Code of Maine Rules — Department of the Secretary of State

29-250 Office of the Secretary of State

Chapter 900 Rules for the Administration of the Address Confidentiality Program

Code Me. R. 29-250 Ch. 900 Rules for the Administration of the Address Confidentiality Program {#sec-29-250-ch.-900 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 900}

SUMMARY:

This rule is written to facilitate the administration of the Address Confidentiality Program in accordance with 5 MRSA §90-B. The rule describes the manner and process for application to the program by prospective participants and application assistants. The rule further includes sections on cancellation of program certification, exercise of program participant privileges, program participation renewal, application for agency exemption requests, disclosure to law enforcement and service of process.

SECTION 1. DEFINITIONS

A. Authorization Card/Letter. Card or letter issued by the Secretary of State to a program participant upon certification, which includes program participant’s name, authorization code, designated address, certification expiration date, and voter code.

B. Authorization Code. A number assigned to a program participant upon acceptance into the program.

C. Application. Standard application form provided by the Secretary of State which must be completed by an applicant with an application assistant as defined by 5 MRSA §90-B(1).

D. Application Assistant. An employee of a state or local agency, or of a nonprofit program that provides counseling, referral, shelter or other specialized service to victims of domestic abuse, rape, sexual assault, or stalking and who has been designated by the respective agency, and trained, accepted and registered by the Secretary of State to assist individuals in the completion of program participation applications.

E. Certification. The process by which an applicant is determined eligible to participate in the program.

F. Program. The Address Confidentiality Program established by 5 MRSA §90-B.

G. Program Participant. A person certified by the Secretary of State to participate in the Address Confidentiality Program.

H. Program Manager. Employee of the Office of the Secretary of State designated by the Secretary to administer the Address Confidentiality Program pursuant to 5 MRSA §90-B.

I. Voter Code. A number assigned to a program participant upon acceptance into the program which is to be used for identification purposes when registering to vote or when voting.

SECTION 2. APPLICATION ASSISTANT CERTIFICATION

A. All application assistants must be certified by the Secretary of State’s office to participate in this program.

B. Application Assistant Certification will only be awarded when the prospective application assistant:

1. is a service provider or works with an agency and can demonstrate to the Secretary relevant qualifications to work with victims of domestic abuse, rape, sexual assault or stalking;

2. successfully completes any program orientation or training session sponsored by the Office of the Secretary of State;

3. completes an application for prospective application assistants which includes the applicant’s name, address, service provider or agency, supervisor’s name, relevant qualifications;

4. agrees to adhere to the policies, procedures and directions provided by the Address Confidentiality Program program manager for rendering assistance to program applicants; and,

5. agrees to adhere to the instructions and terms provided in the application assistant agreement.

C. Application assistant certification shall be valid for two years, unless terminated sooner as provided herein.

D. The application assistant agrees not to discriminate against any client, or potential program participant, because of race, creed, color, national origin, gender, sexual orientation, age, or mental, physical or sensory disability.

E. The application assistant performing under this contract is not deemed to be an employee of the Office of the Secretary of State or an agent of the Secretary of State in any manner whatsoever. The application assistant will not hold herself/himself out as, nor claim to be an officer or employee of the Office of the Secretary of State or of the State of Maine simply because she/he is a program application assistant and will not make any claim, demand, or application to or for any right or privilege applicable to an officer or employee of the Office of the Secretary of State or of the State of Maine.

F. An application assistant’s certification may be terminated by the Office of the Secretary of State for failing to abide by any requirement in 29-250 Chapter 900 §2or for failing to act in accordance with requirements of the Address Confidentiality Program.

SECTION 3. Program Participant Application and Certification Process

A. A program applicant shall complete, date, sign, and provide all the information required under 5 MRSA §90-B(2), and as requested on the standard application form and the authorization card form provided by the Secretary of State. The application shall include an attestation by the applicant that disclosure of the applicant’s address threatens the safety of the applicant or the applicant’s children or the minor or incapacitated person on whose behalf the application is made. An applicant shall specify a Maine state residential address, work or school addresses in Maine for which confidentiality is requested. The standard application form shall include, but not be limited to, the application preparation date, and the signature and certification number of the application assistant who assisted the applicant in applying to become a program participant, as provided in 5 MRSA §90-B(2).

