Operating an ALF in the State of Maine requires a license issued by the DHSS Division of Licensing and Regulatory Services. See the following guidelines as to how to properly ensure good standing with the issued license:
Licensing
3.1 Responsibility for compliance. The applicant/licensee shall comply with these regulations.
3.2 Unlicensed assisted living program. No person, firm, partnership, association, corporation or
other entity shall manage or operate an assisted living program without a license.
3.3 Person license issued to. The license is only valid for the named licensee(s).
3.4 Application and licensure.
3.4.1 Application required. The applicant is required to submit a written application for a
license on a form approved by the department. A license must be issued prior to the commencement of operation, or the applicant may be subject to sanctions. Incomplete applications, on which no action has been taken by the applicant after sixty (60) calendar days,
shall be void.
3.4.2 A non-refundable licensing fee of $200 shall be submitted with the application for each assisted living program. The check shall be made payable to the Treasurer, State of Maine.
3.4.3 Annually thereafter a licensee fee of $200 is required.
3.4.4 Admission and scope of services policy. Assisted Living Programs are required to
provide the department with a written admission policy at the time of application for a license.
The policy shall describe who may be admitted and the scope of services provided, including the scope
of Nursing Services, consistent with applicable state and federal law.
3.4.5 Additional licensing requirements. Prior to the issuance of a license and prior to re-licensure, the assisted living program shall:
3.4.5.1 Be certified to be in compliance with the National Fire Protection Association
(NFPA) Life Safety Code. Assisted living programs must be inspected using the section
of the Life Safety Code that applies to new apartment buildings and must be protected
throughout by a supervised, automatic sprinkler system approved by the Commissioner
of Public Safety.
3.4.5.2 Comply with all applicable laws and regulations promulgated thereunder,
relating to fire safety, plumbing, water supply, sewage disposal, and maintenance of sanitary conditions (Class I, II, III).
3.4.5.3 Comply with all other applicable laws and regulations pertaining to licensing.
3.5 Requirement for a bond. The applicant shall furnish evidence of a bond covering the applicant and any employee or agent of the applicant who manages, holds or otherwise is entrusted with consumer funds in an amount sufficient to replace those funds in the event of a loss.
3.6 Limitations on serving as a legal representative. No licensee, owner, proprietor, administrator,
employee, or person with a substantial financial interest in the assisted living program may serve as guardian, conservator or power of attorney of any consumer, but maybe a representative payee or
manager of personal funds.
3.7 Issuance of license. A new applicant will be notified by the department within two (2) weeks of filing an application whether the application is complete. The department and the Department of Public
Safety is required to provide a new applicant necessary services and inspections within ninety (90)
days of the filing of the completed application and the date the building is ready for inspection. The license shall specify the name of the applicant, the name of the program, the type of program, the name of the administrator, the address of the premises where the program is located, the maximum number of units, the type of license, and the expiration date of the license.
3.8 Default licensing. If a new applicant has filed a completed application and has a building ready for inspection, has not been provided the necessary notifications, inspections, or services from the department and the Department of Public Safety, and a period of more than ninety (90) days has elapsed since notification that the application is complete, a provisional license will be issued. All required application materials must be submitted for the application to be considered complete. The department shall notify a new applicant within two (2) weeks of the filing of the application on whether the application is complete. If initial services and inspections are completed within the ninety (90) day time period, an initial license will be issued and no default licensing will occur.
3.9 Number of licenses required. When more than one type of facility or program is provided, the
department may consider the following criteria in determining the number of licenses required:
3.9.1 The physical location;
3.9.2 The structure or management and ownership;
3.9.3 If providing more than one licensed level of care, the physically distinct part of the
building designated for the assisted living program; and
3.9.4 The administrative and regulatory burdens and benefits of granting a given number of licenses.
The department will specify the number of apartments, as appropriate, for each level of care. The
provider shall not exceed licensed capacity.
3.10 Adult day services programs. When an adult day services program is physically located in an assisted living program, separate licenses shall not be required. The adult day services programs shall comply with the Regulations Governing the Licensing and Functioning of Adult Day Services Programs and licensed capacity will be reflected on the license.
