An Act to Modify the Law Governing Revocation of a Code Enforcement Officer's Certification

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STATE OF MAINE
_____
IN THE YEAR OF OUR LORD
TWO THOUSAND TWENTY-SIX
_____
H.P. 1412 - L.D. 2097
An Act to Modify the Law Governing Revocation of a Code Enforcement
Officer's Certification
Be it enacted by the People of the State of Maine as follows:
Sec. 1. 30-A MRSA §4221, sub-§2, as amended by PL 2011, c. 655, Pt. FF, §7
and affected by §16, is further amended to read:
2. Certification requirements. A person may not hold the office of plumbing
inspector unless currently certified as qualified pursuant to section 4451. Certification is
effective for a period of 5 years unless sooner revoked or suspended by the District Court
as provided for in section 4451 4451-G.
Sec. 2. 30-A MRSA §4450 is enacted to read:
§4450. Definitions
As used in this subchapter, unless the context otherwise indicates, the following terms
have the following meanings.
1. Certificate holder. "Certificate holder" means an individual holding a code
enforcement officer certificate issued under section 4451 by the former State Planning
Office, the Department of Economic and Community Development, Office of Community
Development, the Department of Public Safety, Office of the State Fire Marshal or the
Maine Office of Community Affairs.
2. Certification review committee. "Certification review committee" or "committee"
means the committee established in section 4451-A, subsection 1.
3. Division director. "Division director" means the senior employee responsible for
technical codes coordination in the Division of Building Codes and Standards established
within the Maine Office of Community Affairs in Title 25, section 2372.
4. Staff. "Staff" means an employee or contractor of the Maine Office of Community
Affairs established in Title 5, section 3202.
Sec. 3. 30-A MRSA §4451, sub-§1, ¶D, as amended by PL 2025, c. 388, Pt. D,
§38, is further amended to read:
APPROVED
APRIL 13, 2026
BY GOVERNOR
CHAPTER
684
PUBLIC LAW
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D. An individual whose certification has expired or is about to expire may be
temporarily authorized in writing by the Maine Office of Community Affairs to extend
that individual's certification for a period not to exceed 12 months in cases where the
necessary training or examination is suspended under subsection 3‑B, paragraph E,
except that beginning July 20, 2026 and ending July 20, 2028, the Maine Office of
Community Affairs may extend an individual’s certification for a period not to exceed
24 months.
Sec. 4. 30-A MRSA §4451, sub-§6, as amended by PL 2025, c. 388, Pt. D, §38, is
further amended to read:
6. Certification; terms; revocation. The Maine Office of Community Affairs shall
certify individuals as to their competency to successfully enforce ordinances and other land
use regulations and permits granted under those ordinances and regulations and shall issue
certificates attesting to the competency of those individuals to act as code enforcement
officers. Certificates issued by the former State Planning Office, the Department of
Economic and Community Development, Office of Community Development, the
Department of Public Safety, Office of the State Fire Marshal or the Maine Office of
Community Affairs are valid for 6 years unless revoked by the District Court or suspended
as provided for in section 4451-G. An examination is not required for recertification of
code enforcement officers. The Maine Office of Community Affairs shall recertify a code
enforcement officer if the code enforcement officer successfully completes at least 12 hours
of approved training in each area of job responsibility during the 6-year certification period.
A. The District Court may revoke the certificate of a code enforcement officer, in
accordance with Title 4, chapter 5, when it finds that:
(1) The code enforcement officer has practiced fraud or deception;
(2) Reasonable care, judgment or the application of a duly trained and
knowledgeable code enforcement officer's ability was not used in the performance
of the duties of the office; or
(3) The code enforcement officer is incompetent or unable to perform properly the
duties of the office.
B. Code enforcement officers whose certificates are invalidated under this subsection
may be issued new certificates provided that they are newly certified as provided in
this section.
Sec. 5. 30-A MRSA §4451-A is enacted to read:
§4451-A. Certification review committee
1. Certification review committee; established. The certification review committee
is established to receive, review, investigate when appropriate and respond to complaints
regarding any violation of this subchapter or rules established by the Technical Building
Codes and Standards Board or the Maine Office of Community Affairs by a certificate
holder.