B. A properly completed application shall be effective on the day that it is certified by the Program Manager.

C. An individual who is certified as a program participant shall be issued a program participant’s authorization card/letter which includes her or his name, authorization code, designated address, certification expiration date, and voter code.

D. The term of a program participant’s certification shall be four years following the effective date of her or his application unless the certification is withdrawn or cancelled before that date pursuant to 5 MRSA §90-B(3) or 29-250 Chapter 900 §4.

E. If there is a change in the program participant’s residential address from the one listed on the application, the program participant shall notify the Program Manager in writing of such change within 10 days of the change in residence.

SECTION 4. Cancellation of Program Certification

A. Program certification shall be canceled if any of the following occur:

1. The program participant fails to notify the Program Manager in writing of a change in the program participant’s residential address within 10 days;

2. The program participant discloses his or her residential address to the batterer, stalker, or perpetrator of sexual assault; or,

3. Any one of the cancellation conditions provided for by 5 MRSA §90-B(3).

B. Upon cancellation of program certification, the program participant will return the authorization card/letter to the Secretary of State.

C. If certification for the program is canceled based on one of the conditions set forth in 5 MRSA §90-B(3), the program manager will notify the program participant of the cancellation by mail addressed to the participant’s last known residential address and mailing address.

D. Except where certification has been canceled pursuant to 5 MRSA 90-B §2(E)(1), the Secretary of State shall not make a former participant’s address available for inspection or copying except as provided for by 5 MRSA §90-B(4)-(6).

SECTION 5. Exercise of Program Participant’s Privileges

A. A program participant shall request, at the time of creation of a new record, that an agency use the designated address assigned by the Secretary of State as her or his residential or mailing address.

B. A program participant shall show her or his authorization card/letter to the agency official creating a new record and request address confidentiality through use of the designated address in lieu of her or his actual location. The designated address shall appear on the program participant’s authorization card.

C. Authorized personnel may make a file photocopy of the authorization card/letter and shall immediately return the authorization card/letter to the program participant.

D. An agency shall accept the designated address unless the agency has received a written record exemption determination from the Office of the Secretary of State.

E. An agency shall not question the program participant about the details or circumstances of her or his inclusion in the program. Rather, the agency shall accept the determination made by the Secretary of State that she or he is a qualified program participant.

SECTION 6. Program Participant Renewal

A. A program participant may renew her or his program participation by filing a properly completed renewal form with the Address Confidentiality Program program manager. The renewal form shall be sent to the participant at least 4 weeks before the expiration of the current authorization. Upon receipt of the new authorization card/letter, the participant shall destroy her or his expired card and return it to the Secretary of State.

B. The program manager shall certify a program participant, who has filed a properly completed certification renewal form, to participate in the program for an additional four-year term unless the certification is withdrawn or cancelled before that date.

C. Upon renewal, the program manager shall issue to the program participant a new authorization card/letter which includes the program participant’s name, authorization code, designated mailing address, certification expiration date, and voter code.

SECTION 7. Agency Exemption Request

A. An agency requesting an exemption under 5 MRSA §90-B(5)(B), must provide in writing to the Secretary of State:

1. identification of the statute or administrative rule which demonstrates the agency’s bona fide requirement and authority for the use of the actual address of an individual;

2. identification and description of the specific record or record series for which the exemption is requested;

3. identification of the individuals who will have access to the record;

4. an explanation of why the agency cannot meet its statutory or administrative obligations by a change in its internal procedures.

B. The Secretary of State shall file and review an agency’s request for an exemption.

C. During the review and evaluation or reconsideration of an agency’s exemption request, the agency shall accept the use of a program participant’s designated address.

D. The Secretary of State’s determination to grant or deny a requested exemption shall be based on, but not limited to, an evaluation of the information provided under 29-250 Chapter 900 §7(A)in conformance with the statutory standard of a bona fidestatutory or administrative requirement for the use of a program participant’s actual address.

