Rules for the Licensing of Child Care Facilities 10-148 cmr chapter 32

TYPES OF LICENSES

59. 
    Licenses. The department shall issue the following types of licenses:
    

60. 
    Provisional license. A provisional license shall be issued by the department to any applicant who meets all of the following:
    

1. 
   Has not previously operated the facility for which the application is made or is licensed but has not operated during the time of that license;
   

2. 
   Complies with all applicable laws and rules, except those which can only be complied with once children are served by the applicant; and
   

3. 
   Demonstrates the ability to comply with all applicable laws and rules by the end of the provisional license term.
   

61. 
    Full license. The department shall issue a full license to an applicant who, in the department’s determination, complies with all applicable laws and rules.
    

62. 
    Conditional license. A conditional license may be issued by the department when the licensee or applicant fails to comply with the applicable law and rules and, in the judgment of the Commissioner, the best interest of the public would be so served by issuing a conditional license. The department shall specify in writing when and what corrections must be made during the term of the conditional license.
    

63. 
    Temporary license. A temporary license may be issued by the department whenever a licensed Child Care Facility moves to a new location. The department may issue a temporary license, valid pending final action on the application for the new location when:
    

1. 
   All applicable standards have been met except a requirement that is dependent on the action of an agency of state government or a contractor of that agency; and
   

2. 
   Through no action by the applicant that causes a significant delay, timely issuance of a provisional or full license is delayed by the agency of state government or a contractor of that agency.
   

TERM OF LICENSE

64. 
    Term of provisional license. The provisional license shall be issued for a minimum period of three (3) months or a longer period, as deemed appropriate by the department, not to exceed twelve (12) consecutive months.
    

65. 
    Term of full license. The term of a full license shall be for two (2) years.
    

66. 
    Term of conditional license. The conditional license shall be issued for a specific period, not to exceed one (1) year, or the remaining period of the previous full license, whichever the department determines appropriate based on the laws and rules violated.
    

67. 
    Term of temporary license. The temporary license shall be issued for a specific period, not to exceed six (6) months.
    

68. 
    Monitoring for compliance. Regardless of the term and type of the licenses, the department shall monitor for the continued compliance with applicable laws and rules on at least an annual basis.
    

ENFORCEMENT PRODEDURES

69. 
    Operating without a license.
    

1. 
   License required. A person, firm, partnership, association, corporation or other entity may not, without first obtaining a license, operate a child care facility as defined in 22 MRSA § 8301-A (B).
   

2. 
   Civil penalties. A person, firm, partnership, association, corporation or other entity who violates section 5.1.1 commits a civil violation and is subject to a civil penalty of not less than $500 nor more than $10,000 per day. Each day of violation constitutes a separate offense.
   

3. 
   Injunctive relief. Notwithstanding any other remedies provided by law, the Office of the Attorney General may seek an injunction to require compliance with the provisions of section 5.1.1.
   

4. 
   Enforcement. The Office of the Attorney General may file a complaint with the District Court seeking civil penalties or injunctive relief or both for violations of section 5.1.1.
   

5. 
   Jurisdiction. The District Court has jurisdiction pursuant to the Maine Revised Statutes, Title 4, section 152 for violations of section 5.1.1.
   

6. 
   Burden of proof. The burden is on the department to prove, by a preponderance of the evidence, that the alleged violations of section 5.1.1 occurred.
   

7. 
   Right of entry. To inspect the premises of a child care facility that the department knows or believes is being operated without a license, the department may enter only with the permission of the owner or person in charge or with an administrative inspection warrant issued pursuant to the Maine Rules of Civil Procedure, Rule 80E by the District Court authorizing entry and inspection.
   

8. 
   Administrative inspection warrant. The department and a duly designated officer or employee of the department have the right to enter upon and into the premises of an unlicensed child care facility with an administrative inspection warrant issued pursuant to the Maine Rules of Civil Procedure, Rule 80E by the District Court at a reasonable time and, upon demand, have the right to inspect and copy any books, accounts, papers, records and other documents in order to determine the state of compliance with section 5.1.1. Pursuant to the Maine Rules of Civil Procedure, Rule 80E the department’s right of entry and inspection may extend to any premises and documents of a person, firm, partnership, association, corporation or other entity that the department has reason to believe is operating with a license.
   

9. 
   Noninterference. An owner or person in charge of an unlicensed child care facility may not interfere with or prohibit the interviewing by the department of residents or consumers of services.
   

10. 
    Violation of injunction. A person, firm, partnership, association, corporation or other entity that violates the terms of an injunction issued under this section shall pay to the State a fine of not less than $500 nor more than $10,000 for each violation. Each day of violation constitutes a separate offense. In an action brought by the Office of the Attorney General against a person, firm, partnership, association, corporation or other entity for violating the terms of an injunction under this section, the District Court may make the necessary orders or judgments regarding violation of the terms of the injunction.
    

70. 
    Notice of refusal to issue or renew license. When an applicant fails to comply with applicable laws and rules, the department may refuse to issue or renew the license. The notice of a refusal to issue or renew and a statement indicating the reasons for refusal must be formulated in writing and mailed to the applicant.
    

71. 
    Conditional license, refusal to issue license, and suspension or revocation of license.
    

1. 
   Conditional license. If, at the expiration of a full or provisional license or during the term of a full license, the facility fails to comply with applicable laws and rules and, in the judgment of the Commissioner, the best interest of the public would be served, the department may issue a conditional license, or change a full license to a conditional license. Failure by the conditional licensee to meet the conditions specified by the department permits the department to void the conditional license or refuse to issue a full license. The conditional license is void when the department has delivered in hand or by certified mail a written notice to the licensee or, if the licensee cannot be reached for service in hand or by certified mail, has left written notice thereof at the agency or facility.
   

