An Act To Amend Laws Relating to Development of Service Plans for Persons with Mental Retardation
Maine Legislature, Session 121, LD 1593
Committee: Health and Human Services
Sponsors: WALCOTT, CAMPBELL, CRAVEN, EARLE, LA VERRIERE-BOUCHER, LEWIN, WESTON
Amends: 34-B MRSA §5437, 34-B MRSA §5461, 34-B MRSA §5462, 34-B MRSA §5463, 34-B MRSA §5465, 34-B MRSA §5467, 34-B MRSA §5468, 34-B MRSA §5469, 8 MRSA §5471, 34-A MRSA §5473, 34-B MRSA §5473, 34-B MRSA §5475, 34-B MRSA §5478, 34-B MRSA §5479, 34-B MRSA §5480, 34-B MRSA §5609, 34-B MRSA §6252

Legislative Document 
No. 1593 
H.P.1166 
House of Representatives, April 30, 2003 
An Act To Amend Laws Relating to Development of Service Plans 
for Persons with Mental Retardation 
Submitted by the Department of Behavioral and Developmental Services pursuant to Joint 
Rule 204. 
Reference to the Committee on Health and Human Services suggested and ordered printed. 
Presented by Representative WALCOTT of Lewiston. 
11l~ 
frJ.1ll0£~ 
MILLICENT M. MacFARLAND 
Clerk 
Cosponsored by Representatives: CAMPBELL of Newfield, CRAVEN of Lewiston, EARLE 
of Damariscotta, LA VERRIERE-BOUCHER of Biddeford, LEWIN of Eliot, Senator: 
WESTON of Waldo. 
Printed on recyded paper 
Be it enacted by the People of the State of Maine as follows: 
Sec. 1. 34-B MRSA §5437, sub-§4, as enac ted by PL 1985, c . 
486, §2, is amended to read: 
4. 
Disbursement not to be approved. 
Ne A disbursement for 
client needs may ~ 
be approved for any service or activity not 
recommended by 
iB~eFaiseipliBaFY a planning team or necessary to 
comply with regulations. Ne A disbursement may ~ 
be made unless 
evidence is provided that the expense is not reimbursable by the 
Medicaid Program. 
It is the intent of the Legislature that the 
contingency fund established in this section be 
the 
funding 
source of last resort. 
Sec. 2. 34-B MRSA §5461, sub-§7, as enacted by PL 1983, c. 
459, §7, is repealed. 
Sec. 3. 34-B MRSA §5461, sub-§§8-B and 8-C are enacted to read: 
a-B. 
Personal 
planning 
process. 
"Personal 
planning 
process" means 
a 
process of planning with a 
client for the 
coordination 
and 
delivery 
of 
supportive 
and 
other 
services 
through the development of a personal plan or service plan. 
The 
type of plan, participants and agenda at the planning meeting 
must be selected by the client or guardian. 
a-c. 
Planning teillD. 
"Planning team" means those persons, 
including at a minimum the client, the client's guardian and the 
client's individual support coordinator and others selected by 
the client or guardian to participate, who develop a personal 
plan or service plan. 
The planning team may include family, 
friends, service providers, correspondents, advocates and others. 
Sec. 4. 34-B MRSA §5461, sub-§9, as enacted by PL 1983, c. 
459, §7, is repealed. 
Sec. 5. 34-B MRSA §5461, sub-§10-A, as enacted by PL 1983, c. 
580, §13, is amended to read: 
IO-A. 
Service plan. 
"Service plan" means aB-aBBHal-wFi~~eB 
one type of plan reSUlting from the personal planning process for 
the delivery and coordination of specific services to a client 
when ~ae-fellewiB~-eeBaitieBs-eHist: 
A. 