E. If the Secretary of State determines that an agency has a bona fide statutory or administrative requirement for the use of a program participant’s actual address information and that the actual address information will be used only for those statutory and administrative purposes, the Secretary may issue a written exemption for the agency. When granting an exemption, the Secretary may include:

1. any obligations for the agency to maintain the confidentiality of a program participant’s address information;

2. any limitations on use and access to that address information;

3. any term during which the exemption is authorized for the agency;

4. any designation of the record format on which the address information may be maintained;

5. any designation of an address information disposition date after which the agency may no longer maintain a record of the address information; and,

6. any other provisions and qualifications determined appropriate by the Secretary of State.

F. When a program participant requests use of the designated address in a record, and the agency has received an exemption for that record, the agency shall immediately provide a copy of the written exemption to the requesting program participant. The agency shall notify the address confidentiality program manager of the occurrence and denial of the program participant’s request.

G. The Secretary of State’s denial of an agency exemption request shall be made in writing and include a statement of the specific reasons therefor.

H. An agency may seek reconsideration of the denial of its request by resubmitting its written request within 60 days of the issuance of a denial. The request may be accompanied by additional information and an explanation of corrective action taken to alleviate concerns and considerations included in the Secretary of State’s denial determination. Final administrative determination shall be made by the Secretary of State.

SECTION 8. Disclosure To Law Enforcement

A. A law enforcement officer requesting a program participant’s address under 5 MRSA §90-B(5)(A), must provide the request to the Secretary of State or the Secretary’s designee. The Secretary or designee may accept a verbal request or may require a request to be in writing. The request must contain:

1. the reason the address is required by that law enforcement officer or agency;

2. identification and description of the specific record or record series for which the exemption is requested;

3. identification of the individuals who will have access to the record;

4. an explanation of why the law enforcement agency cannot meet its obligations by a change in its internal procedures.

5. identification of the requesting individual’s direct supervisor and contact information for that supervisor.

B. The Secretary of State or the Secretary’s designee shall review the request.

C. The Secretary of State’s determination to grant or deny a requested exemption shall be based on, but not limited to, an evaluation of the information provided under 29-250 Chapter 900 §8(A).

D. If the Secretary of State determines that a law enforcement officer or agency has a bona fide requirement for the use of a program participant’s actual address information and that the actual address information will be used only for the purpose of satisfying that requirement, the Secretary may issue a written or verbal exemption for the law enforcement agency. When granting an exemption, the Secretary may include:

1. any obligation for the law enforcement agency to maintain the confidentiality of a program participant’s address information;

2. any limitations on use and access to that address information;

3. any term during which the exemption is authorized for the agency;

4. any designation of the record format on which the address information may be maintained;

5. any designation of an address information disposition date after which the agency may no longer maintain a record of the address information; and,

6. any other provisions and qualifications determined appropriate by the Secretary of State.

E. When a program participant requests use of the designated address in a record, and the law enforcement officer or agency has received an exemption for that record, the law enforcement officer or agency shall immediately provide a copy of the written exemption to the requesting program participant. The law enforcement officer or agency shall notify the Address Confidentiality Program manager of the occurrence and denial of the program participant’s request.

F. The Secretary of State’s denial of a law enforcement agency’s exemption request shall be made in writing and include a statement of the specific reasons therefor.

G. A law enforcement agency may seek reconsideration of the denial of its request by resubmitting its request within 60 days of the issuance of a denial. The request may be accompanied by additional information and an explanation of corrective action taken to alleviate concerns and considerations included in the Secretary of State’s denial determination. Final administrative determination shall be made by the Secretary of State.

SECTION 9. Service Of Process

A. The Secretary of State shall be an agent of the program participant upon whom any summons, writ, notice, demand, or process may be served.

B. Service on the Secretary of State of any such summons, writ, demand, notice, or process shall be made by mailing to the designated address or by delivering to the Secretary of State at his/her office two copies of the summons, writ, notice, demand, or process.

C. If a summons, writ, notice, demand, or process is served on the Secretary of State, the Secretary of State shall immediately forward a copy to the program participant at the participant’s current mailing address shown on the records of the program.

D. The Secretary of State shall maintain, in the program participant’s file, a record of all summonses, writs, notices, demands, and processes served upon the Secretary of State for that participant. The Secretary of State shall include in the file the date of such service and the Secretary of State’s action.

