10- 144 C.M.R. ch. 33, § 4

Current through 2024-51, December 18, 2024

Section 144-33-4 - INSPECTIONS AND INVESTIGATIONS

A.Inspections. The Department generally conducts unannounced site inspections. The Department may conduct more frequent inspections at its discretion. Routine inspections occur at the following times:

1. Upon application;

2. Annually, after the date of initial licensure;

3. When the licensee has requested an increase in capacity, or a change in premises or services; or

4. To investigate a complaint of rule violation, or an allegation of suspected abuse and/or neglect.

B.Right of entry

1. The Department has the right to enter upon and into the premises of any licensee pursuant to 22 M.R.S. §7804.

2. The Department may enter upon the premises of an individual reported to be operating without a license, pursuant to 22 M.R.S. §7702-B(7).

C.Elements of an inspection. In order to determine compliance with this rule, the licensee must provide access to all records and any part of the premises occupied or used by children.

1. The Department may speak with children, parents, and providers during inspections.

2. At the time of inspection, the licensee must supply the Department with all requested records.

3. The Department may photograph any part of the premises or make a photographic record of documents. The Department will provide copies of photographs upon request.

D.Inspection report. The Department will document all violations of this rule on an inspection report, and will explain any violation noted at the time of inspection. The licensee may correct violations at the time of inspection. All violations corrected on-site shall be noted on the inspection report.

1. The licensee and the Department shall determine a plan of action, to include timelines for correction, for any violations that cannot be corrected at the time of inspection.

2. If the plan of action cannot be completed at the time of inspection, the plan shall be completed by the licensee and the Department within five business days of the inspection. The licensee and the Department shall sign the inspection report at the exit interview and following the completion of the plan of action. The Department will supply the licensee with a copy of the inspection report at the time of inspection.

3. Following the inspection, the licensee must demonstrate compliance with this written plan of action.

4. The Department may post inspection reports to a website available to the general public.

5. No inspection reports shall be posted until the Department issues its written decision regarding any requested informal dispute resolution.

E.Investigations. The Department will conduct an investigation after receiving a complaint of alleged violations of this rule or an allegation of child abuse and/or neglect.

1. Any rule violations identified in the course of a complaint investigation will be presented to the licensee in writing.

2. Investigations of child abuse and/or neglect will be conducted in accordance with 22 M.R.S. Ch. 1674.

F.Informal dispute resolution. If the licensee wishes to dispute any licensing violations identified during an inspection or investigation, the licensee must submit a written request for an informal conference to the Department within ten business days of the inspection, or receipt of written notification of licensing violations.

1. The written request must identify all disputed rule violations.

2. Upon receipt of the request, the Department will review the request and determine whether it meets the criteria for an informal conference within ten business days. The Department will consider the following criteria to determine if an informal conference will be held:

a. Timeliness of filing;

b. Sufficient evidence for contesting each disputed finding; and

c. Evidence presented after-the-fact was not required by rule or statute to be available at the time of the inspection.

3. The Department may determine that an informal conference is not necessary when:

a. A paper review supports the licensee's case, and the violations will be removed; or

b. The evidence submitted by the licensee does not meet the criteria of Section 4(F)(2) above.

4. The Department will inform the licensee of the date, time and location of the informal conference within ten business days if the licensee's request for an informal conference is granted.

a. During the informal conference, the licensee will be able to introduce additional evidence to support changes to a violation.

b. The Department will receive the evidence and make a decision after the conclusion of the informal conference.

5. The Department will issue a written decision to the licensee within ten business days of either the informal conference or the Department's review of the licensee's request. The decision will state whether any disputed violations will be amended or removed and may include an amended plan of action.

6. The Department may take further action, in accordance with Section 20 of this rule, if the licensee fails to comply with any plan of action in effect.

10- 144 C.M.R. ch. 33, § 4