The client or guardian has waivea--tae--pFeseFiptive 
pFe~Fam--plaB--pFeeess 
~c~h~o~s~e~n~~t~h~~~·s~~t.y~p~e~~o~f~~p~l~a~n~~o~v~e~r __ ~a 
personal plan; QI 
Page l-LR1972(1} 
8T---~ae--~~e6e~i~~iye--~~e~~affi--~±aR--~~eee66--QRReee66a~i±y 
~e6~~ie~6-~ae-e±ieRt~6-ewR-aai±i~y-~e-ffia*e-aeei6ieR6~ 
D. 
The client has either a single service need or routine 
service eee~aiRatieR needs. 
Sec. 6. 34-B MRSA §5462, sub-§l, ,B, as amended by PL 1983, c. 
580, §15, is repealed and the following enacted in its place: 
B. 
The development of a personal plan or service plan for 
the delivery and coordination of services to the person 
through a personal planning process. 
Sec. 7. 34-B MRSA §5463, as enacted by PL 1983, c. 459, §7, 
is amended to read: 
§5463. Notice 
The commissioner shall provide the client, if ae the client 
is 
competentT~ the client's next of kin or guardian, if any 
exists TL and the client's advocate with timely written notice in 
advance of procedures and actions to be taken with respect to the 
development, 
implementation 
and 
assessment 
of 
~~e6e~i~~iye 
~~e~~affi personal plans and service plans. 
Sec. 8. 34-B MRSA §5465, sub-§2, "A and B, as enacted by PL 
1983, c. 459, §7, are amended to read: 
A. 
The 
membership, 
functions 
iRte~ai6ei~±iRa~y planning teams; 
and 
procedures 
of 
the 
B. 
The procedures to be used in developing 
~~e~~affi6 
~p~e~r~s~o~n~a~l __ ~p~l~a~n~s~~a~n~d~~s~e~r~v~i~c~e~~p~l~a~n~s 
agreements; 
~~e6e~i~tiye 
and 
service 
Sec. 9. 34-B MRSA §5467, as amended by PL 1995, c. 560, Pt. 
K, §56, is further amended to read: 
§5467. 
Application and preliminary procedures 
1. 
Application. 
An 
application 
for 
mental 
retardation 
services, 
on 
a 
form 
provided 
by 
the 
commissioner, 
must 
be 
initiated at or referred to a regional office of the department. 
Except 
for 
referrals 
identifying 
a 
possible 
need 
for 
adult 
protective 
services, 
the 
department 
shall 
accept 
only 
those 
referrals to which the client or client's guardian has consented. 
2. 
Preliminary procedures. 
Within 10 work days from the 
day 
of 
the 
department's 
receipt 
of 
the 
application 
and 
a 
permission for service form signed by the client or the client's 
guardian, the department shall: 
A. 
gBse~ve Determine when a visit to observe the client in 
his 
the 
client's 
current 
environment 
or 
other 
setting 
familiar and comfortable to the client will be appropriate 
and useful; 
B. 
Obtain a brief family survey; 
C. 
Make 
a 
preliminary assessmeat 
client's abilities and needs and of 
presently available to the client; aae 
identification 
the relevant 
of the 
services 
D. 
Ensure the client's access to an advocate throughout the 
process of mental retardation services under sections 5467 
to 5474TL 
E. 
Determine 
what 
information 
is 
needed 
to 
establish 
eligibility; 
F. 
Provide 
services 
or 
referral 
for 
services 
to 
meet 
singular immediate needs for the client's health and safety; 
and 
G. 
Begin to gather information for a service plan or a 
personal plan. 
Sec. 10. 34-B MRSA §5468, first" as enacted by PL 1983, c. 
459, §7, is amended to read: 
After 
completing 
the 
tasks 
specified 
in 
section 
5467, 
subsection 
2, 
the 
commissioner 
shall 
~e~thwith 
cause 
a 
comprehensive evaluation of the client, including a consideration 
of physical, 
emotional, 
social and cognitive factors, 
to 
be 
conducted if a recent comprehensive and informative evaluation is 
not already available to the department. 
