or the applicant may be subject to sanctions. Incomplete applications on which no action has been taken after sixty (60) days shall be void.

2.3.2Policies to be submitted with the application:

a. A written refund policy;

b. A complaint resolution policy;

c. A medication administration policy;

d. A confidentiality policy;

e. An admissions policy on participants who are appropriate;

2.3.3Proof of Insurance. All applicants shall submit proof of liability insurance and property damage insurance with the application. If the applicant provides transportation, proof of vehicle liability insurance shall also accompany the application.

2.3.4Fees. Each application for a license to operate an Adult Day Services Program shall be accompanied by a non-refundable fee as determined by the Department. All licenses issued shall be renewed annually upon payment of a like fee and compliance with Maine Revised Annotated Statutes and any rules and regulations issued thereunder. There shall be a minimum $10 application fee for a licensed capacity of up to ten (10) consumers, a $20 application fee for eleven to twenty (11-20) consumers, a $30 application fee for twenty-one to thirty (21-30) consumers, a $40 application fee for thirty-one to forty (31-40) consumers, and a $50 application fee for forty-one (41) or more consumers.

2.3.5Additional Information. Each applicant shall provide to the Department such information as the Department may require, in order to determine whether the applicant meets licensure requirements and is in conformity with the provisions of the Maine Revised Annotated Statutes and rules and regulations promulgated thereunder.

2.4Additional Program Requirements. In addition to the other requirements of this Chapter, each application for initial licensing shall provide:

2.4.1Floor Plans. A set of plans and specifications drawn to scale, demonstrating that the total space used for program activities provides at least fifty (50) square feet per consumer. Programs located in licensed nursing facilities and Assisted Living Programs must provide distinct space meeting these requirements.

2.4.2Copy of Lease. When a building is leased to the person or persons to operate as a licensed Adult Day Services Program, a copy of the lease, showing which party to the agreement is to be held responsible for the maintenance and upkeep of the property, shall be available to the Department upon request.

2.4.3Compliance with Local Laws. A letter from the appropriate municipal official having jurisdiction over the premises where the program is to be located indicating compliance with all local laws or codes relative to the type of program for which licensure is requested. Adult Day Services Programs located in licensed facilities shall be exempt from submitting further evidence of compliance.

2.4.4Emergency Plan. A written plan for handling emergencies shall be developed and posted at the site. Each program shall have a centrally located and readily available first aid kit and staff shall be instructed in the use of any item in the kit.

2.5Issuance of License.

2.5.1Specifications of License. Each license issued by the Department shall:

a. Specify the name of the program;

b. Specify the name of the administrator;

c. Specify the type of program;

d. Specify the maximum allowable number of consumers licensed to serve, which number shall not be exceeded;

e. Identify if a program is approved to provide a Night Program;

f. Specify the effective dates of the license;

a. Specify the name of the owner;

b. Specify the address of the program;

c. Specify the type of license.

2.6 Default Licensing. If a new applicant has filed a completed application and has a building ready for inspection, has not been provided the necessary notifications, inspections or services from the Department and the Department of Public Safety, and a period of more than ninety (90) days has elapsed since notification that the application is complete, a provisional license will be issued. All required application materials must be submitted for the application to be considered complete. The Department shall notify a new applicant within two (2) weeks of filing of the application on whether the application is complete. If initial service inspections are completed within the ninety (90) day time period, an initial license will be issued and no default licensing will occur.

2.7Transfer of License. No license shall be transferred or applicable to any location or persons other than those specified on the license. When a program or facility is sold or otherwise transferred to another provider, the new provider must apply for and obtain a license and pay a licensing fee prior to operating the program.

2.8Changes.

2.8.1Increases in Licensed Capacity. Requests for any increase in the number of consumers the Adult Day Services Program is licensed to serve shall be made in writing to the Department. No increases in the number of consumers a program is licensed to serve shall be made without prior written approval from the Department.

2.8.2Changes in Program. Requests to change or add a program shall be made inwriting to the DepartmentNo change of program shall be made without prior written approval from the Department. An Adult Day Services Program shall be licensed as a Social Adult Day Services Program and/or an Adult Day Health Services Program. No Social Adult Day Services Program nor an Adult Day Health Services Program may provide a Night Program, without having first applied for and received a license to provide a Night Program.

2.8.3Change of Administrator. A request to change an administrator shall be made in writing to the Department within seventy-two (72) hours of the change taking effect and a new license application indicating the name of the new administrator must be submitted to the Department within sixty (60) days. An acting administrator may be appointed for a period not to exceed sixty (60) days. If no permanent administrator has been secured and no new application is submitted by the end of the sixty (60) day period, the license becomes null and void, unless an extension of time has been approved by the Department. No extension will be granted unless the licensee demonstrates that a reasonable attempt has been made to find a suitable replacement.

2.9Waiver Provisions. The Department may waive or modify any provision(s) of these regulations not mandated by Federal or State statute and not in violation of the consumer rights described in Section 7 of these regulations, unless contrary to law.

2.9.1 To request a waiver, the program must make a written application to the Department prior to the issuance or renewal of any license. Such application shall contain a written justification for the request, shall state the specific provisions of these regulations for which a waiver is being requested and document what steps the program is taking or will take to bring such program into compliance with those provisions of these regulations for which a waiver is sought.

2.9.2 No waiver shall be granted if there would be an adverse effect to the health and safety of the consumers of the program.

2.9.3 The Department may request additional information before making a decision as to granting or denying an application for a waiver.

2.9.4 No waiver shall be extended beyond the term of the license and a new waiver shall be required when the license of the program is renewed.

2.9.5 The program will be notified in writing when a waiver is granted and the specific area for which a waiver has been granted shall be noted on the license

2.9.6 If approved, the waiver may be time limited.

2.10Informal Review of Waiver Denial. The applicant/licensee may appeal a decision of the Department to deny a waiver request by submitting a written request for an informal review by the Department, or its designee, within ten (10) working days of the date of receipt of the denial. The applicant/licensee shall state in the written request the grounds for the appeal. If the applicant/licensee disagrees with the informal review decision, the applicant/licensee may request an administrative hearing (pursuant to the Maine Administrative Procedure Act). The applicant/licensee must submit a written request for an administrative hearing, including the specific grounds for the appeal, to the Department within ten (10) working days of receipt of the informal review decision by the Department. See also 3.7 of these regulations.

2.11Enforcement Procedures. After inspection, an SOD will be sent to the Adult Day Services provider if an inspection identifies any failure to comply with licensing regulations. The Adult Day Services provider shall complete a POC for each deficiency, sign the plan and submit it to the Department within ten (10) working days of receipt of any SOD.

2.12Posting of License. The licensee shall post the license where it can be seen and reviewed by the public.

2.13Availability of Survey Results. Programs will post the results of State surveys, which include the plan of correction, in a place readily accessible to consumers, consumer representatives and the general public. Copies of these surveys shall be provided by the program upon reasonable request.

2.14Departmental Obligations. The Department is responsible for reviewing all application materials to determine eligibility for licensure, for issuing licenses, for evaluating the adequacy of care provided and the adequacy of the site. The Department may make unannounced visits to evaluate compliance with regulations and to talk with consumers in private.

10-144 C.M.R. ch. 117, § 2