History

• STATUTORY AUTHORITY: 5 M.R.S.A. §90-B
• STATUTORY AUTHORITY: 21-A M.R.S.A. §122-A
• EFFECTIVE DATE: April 5, 2003 - filing 2003-89
• AMENDED: September 28, 2005 – filing 2005-391
• AMENDED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025
• APAO ACCESSIBILITY CHECK (Word): April 8, 2026

Chapter 950 Rules Governing the Use of Digital Signatures

Code Me. R. 29-250 Ch. 950 Rules Governing the Use of Digital Signatures {#sec-29-250-ch.-950 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 950}

SUMMARY:

These Rules establish the criteria for implementing Digital Signatures in transactions involving a State Agency, in accordance with the Maine Digital Signature Act , 10 M.R.S.A., Chapter 1053, Part 13.

SECTION 1. DEFINITIONS

A. Digital Signature: A computer-created Electronic Signature that:

1. Is intended by the person using it to have the same force and effect as the use of a manual signature;

2. Is unique to the person using it;

3. Is capable of verification;

4. Is under the sole control of the person using it; and

5. Is linked to data in such a manner that it is invalidated if the data are changed.

B. Electronic Signature: An electronic sound, symbol or process attached to or logically associated with a record and executed or adopted by a person with the intent to sign the record.

C. Hash: A mathematical function that converts a complex input into a unique numerical value.

D. Signer: The person affixing the Digital Signature, in their official capacity, in a transaction involving a State Agency.

E. State Agency: A department, agency, office, board, commission, quasi-independent agency, authority, or institution within Maine State Government.

SECTION 2. DIGITAL SIGNATURE ELEMENTS

The process of creating a Digital Signature has four mandatory elements: Authentication , Signature Ceremony , Verification , and Tamper-Resistance .

SECTION 3. AUTHENTICATION

A. Authentication establishes the unique identity of a Signer as the official of the organization using Digital Signatures in transactions involving a State Agency.

B. Authentication is determined by three standard factors:

1. Knowledge , meaning something the Signer knows. Examples include, without limitation, user name, password, pass phrase, PIN, and answers to security questionnaire.

2. Possession , meaning something the Signer has. Examples include, without limitation, a key fob, and a smart card.

3. Intrinsic , meaning something the Signer is. Examples include, without limitation, biometrics, such as fingerprint or retina scan.

C. The minimum requirement for on-premise Authentication is Knowledge (e.g., a password). The minimum requirements for remote Authentication are a combination of Knowledge and Possession (e.g., a password plus a key fob).

SECTION 4. SIGNATURE CEREMONY

A. The Signature Ceremony is the actual act of affixing a Digital Signature, and serves as the unambiguous substitute for affixing a manual ink signature.

B. The Signer must re-furnish Authentication credentials during the Signature Ceremony.

SECTION 5. VERIFICATION

Verification is the evidence confirming that the Signer is indeed the person whom the Signer claims to be, and that this same person actually affixed the Digital Signature. The evidence may include, without limitation, Hashes of credentials, and/or timestamps, and/or screen-captures.

SECTION 6. TAMPER-RESISTANCE

Tamper-Resistance is the raising of an explicit alert should the Digital Signature be compromised. The compromise could be with respect to the document contents, and/or the identity of the Signer, and/or the timestamp of the Digital Signature. At a minimum, this requires the visual display or audio communication of a prominent and explicit message stating that the Digital Signature is no longer valid.

SECTION 7. USER EDUCATION

A. User Education is a critical component for ensuring the viability of Digital Signatures.

B. The integrity of Digital Signatures rests upon the confidentiality of Authentication credentials. Signers must never share their Authentication credentials with anybody else.

C. Any State Agency using Digital Signatures must make it an explicit performance expectation for all its Signers to safeguard the confidentiality of their Authentication credentials.

SECTION 8. DIGITAL SIGNATURE PRODUCT APPROVAL

A. A Digital Signature product must be approved by the Chief Information Officer of the State of Maine in order to be accepted for transactions involving a State Agency.

