Current through 2024-13, March 27, 2024
A.
GOVERNING
AUTHORITY
The Facility's governing authority must comply with
program-specific standards set out in this rule and applicable statutes.
1.
Responsibility. The governing
authority must have ultimate managerial control and legal responsibility for
the Facility's operation.
2.
Legal authority to operate. The Facility must maintain documentary
evidence of its legal authority to operate in the State of Maine, including
bylaws, articles of incorporation, charter, partnership agreement,
constitution, articles of association or similar documents as applicable. This
information must be made available to the Department upon request.
a. A Facility operating as a corporation,
partnership, or association, whether for-profit or not-for-profit, must
maintain records of the names and current addresses of officers and
directors.
b. A Facility operating
as a for-profit entity must maintain a current list of the names and addresses
of its principal owners.
3.
Governance. The governing
authority of a Facility may reside in an individual or a board of directors.
The composition and structure of the governing authority must be adequate to
discharge its responsibilities:
a. Non-profit
Facilities must have a board of directors, which must:
i. Include community members who reflect
diverse perspectives which may include youth;
ii. Maintain a record of meetings that
includes the dates, attendance and topics discussed; records of the board of
director meetings must be made available to the Department upon
request;
iii. The board of
directors must maintain a current record of its membership including the name,
address, contact information, position and term of office of each
member.
b. For-profit
Facilities must have an advisory board, which must:
i. Have a mechanism for obtaining feedback
from youth that includes a procedure for direct input to the advisory board,
including community members and local public officials who reflect diverse
perspectives;
ii. Provide advice to
the governing authority;
iii.
Maintain a record of meetings that includes the dates, attendance and topics
discussed; records must be made available to the Department upon request; and
iv. The governing authority must
maintain a current record of the membership of the advisory board including the
name, address, and contact information of each member.
4.
Prohibited. The
following persons are prohibited from serving as the governing authority:
a. An employee of the State or federal
government who has regulatory oversight of the Facility.
b. An employee, or a family member of an
employee, assigned responsibilities associated with the licensing or regulatory
oversight of the Facility, or associated with contracting functions of an
agency that purchases the services of the Facility.
5.
Valid license. The Facility
must have a current, valid license.
6.
Responsibilities. The
Facility must have a governing authority that is responsible for and has
authority over the policies and operations of the Facility. The governing
authority's responsibilities include but are not limited to the following
provisions:
a. Reviewing written policies and
procedures required by this rule annually.;
b. Ensuring that the Facility is adequately
funded and fiscally sound;
c.
Reviewing and approve the Facility's annual budget;
d. Reviewing and accept the Facility's annual
audit and annual financial report;
e. Providing facilities, staff, equipment,
supplies and other resources to provide licensed services;
f. Abuse and neglect in the Facility. The
Facility must ensure that when the governing authority is made aware that abuse
and neglect of a youth has occurred, that these instances are appropriately
reported per Section
5(G)(1), and that
reporting procedures exist that are transparent and accessible to all youth and
employees.
7.
Conflict of interest. The governing authority is subject to the
Facility's written conflict of interest policy.
B.
ORGANIZATIONAL CHART
The Facility must have a written, up-to-date organizational
chart and policies governing the line of authority, communication, staff
responsibility and staff assignment.
C.
PROGRAM ADMINISTRATOR
The Facility must have an administrator or designee who
demonstrates the ability to manage the affairs of the Facility. The
administrator's duties include but are not limited to the following:
1. Ensuring the Facility's continual
compliance and conformity with all relevant laws and regulations, whether
federal, State, or local, governing the operation of the Facility, including
but not limited to those set out in this rule;
2. Ensuring that reportable events are
reported to the Department within the required timeframes;
3. Ensuring notification to the Department
within 24 hours after receiving notice or learning of an arrest or indictment
of any personnel related to criminal activity that is alleged to have occurred
on the grounds of the Facility or any location where services are
provided;
4. Providing written
notification to the Department within two weeks after the facility receives
notice of any legal proceedings related to the provision of services or the
continued operation of the facility, whether brought against the facility or
against the facility's personnel. Legal proceedings, including but not limited
to, bankruptcy, civil rights complaints, professional licensing body sanctions,
lawsuits, alleged criminal activities by personnel that have implications for
the programmatic or fiscal integrity of the Facility or the safety of its
youth.
5. Providing written
notification upon any change of administrator. The licensed Facility must
notify the Department at least 30 calendar days prior to a planned change or
within 10 calendar days of an unplanned change in the Facility's administrator;
and
6. Must have the authority to
cooperate with Department inspections and investigations.
D.
ANNUAL PROGRAM EVALUATION
The Facility must complete an annual program evaluation. The
process must include family and youth interviews, as appropriate. The written
program evaluation must be available to the Department upon request and must
address at least the following:
1.
General program effectiveness in relation to stated goals and community
needs;
2. General staff
effectiveness and staffing patterns;
3. Staff turnover rate;
4. Review of grievances and complaints,
responses and outcomes;
5.
Emergency and safety procedures;
6.
Frequency of unplanned discharges of youth in care (not applicable for
Shelters for Homeless Youth).
E.
FINANCIAL
1.
Financial accountability and
viability. The Facility's financial accountability and viability must be
achieved through the application of sound financial management practices that
are consistent with legal and regulatory requirements.
2.
Management systems. The
Facility must maintain a business management system, including written policies
and procedures to assure maintenance of complete and accurate accounts, books,
and records.
3.
Budget. The Facility must develop a formal, annualized line-item
budget approved by the governing authority, indicating revenues and expenses
for the current fiscal year.