10-148 C.M.R. ch. 32, § 2 - LICENSING REQUIREMENTS AND PROCEDURES
A.
Licensing
1. No person or entity
may operate a Child Care Facility for more than two Children without a license
from the Department in force, authorizing such operation, in accordance with
22 MRS
§7801(1)(E).
2. The Child Care Facility must post the
following, where easily seen, at the Child Care Facility:
a. The current license issued by the
Department;
b. The results of the
most recent inspection, showing any violations of this rule;
c. Any enforcement actions, including a
Directed Plan of Action or a Conditional License; and
d. Any notices or correspondence required by
the Department to be posted, including but not limited to water test results or
any lead hazard assessment.
e. The
Department will post inspection reports to a website available to the general
public, for a running period of three years, in accordance with 42 CFR §
98.33(4).
3. The Child
Care Facility shall be responsible for assuring compliance with all relevant
State and federal statutes and regulations, and this rule.
a. All personnel and interns working in a
Child Care Facility are responsible for complying with this rule.
4. Licenses are only effective at
the location for which they are issued. If the Child Care Facility moves to
another location, a new license must be issued prior to operation.
a. A license may not be transferred from one
Child Care Facility to another.
b.
In the event of an unanticipated occurrence, such as a fire, that renders an
approved location uninhabitable, a Child Care Facility may provide services in
an alternative location upon approval by the Department, in accordance with the
Department of Health and Human Services' Child Care Emergency Plan.
c. The alternative location must also be
approved by the State Fire Marshal's Office or Child Care Facility's local fire
department prior to the provision of Child care services.
5. When two (2) or more buildings are or will
be utilized to accommodate a Child Care Facility operated by the same person,
the person must apply to the Department for a single license covering all the
buildings, provided that:
a. The buildings
are on the same or contiguous properties, and the Department determines that
the issuance of a single Child Care Facility license would not be detrimental
to the health, safety, well-being, and development of the Children
served;
b. The facilities must have
the same Director.
6.
No Child Care Facility shall care for more Children than the license allows.
Child Care Facilities must only care for Children within the age range of the
license issued and within the proper staff-Child ratios for those age ranges.
a. Changes in capacity or age range may be
made at the discretion of the Department, and when necessary, with the approval
of the local code enforcement and the State Fire Marshal's Office.
b. The license may be amended or reissued to
increase or decrease the number of Children allowed or to change the age range
of Children that may be cared for by the Child Care Facility.
B.
Qualifications
of the Applicant and Director. The Applicant and proposed Director must
demonstrate their willingness and ability to operate and manage the Child Care
Facility with mature judgment, compassionate regard for the best interests of
Children and consistent compliance with these regulations and all relevant
laws. In making this determination, the Department shall consider each of the
following factors to the extent that they are relevant to the proposed
Applicant and Director of the Child Care Facility:
1. Record and reputationof honest and lawful
conduct in business and personal affairs, including but not limited to:
a. Arrests, indictments or
convictions;
b. Investigation by
Child Protective Services or the Out-of-Home Investigation Unit of the
Department;
c. The removal of
Children from the Applicant's or Director's care or custody by court
order;
d. Any protection from abuse
order or any other order that makes a finding of domestic abuse or family
violence; and/or
e. Any prior
licensing investigations, conditional licenses, license suspensions,
application denials, fines and/or revocations regarding a Child care license or
approval issued to the Applicant or Director.
2. Conduct which demonstrates an
understanding of, and compliance with this rule;
3. Information which relates to the ability
or willingness to comply with all applicable laws and rules;
4. Any information reasonably related to the
ability to provide safe and developmentally appropriate Child care;
5. Relevant experience, including the
capacity to manage the financial operations and staff of the Child Care
Facility for which the license is sought; experience in the field of Child
care, Child development or areas related to the provision of Child care
services.
6. The applicant must
authorize the Department to review the records of the following entities to
determine compliance with this rule, as part of the license application and
renewal processes: criminal history and driving record, when applicable; court
records; Maine and national sex offender registries; Child Protective Services,
and Out of Home Investigations.