B. The list of approved Digital Signature products for transactions involving a State Agency will be maintained at the Office of Information Technology (OIT) Internet site, and will be updated periodically by the Chief Information Officer.

C. Digital Signature product vendors may apply to the Chief Information Officer through the OIT Internet site at any time to request acceptance of their products for transactions involving a State Agency.

D. In order to be accepted for transactions involving a State Agency, a Digital Signature product must satisfy the requirements of this Rule, including all of the following criteria:

I. It must be based upon the X.509 Public Key Infrastructure;

2. It must provide seamless integration with the PDF document format;

3. It must provide seamless integration with Microsoft Active Directory;

4. The interface to the Signer must be either web-based or a free download;

5. The data center must be certified as either "SSAE 16 SOC 2 Type II (American Institute of Certified Public Accounts)" or "FedRAMP compliant Cloud Service Provider (Federal General Services Administration)",

6. All transmission between the Signer's device and the data center must be encrypted to either AES-256 or 3DES (National Institute of Standards and Technology) strength; and

7. The Verification and Tamper-Resistance elements must be embedded within the document, as well as stored in the data center.

E. Prior to implementing Digital Signatures, a State Agency must consult with the Chief Information Officer.

History

• STATUTORY AUTHORITY: 10 MRSA §9503
• EFFECTIVE DATE: July 31, 2014 – filing 2014-152
• AMENDED: March 15, 2015 – filing 2015-027
• APAO ACCESSIBILITY CHECK (Word): April 8, 2026

Bureau of Motor Vehicles Bureau of Motor Vehicles

Chapter 1 Rules for Administrative Suspension Relating to Demerit Point Accumulation, Convictions and Adjudications

Code Me. R. 29-250 Ch. 1 Rules for Administrative Suspension Relating to Demerit Point Accumulation, Convictions and Adjudications {#sec-29-250-ch.-1 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 1}

SUMMARY: These rules have been promulgated for the purpose of identifying the reckless or negligent driver of a motor vehicle and to establish a uniform system of assigning demerit points for specified convictions or adjudications of violations of statutes and regulations governing the operation of motor vehicles. These rules will serve as the basis for the Secretary of State or any Deputy Secretary of State to suspend the license or privilege to operate a motor vehicle or the certificate of registration of any person without preliminary hearing whom is determined to be incompetent to operate a motor vehicle, or whom is found to be a reckless or negligent operator of a motor vehicle, or whom has been convicted or adjudicated of specified convictions or adjudications. These rules repeal and replace prior regulations adopted by the Secretary of State entitled "The Maine Point System".

1. PURPOSE

Pursuant to 29-A M.R.S.A. Section 2458, subsection 3, the Secretary of State has adopted these rules for the purpose of identifying the reckless or negligent driver of a motor vehicle and to establish a uniform system of assigning demerit points for specified convictions or adjudications of violations of statutes and regulations governing the operation of motor vehicles. These rules will serve as the basis for the Secretary of State or any Deputy Secretary of State to suspend the license or privilege to operate a motor vehicle or the certificate of registration of any person without preliminary hearing determined to be incompetent to operate a motor vehicle, or whom is found to be a reckless or negligent operator of a motor vehicle, or whom has been convicted or adjudicated of designated traffic offenses.

2. SUSPENSION FOR INCOMPETENCE

The license or privilege to operate a motor vehicle of any person, whom the Secretary of State or Deputy Secretary of State determines to be incompetent to operate a motor vehicle, such incompetence to include, but not limited to, adverse physical, mental or emotional impairments may be suspended without preliminary hearing pursuant to 29-A M.R.S.A. Section 2458(2)(D). Incompetence relative to physical, mental or emotional impairments shall be determined in accordance with Chapter 3, Rules of Secretary of State for Physical, Emotional and Mental Competence to Operate a Motor Vehicle, as amended.

3. SUSPENSION PERIODS FOR DESIGNATED CONVICTIONS OR ADJUDICATIONS

The license, permit or privilege to operate of any person convicted of eluding a police officer or passing a roadblock may be suspended for a period up to 90 days.