2. 
   Refusal to issue a license. The department shall refuse to issue a license to the applicant identified in the application if it finds any representation made in the application to be materially incorrect or insufficient, or if it finds that the applicant or director of the program does not meet all requirements of law and rules.
   

3. 
   Suspension or revocation of a license. The department may suspend or revoke any license for violation of applicable laws and rules; for committing, permitting, aiding or abetting any illegal practices in the operation of the program or for conduct or practices detrimental to the welfare of children participating in the program.
   

1. 
   Emergency suspension. Whenever, upon investigation, conditions are found which, in the opinion of the department, immediately endanger the health or safety of children attending the Child Care Facility, the department may request the District Court for an emergency suspension pursuant to Title 4 M.R.S.A. § 184(6).
   

2. 
   Administrative suspension. Whenever conditions exist that immediately jeopardize the health and safety of children, the
   

72. 
    Limitation on reapplication after denial or revocation of license. Pursuant to 22 MRSA § 7802 (6), the following time limit applies to a reapplication after denial or revocation of license.
    

1. 
   When a license for a child care facility has been denied or revoked on one occasion, the applicant or licensee may not reapply for a license for a child care facility for a period of one year from the effective date of the denial or revocation decision if not appealed or, if appealed, from the effective date of the commissioner’s final decision or the reviewing court’s order, whichever is later.
   

2. 
   If a license for a child care facility has been denied or revoked on two (2) occasions, the applicant or licensee may not reapply for a license for a child care facility for a period of two (2) years from the effective date of the second denial or revocation decision if the decision is not appealed or, if appealed, from the effective date of the commissioner’s final decision or the reviewing court’s order, whichever is later.
   

3. 
   If a license for a child car facility has been denied or revoked on three (3) occasions, the applicant or licensee may not receive another license for the care of children.
   

73. 
    Intermediate sanctions.
    

1. 
   Grounds for intermediate sanctions. The following circumstances shall be grounds for the imposition of intermediate sanctions:
   

1. 
   Operation of a Child Care Facility without a license;
   

2. 
   Impeding or interfering with the enforcement of laws or rules governing the licensing of a Child Care Facility, or giving false information in connection with the enforcement of such laws and rules; and/or
   

3. 
   Failure to comply with Rights for Children in Child Care Facilities, Section 10 of these rules.
   

2. 
   Intermediate sanctions. The department is authorized to impose one or more of the following intermediate sanctions when any of the circumstances listed in Section 5.3.1 are present and the department determines that a sanction is necessary and appropriate to ensure compliance with licensing rules to protect the children of a Child Care Facility or the general public:
   

1. 
   The Child Care Facility may be directed to stop all new admissions until the department determines that corrective action has been taken.
   

2. 
   The department may impose a financial penalty upon a Child Care Facility.
   

74. 
    Financial penalties. The amount of any penalty to be imposed shall be calculated as follows:
    

1. 
   Operation of a Child Care Facility without a license: not less than $500 nor more than $10,000 per day. Each day constitutes a separate offense.
   

2. 
   Impeding, interfering, or giving false information in connection with the enforcement of laws or rules governing licensure, $500.00 per incident.
   

3. 
   Violation of rules governing child-to-staff ratios outlined in these rules is a violation for which an administrative penalty not to exceed $500.00 per incident or $500.00 per number of children above the limitation set by rule, or both, may be adjudged.
   

4. 
   Violation of rules governing records disclosure and confidentiality outlined in these rules commits a violation for which an administrative penalty not to exceed $500.00 per incident or $500.00 per number of children above the limitation set by rule, or both, may be adjudged.
   

5. 
   Violation of Rights for Children in Child Care Facilities, Section.10: $50.00 per incident.
   

75. 
    Assessment of Penalties issued. If the department assesses financial penalties, an Assessment of Penalties will be issued.
    

1. 
   The Assessment must describe each violation found to have been committed by the Child Care Facility, the rule or law that has been violated and any scheduled amount of time corresponding to that violation.
   

2. 
   If the licensee does not contest the imposition or amount of the penalty, the licensee must pay the department within thirty (30) days of receipt of the Assessment of Penalties.
   

3. 
   If the licensee disagrees with the imposition or amount of the penalty, the licensee must notify the department, in writing, stating the nature of the disagreement, within ten (10) working days of receipt of the Assessment of Penalties.
   

4. 
   The department shall schedule an informal conference to resolve the dispute and a written decision based on this conference will be provided. If the licensee is dissatisfied with the written informal conference decision, an administrative hearing may be requested in accordance with Section 7.
   

76. 
    Payment of penalties. A Child Care Facility that is unable to immediately pay penalties may apply to the department for a delay in payment or installment payments or, in certain circumstances, to have the penalty reduced.
    

1. 
   In order to have the payment delayed or paid in installments, a licensee must supply sufficient information to the department to demonstrate that immediate full payment of the total amount due would result in the interruption of the provision of necessary services to children.
   

2. 
   In order to have a fine reduced, a licensee must supply sufficient information to the department to demonstrate that payment in full would result in a permanent interruption in the provision of necessary services to children.
   

3. 
   The department is authorized to determine whether a licensee has supplied sufficient information to the department.