2. Certification review committee; membership. The division director shall appoint
7 members to serve on the committee. The division director shall name one member as
chair and one member as secretary of the committee.
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A. Two of the members must be members of the Technical Building Codes and
Standards Board, established in Title 5, section 12004-G, subsection 5-A, one of whom
must hold a certification pursuant to section 4221 or 4451.
B. The remaining 5 members must be residents of this State who have professional
experience and familiarity with the topic areas for which the Division of Building
Codes and Standards issues certifications, except they may not be members of the
Technical Building Codes and Standards Board. At least one of the 5 members must
be selected from a list of names provided to the division director by a statewide
organization representing code enforcement officers.
3. Quorum. A majority of the members of the committee, including at least one
Technical Building Codes and Standards Board member, constitutes a quorum and must be
present for deliberations and votes. A majority vote of all members present is necessary
for any action or to recommend taking corrective or disciplinary action on a complaint or
to order an independent investigation pursuant to section 4451-D or 4451-E.
Sec. 6. 30-A MRSA §4451-B is enacted to read:
§4451-B. Receipt and review of complaints
Upon the request of the division director or upon the committee's own motion, the
committee shall review complaints about a certificate holder received regarding
noncompliance with or violation of this subchapter or rules adopted by the Technical
Building Codes and Standards Board established in Title 5, section 12004-G, subsection
5-A or the Maine Office of Community Affairs and recommend appropriate action to the
division director.
Sec. 7. 30-A MRSA §4451-C is enacted to read:
§4451-C. Notice; response
Before proceeding with any investigation regarding a complaint filed against a
certificate holder, the division director, the committee or staff shall notify the certificate
holder, the municipality, state agency or entity employing the certificate holder and the
administrators of the jurisdiction in which the complaint originates of the content of a
complaint filed against the certificate holder and that an investigation of the complaint may
occur. Notice must be given as soon as possible, but no later than 60 days after the division
director, the committee or staff receives the complaint or other pertinent information.
1. Certificate holder response. The certificate holder has the right to respond to the
complaint within 30 days of receiving notice of the complaint in all cases except those
involving an emergency refusal to renew or an emergency suspension or revocation of a
certificate, as described in Title 5, chapter 375, section 10004.
2. Review and response by employer. Within 30 days of receiving notice of a
complaint, the municipality, state agency or entity employing the certificate holder shall
review the alleged conduct of the certificate holder or otherwise respond to the complaint
and, notwithstanding any provision of law to the contrary, report the findings of the review
to the division director along with a recommended disposition.
3. Jurisdiction's response. The administrators of the jurisdiction in which the
complaint originates may respond to the division director with supplementary information
and recommendations relevant to the complaint.
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This section does not preclude a municipality, state agency or entity employing a
certificate holder from investigating and taking appropriate action, up to and including
termination of employment, before it receives notice from the division director, the
committee or staff under this section, as long as the municipality, state agency or entity
notifies the division director following its investigation if the investigation reveals
reasonable cause to believe that a certificate holder has engaged in conduct subject to
disciplinary action and provides to the division director the findings related to the conduct.
This section does not preclude the division director from investigating the conduct of
a certificate holder on the division director's own initiative.
Sec. 8. 30-A MRSA §4451-D is enacted to read:
§4451-D. Further action
The division director may proceed with any action the division director determines
appropriate after the response time periods in subsection 4451-C have passed. Further
action may include, but is not limited to, the following:
1. Dismissal of complaint. If the certificate holder's response to the complaint or other
information related to the complaint satisfies the division director, the committee or staff
that the complaint does not merit further investigation or action, the matter may be
dismissed by the division director or the committee, with notice of the dismissal to the
certificate holder and the complainant, if any;
2. Referral. The division director may refer the matter of the complaint to another
agency for investigation regardless of whether the division director receives a response
under section 4451-C, with notice of the referral to the certificate holder; or
3. Investigation. The division director at the division director's sole discretion or, as
delegated, the committee or staff, may investigate a complaint that is not dismissed or
referred under this section. An investigation may include an informal conference under
section 4451-E to determine whether grounds exist to deny an application for a certification
or recertification or for modification, suspension or revocation of a certificate or for taking
other disciplinary action pursuant to this section and section 4451-G. The division director
or the committee may contract with outside investigators or agencies for use of their
investigators through memoranda of understanding or other written agreement. The
division director, the committee or staff may subpoena witnesses, records and documents
in any investigation or hearing conducted.