The license, permit or privilege to operate of any person convicted of operating after suspension may be suspended for a period up to 60 days; except for convictions for operating after suspension when the term of the statutory suspension required on conviction is longer than the term suspension period provided by these rules.

The license, permit or privilege to operate of any person convicted of the following offenses may be suspended for a period up to 30 days: failure to stop for a police officer, leaving the scene of an accident (bodily injury), operating alone on permit, operating a motor vehicle without a license (crime), passing a stopped school bus, exceeding posted speed by at least 30 miles per hour, altering a driver's license or registration certificate, loaning a driver's license, unlawful use of a driver's license, displaying a suspended license, falsifying an application for registration certificate or driver's license, or giving false information to a police officer.

4. SUSPENSION PERIODS FOR DEMERIT POINT ACCUMULATION

The following is a listing of certain convictions or adjudications for which demerit points have been assigned. The convictions and adjudications as listed herein are not intended to be the total list of convictions and adjudications to which the Secretary of State may assign demerit points. Points for a conviction or adjudication will be erased from a driver's record when the conviction or adjudication becomes one year old. Notice of assessment of demerit points shall be given when the accumulation reaches 50 percent of the number at which suspension is authorized by these rules. Any person whose driving record shows an accumulation of 12 demerit points for convictions or adjudications within a one year period may have his or her license, permit or privilege to operate suspended for a period up to 15 days.

CONVICTIONS AND ADJUDICATIONS DEMERIT POINTS

Operating After Suspension – Traffic Infraction 8

Driving Wrong Side 6

Driving Wrong Way 6

Exceeding Posted Speed by at Least 15 Miles Per Hour

But Less Than 30 Miles Per Hour 6

Illegal Transportation Liquor - Minor 6

Illegal Transportation Drug – Minor 6

Improper or Erratic Lane Change 6

Improper Passing 6

Leaving Scene of an Accident (Property Damage) 6

Mispresentation of Identity or Other Facts to Obtain Alcohol 6

Operating Beyond Restriction 6

Operating With Improper License 6

Operating Without Corrective Lenses 6

Operating Left on Curve 6

Other Improper Pass 6

Pass Within 100 Feet of Intersection 6

Pass on Curve or Hill 6

Pass on Right 6

Pass Wrong Side 6

Violation - Do Not Pass 6

Violation of Instruction Permit 6

Operating Motorcycle Beyond Restriction 6

Exceeding Posted Speed by Less Than 15 Miles Per Hour 4

Excessive Acceleration 4

Failure to Keep Right 4

Failure to Return to the Right 4

Fail to Yield to Emergency Vehicle 4

Fail to Yield - No Sign 4

Fail to Yield to Pedestrian 4

Fail to Yield - Sign 4

Fail to Give Way to Other Vehicle 4

Fail to Obey Stop Sign 4

Fail to Stop at Red Light 4

Fail to Yield Right of Way 4

Imprudent Driving 4

Imprudent Speed 4

Operating a Motor Vehicle With Obstructed View 4

Operating Without a License (traffic infraction) 4

Red Light Violation 4

Crossover Violation 2

Displaying a Blue Light 2

Displaying a Red Light 2

Failure to Dim Headlights 2

Fail to Signal 2

Fail to Obey Traffic Island 2

Failure to Obey Railroad Grade Crossing 2

Failure to Maintain Control of Vehicle 2

Failure to Reduce Speed on a Grade or Curve 2

Follow Too Close 2

Illegal Left Turn 2

Illegal Right Turn 2

Illegal U-Turn 2

Impeding the Flow of Traffic 2

Improper Turn 2

Lane Conviction 2

Littering 2

Obstructing the Flow of Traffic 2

Obstructing Traffic 2

Operating Motor Vehicle Without Tail Lights. 2

Operating Without Lights 2

Other Moving Violation 2

Speed Under Posted Minimum 2

Squealing Tires 2

Trailer Without Lights 2

Trucks Traveling Less Than 150 Feet Apart 2

5. 120 DAY SUSPENSION

Any person whose license, permit or privilege to operate has been suspended three times within a three year period by the Secretary of State pursuant to these rules or by a court following a conviction or adjudication of an offense listed herein is subject to a further suspension for a period up to 120 days. The 120 day suspension applies to persons who have been convicted or adjudicated of an offense, which offense was committed following the third suspension within that three year period.