C.
Application
1. Application for an initial license must be
made to the Department of Health and Human Services, on forms furnished by the
Department, and the appropriate fee must be included.
a. The check must be made payable to the
Treasurer, State of Maine, and is non-refundable.
b. Incomplete applications on which no action
has been taken by the applicant shall be void after sixty (60) days.
c. A license must be issued prior to the
commencement of operation of a Child Care Facility, or the Applicant may be
subject to sanctions.
2. At least sixty (60) days prior to the
expiration of a license to operate a Child Care Facility, the Child Care
Facility must submit an application and the required fee for renewal to the
Department on a form supplied by the Department, accompanied by all additional
information as may be required. It is the responsibility of the Child Care
Facility to make timely application for renewal.
3. Upon receipt and review of application and
determination of compliance with the requirements of the Maine Revised Statutes
Annotated and any rules adopted pursuant thereof, the Department shall renew
such license for a period of two (2) years, unless it finds that there are
specific and sufficient grounds either for denial of the application for
renewal or for renewal of the license on a temporary or conditional
basis.
4. If timely application for
renewal is made, the existing license shall continue until a final decision on
the renewal is made, in accordance with
5 M.R.S
§10002.
5. The applicant must complete
Department-approved training as required by Section 8 of this rule before a
license may be issued.
6. The
Child Care Facility must comply with the Life Safety Code of the State Fire
Marshal's Office, Department of Public Safety.
a. The Department must receive a written
statement, furnished bi-annually by the State Fire Marshal's Office, indicating
that the Child Care Facility has complied with the requirements of the
Life Safety Code of the National Fire Protection
Association.
b. No license
to operate a Child Care Facility at any location shall be issued until such
Child Care Facility passes a satisfactory inspection for fire safety and fire
protection, including working fire detection apparatus as required.
c. As an ongoing condition of licensure, the
Maine Department of Public Safety, Office of the State Fire Marshal, must
inspect and approve the Child Care Facility premises at least every two (2)
years.
d. The Child Care Facility
must obtain approval from the Maine Department of Public Safety, Office of the
State Fire Marshal or designee, which specifically notes where Child care may
be provided (basements, specific rooms within property, and second or higher
floors, including any restrictions on the ages of Children).
e. An additional fire safety inspection must
be done when a heating system is changed, when major structural changes are
made on the premises, and prior to use of new rooms on the premises. The Child
Care Facility is responsible for notifying the Department of any changes that
require inspection 10 days prior to installation.
f. Child Care Facilities must establish and
maintain compliance with all corrections, restrictions, or conditions specified
by the Maine Department of Public Safety, Office of the State Fire Marshal or
designee in the Plan of Correction resulting from identified deficiencies in
the course of the fire safety inspection, within the time frames
identified.
7. The Child
Care Facility must maintain, and provide to the Department on request,
documentation that indicates that the Child Care Facility complies with local
codes and ordinances, including zoning, or a statement from the locality that
no approval is required.
8.
Requests for an increase in the number of Children the Child Care Facility is
licensed to serve must be made in writing to the Department with applicable
fee. No increases in the number of Children a program is licensed to serve
shall be made without written prior approval from the Department, the State
Fire Marshal's Office, and local code enforcement, where applicable.
9. The Child Care Facility must secure, in
writing, the approval of the landlord for any rented or leased space for use as
a Child care.
D.
Comprehensive Background check. Child Care Staff Members over the
age of 18 must comply with all provisions pursuant 10-148 C.M.R Ch. 34 Child
Care Provider Background Check Licensing Rule.
1. When disqualifying information is found in
any of the registries, repositories, and databases required for the background
check for an Applicant or if the Applicant is otherwise ineligible because of
refusal to consent to a background check or knowingly makes materially false
statements in connection with such a background check, no License shall be
issued to that Applicant.
