10-144-500 Me. Code R. § 6

Current through 2024-46, November 13, 2024

Section 144-500-6 - CONTINUING SUPERVISION

6.1 Continuing Supervision. The department's continuing supervision of certificate holders may consist of periodic reports, supervisory reviews and additional supervisory activities. See 22 M.R.S.A. §1845.

6.2 Six-Month Reports. Unless otherwise directed in the issued certificate, certificate holders must submit a written report every six months, after the date the certificate is issued, to the department's Division of Licensing and Regulatory Services on the extent of the benefits realized and compliance with other terms and conditions of the issued certificate. The report shall be submitted on department-approved forms and contain all required documentation.

6.2.1 Copies of Reports. Certificate holders must submit copies of the report and all accompanying materials to the Office of the Attorney General and the Governor's Office of Health Policy and Finance or its successor at the time the report is filed with the department's Division of Licensing and Regulatory Services.

6.3 Comments from Office of the Attorney General and the Governor's Office of Health Policy and Finance. Within 30 calendar days of the date of the department's receipt of the report (Section 6.2), the Office of the Attorney General and the Governor's Office of Health Policy and Finance or its successor may submit to the department comments on the report. See 22 M.R.S.A. §1845(1).

6.3.1 Department Review of Comments and Report. The department shall consider any comments on the report submitted by the Office of the Attorney General and the Governor's Office of Health Policy and Finance or its successor in the course of its evaluation of the report.

6.4 Department Findings. Within 60 calendar days of the date of receipt of the holder's report, the department shall:

6.4.1 Prepare written findings regarding the report, including the department's response to any comments from the Office of the Attorney General and the Governor's Office of Health Policy and Finance or its successor.

6.4.2 Determine whether to institute additional supervisory activities and notify the certificate holders. See 22 M.R.S.A. §1845(1).

6.4.3 Submit copies of its findings and notice to institute additional supervisory activities, if applicable, to the Office of the Attorney General and the Governor's Office of Health Policy and Finance or its successor.

6.5 Additional Supervisory Activities. The department shall conduct additional supervisory activities:

6.5.1 Whenever requested by the Office of the Attorney General, or the Governor's Office of Health Policy and Finance or its successor; or

6.5.2 Whenever the department, in its discretion, determines additional supervisory activities are appropriate; and

6.5.3 For certificates not involving mergers, at least once in the first 18 months after the transaction described in the cooperative agreement has closed; and

6.5.4 For certificates involving mergers at least once between 12 and 30 months after the transaction described in the cooperative agreement has closed. See 22 M.R.S.A. §1845(2)(A).

6.6 Department Discretion:Conduct Additional Supervisory Activities. At its discretion, the department may conduct additional supervisory activities by:

6.6.1 Soliciting and reviewing written submissions from the certificate holders, the Office of the Attorney General, the Governor's Office of Health Policy and Finance or its successor, or the public;

6.6.2 Conducting a hearing in accordance with Section 6.8 of these rules; or

6.6.3 Using any alternative procedures appropriate under the circumstances. See 22 M.R.S.A. §1845(2)(B).

6.7 Standards Governing Additional Supervisory Activities. A department decision regarding additional supervisory activities is governed by the following standards:

6.7.1 Lack of Substantial Compliance. If the department determines that the certificate holders are not in substantial compliance with any conditions included in the issued certificate or in a consent decree entered into by the department, the department may at its discretion:

6.7.1.1 Additional Conditions. Impose additional conditions to secure compliance with any conditions in the issued certificate or consent decree; or

6.7.1.2 Notice to Compel. Issue a written notice to the certificate holders compelling compliance with any conditions included in the issued certificate or consent decree.

6.7.1.3 Department Enforcement Action or Court Ordered Revocation. If after 30 calendar days the department determines that the "Notice to Compel Compliance" was not effective in securing compliance with the conditions, the department may impose any additional enforcement measures authorized by law to compel compliance with the conditions; or seek a court order revoking the issued certificate in accordance with Section 7.7 of these rules. See 22 M.R.S.A. §1845(3)(A).

6.7.2 Changed or Unanticipated Circumstances. If the department determines during any supervisory activities that, as a result of changed or unanticipated circumstances(Section 1.15) , the benefits resulting from the activities authorized under the issued certificate and the unavoidable costs of revoking the issued certificate are outweighed by disadvantages attributable to a reduction in competition, the department may:

6.7.2.1 Impose additional conditions to ameliorate any disadvantages attributable to any reduction in competition; or

6.7.2.2. Seek a court order revoking the issued certificate in accordance with Section 7.7 of these rules. See 22 M.R.S.A. §1845(3)(B).

6.7.3 Notice: Imposition of Additional Conditions or Measures. At least 10 business days prior to imposition, the department shall give certificate holders written notice of its decision to impose any additional conditions or measures to the issued certificate.

6.7.3.1 Right to Administrative Hearing. Certificate holders may request a hearing in accordance with Section 6.8 of these rules to contest the department's decision to impose additional conditions or measures. See 22 M.R.S.A. §1845(2)(C).

6.7.4 Remedial Order: Burden of Proof. The burden of proof is on the parties seeking any remedial order. A remedial order may not be issued unless the basis for it is established by a preponderance of the evidence. See 22 M.R.S.A. §1845(2)(D).

6.8 Administrative Hearing. Holders of a certificate may request an administrative hearing in accordance with 5 M.R.S.A chapter 375, subchapter 4, within 10 days of the date of receipt of notice of the following department actions:

6.8.1Department decision to impose additional conditions or measures to an issued COPA. See 22 M.R.S.A. §1845(2)(C).

6.8.2Department decision to institute additional supervisory activities. See 22 M.R.S.A. §1845(2)(B)(2).

10-144 C.M.R. ch. 500, § 6