6. DEFENSIVE DRIVING COURSE CREDITS

Only one three-point credit will be given to a person for successful completion of a driver improvement course as authorized by the Department of Public Safety or the Secretary of State. The credit will be given only once in a twelve month period and the credit of points will be erased one year from the completion date.

7. VIOLATION FREE CREDITS

Every person holding a Maine operator's license whose driving record does not contain any convictions, adjudications, suspensions or revocations during a calendar year shall be awarded one (1) violation free credit at the end of each calendar year, except that no person may be permitted to accumulate more than four (4) violation free credits. The Secretary of State may apply such credits to offset an equivalent number of demerit points assigned to a traffic violation. If the Secretary of State receives notice of any motor vehicle violation which resulted in a conviction or adjudication which violation occurred during the period that violation free credits were awarded, the violation free credits shall become invalid.

8. HEARING

Any person whose license, permit or privilege to operate is suspended by the Secretary of State pursuant to these rules may request a hearing and the suspension may remain in effect pending such hearing.

History

• STATUTORY AUTHORITY: 29-A M.R.S.A. §§ 153 and 2458
• EFFECTIVE DATE: January 1, 1978
• AMENDED: September 8, 1981
• AMENDED: December 12, 1982
• AMENDED: November 17, 1987
• REPEALED & REPLACED: July 1, 1990
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: December 15, 2000 - converted to MS Word, adjusted formatting
• AMENDED: July 25, 2012 – filing 2012-205
• APAO ACCESSIBILITY CHECK (Word): April 6, 2026

Chapter 2 Rules for Administrative Hearings

Code Me. R. 29-250 Ch. 2 Rules for Administrative Hearings {#sec-29-250-ch.-2 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 2}

SUMMARY: These rules describe the conduct of civil administrative hearings held by the Bureau of Motor Vehicles pursuant to Title 29-A M.R.S.A. and Title 5 M.R.S.A., Chapter 375, Subchapter IV, to deny, suspend, revoke, probate or otherwise modify a license, registration certificate or plate, motor vehicle driver’s license, permit, certificate of title, operating authority, licenseor fuel use identification decal.

These rules set out legal notice requirements, discovery provisions, conduct of hearings, the presentation of evidence, the creation of a hearing record, issuance of decisions, and appeal rights.

SECTION 1. Scope of rules.

These rules are applicable to hearings held before the Secretary of State or any of his orherdeputies or designees that involve the denial, suspension, revocation, probation or other modification of a license, certificate, registration certificate and plate, motor vehicle driver’s license, permit, certificate of title, or fuel use identification decal pursuant to Title 29-A M.R.S.A.

SECTION 2. Notice of opportunity for hearing.

Subject to the provisions of 29-A M.R.S.A. §2458 (4), the Secretary of State upon suspending or revoking a person’s license, certificate of registration, title or other suchcertificate or license, shall notify that person that the person has a right to and may request a hearing. The notice must state:

1. The reason and statutory grounds for the suspension or revocation;

2. The effective date of the suspension or revocation;

3. The procedure for requesting a hearing; and

4. The date by which that request for hearing must be made.

If the suspension or revocation is based on a law enforcement officer’s report, a copy of that report and any blood-alcohol test certificate will be provided to the person upon request to the Secretary of State.

SECTION 3. Request for hearing.

Unless the Secretary of State has set a date certain for a hearing, after a notice of suspension or revocation and opportunity for hearing has been sent or delivered to a person, that person has ten days from the effective date of the suspension or revocation to request in writing a hearing. For suspensions issued pursuant to Chapter 1, Rules for Administrative Suspension Relating to Demerit Point Accumulation, Convictions and Adjudications, a hearing may be requested by telephone.

If a request is made after the ten day period and the Secretary of State finds that the person was unable to make a timely request due to lack of actual notice of the suspension or due to factors of physical incapacity, the Secretary of State shall waive the period of limitation, reopen the matter and grant the hearing request, except a stay may not be granted.

SECTION 4. Notice of hearing.

