Section 148-37-9 - COMPLIANCE AND ENFORCEMENTA.Statement of deficiencies & VIOLATION IDENTIFICATION LETTER1.Statement of deficiencies (SOD). The Department issues a SOD when it determines that a violation of this rule or applicable statutes has occurred.2.Violation Identification Letter. The Department may issue a Violation Identification Letter for past noncompliance found in a complaint investigation and/or licensing inspection in which a Facility has already taken steps to correct deficiencies and does not require a plan of correction.B.Plan of correctionA Facility is required to submit an acceptable plan of correction (POC) within 10 business days of receipt of a SOD. The POC must:
1. Address the issue that led to the deficiency and include a Facility-wide plan to ensure full regulatory compliance throughout the Facility;2. Include the procedure for implementing the POC for the specific deficiency cited, and the anticipated date of completion;3. Provide for monitoring to ensure that the POC is effective and the specific deficiency cited remains corrected and/or in compliance with the regulatory requirements, including the timeframe for monitoring to ensure continued compliance after the date of completion; and 4. Include the name and title of the person responsible for implementing the POC.C.Order of CorrectionWhen the Department determines that a Facility failed to provide an acceptable POC, or fails to implement its Department-approved POC, the Department may issue a written Order of Correction to the Facility.
1.Content of orders. The Department's written Order of Correction will notify the Facility at least 15 days in advance of the deadline noted within the Order of Correction. An Order of Correction must be in writing and must include an identification of the rules violated, reasons for citing the violation, and the period of time within which the violations must be corrected.2. Orders of Correction will be sent to the Facility, and a copy will be sent to the governing body of the Facility. Nothing in this subsection prevents the Department from taking any other enforcement actions for violations of this rule, or applicable Maine statute, as provided for herein or as authorized under Maine law.
D.conditional licenseIf, at the expiration of a full or provisional license, or, during the term of a full license, the Facility fails to comply with applicable rules and, in the judgment of the Commissioner or the Commissioner's designee, the best interest of the public would be served, the Department may issue a Conditional License. The term of the Conditional License must not exceed one year, or the remaining period of the previous full license, whichever the Department determines appropriate based on the laws and rules violated.
1. The Notice of Conditional License will include an Order of Correction that must specify what corrective actions must be taken by the Facility during the term of the Conditional License.2. The Notice of Conditional License may include amendment or modification of the license, requiring a reduction in licensed capacity or cessation of new admissions for a specified period of time or the term of the Conditional License.E.VOIDING A CONDITIONAL LICENSEFailure to meet the conditions required of the Facility or failure to maintain substantial compliance with this rule while operating with a Conditional License may result in the Department issuing a Void of the Conditional License or denying an application for a full license.
F.Refusal to issue or renew a licenseThe Department may refuse to issue or renew a license when it finds any of the following:
1. Misrepresentation, materially incorrect, or insufficient information on the application; or2. Failure to comply with applicable law and rules.G.Revocation or suspension of a license1.Non-emergency suspension or revocation. The Department may seek to suspend or revoke a license 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 youth in the Facility or receiving services from the Facility by filing a complaint with the Maine District Court as provided in the Maine Administrative Procedure Act, 5 M.R.S. Ch. 375.2.Emergency suspension, revocation, or refusal to renew without hearing. Whenever, upon investigation, the Department finds conditions that, in the opinion of the Department, immediately jeopardize the health or physical safety of youth in a Facility or receiving services from the Facility, the Facility has failed to respond appropriately to the known risk, and seeking a suspension or revocation of the license (or refusal to renew the license) from the District Court or at an administrative hearing would fail to adequately respond to the known risk, the Department may revoke, suspend, or refuse to renew a license without a hearing for a period not to exceed 30 days.3.Emergency revocation or suspension of license. Whenever, upon investigation, conditions are found that, in the opinion of the Department, pose an immediate threat to the health, safety or welfare of youth in a Facility or receiving services from the Facility, the Department may file a complaint with the Maine District Court requesting an emergency suspension of the Facility's license, in accordance with applicable law. 4 M.R.S. §184(6).H.AppealsAppeals are limited to appeals contending that a decision by the Department misapplies applicable laws, procedures, or rules.
1. The appellant must address a request for an administrative hearing in accordance with the instructions provided in any action taken by the Department that is subject to the right of appeal.2. The request must state the specific issue(s) being appealed.3. The request must be made within 30 days of receipt of notice of an action subject to the right of appeal.4. The following actions are subject to the right of appeal:a. Issuance of conditional license;b. Amendment or modification of a license;c. Voiding of a conditional license;d. Refusal to issue or renew a license; ore. The denial of a waiver request.5. Actions subject to the right to appeal will be stayed until the Department makes a final agency decision, unless the license is suspended under 9(G).I.LEGAL GUARDIAN NOTIFICATION OF LICENSING ACTIONThe Facility must notify the legal guardian of each youth within 10 days of receiving any of the following: issuance of conditional license; amendment or modification of a license; voiding of a conditional license, or refusal to renew a license. Notification is required regardless of the Facility's intent to appeal. The Facility must inform the legal guardians of a child for whom admission is under consideration when in appeal status or operating on a conditional license.
10- 148 C.M.R. ch. 37, § 9