Sec. 11. 34-B MRSA §5469, sub-§2, "A and B, as enacted by PL 
1983, c. 580, §20, are amended to read: 
A. 
The 
department, 
through 
the 
regional 
office, 
shall 
determine the client's case management status and develop a 
p~ese~iptive-p~e~~am personal plan or service planT-e~-aeth; 
and 
B . 
If - -a-- -pt'-eG-G-F-ipt--i-Ye- - P ~e~ ~ am- -p-l-an- -1-& - te - -be-- -dEwe-l-oped-,- - the 
The department, through the iate~eiseip±iaa~y planning team, 
shall develop aBa-~~~~-implemeBt a 
p~ese~ipti¥e-p~e~~am 
personal plan or service plan for the client witai»-eG-aays 
eE-~he-~~~~~~~~~-&eGt~»-94e+ within 45 days of 
the 
date 
of 
the 
determination 
of 
eligibility. 
Implementation of the plan is governed by section 5471, 
subsection 4. 
Sec. 12. 34-B MRSA §5469, sub-§3, as amended by PL 1995, c . 
560, Pt. K, §57, is further amended to read: 
3. 
Preschool child. 
If the report of the comprehensive 
evaluation 
concludes 
that 
a 
child, 
aged 
to 
years, 
is 
developmentally delayed and is in need of infant development 
services or other early intervention services: 
A. 
The 
department, 
through 
the 
regional 
office, 
shall 
develop 
a 
p~ese~4ptive--p~9~~am personal plan or 
service 
plan, or both; and 
B. 
If 
a 
p~ese~ipti¥e--p~9~~am personal 
plan is 
to 
be 
developed, 
the 
department, 
through 
the 
iBte~aiseipliBa~y 
planning 
team, 
shall 
develop 
and 
begin 
to 
implement 
a 
p~ese~ipti¥e-p~9~~am personal plan for the client within 60 
days of the application made under section 5467. 
Sec. 13. 34·B MRSA §5470, as amended by PL 1983, c. 580, §2l, 
is repealed. 
Sec. 14. 34·B MRSA §5470.A is enacted to read: 
§5470-A. 
Personal planning process 
1. 
Process. 
The personal planning process must: 
A. 
Be understandable to the client and in plain language, 
and if the client is deaf or nonverbal, uses sign language 
or 
speaks 
another 
language, 
the 
process 
must 
include 
qualified interpreters; 
B. 
Focus on the client's choice: 
c. 
Reflect and be supportive of the client's goals and 
aspirations: 
D. 
Be developed at the direction of the client and include 
people whom the client chooses to participate: 
E. 
Be flexible enough to change as new opportunities arise: 
F. 
Be reviewed according to a specified schedule and by a 
person designated for monitoring: 
G. 
Include all of the needs and desires of the client 
without 
respect 
to whether 
those desires 
are 
reasonably 
achievable or 
the 
needs 
are presently capable 
of 
being 
addressed: and 
H. 
Include 
a 
provision 
for 
ensuring 
the 
client's 
satisfaction with the quality of the plan and the supports 
that the client receives. 
Sec. 15. 34-8 MRSA §5471, as amended by PL 1995, c. 560, Pt. 
K, §58, is further amended to read: 
§5471. 
Service aqreements 
1. 
Service aqreement required. 
Each 
pl'ese£-i'@~-iv-e--p-l'-G§l'-am 
personal plan or service plan sHall must be carried out pursuant 
to a written service agreement. 
2. 
Siqnatures. 
Each service agreement sHall must be signed 
and dated by at least: 
A. 
The client, if He the client is able: 
B. 
The client's guardian or next of kin, if that person 
exists and is available; 
C. 
A client advocate, if the client has no guardian; 
D. 
The individual pI'G§l'-am-'@;J,aa support coordinator of the 
iatel'eiseipliaal'¥ planning team 
wHieH that developed the 
iaEiiviEiQa-l--p-l'-G§l'am personal plan or service plan for the 
client; 
E. 
