Section 148-19-A-23 - HOME CERTIFICATION PROCESS FOR THE PURPOSE OF LEGAL RISK ADOPTION ONLYThis section includes the procedures and requirements for Private Non-Medical Institutions-Child Placing Agencies providing adoption services to certify a pre-adoptive parent's home as a certified home for a child placed in that home awaiting adoption by the pre-adoptive parent/s. All of the relevant rules outlined in the Rules Providing for the Licensing of Private Non-Medical Institutions-Child Placing Agencies With and Without Adoption Programs must be followed in addition to the home certification process.
A. Certification Procedures 1 Pre-adoptive parent/s who make application for home certification for children under 18 years of age and who have been determined to be in compliance with applicable certification requirements may receive a certificate from the PNMI- Child Placing Agency conducting the review. The certificate shall be issued when a: a home study (including criminal and child abuse background checks) has been completed and approved, andb the PNMI- Child Placing Agency has determined that the pre-adoptive parent/s are suitable candidates for legal risk adoption.2 Application for certification shall be made directly to the PNMI- Child Placing Agency and shall include the following: a releases to contact the State Bureau of Investigation and Child Protective Services,b names of three (3) references,c names of other resident/s of the home and releases to conduct background checks,dsatisfactory water test results for homes with private water supplies, ande other items identified by the PNMI- Child Placing Agency through the application process.3 Following receipt of the application, the PNMI- Child Placing Agency will evaluate the adequacy of care planned, the adequacy of the physical plant (home and immediate grounds) and make a decision to grant or deny the certification based on the evaluation. A decision under this paragraph must be made by the PNMI- Child Placing Agency within 30 days of receipt of the information required for a decision on the application under paragraph B. For reasons of the best interests of the child, a decision under this paragraph may be extended for an additional 30-day time period.4 When the PNMI- Child Placing Agency has reasonable cause to believe that the applicant or a person residing in the household may have a physical or mental health problem which would have a detrimental impact on the care of children, the PNMI- Child Placing Agency may request that the applicant provide the PNMI- Child Placing Agency with a physician's or psychologist's report which includes a diagnosis of any physical or mental condition/s and the professional's assessment of the impact of the condition on the functioning of the individual and the potential impact on a child placed in the home. No person shall be required to submit to a physical examination if he or she states in writing that it is contrary to his or her religious teachings and practice unless there is probable cause to suspect that he or she manifests the symptoms of communicable or contagious disease which may affect the quality of child care provided. NOTE: Requesting information regarding certain communicable diseases is a violation of Federal Law and may not be pursued (ex. HIV status). Legal advice should be sought prior to mandating applicant/s to produce evidence of health status.
5 The applicant may withdraw the application at any time during the application period upon notification to the PNMI- Child Placing Agency. a The applicant must notify the PNMI- Child Placing Agency in writing of his/her intent to withdraw.b Once withdrawn, a new application must be submitted in order for the person/s to be reconsidered for home certification.6 The certificate issued is approval for only the number of child(ren) being placed in the home at the time of the review. The PNMI- Child Placing Agency shall consider such factors as living space, safety issues, health, status and age of the child(ren) being considered for placement, other residents of the home, and the ability of the pre-adoptive parent/s to adequately care for and supervise the child/ren in the household.7 Pre-adoptive parents shall permit an employee of the PNMI- Child Placing Agency or the Division of Licensing to enter the home at any reasonable time to either evaluate compliance with the rules, privately talk with and observe the child(ren) placed in the home, and/or conduct investigations of alleged violations of rules under which the certificate is issued. Complaints shall be handled in the following manner: a All reports of alleged abuse, neglect or exploitation must be made to Child Protective Intake according to law.b All alleged licensing violations must be reported to Child Protective Intake within 24 hours of becoming aware of the allegation/suspicion.c The PNMI- Child Placing Agency shall investigate the issue only to the degree necessary to assure that children are safe and await a decision from the Institutional Abuse Unit as to how