Sec. 9. 30-A MRSA §4451-E is enacted to read:
§4451-E. Informal conference
If, in the opinion of the division director, the committee or staff, the factual basis of the
complaint is or may be true and the complaint is of sufficient gravity to warrant further
action, the division director, the committee or staff may request an informal conference
with the certificate holder either prior to or during an investigation. The division director,
the committee or staff shall provide the certificate holder with adequate notice of the
conference and of the issues to be discussed. The certificate holder may, without prejudice,
refuse to participate in an informal conference.
Sec. 10. 30-A MRSA §4451-F is enacted to read:
§4451-F. Grounds for action
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The division director or the committee may take action against an applicant for a
certificate or a certificate holder pursuant to this subchapter or any rules adopted pursuant
to this subchapter, including, but not limited to, a decision to refuse to issue or renew a
certificate or to modify, suspend or revoke a certificate for one or more of the following
reasons:
1. Certification or recertification requirements. Failing to meet certification or
recertification requirements;
2. Material facts. Falsifying or misrepresenting material facts in obtaining or
maintaining a certificate issued pursuant to section 4451;
3. Dishonest, fraudulent or illegal conduct; intentional misconduct. Engaging in
conduct constituting dishonest, fraudulent or illegal dealings or intentional misconduct that,
when viewed in light of the nature and purpose of the person's conduct and circumstances
known to the person, involves deviation from the standard of conduct, as defined in rule,
that a reasonable and prudent certificate holder would observe in the same or a similar
situation; or
4. Duties authorized. Repeatedly failing to effectively perform the duties authorized
by the issued certificate.
Sec. 11. 30-A MRSA §4451-G is enacted to read:
§4451-G. Action after investigation
If the division director or the committee finds that the factual basis of the complaint is
true and is of sufficient gravity to warrant further action, the division director or the
committee may take any of the following actions.
1. Letter of guidance or concern. The division director may issue a letter of guidance
or concern to a certificate holder. A letter of guidance or concern may be used to educate,
reinforce knowledge regarding legal or professional obligations or express concern over
action or inaction by the certificate holder that does not rise to the level of misconduct
sufficient to merit disciplinary action. The issuance of a letter of guidance or concern is
not a formal proceeding and does not constitute an adverse disciplinary action.
Notwithstanding any provision of law to the contrary, letters of guidance or concern are
not confidential. The division director may place letters of guidance or concern, together
with any underlying complaint, report and investigation materials, in a certificate holder's
file for a specified period of time not to exceed 10 years. Any letters, complaints and
materials placed on file may be accessed and considered by the division director in any
subsequent action commenced against the certificate holder within the specified time
frame. Complaints, reports and investigation materials placed on file remain confidential
to the extent required by this subchapter.
2. Consent agreement. The division director, the committee or staff may negotiate a
consent agreement that resolves a complaint or investigation without further proceedings.
A consent agreement may be entered into only with the consent of the certificate holder
and the division director. Notwithstanding any provision of law to the contrary, any
remedy, penalty or fine that is otherwise available by law, even if only in the jurisdiction
of the Superior Court, may be achieved by consent agreement, including long-term
modification, suspension and permanent revocation of a certificate issued under this
subchapter. A consent agreement is not subject to review or appeal and may be modified
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only by a writing executed by the certificate holder and the division director. A consent
agreement is enforceable by an action in Superior Court.
3. Voluntary surrender of certificate. If a certificate holder offers to voluntarily
surrender a certificate, the division director, the committee or staff may negotiate
stipulations necessary to ensure protection of the public health and safety and the
rehabilitation or education of the certificate holder. These stipulations may be set forth
only in a consent agreement entered into between the division director and the certificate
holder.