The regional director or designee of the appropriate 
regional 
office, 
if 
a 
client is 
being 
admitted 
to 
or 
discharged from 
a 
facility or if a 
client is under the 
supervision of the regional office; 
F. 
The chief administrative officer of the facility or His 
the chief administrative officer's agent, if a client is 
being admitted to, treated in or discharged from a facility: 
and 
G. 
The 
chief administrative 
administrative officer's agent, 
officer, 
or His 
the chief 
of other public or private 
agencies or groups waiea that agree to provide services to 
the client. 
3. 
Contents. 
Each service aEjFeeme-at;.-6Rall agreement must 
include at least the following information. 
A. 
It slla!! must specify the respective responsibilities, 
where applicable, of the client, the family or guardian of 
the client, 
the regional office, 
the facilitYT 
and each 
public and private agency wlliell that intends to provide 
services to the client. 
B. 
It saa!! must identify by job classification or other 
description each individual who is responsible for carrying 
out each part of the 
pl>eseFi-~t;.i-ve--fl~eEjFaHI service plan or 
personal plan. 
GT--~~-~~~-&~eei~Y-~Re-~~-&a-wRieR-~~-~~-Fe~aiFes 
iB-saBseeti9B-9-saa!!-geeaFT 
4. 
Implementation 
of 
service 
plan 
or 
personal 
plan. 
Implementation of a pFeseFiptive-pl>9Ejl>aHI service plan or personal 
plan is governed as follows. 
A. 
No 
part of 
a 
pl>eseFiptive--pl>eEjl>aHI 
service plan or 
personal plan may be implemented until each person required 
to sign the service agreement under subsection 2 has signed 
it, except that if a client is to be admitted to a facility, 
the service agreement need not be completed until 5 days 
after the date of admission. 
B. 
Any 
existing 
pFesel>ipti-ve--pF9EjFaHI 
personal plan is considered to 
be 
in 
persons required to sign under subsection 
new service agreement. 
service 
plan 
effect until 
have signed 
or 
all 
the 
c. 
may 
the 
N9-F~e6€Fiptive-p~9EjFaHI A service plan or personal plan 
not be in effect longer than one year and 2 weeks from 
day 
on 
which 
the 
last 
person 
signed 
the 
service 
agreement for the plan. 
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seFviee-aEj~eeffiea~7-a£-~~~~~~~~~~~~~~t;.-te-asse6s 
tlle-~~--pFeseFiptive-~~~-p!aB-~,--i~-~~~~--6eFviees 
aFe-Fee9ffiffieasesT-t9-pFepaFe-a-Bew-p!aBT 
6. 
Amendment. 
Any major changes in a client's pl>eseFiptive 
pF9Ejl>affi service plan or personal plan may occur only after the 
service agreement has been amended and signed by the persons 
specified in sUbsection 2. 
Sec. 16. 34-A MRSA §5473, sub-§l, as amended by PL 1995, c. 
560, Pt. K, §59, is further amended to read: 
I. 
Respite care. 
Respite care may 
be provided to any 
client by a facility without full compliance with the procedures 
for admission by judicial certification under section 5475, if it 
is recommended by an--i-n-t;e.F4i-sei-pli-naI'Y 
a planning team and a 
service agreement has been completed. 
A. 
The purpose of 
diagnosis 
or 
other 
therapeutic purposes 
family. 
the respite care is 
clearly 
stated 
and 
of 
the client or 
for evaluation, 
broadly 
defined 
R~S the client's 
B. 
Respite care may be provided, upon application to the 
regional office of the department by the client, guardian or 
parent, for not more than 21 days at a time and not more 
than 60 days during any 12-month period. 
C. 
Continuing placement in the facility beyond the time 
periods 
stated 
in 
paragraph 
B, 
if 
indicated, 
may 
be 
accomplished 
only 
upon 
full 
compliance 
with 
procedures 
described by this chapter. 