to proceed.d The Institutional Abuse Unit will determine whether an IAU Investigator will conduct an investigation or whether the investigation will be assigned to the appropriate Licensing Unit within the Division of Licensing.e The PNMI- Child Placing Agency may remove a child from the home pending the outcome of an investigation if it is determined to be in the best interest of the child for his/her protection.8 Certificates shall not be issued for more than one year. If, at the end of one year, the adoption has not been completed, the PNMI- Child Placing Agency must conduct an on-site re-evaluation of the home and re-certify the home only if the home is in compliance with all applicable rules. The annual evaluation shall specifically address the following: a changes in the occupancy of the home,b changes in the applicant/s' emotional, mental and/or physical health,c updated background checks as needed, andd motivation of the applicant/s to pursue legal risk adoption.9 The pre-adoptive parents are responsible for notifying the PNMI- Child Placing Agency of any changes in the home which might affect the status of the certificate or the well-being of children in care which include, but are not limited to, intent to move to a new location, persons residing in the home that are not known to the PNMI- Child Placing Agency, potential safety hazards such as drinking water contamination, major repairs to the home that are costly and must be delayed, arrest of any occupant of the home for alleged criminal activity. The PNMI- Child Placing Agency is responsible for notifying the pre-adoptive parents of their responsibilities in writing and must maintain such evidence on site. 10 No certificate may be issued if fire hazards exist (identified as out of compliance on the physical plant checklist) that may place occupants in jeopardy. a If fire safety concerns are identified, the applicant/s must: i request a fire inspection by the local fire department or the State Fire Marshal's Office,ii submit a written statement from the inspector to the PNMI- Child Placing Agency stating that the home is safe for occupancy.b If the inspector finds deficiencies and approves the home based on a plan of correction, a "conditional" certificate shall be issued pending correction of items which are out of compliance.c The applicant/s shall submit evidence of correction of all identified deficiencies. Failure to correct the deficiencies shall result in the revocation of the certificate and removal of the child(ren).11 The certificate is valid only for the address noted on the certificate and is not transferable to another location. New physical plant (home) inspections must be conducted prior to the issuance of a certificate for the new address consistent with all applicable rules.B. Types And Terms Of Certificates 1 A full certificate valid for one year shall be issued by the PNMI- Child Placing Agency to an applicant who: a Has not previously been certified or has been certified but has not yet had a child placed in the home.b Complies with all applicable rules and laws except those which can only be complied with once children are placed in the home.c Is being re-certified to facilitate the adoption of a subsequent child while awaiting the finalization of a previous adoption.d Is being re-certified due to the expiration of the existing certificate. 2 A conditional certificate may be issued by the PNMI- Child Placing Agency if: a The pre-adoptive parent/s fail to comply with applicable laws and rules, and in the judgment of the PNMI- Child Placing Agency, the home will be able to come into compliance. The PNMI- Child Placing Agency shall specify in writing when and what corrections must be made during the term of the conditional certificate which shall be issued for no more than 6 (six) months depending on the seriousness of the deficiencies.b The pre-adoptive parent/s have outstanding deficiencies identified by the fire inspector.3 The finalization of the adoption may be delayed, at the discretion of the PNMI- Child Placing Agency, pending correction of deficiencies.C. Failure to Comply with Applicable Laws And Rules1 When an applicant or certified home fails to comply with applicable laws and rules, the PNMI- Child Placing Agency may refuse to issue or refuse to renew a certificate. A written notice of the reasons for the refusal shall be in writing and mailed (return receipt requested) or hand delivered to the applicant.2 If, during the term of a full or conditional certificate, the pre-adoptive parent/s fail to comply with laws or rules, and the PNMI- Child Placing Agency determines that the home is not appropriate for an adoptive placement, the PNMI- Child Placing Agency may revoke the certificate and remove the child(ren) from the home. The revocation notice must be in writing and outline the reasons for the revocation. The notice must be mailed (return receipt requested) or hand delivered to the pre-adoptive parent/s. Acts deemed inappropriate are acts that:
