Code of Maine Rules
10 - DEPARTMENT OF HEALTH AND HUMAN SERVICES
144 - DEPARTMENT OF HEALTH AND HUMAN SERVICES - GENERAL
Chapter 129 - PERSONAL CARE AGENCY LICENSING RULE
Section 144-129-2 - LICENSING

Universal Citation: 10 ME Code Rules ยง 144-129-2

Current through 2024-38, September 18, 2024

A. GENERAL REQUIREMENTS.

1. No PCA may provide services or accept any payment for services unless first licensed by the Department.

2. No PCA may advertise that they are a home health agency or that they provide any type of "health" or "healthcare" services that require the services of a licensed medical professional.

3. All licenses are non-assignable and non-transferable. Changes in ownership or control must be handled in accordance with Section 2(I).

4. The applicant must be the owner of the agency.

5. The applicant/licensee must comply with all applicable Maine Statutes and rules.

6. A PCA must have a physical site in Maine, in a non-residential building that is zoned for business or, if operating out of a private home or residential setting, located in a separate and distinct space which ensures confidentiality and contains locked storage for records.

B. ELIGIBILITY OF APPLICANT.

1. The applicant/licensee and administrator must meet the following requirements:
a. The applicant/licensee and administrator must demonstrate to the Department's satisfaction the capacity to operate and manage the agency with regard for the health and safety of clients and in consistent compliance with this rule and all relevant laws.

b. In making any determination under this Section, the Department may consider:
i. Records of professional licensing boards, registries, past compliance history, any criminal record, child protective record, or adult protective record relating to the applicant/licensee and administrator;

ii. Financial ability and fiscal responsibility of the applicant/licensee (such as a history of timely payment of employee Federal withholding taxes, capability of obtaining financing for working capital and repairs, or history of legal action for financial mismanagement) and experience in health care billing;

iii. Experience in the field of health care, social services or areas related to the provision of personal care services;

iv. Understanding of and compliance with agency expectations; and

v. Any information reasonably related to the ability to provide services that support the health and safety of clients.

2. No license will be issued if the applicant/licensee refuses to authorize or consent to the release of information listed under § 2 (B)(1)(b) to the Department.

C. TYPE AND TERM OF LICENSE. A license may be provisional, full, or conditional.

1. A provisional license may 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. A full license may be issued for a period of two years, if in substantial compliance with this rule. If the applicant is not in substantial compliance, the Department may issue a license for less than two years or take other action as authorized by this rule.

3. A conditional license may be issued for a specific period, 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.

D. LICENSE SPECIFICATIONS. Each license issued by the Department will identify:

1. The name of the PCA;

2. The name of the licensee;

3. The physical address of the agency and approved sites;

4. The period of licensure; and

5. The type of license.

E. FEES.

1. Each initial application must be accompanied by a fee of $500.00.

2. Each renewal application must be accompanied by a fee according to the schedule below:

Number of employees at the time of renewal:

Licensing fee:

1-5

$200.00

6-10

$500.00

11-20

$1,000.00

21-50

$1,500.00

51 or more

$2,000.00

3. Any change in agency name, sites, or physical location requires the license to be re-issued. The processing fee of $10.00 must be sent to the Department with the change of information application.

4. No fee will be refunded.

F. INITIAL APPLICATION PROCEDURE.

1. All applications must include the payment source for services. This may include, but is not limited to, private pay, MaineCare, or private insurance.

2. The applicant must provide evidence of general and professional liability insurance.

3. The applicant must provide the results of a criminal background check for all owners obtained from the State Bureau of Identification, completed not more than 30 calendar days prior to the submission of the application.

4. The applicant must provide the name and contact information, including email address, of the administrator.

5. The Department will review the application and supplemental information and approve or deny initial licensure, in writing, within 90 working days of receiving all of the required documentation.

6. An applicant must submit a completed application to the Department prior to securing a provisional license.
a. A complete initial or renewal application must include all required information on the Department-approved form, all required documentation, and the appropriate fee.

b. Applications which remain incomplete after 60 calendar days of receipt of the application by the Department will become void.

G. LICENSE RENEWAL PROCEDURE.

1. The agency must file an application with the Department for renewal of its license at least 60 calendar days prior to the expiration of the current license.

2. The agency will be made aware, in writing, of the decision to refuse to reissue a license.

3. An agency may submit a written request for the renewal of any waiver approved under Section 10 (D) of this rule at the time it applies for license renewal.

H. CHANGES WITHIN THE TERM OF THE LICENSE.

1. The agency must notify the Department, in writing, of any of the following changes during the licensing period:
a. Change in the name of the agency;

b. Change of physical or mailing address;

c. Change in administrator;

d. Intent to add a new site; or

e. Change in telephone number or email address.

2. Notification must be made within the following time frames:
a. Change in name of agency and address(es): At least 14 calendar days before the change occurs;

b. Change in administrator, as follows:
i. Resignation: At least 14 calendar days prior to the administrator's last date of work;

ii. Involuntary termination: No more than seven business days after the involuntary termination date; or

iii. Emergency or extended leaves of absence: No more than 14 calendar days after an emergency or extended leave is granted;

c. Intent to add a new site: At least 60 calendar days prior to the opening a new site; and

d. Change in telephone number or email address: No more than seven calendar days after the change as set out in § 3(A)(2).

3. The agency must file an application and a change of license fee whenever there is a change in name of agency, addition of a site, or change in physical location.

I. CHANGE OF OWNERSHIP.

1. A license is immediately void if ownership or control of the personal care agency changes.

2. The agency must notify the Department, in writing, of the intent to change ownership at least 60 days prior to the anticipated date of the transaction.

3. The agency must disclose the name(s) of the anticipated owner(s) and their contact information at the time of notification.

4. The anticipated owner must file a new application at least 45 days prior to the anticipated transaction and submit all required paperwork indicated under the new license procedure section of this rule.

5. No license will be issued until the current owner verifies the transaction is complete and the effective date of the change in ownership.

J. ADDING A SITE.

1. The agency must file an application prior to opening a new site.

2. This application must include the following:
a. Address of intended location;

b. Hours of operation; and

c. A summary of how the main location will provide supervision and direction over the new site.

3. The agency is responsible for compliance with this rule at all sites listed on the agency license.

K. INVOLUNTARY CLOSING OF A LICENSED AGENCY.

1. The agency must have a policy to address transfer of services for all current clients to another provider if the Department refuses to renew a license under Section 10 of this rule or the Department revokes, suspends, or voids a license.

2. The policy must include a process to notify the Long Term Care Ombudsman of the involuntary closure.

3. Upon closure, the agency must immediately surrender any license in its possession to the Department.

L. VOLUNTARY CLOSING OF A LICENSED AGENCY.

1. Whenever a licensed agency voluntarily discontinues operation, the agency must:
a. Notify the Division of Licensing and Certification, the Office of Maine Services, the Office of Aging and Disability Services and the Long Term Care Ombudsman Program, in writing, no less than 90 calendar days in advance of the date of voluntary closure.

b. Notify all current clients and/or legal representatives in writing as soon as possible, but no later than 60 calendar days in advance of the anticipated date of closure.

c. The agency must, upon request, submit a transition plan to the Department for review and approval. The Department may require the agency to take additional steps, deemed reasonable and appropriate by the Department in the interest of client health and safety, to transition clients before the date of voluntary closure.

d. Upon closure, the agency's license is deemed surrendered and the agency must immediately return any license in their possession to the Department.

2. The agency must notify the Department, in writing, of any emergency situation which prevents compliance with the requirements above.

Disclaimer: These regulations may not be the most recent version. Maine may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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