Sec. 17. 34-B MRSA §5473, sub-§2, 1fC, as enacted by PL 1983, 
c. 459, §7, is amended to read: 
C. 
An ini tial 
pl'esel'~p~~ve--p-r-og.r-am--p±an personal planning 
process has been developed aeeel'e~n§-~e-seet~en-941Q. 
Sec. 18. 34-B MRSA §5475, sub-§2, 1fC, as amended by PL 1983, 
c. 580, §22, is further amended to read: 
C. 
Unless waived by a client and R~S the client's counsel, 
cause the client who is the subject of the proceeding to be 
examined by a professional. 
(1) 
The client or R~S the client's counsel 
the professional, if the professional Re 
chooses is reasonably available. 
may choose 
the client 
(2) 
The professional may not be the 
same 
one 
who 
performed any part of the evaluation required under 
section 5468 or who participated in the development of 
the pl'esel'~pt~ve-pl'e§l'am personal plan or service plan. 
(3) 
Upon 
completion 
of 
professional 
shall 
report 
to 
professional's opinion whether 
the 
examination, 
the 
the 
court 
R~S 
the 
the client is mentally 
retarded and t;ael:'etel:'e requires treatment, stating ais 
the professional's reasons for ais the professional's 
opinion; 
Sec. 19. 34-B MRS A §5476, first 11, as repealed and replaced by 
PL 1983, c. 580, §23, is amended to read: 
Any client recommended for admission to a mental retardation 
facility 
~\:lH\:laat.---t.G---see-t-i-E>n--94+9 may be admitted by judicial 
commitment according to the following procedures. 
Sec. 20. 34-B MRSA §5478, sub-§3, llA, as enacted by PL 1983, c. 
580, §26, is amended to read: 
A. 
A ~l:'esel:'i~t;ive-~l:'e~l:'affi personal plan or service planT-as 
~l:'eviQeQ--ia--seet;ieR--94+gT has 
been 
agreed 
to 
by 
the 
s\:l~el:'iat;eRQeRt; chief administrative officer of the facility 
and the guardian; 
Sec. 21. 34-B MRSA §5479, as enacted by PL 1983, c. 459, §7, 
is amended to read: 
§5479. 
Post-admission responsibilities of the department 
1. 
Provision of care and treatment. 
Post-admission care 
and treatment in a facility is governed as follows. 
A. 
An initial service agreement for services to be received 
in the facility saa;!,;!, must be executed within 5 days of 
admission and saa;!,;!, must include a date, within 30 days of 
the client's admission to the facility, for a meeting of the 
persons 
who 
signed 
the 
agreement 
to 
assess 
and, 
if 
necessary, refine the client's ~l:'esel:'i~t;ive-~Fe~l:'affi personal 
plan or service plan. 
B. 
While residing in the facility, the client saa;!,;!, must 
recei ve care, treatment and services only according to the 
procedures set forth in this section and in seet;i-g.!l,&- a4:;lG 
aaa section 5471. 
2. 
Preparation for discharge. 
Preparation for a client's 
discharge from a facility is governed as follows. 
A. 
When aa-iat.eFaiseip;!'iaaI:'Y a planning team finds that the 
client 
may 
be 
ready 
for 
discharge 
and 
determines 
that 
temporary 
placement 
of 
the 
client in the 
community 
is 
required to assist in its evaluation of the client, the team 
may 
recommend 
that 
placement 
and 
shall 
develop 
a 
~l:'esel:'ipt;ive--~l:'e~l:'affi 
personal 
plan 
or 
service 
plan 
and 
service agreement whieh--ssall that must include provisions 
to ensure that: 
(1) 
The client's money is adequately managed; 
( 2 ) 
The 
client 
has 
a 
legal 
representative, 
if 
required; 
(3) 
The 
client 
receives 
needed 
services 
in 
the 
community; and 
(4) 
The client's parent or guardian, if available, 
continues to be involved with the client. 
B. 
