Section 071-115-I-7 - Revocation, Suspension, Denial, and Nonrenewal of a Credential1.Grounds for Revocation and Suspension: The following shall be grounds for revocation or suspension: A. Evidence that a holder has injured the health or welfare of a child through physical, or sexual abuse or exploitation shall be grounds for revocation or suspension of a credential. Notwithstanding Title 5, Chapter 341, a certified court record that a person certificated under this Title was convicted in any state or federal court of a criminal offense involving the physical or sexual abuse or exploitation of a child within the previous five (5) years shall be sufficient grounds for revocation or suspension of that person's certificate.B. Evidence of a criminal conviction pursuant to 5 M.R.S.A. §§5301 - 5303: This applies to conviction information received by the Department through the CHRC or any other means. It is the applicant's burden to prove to the Commissioner's satisfaction that he or she is sufficiently rehabilitated to warrant the public trust.C. The practice of fraud, deceit, or misrepresentation in obtaining a credential from the Commissioner, or in connection with any services rendered within the scope of the certificate, authorization, or approval, shall be grounds for revocation or suspension of the credential. This includes answering "no" to any question on whether the applicant has been convicted of a crime when subsequent evidence indicates that there is a conviction. The Commissioner may refer cases of fraud to the Attorney General's Office for possible criminal prosecution.D. Gross Incompetence: Gross incompetence shall be grounds for revocation or suspension of a credential. Gross incompetence includes, but is not limited to, the following: (1) Conduct evidencing a clear and substantial lack of knowledge, ability, or fitness to perform the services rendered within the scope of the credential.(2) Conduct evidencing a negligent disregard for the mental or physical health, safety, or welfare of children or that creates a substantial risk of injury as a result of physical or sexual abuse or exploitation.(3) Negligent or fraudulent completion or filing of any school reports required pursuant to the provisions of state or federal law or regulation.(4) A mental or physical condition, as diagnosed by a physician or other professional competent to make such a diagnosis, that has resulted in the holder performing required duties in a manner endangering the health, safety, or welfare of children, or in the holder's inability to satisfactorily perform the services rendered within the scope of the credential.(5) Refusal to perform, or repeated negligent disregard of, duties required to be performed by the provisions of state or federal law or regulation.(6) Habitual intemperance in the use of alcohol or habitual use of narcotic or hypnotic or other substances, the use of which has resulted in, the holder performing required duties in a manner endangering the health, safety, or welfare of students or in the holder's inability to satisfactorily perform the services rendered within the scope of the credential.(7) Harassment on the basis of sex, including unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature in the following situations:(A) Submission to such conduct is made either explicitly or implicitly a term, condition, or basis for decisions on educational benefits for a student; or(B) Such conduct has the purpose or effect of substantially interfering with a student's academic performance or creating an intimidating, hostile, or offensive educational environment.E. Suspension or revocation of a certificate in another jurisdiction: Where a Maine certificate has been issued upon the basis of a reciprocal certification agreement, the Maine certificate shall be revoked or suspended upon evidence, in the form of a certified copy, that the authority issuing the original certificate has revoked or suspended the certificate.F. Breach of superintendent's duty: The certificate of a superintendent of schools may be suspended or revoked for the knowing employment of personnel who do not hold the appropriate certification, authorization, or approval, or for the knowing assignment of educational personnel to duties for which they do not possess appropriate certification, authorization, or approval, as stated in Section 4.3 of this rule.G. Violation of Code of Ethics and Practice Standards by a school psychologist shall be grounds for the revocation or suspension of the provider's certificate.2.Administrative HoldA. All credential holders must provide the Department with an email or address at which the Department may contact them with respect to their credential.B. If the Department attempts to contact a credential holder at the address provided in subsection A above in order to obtain information with respect to the credential and receives no response, the Department will place the credential on administrative hold until the holder contacts the Department. In cases where an administrative hold is in place, the individual will be treated as if they do not hold the credential.3.Procedures for Revocation or Suspension Action: Except as set forth in subsection (G) and (H), the procedures set forth in this section shall govern the Commissioner's investigation and disposition of matters which may result in the revocation or suspension of any certificate, authorization or approval issued under this Chapter:A.Preliminary Inquiry: Upon receipt of a written complaint or upon his or her own motion, the Commissioner may initiate a preliminary inquiry concerning allegations that could lead to revocation or suspension of a certificate, authorization or approval. If the preliminary inquiry indicates that the allegations are unfounded or that the actual basis of the allegations may be true but is not of sufficient gravity to warrant action, the Commissioner shall notify the certificate holder of the substance of the complaint and any findings. The certificate holder shall be afforded an opportunity to respond in writing to the Commissioner's findings.