2. No
Child Care Facility shall employ a Child Care Staff Member, over the age of 18
years old who has not furnished a Provider Letter of Eligibility indicating
that the Child Care Staff Member is eligible, nor allow any individual known by
the Child Care Facility to be ineligible under this Rule to have access to any
Child in the Child Care Facility's care.
E.
Type and term of a license.
The type and term of a Child Care Facility license issued by the Department
must comply with the provisions of this rule.
1. A provisional license shall be issued by
the Department to an applicant who meets all the following applicable criteria,
in accordance with
22 MRS
§7802(A):
a. Has not previously operated a Child Care
Facility in Maine, or has relocated to a new property, or has closed a program
and is reopening;
b. Complies with
all applicable laws and rules for a provisional license; and
c. Demonstrates the ability to comply with
all applicable laws and rules for a full license.
2. A written provisional license may be
issued for a term of no less than three (3) months and no more than 12 months.
3. A full license shall be issued
by the Department to an applicant who complies with the requirements set out in
this rule, in accordance with
22 MRS
§7802(1)(B).
4. A full license shall be issued for a term
of two (2) years, in accordance with
22 MRS
§7802(2)(B)(5).
5. A written conditional license may be
issued when the Department determines that the Child Care Facility has failed
to comply with applicable rules and laws. The conditional license must specify
the corrections that must be made and the deadline for making each correction,
in accordance with
22 MRS
§7802(1)(C).
6. A conditional license shall be issued for
a specific term not to exceed twelve (12) months, or the remaining portion of
the term of the previous full license, whichever the Department determines
appropriate based on the violations set out in the Directed Plan of Action, in
accordance with
22 MRS
§7802(2)(C).
7. When a licensed Child Care Facility plans
a move to a new location, the Child Care Facility must submit an application
for a license for the new location. A temporary license may be issued by the
Department for the new location, in compliance with
22
MRS §8301-A(6), when:
a. All applicable requirements set out in
this rule have been met, except an inspection or other action by a state agency
or a contractor of that agency that is required by this rule is delayed; and
b. No action or inaction by the
applicant caused a significant delay by that state agency or a contractor of
that agency.
8. A
temporary license shall be issued for a specific term, not to exceed six
months.
F.
Administration.
1. A corporation,
partnership, association, or trust must identify the names and addresses of its
officers, partners, trustees, or directors and must provide, where applicable,
the charter, partnership agreement, constitutions, articles of incorporation,
by-laws, trust document, or other documents governing the legal obligations and
authority of the entity.
2.
Insurance
a. The Child Care Facility must
carry a minimum liability insurance of $100,000 per person, $300,000 per
occurrence; and a minimum of $5,000 property damage.
b. A certificate of liability insurance must
be submitted prior to the issuance of a license.
3. The Child Care Facility must have a
readily accessible copy of this rule on the premises and must make it available
to any person upon request.
4. The
Child Care Facility must allow a Child's parents/legal guardians unlimited
access to visit the Child, to observe the program at any time that the Child is
present and provide opportunities to participate in activities.
a. The Child Care Facility must exchange
information with the Child's parents/legal guardians about the Child on a
frequency appropriate for the age and development of the Child.
b. The Child Care Facility must advise a
Child's parents/legal guardians prior to taking Children off the premises and
must require the parents/legal guardian's written permission.
c. The Child Care Facility must be directly
accessible to a Child's parents/legal guardians by telephone at all times when
Children are present.
d. The Child
Care Facility must advise a Child's parents/legal guardians prior to allowing
the Child to participate in any high-risk activity; for example, swimming,
horseback riding or using a trampoline.
5. The Child Care Facility must encourage
parents/legal guardians to visit the Child Care Facility prior to
admission.