a immediately endanger the health or safety of persons residing in the home;b violate applicable laws or rules;c are undertaken or allow any practice detrimental to the welfare of persons residing in the home; and/ord acts including committing, permitting, aiding or abetting any illegal practices.D. Appeal Procedure 1 Each PNMI- Child Placing Agency must develop a policy and procedure that addresses the means by which applicant/s or pre-adoptive parent/s may file an appeal of the PNMI- Child Placing Agency's decision to take a negative licensing action. The procedure must include the following: a the means by which applicant/s or pre-adoptive parent/s are notified of the procedure to appeal a decision,b the means by which the PNMI- Child Placing Agency will hear the appeal,c the position responsible for receiving and maintaining all documentation related to the appeal,d the step/s included in the appeal procedure including time frames within which it will be heard and the means by which a final decision will be reached, ande written notification of the results of the appeal hearing/s.E. Waiver of Rule/s The PNMI- Child Placing Agency's Executive Director or designee may, upon written request, waive or modify a provision of these rules if the rule is not mandated by Maine Statute and the integrity of the home certification process is not compromised. A policy and procedure for the review of waiver requests must be developed and include the following:
1 a requirement for waivers to be in writing and include reasons why the provision/s of rule cannot be met, why a waiver is being requested, a description of the alternative method proposed for meeting the intent of the provision of rule sought to be waived,2 the means by which waivers will be evaluated and accepted or rejected,3 a means to record all waiver requests and outcomes.F. Certification Rules In addition to full compliance with the Rules Providing for the Licensing of Private Non-Medical Institutions- Agencies With Adoption Programs, the PNMI- Child Placing Agency must ensure that the following certification rules are met:
1 Supervision of Children Pre-adoptive parents or designated individuals responsible in their absence, must provide supervision and care appropriate to each child's age, level of development, and ability to accept independence and responsibility. Designated individuals must also comply with the child management rules.
2 Child Management a Pre-adoptive parents must be positive in their approach to discipline. Any discipline or control must be appropriate to the child's age and developmental level. Disciplinary measures must be: i Administered as soon after the problem behavior as possible.ii Reasonably related to the nature of the misbehavior and not excessive.iii Carried out by the pre-adoptive parent/s or the person responsible for the child if the pre-adoptive parent/s is absent.b Separation, when used as discipline, shall be brief and appropriate to the child's age, developmental level and within hearing distance of the pre-adoptive parents in a safe, lighted, well-ventilated, unlocked room (commonly known as time out).c In no instance shall a child be subjected to: i Verbal abuse, derogatory remarks regarding himself/herself or members of his/her family, threats to expel the child from the home, or other forms of psychological abuse.ii Physical punishment, kneeling, shaking, spanking, or striking with an object or a blow with the hand.iii Severe, cruel, humiliating, or unnecessary punishment.3 Safety and Sanitation a Medications must be placed in a secure location out of reach of children. Medications must be administered as prescribed by the physician by the pre-adoptive parent/s or designee.b The home must be kept clean and maintained in a condition insuring health and safety.c All potentially harmful materials such as poisonous, toxic or flammable materials must be stored in locked storage areas or kept in a place inaccessible to children.d Household materials, tools and equipment which may be dangerous to children shall be stored out of reach of the children.e Firearms, including BB guns and air guns, shall be rendered inoperable, unloaded and locked up to prevent unauthorized use. Ammunition and projectiles such as arrows, or other items which can be used to make a weapon operable, shall be locked separately. Weapons shall not be transported in any vehicle in which children are riding unless the weapons are made inoperable and inaccessible.f Heating devices such as radiators, wood stoves, fireplaces and hot water pipes within the reach of children shall be screened or otherwise protected as deemed necessary.g Toilet and bath facilities must be provided, appropriate and adaptable to the needs of the child(ren) and accessible without passing through a designated sleeping area. They must be maintained in sanitary and good repair.h Obstructions/Barriers shall not be applied to either the interior or exterior side of any exit including doors and at least one window in each room to allow for exit in case of emergency.4 Home Requirements a The home shall have