B.Notice of Revocation or Suspension: If the preliminary inquiry indicates that allegations may be true and are of sufficient gravity to warrant certification action, the Commissioner shall notify the certificate holder that the Department will conduct an investigation that could lead to revocation or suspension. The notice shall contain a general summary of the allegations.C.Delay of Commissioner's Action: The Commissioner may elect to delay action pending completion of any related criminal proceeding and may rely on a criminal conviction to support certification action prior to resolution of any appeals. For the purposes of this chapter, conviction based on a plea of nolo contendre will have the same effect as a guilty plea.D.Determination of Grounds for Action: If the Commissioner determines that there is reason to believe that the factual basis of a complaint or allegation is true and that grounds exist for certification action, the certificate holder shall be notified of the substance of the complaint or allegations and the specific grounds for action. The holder shall have 30 days to respond in writing.E.Informal Conference: The Commissioner may request an informal conference with the holder. The certificate holder shall be given adequate notice of the conference and of the issues to be discussed. The holder may be represented by counsel at the informal conference.F.Disposition: If after reviewing all available information, including any information provided by the certificate holder, the Commissioner finds that the factual basis of the complaint is true and that grounds exist for revocation or suspension, the Commissioner may: (1) Enter into a consent agreement with the certificate holder which provides for the surrender, revocation or suspension of the certificate, authorization or approval. The agreement may contain reasonable conditions for the health, safety and welfare of children including, but not limited to, restrictions of grade levels or subjects taught, restriction of school-related extra-curricular activities, provisions for the education, professional improvement or rehabilitation of the certificate holder and terms designating conditions for reinstatement or identifying evidence of professional improvement or rehabilitation to be considered by the Commissioner on an application for reinstatement. A consent agreement may be used to terminate a complaint investigation. A consent agreement or consent decree may also be used to terminate a proceeding in the Administrative Court if entered into by the certificate holder and the Attorney General with the approval of the Court.
(2) Refer the matter to the Attorney General with a request that a complaint seeking suspension or revocation be filed in Administrative Court.G.Revocation or Suspension by the Commissioner: The Commissioner may suspend or revoke a certificate in the circumstances permitted by 5 M.R.S.A. Chapter § 10004 without first following the provisions of subsections (A)-(F).H. The procedures set forth in this section shall govern the Commissioner's investigation of alleged violations of the Code of Ethics or practice standards for school psychologists which may result in the revocation or suspension of the school psychologist certificate: (1) Written complaints alleging violations of the code of ethics or practice standards will be referred by the Commissioner (or his/her designee) to the ethics/complaints consultant of the Advisory Committee of School Psychologists. The ethics/ complaints consultant must be a member of the Advisory Committee of School Psychologists and must be a school psychologist.(2) The ethics/complaints consultant of the Advisory Committee of the School Psychologists shall review the written complaint. If it is determined that the alleged misconduct, even if true, would not constitute an actual violation of the Code of Ethics, the ethics/complaints consultant shall notify the complainant and the Commissioner's designee of this point. Then the Commissioner's designee shall notify the individual of the alleged violation of the Code of Ethics and the Commissioner's finding that the alleged violation of the Code of Ethics was not warranted.