The chief administrative officer of the facility 
release the client pursuant to such a 
recommendation 
community placement through the regional office. 
may 
for 
3. 
Role of the regional office. 
The role of the regional 
office under this section is as follows. 
A. 
The regional office whieh .tl.litt will have responsibility 
for the client shall must be included in the preparation of 
the 
pFeseF-ip1;i-¥&-fl~et3~aHl personal plan or service plan and 
service agreement specified in subsection 2. 
B. 
The 
regional 
office 
shall--Be 
is 
responsible 
for 
implementing the client's release. 
c. 
The regional office shall, along with the other members 
of the iB~eFsiseipliBaFY planning team, evaluate the success 
of the client's reintegration into the community and shall 
assist in obtaining the client's discharge when assured that 
the provisions of the pFeseF-iptive-flFet3FaHI personal plan or 
service plan and service agreement have been met. 
Sec. 22. 34-B MRSA §5480, sub-§2, as enac ted by PL 1983, c. 
459, §7, is amended to read: 
2. 
Discharge. 
When 
a 
judicially certified 
client 
is 
prepared for discharge, 
under section 5479, 
subsection 2, 
he 
shall the client must be discharged if the regional office and 
the iBteFsiseipliBaFY planning team so recommend. 
Sec. 23. MRSA §5609, sub-§l, as amended by PL 1995, c. 560, 
Pt. K, §60, is further amended to read: 
1. 
Habilitation 
services. 
Department 
of 
Labor, 
through 
the 
Services, 
shall 
provide, 
to 
the 
The 
department 
and 
the 
Office 
of 
Rehabilitation 
extent 
of 
the 
resources 
• 
available, for those habilitation and vocational rehabilitation 
services, defined in Title 26, section 14Il-A, subsection 6, and 
any other service, 
including, 
but not limited to, 
supported 
employmentL including work in rehabilitation facilities and work 
centers, as defined in Title 5, chapter 155, subchapter ~~ 1; job 
coaching; transportation, recreational and leisure services; and 
respite 
or 
day 
programs 
designed 
in 
consultation 
with 
aa 
iat:eFEliseipliaaFY a planning team in order to make available to 
persons receiving services those services that are otherwise not 
obtainable, in the following order of priority: 
A. 
Those persons receiving services who are living at home 
or in unsubsidized foster care who are between 20 and 26 
years of age and are not receiving any day program; and 
B. 
All other persons receiving services who are between 20 
and 26 years of age and are not receiving an appropriate day 
program. 
All persons receiving services 
prior to their 26th birthday 
receive 
services 
through 
the 
subsection 2. 
who are served under this program 
must be allowed to continue to 
voucher 
system 
established 
by 
For purposes of this section, 
aa--i-&t:&F4i-s-ei-pli-aaFY a planning 
team includes the person receiving services and a member of the 
person's family or the guardian of the person receiving services. 
Sec. 24. 34-B MRSA §5609, sub-§2, as amended by PL 1995, c. 
560, Pt. K, §6l, is further amended to read: 
2. 
Payment for service. 
The department shall establish a 
voucher system to allow the iat:eFEliseipliaaFY planning team to 
incorporate only those services determined critical and otherwise 
unavailable into 
a 
program, 
including work, 
habilitation and 
other services designated in subsection 1, when appropriate. 
The 
department shall establish a limit on the amount of transitional 
services available to persons receiving services eligible for 
services under this section. 
Sec. 25. 34-B MRSA §6252, sub-§4, ,A, as enacted by PL 1985, 
c. 503, §12, is amended to read: 
A. 
When 
considered necessary by aa--i-at:eFEli-seipliaaFY 
Q 
planning team and with the consent of the director, persons 
may be admitted to the Elizabeth Levinson Center short-term 
evaluation 
program 
for 
a 
period 
of 
program 
days, 
excluding weekends, without certification. 
SUMMARY 
This bill amends the laws relating to development of service 
plans for persons with mental retardation. 
Page II-LRI972(1)