Current through 2024-38, September 18, 2024
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.