6. A copy of the Child
Care Facility handbook will be made available to all parents or legal guardians
at the time of enrollment. The handbook must contain, at a minimum:
a. Ages of Children served;
b. Hours of operation and daily
schedule;
c. Numbers of Children
served;
d. Specific focus if
applicable, such as educational focus, religious focus, Montessori,
after-school, summer recreation, teaching site, etc.;
e. Opportunities for Parent/Legal Guardian
involvement;
f. A description of
the Child guidance methods used by Child Care Staff Members;
g. Services offered, such as: basic Child
care, care for Children with special needs, part-time care, infant/toddler
care, pre-school care, school-age care, etc.;
h. Fees (if any) including charges for late
pick-up of Children;
i. Vacation
policy;
j. Terms of any contract or
placement agreements;
k. The rights
of Children;
l. Emergency
procedures and relocation information;
m. Incident reporting and mandatory reporting
of Child Abuse or Neglect;
n.
Expulsion and suspension practices;
o. Management of communicable
illnesses;
p. Medication
administration;
q. Annual calendar
of closure dates (if applicable);
r. Resources available for developmental
screenings; and
s. Reporting of
Child death and serious injury.
7. The Child Care Facility must be in
compliance with applicable provisions of the Americans With Disabilities Act of
1990,
Pub.
L. No. 101-336 , 104 Stat. 328 (1990). Compliance
with ADA accessibility standards includes but is not limited to the following:
a. The Child Care Facility cannot require
that the parent(s)/legal guardian(s) of Children with physical, emotional
and/or mental disabilities furnish the Child Care Facility with information
pertaining to the Child's disabilities but is encouraged to ask pertinent
developmental questions about all Children prior to entrance, to ensure
appropriate and successful programming.
b. A Child Care Facility must ensure that all
Child Care Staff Members are adequately trained and/or have sufficient
experience to meet the needs of all Children for whom they are responsible, as
the need presents.
8.
Except as provided by law, confidential information may not be released without
a court order or a written release from the parent or legal guardian of the
Child about whom the confidential information has been requested. Violation of
these provisions is subject to financial penalties as set forth herein and
pursuant to
22 M.R.S.
§7702-A. Confidential information
includes:
a. All Child records.
b. All personnel records.
c. Information that identifies, directly or
indirectly, a referent, complainant, or reporter of suspected Child abuse
and/or neglect, and/or licensing rule violations, in accordance with
22 M.R.S
§7703(2)(G).
d. Information about Children in care (or
formerly in care) must be disclosed only upon written authorization of a
Child's legal guardian, except as otherwise specified by law, and must be
shared with the Department and Child placing agencies licensed pursuant to 22
M.R.S Chapter 1671, upon request.
e. Personnel records must be provided to the
Department upon request, in accordance with 22 M.R.S Chapter 1661.
9. The Child Care Facility must
maintain a Child Care Facility Staff manual that addresses the following:
a. Policies and their implementation. This
must include, at a minimum, policies for the following:
i. Mandated reporting,
ii. Child guidance,
iii. Child illness,
iv. Fire drill procedures,
v. Emergency and disaster
procedures,
vi. Staff
qualifications and training,
vii.
Supervision of staff/interns
viii.
Reporting licensing violations,
ix.
Inclusionary practices for Children with disabilities,
x. Safe sleep policy,
xi. Serious injury and Child death
reporting,
xii. Expulsion and
suspension prevention,
xiii.
Interpretation for English Language Learners,
xiv. Release of Children, and
xv. Transportation of Children (if
applicable).
10. The facility must adopt written policy
for handling all suspected instances of Child abuse or neglect in accordance
with Maine statute. Written policy must include, but is not limited to, the
following:
a. Internal notification procedure
of suspected abuse or neglect;
b.
Conditions that require internal notification of the owner, director, or
designee;
c. The requirement that
any suspicion of abuse and/or neglect must be immediately shared with the
owner, director, or designee;
d.
The requirement that suspected Child abuse and neglect must be immediately
reported upon suspicion to Child Protective Intake hotline;
e. Identification of personnel responsible
for contacting the Child Protective Intake hotline;
f. Protocol to notify all relevant parties
that suspected Child abuse and neglect has been reported to Child Protective
Intake;
g. Completion of incident
reports, including: the details of the allegation or suspicion, the date Child
Protective Intake was called, which relevant parties were notified the report
was filed, and whether or not the parent/guardian was notified of the
allegation; and
h. Parental
notification, including the determination how and what information will be
shared with a parent/legal guardian when Child Protective Intake has been
contacted.