(3) If the ethics/complaints consultant determines the information provided by the complainant is insufficient to make a determination regarding the alleged misconduct, then the ethics/complaints consultant may send a written request to the designee, requesting clarification or additional information.(4) If it is determined that the alleged misconduct, if substantiated, would constitute an actual violation of the Code of Ethics and could warrant certification action, then the ethics/complaints consultant will send a letter to the complainant notifying the complainant (and the Commissioner's designee) that the allegation tentatively will be investigated by the ethics/complaints consultant. The complainant shall be asked to sign a release authorizing that his/her name be revealed to the respondent, the individual against whom the complaint was made.(5) If the complainant does not execute the release form, the ethics/complaints consultant will consult with the Commissioner's designee, and a decision will be made by the Commissioner regarding whether or not to further proceed.(6 ) The ethics/complaints consultant will, in writing, within 15 days of the receipt of the signed release form, notify the respondent of the complaint as well as copy the Commissioner's designee. The letter shall describe the nature of the complaint as well as indicate the principle(s) that appear to have been violated, and request the respondent's cooperation in obtaining a complete picture of the circumstances which led to the allegations. In the letter, the respondent shall be notified of the investigation which could lead to certification action, and the respondent shall be asked to provide, within 30 days of the date of the letter, a written statement outlining his/her view of the situation. If written permission has been obtained from the complainant, his/her name may be disclosed to the respondent depending on the complaint. A copy of the Code of Ethics may be enclosed.(7) The ethics/complaints consultant shall review all available information, including any written information provided by the respondent, in the case and shall prepare a written report, attaching all available documents, for the Commissioner's designee. A copy of this confidential report shall be given to the chair of the Advisory Committee of School Psychologists. The report shall explain whether or not there appears to be a factual basis to the complaint and shall elaborate on whether or not grounds which relate to the violation of the Code of Ethics or practice standards seem to exist which would warrant certification action. (A) The Commissioner's designee will review all documents that are received from the ethics/complaint consultant. As necessary, consultation will occur between the ethics/complaint consultant and the Commissioner's designee. A recommendation will be made by the Commissioner's designee to the Commissioner regarding whether or not certification action is warranted against the respondent.(8) If the Commissioner determines that certification action is warranted, the certificate holder will be notified and the Commissioner will proceed as provided for in these rules.4.Reinstatement of a Surrendered, Suspended or Revoked Credential: An individual may apply for reinstatement of a surrendered, suspended or revoked credential subject to the requirements of 20-A M.R.S.A. §13020(4), and to the provisions of any consent agreement, court order or administrative order pursuant to which the individual's earlier certificate, authorization or approval was surrendered, suspended or revoked. A reinstated credential shall be effective upon its date of issuance or upon such other designated date that is consistent with 20-A M.R.S.A. §13020(4) and with the provisions of any consent agreement, court order or administrative order pursuant to which the individual's earlier credential was surrendered, suspended or revoked. Reinstatement of an individual whose credential was surrendered, suspended, or revoked for reasons of child abuse or exploitation, who seeks reinstatement under 20-A M.R.S.A. §13020(4).A, must demonstrate compelling evidence of rehabilitation sufficient to warrant the public trust for the Commissioner to grant reinstatement under 20-A M.R.S.A. §13020(4).B.
5.Denial or Nonrenewal of CredentialA. The Commissioner may deny an application for the initial issuance or renewal of any credential on the following grounds: (1) Failure to meet standards set forth in Part I Sections 6, or Part II of this rule.(2) Any ground set forth in Section 7.1 of this rule that could constitute grounds for revocation or suspension. With regard to 7.1.A, of this rule: Evidence that an applicant for initial credential or renewal has injured the health or welfare of a child through physical or sexual abuse or exploitation is grounds for a denial of a certificate, authorization or approval. Notwithstanding Title 5, Chapter 341, every person, who within five (5) years of the application for initial certification or renewal, has been convicted in any state or federal court of a criminal offense involving the physical or sexual abuse or exploitation of a child, may be presumed by the Commissioner to lack good moral character for the purposes of this rule. This presumption shall be a rebuttable presumption. Notwithstanding Title 5, Chapter 341, the Commissioner shall be entitled to consider all records of prior criminal convictions involving child abuse or exploitation in determining an applicant's eligibility for a certificate, authorization or approval.B. The procedures that govern the Commissioner's investigation and disposition of matters that may result in the denial or non-renewal of an application for certification, authorization, or approval issued under this rule are set forth in Maine Department of Education Regulation 119.05-071 C.M.R. ch. 115, § I-7