4. Modification, suspension, revocation of certificate or other sanction or
discipline. The division director or the committee may impose the following forms of
discipline upon a certificate holder or applicant for a certificate:
A. Denial of an application for a certificate or recertification, which may occur in
conjunction with the imposition of another form of discipline;
B. Issuance of a written warning, censure or reprimand;
C. Suspension of a certificate for up to 3 years. Execution of all or any portion of a
term of suspension may be stayed pending successful completion of conditions of
probation imposed pursuant to paragraph F, except that the suspension remains part of
the certificate holder's record;
D. Revocation of a certificate;
E. Modification of a certificate; or
F. Imposition of conditions of probation. Probation may run for a time period that the
division director determines appropriate. Probation may include conditions such as
additional continuing education, mandatory professional supervision of the applicant
or certificate holder, restrictions and other conditions as the division director
determines appropriate. Costs incurred in the performance of terms of probation are
borne by the applicant or certificate holder. Failure to comply with the conditions of
probation may be grounds for disciplinary action against a certificate holder.
5. Request for adjudicatory hearing. Unless otherwise indicated in this subchapter,
if the division director or the committee concludes that modification, suspension,
revocation or imposition of any other sanction or discipline authorized under this
subchapter is in order, the division director, the committee or staff shall notify the
certificate holder and inform the certificate holder of the right to request an adjudicatory
hearing. If the certificate holder requests an adjudicatory hearing in writing within 21 days,
the hearing must be held by a subcommittee of 3 committee members designated by the
committee chair or a hearing officer, at the committee’s sole discretion. The hearing must
be in accordance with Title 5, chapter 375, subchapter 4 and must be held within 60 days
of the certificate holder's request for hearing. The subcommittee or the hearing officer,
after conducting the hearing, shall file with the committee all papers connected with the
case and report recommended findings and sanctions to the committee, which may, in
consultation with the division director, approve or modify them.
If, after the adjudicatory hearing, the certificate holder wishes to appeal the final decision
of the division director or the committee, the certificate holder shall file a petition for
review pursuant to the Maine Rules of Civil Procedure, Rule 80C with the Superior Court
within 30 days of receipt of the division director's or the committee's written decision.
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Review under this subsection must be conducted pursuant to Title 5, chapter 375,
subchapter 7. If a request for a hearing is not filed within 21 days, the certificate holder is
deemed to have waived any right to hearing and the division director may, in consultation
with the committee, impose any sanction or discipline allowed by this subchapter.
6. Injunction. The State may bring an action in Superior Court to enjoin a person
from violating any provision of this subchapter, regardless of whether civil or
administrative proceedings have been or may be instituted.
7. Recertification. A person whose certificate has been revoked under this subchapter
may apply to the division director for reinstatement of certification if at least one year has
elapsed since revocation of the certificate and the person is otherwise eligible for
reinstatement. The granting of recertification under this subsection is governed by rules
adopted by the Maine Office of Community Affairs pursuant to section 4451-I relating to
certification. The person is subject to all training requirements applicable to persons whose
certification has lapsed.
Sec. 12. 30-A MRSA §4451-H is enacted to read:
§4451-H. Confidentiality; access to documents; public records
All complaints, charges or accusations of misconduct, replies to those complaints,
charges or accusations and any other information or materials that are considered by the
division director or the committee are confidential. If a person subject to this chapter
requests an adjudicatory hearing under the Maine Administrative Procedure Act, that
hearing must be open to the public. The subcommittee or hearing officer that presides over
the hearing shall issue a written decision that states the conduct or other facts on the basis
of which action is being taken and the reason for that action. Once issued, the written
decision is a public record under the Freedom of Access Act, regardless of whether it is
appealed. Any action taken by the division director pursuant to this subchapter as a result
of a complaint, charge or accusation must be supported by a statement of findings and must
be issued as a written decision of the division director. The written decision of the division
director and findings are public records under the Freedom of Access Act.
Sec. 13. 30-A MRSA §4451-I is enacted to read:
§4451-I. Rulemaking
The Maine Office of Community Affairs may adopt rules necessary to implement this
subchapter. Rules adopted pursuant to this section are routine technical rules as defined in
Title 5, chapter 375, subchapter 2‑A.