Current through 2024-38, September 18, 2024
6.1
Continuing Supervision. The department's continuing supervision of
certificate holders may consist of periodic reports, supervisory reviews and
additional supervisory activities. See
22 M.R.S.A.
§1845.
6.2
Six-Month Reports. Unless
otherwise directed in the issued certificate, certificate holders must submit a
written report every six months, after the date the certificate is issued, to
the department's Division of Licensing and Regulatory Services on the extent of
the benefits realized and compliance with other terms and conditions of the
issued certificate. The report shall be submitted on department-approved forms
and contain all required documentation.
6.2.1
Copies of Reports. Certificate holders must submit copies of the
report and all accompanying materials to the Office of the Attorney General and
the Governor's Office of Health Policy and Finance or its successor at the time
the report is filed with the department's Division of Licensing and Regulatory
Services.
6.3
Comments from Office of the Attorney General and the Governor's Office of
Health Policy and Finance. Within 30 calendar days of the date of the
department's receipt of the report (Section 6.2), the Office of the Attorney
General and the Governor's Office of Health Policy and Finance or its successor
may submit to the department comments on the report. See
22 M.R.S.A.
§1845(1).
6.3.1
Department Review of Comments
and Report. The department shall consider any comments on the report
submitted by the Office of the Attorney General and the Governor's Office of
Health Policy and Finance or its successor in the course of its evaluation of
the report.
6.4
Department Findings. Within 60 calendar days of the date of receipt of
the holder's report, the department shall:
6.4.1 Prepare written findings regarding the
report, including the department's response to any comments from the Office of
the Attorney General and the Governor's Office of Health Policy and Finance or
its successor.
6.4.2 Determine
whether to institute additional supervisory activities and notify the
certificate holders. See
22 M.R.S.A.
§1845(1).
6.4.3 Submit copies of its findings and
notice to institute additional supervisory activities, if applicable, to the
Office of the Attorney General and the Governor's Office of Health Policy and
Finance or its successor.
6.5
Additional Supervisory
Activities. The department shall conduct additional supervisory
activities:
6.5.1 Whenever requested by the
Office of the Attorney General, or the Governor's Office of Health Policy and
Finance or its successor; or
6.5.2
Whenever the department, in its discretion, determines additional supervisory
activities are appropriate; and
6.5.3 For certificates not
involving mergers, at least once in the first 18 months after the transaction
described in the cooperative agreement has closed; and
6.5.4 For certificates involving mergers at
least once between 12 and 30 months after the transaction described in the
cooperative agreement has closed. See
22 M.R.S.A.
§1845(2)(A).
6.6
Department
Discretion:Conduct Additional Supervisory Activities. At its discretion,
the department may conduct additional supervisory activities by:
6.6.1 Soliciting and reviewing written
submissions from the certificate holders, the Office of the Attorney General,
the Governor's Office of Health Policy and Finance or its successor, or the
public;
6.6.2 Conducting a hearing
in accordance with Section 6.8 of these rules; or
6.6.3 Using any alternative procedures
appropriate under the circumstances. See
22 M.R.S.A.
§1845(2)(B).
6.7
Standards Governing
Additional Supervisory Activities. A department decision regarding
additional supervisory activities is governed by the following standards:
6.7.1
Lack of Substantial
Compliance. If the department determines that the certificate holders
are not in substantial compliance with any conditions included in the issued
certificate or in a consent decree entered into by the department, the
department may at its discretion:
6.7.1.1
Additional Conditions. Impose additional conditions to secure
compliance with any conditions in the issued certificate or consent decree;
or
6.7.1.2
Notice to Compel.
Issue a written notice to the certificate holders compelling compliance
with any conditions included in the issued certificate or consent
decree.
6.7.1.3
Department
Enforcement Action or Court Ordered Revocation. If after 30 calendar
days the department determines that the "Notice to Compel Compliance" was not
effective in securing compliance with the conditions, the department may impose
any additional enforcement measures authorized by law to compel compliance with
the conditions; or seek a court order revoking the issued certificate in
accordance with Section 7.7 of these rules. See
22 M.R.S.A.
§1845(3)(A).
6.7.2
Changed or
Unanticipated Circumstances. If the department determines during any
supervisory activities that, as a result of changed or unanticipated
circumstances(Section 1.15) , the benefits resulting from the activities
authorized under the issued certificate and the unavoidable costs of revoking
the issued certificate are outweighed by disadvantages attributable to a
reduction in competition, the department may:
6.7.2.1 Impose additional conditions to
ameliorate any disadvantages attributable to any reduction in competition;
or
6.7.2.2. Seek a court order
revoking the issued certificate in accordance with Section 7.7 of these rules.
See
22 M.R.S.A.
§1845(3)(B).
6.7.3
Notice: Imposition of Additional
Conditions or Measures. At least 10 business days prior to imposition,
the department shall give certificate holders written notice of its decision to
impose any additional conditions or measures to the issued certificate.
6.7.3.1
Right to Administrative
Hearing. Certificate holders may request a hearing in accordance with
Section 6.8 of these rules to contest the department's decision to impose
additional conditions or measures. See
22 M.R.S.A.
§1845(2)(C).
6.7.4
Remedial Order:
Burden of Proof. The burden of proof is on the parties seeking any
remedial order. A remedial order may not be issued unless the basis for it is
established by a preponderance of the evidence. See
22 M.R.S.A.
§1845(2)(D).
6.8
Administrative Hearing. Holders of a
certificate may request an administrative hearing in accordance with 5 M.R.S.A
chapter 375, subchapter 4, within 10 days of the date of receipt of notice of
the following department actions:
6.8.1
Department decision to
impose additional conditions or measures to an issued COPA. See
22 M.R.S.A.
§1845(2)(C).
6.8.2
Department decision to
institute additional supervisory activities. See
22 M.R.S.A.
§1845(2)(B)(2).