adequate heat, light, and ventilation for safe and comfortable occupancy.b The home shall have adequate family living space in addition to bedrooms for the comfort of family members and for meals and recreation.c The home must have a telephone that is maintained in good working order and not dependent on electricity to use.d Locks or fastening devices on internal doors and closets shall be operable from both sides in case of emergency.e There shall be adequate space for dining/eating as well as food storage areas which shall be maintained in a sanitary condition.f Bedrooms shall meet the following criteria: i Each bedroom used by more than one child shall contain at least 40 square feet of floor space per child. A room used for 1 (one) child shall contain at least 60 square feet of floor space. All bedrooms must have an average ceiling height of at least 7 feet. There must be at least one outside window. This window must be operable or other means of ventilation must be provided. There must be a door which provides reasonable privacy for the child(ren). Separate beds and clean bedding must be provided for each child. Furniture must be comfortable and suited to the needs of the children.ii Closets, alcoves, and corridors or any other room which is normally used for other than sleeping purposes must not be used as a bedroom.iii No adult residing in the household shall share a bedroom with a child over one year of age (exceptions will be allowed when deemed to be in the best interest if a child in collaboration with the PNMI- Child Placing Agency). No child over 5 years of age may sleep in the same room with a child of the opposite sex. An adult must sleep in close enough proximity to be able to hear and respond to the child(ren)'s needs.iv All stairways shall be equipped with a railing.v Pre-adoptive parents must provide accommodations for any handicapping condition/s of a child placed in the home such as, but not limited to, visual emergency communication systems for a hearing impaired child, direct access to exits for a physically handicapped child.5 Health Requirements a Pre-adoptive parent/s shall assure that children awaiting adoption receive preventive, ongoing and emergency medical, dental and psychological care in accordance with the directives of the parent/legal guardian, the PNMI- Child Placing Agency, and/or as circumstances dictate, and must have the means to transport a child for receipt of treatment.b Written consents for treatment and medical records of all treatment received subsequent to placement (including prescribed medications, physicians orders, and immunization records) must be on file at the home.c Medications must be stored in original containers with the child's name, date, instructions for administration and the physician's name.6 Food and Clothing Requirements The pre-adoptive parents shall provide food and clothing of sufficient quality and quantity to meet the nutritional, medical and psychological requirements of children in care.
7 Recreation and Social Activities a Pre-adoptive parent/s shall arrange for and encourage children in care to participate in appropriate social and recreational life in the home and community.b Safe outdoor and indoor recreational materials shall be provided in sufficient variety and quantity to provide a choice of opportunities. All recreational materials shall be maintained in good repair.G. PNMI- Child Placing Agency Staff Training Requirements In order for an PNMI- Child Placing Agency to certify pre-adoptive homes, each employee that will be performing the evaluations and each supervisor overseeing the process must be trained in and maintain a record of training in the following:
1 The meaning and interpretation of rules.2 The roles and responsibilities of a regulatory authority including but not limited to the legal implications of issuing a certificate as well as boundary issues.3 Home (physical plant) inspections including identification of safety hazards, standards of cleanliness, considerations of the potential needs of a child being placed in the home, evaluation of adequate space within rooms.4 Ongoing oversight responsibilities including procedures for conducting investigations of alleged rule violations.5 Use of standardized tools with which to conduct inspections.6 Providing technical assistance to pre-adoptive parent/s in child management practices, compliance with rules and access to referral information to guide pre-adoptive parent/s to other sources of assistance.7 Maintenance of records demonstrating compliance with rules.H. Review Of These Rules These rules governing the licensing of Private Non-Medical Institutions-Child Placing Agencies With and Without Adoption Programs shall be reviewed every three years from their effective date of adoption consistent with the requirements of the section 471(a) (14) of the Social Security Act and the U.S. Department of Health and Human Services Foster Care Maintenance Payments Program Implementation Requirements, 45 C.F.R. Sec. 1356.21(m).
10-148 C.M.R. ch. 19, § A-23