3.11 Multilevel facility license. For multilevel facilities, a single license will be issued by the department, identifying each level of service. Multilevel facilities are assisted living programs that are located on the same contiguous grounds with licensed nursing facilities; adult day services programs or home health agencies. Multilevel facilities, when subject to licensing action or other sanctions, may have one or more of its levels sanctioned, and the department will specify the particular levels in writing.
3.12 Provisional license. The department shall issue a provisional license, for a minimum period of three (3) months or longer as deemed necessary by the department but not to exceed twelve (12) consecutive months, to an applicant who:
3.12.1 Has not previously operated the program for which the application is made or is
licensed and has not operated the program during the term of that license;
3.12.2 Complies with all applicable laws and regulations, except those which can only be
complied with once consumers are served by the applicant; and
3.12.3 Demonstrates the ability to comply with all applicable laws and regulations by the end
of the Provisional license term; or
3.12.4 Meets the criteria for default licensing.
3.13 Conditional license. The department may issue a conditional license when the licensee fails to comply with applicable laws and regulations and, in the judgment of the Commissioner of the Department of Health and Human Services, the best interest of the public would be so served by issuing a conditional license. The conditional license shall specify when and what corrections must be made during the term of the conditional license. A conditional license may be issued for up to a twelve (12)
month period.
3.14 Transfer of licenses. No license may be transferred or applied to any location or persons other than those specified on the license. When an assisted living program is sold or otherwise
transferred to another provider, the new provider must apply for and obtain a license and pay a
licensing fee prior to operating the program.
3.15 Term of license. A license may be valid for two (2) years, as long as the department has determined the assisted living program is in substantial compliance with licensing rules and has no history of health or safety violations. Prior to the expiration of the license, the department shall inspect for continued compliance with applicable laws and regulations as often as deemed necessary by the department. In facilities/programs licensed for more than one level of care, the term of the license will be the term permitted for the highest level of care. For purposes of this section, the following terms
have the following meanings:
3.15.1 “Substantial compliance” means there were no Class I or II violations that would
threaten the health or safety of consumers.
3.15.2 “No history of health or safety violations” means that within the preceding two (2)
years, the applicant was in substantial compliance with the rules.
3.16 Reapplications. Whenever a licensee has made a timely and sufficient application for renewal of
a license, the existing license shall not expire until the application has been finally determined by the
department.
3.17 Posting the license. The licensee shall post the license where it can be seen and reviewed by
the public.
3.22 Actions requiring prior written approval. When an alteration of the common dining room and
public bathrooms are proposed, consumers may not use these areas until the department has
determined that the changes comply with these regulations and issues a written approval to proceed.
3.23 Waivers. The department may waive or modify any provision(s) of these regulations as long as
the provision is not mandated by state or federal law and does not violate consumer rights described in
Section 5 of these regulations. The applicant/licensee shall indicate, in writing, what alternative method will comply with the intent of the regulation for which the waiver is sought. If approved, the waiver may
be time-limited.
3.24 Informal review of the waiver denial. The applicant/licensee may appeal a decision of the department to deny a waiver request by submitting a written request for an informal review by the department, or its designee, within ten (10) working days of the date of receipt of the denial. The applicant/licensee shall state in the written request, the grounds for the appeal. Should the
applicant/licensee disagrees with the informal review decision, an administrative hearing (pursuant to
the Maine Administrative Procedure Act) may be requested within ten (10) working days of the date of
notice or receipt of the informal review decision by writing to the department. See also Section 4.10 of
these regulations.
Top Takeaway:
• 3.15 Term of license. A license may be valid for two (2) years, as long as the department has determined the assisted living program is in substantial compliance with licensing rules and has no history of health or safety violations. Prior to the expiration of the license, the department shall inspect for continued compliance with applicable laws and regulations as often as deemed necessary by the department. In facilities/programs licensed for more than one level of care, the term of the license will be the term permitted for the highest level of care. For purposes of this
section, the following terms have the following meanings:
Essentially you buy yourself two years when your ALF license is issued. You must ensure you are following all regulations for the state to stay compliant and be issued a renewal.