11. The
Child Care Facility must develop a written policy to follow if an allegation of
Child abuse or neglect is made against any Child Care Staff Member at the Child
Care Facility. The written policy must include but is not limited to the
following:
a. Prevention measures to protect
from potential allegations;
b.
Conditions of continued employment and access to Children during the course of
an investigation by the Department;
c. Grounds for termination;
d. The requirement to report suspected Child
abuse and neglect occurring at any location in accordance with statute;
and
e. Parental
notification.
12. The
Child Care Facility is responsible for assuring that the policies are followed.
This includes:
a. Responsibility for
establishing and maintaining a sound financial structure;
b. Being qualified to administer the Child
Care Facility or employing a qualified person to administer the program;
and
c. The Child Care Facility must
comply with all local, state and federal laws and rules pertaining to the
operation of a Child Care Facility in Maine.
13. The Child Care Facility must be
responsible for the daily operation in compliance with this rule.
a. If the director is absent from the Child
Care Facility, a qualified Child Care Staff Member must be designated to be in
charge and be given authority to administer the facility in compliance with
this rule.
b. A facility licensed
for 13-20 Children must employ at least one lead teacher who may be the same
person as the director. Assistants may be employed to complete the
ratios.
c. A facility licensed for
more than 21 Children must employ one lead teacher per group of Children.
Assistants may be employed to complete the ratios.
d. If the Director is absent in a facility
licensed for 50 or more Children, a Child Care Staff Member who meets
Director/lead teacher qualifications must be designated to be in charge and be
given authority to administer the facility in compliance with this
rule.
14. A sample daily
activity schedule must be posted in each classroom. The schedule must include
the following, as appropriate to the hours of operation:
a. Times for meals/snacks;
b. Time for sleep, rest, or quiet time;
and
c. A period of time for indoor
and outdoor activities appropriate to the developmental needs of the
Children.
d. When necessary,
modifications must be made in the schedule to meet Children's individual
needs.
15. The Child
Care Facility must enroll in Maine's Quality Rating and Improvement
System.
16.
Requirement for
Prevention of Communicable Disease. For Nursery Schools only, every 2
years each licensee, administrator and other staff members of the Nursery
School who provide care for Children must be declared free from communicable
disease by a licensed physician, nurse practitioner or physician assistant,
pursuant to
22 M.R.S.
§8402. This is a condition for
maintenance of a license for Nursery Schools, and Nursery Schools must
adequately maintain records reflecting compliance with this
requirement.
G.
Change in license. An application to revise a license is required
when:
1. A Child Care Facility seeks to
increase the capacity, within the limits established by the State Fire Marshal
and this rule;
2. There is a change
in the Director of a Child Care Facility; or
3. The Child Care Facility requests approval
for construction, additional space to be used, or a heating system requires
replacement.
H.
Waiver
1.
Request for a
Waiver. The Department may, upon written request of any Child Care
Facility or applicant, waive or modify a provision of these Rules which is not
mandated by Maine or federal statute. The Child Care Facility or applicant
shall provide clear and convincing evidence, including at the request of the
Department, expert opinion which satisfies the Department that the Child Care
Facility or applicant's alternative method will comply with the intent of the
rule for which a waiver or modification is sought. Application for a waiver or
modification must include:
a. A statement of
the provision for which waiver or modification is requested;
b. An explanation of the reasons why the
provisions cannot be met and why a waiver or modification is being requested;
and
c. A description of the
alternative method proposed for meeting the intent of the provision sought to
be waived or modified.
2.
Approval or Denial of the Request
for a Waiver. The Department will approve or deny a request for a
waiver, in writing, within four weeks of receiving the request for a waiver.
The written decision of the Department will explain the reasons why the Request
for a Waiver were either approved or denied. If approved, the waiver will be
limited to the term of the License; and extension will be granted only where
the best interest of the Child(ren) is served.
Notes
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