Unless otherwise provided or notice is waived, notice must be mailed to the last address on record with the Secretary of State of the party requesting the hearing or to the person ordered to appear at the hearing at least ten days prior to the hearing date. If an attorney requests a hearing on behalf of a person, all subsequent correspondence and communication from the Secretary of State relative to the hearing will be forwarded to the attorney and no further correspondence or communication will be forwarded directly to the person. In the event an attorney no longer represents the person, the person or the attorney shall file a written statement of this fact with the Secretary of State, allowing subsequent correspondence and communication from the Secretary of State to be directed to the person. The notice must state:

1. Issues contestable; and

2. Failure to appear will result in a finding by default.

SECTION 5. Disposition without full hearing.

Unless otherwise provided by law, the Bureau of Motor Vehicles may:

1. Make informal disposition of any adjudicatory proceeding by stipulation, agreed settlement or consent order;

2. Make informal disposition of any adjudicatory proceeding by default, provided that notice has been given that failure to take required action may result in default, and further provided that any such default may be set aside by the Bureau for good cause shown; and

3. Limit the issues to be heard or vary any procedure prescribed by Bureau rule if the parties and the Bureau agree to such limitation or variation, and if no prejudice to any party will result.

SECTION 6. Default.

1. If a party who requested a hearing fails to appear at the hearing, the hearing request shall be dismissed. If within ten days following the dismissal a party submits information demonstrating good cause for the failure to appear, the request for hearing may be reinstated , at the discretion of the Hearing Examiner.

2. Good cause. The following circumstances constitute good cause for the purpose of Subsection 1:

A. a death or serious illness in the family;

B. a personal injury or illness which reasonably prevents the party from attending the hearing;

C. an emergency or unforeseen event which reasonably prevents the party from attending the hearing;

D. an obligation or responsibility which a reasonable person in the conduct of his or her affairs could reasonably conclude takes precedence over attendance at the hearing;

E. lack of receipt of adequate or timely notice; or

F. excusable neglect, excusable inadvertence, or excusable mistake.

SECTION 7. Participation at Hearing.

1. Intervention by persons substantially and directly affected by proceeding.

A. Petition. A person, including any agency of federal, state or local government, who establishes that the person is or may be substantially and directly affected by the proceeding, may file a timely petition to intervene as a party to the proceeding. All petitions must be made in writing and received by the Secretary of State, Hearings Section, at least five days before the scheduled proceeding. Untimely petitions may not be accepted or considered.

B. Information required. The petition must include:

(1) a statement of facts demonstrating that the petitioner’s interests are or may be substantially and directly affected by the proceeding or that the petitioner qualifies as an intervenor pursuant to any provision of State law; and

(2) a statement of the reasons and purposes for which intervention is sought.

C. Responsibilities of Hearing Examiner. Prior to the conduct of the proceeding, the Hearing Examiner shall issue an order granting or denying each pending petition for intervention, specifying any conditions, and briefly stating the reasons for the order. The order shall be entered on the formal record of the proceeding. The Hearing Examiner may modify the order at any time, stating the reasons on the record therefore.

(1) Factors Hearing Examiner must consider. The Hearing Examiner shall consider the following factors when considering petitions for intervention:

(a) the nature of the petitioner’s right pursuant to any statute to be made party to the proceeding;

(b) the precise nature and extent of the petitioner’s interest in the subject matter or outcome of the proceeding;

(c) the effect of any order which may be entered in the proceeding on the petitioner’s interest;

(d) the nature of the contested issues;

(e) the availability of other means whereby the petitioner’s interest may be protected, e.g., presentation of written views or argument;

(f) the extent to which the petitioner’s interests will be represented by existing parties;

(g) the extent to which the petitioner’s participation may reasonably be expected to assist in the development of a sound record;

(h) the extent to which the participation of the petitioner will broaden the issues or delay the proceeding;

(i) the ability of the petitioner to present relevant evidence and argument; and

(j) the effect of the participation of the petitioner on existing parties to the proceeding.

2. Conditions imposed on intervenors. The Hearing Examiner may impose conditions on the intervenor’s participation in the proceeding, either at the time that intervention is granted or at any subsequent time. The Hearing Examiner is responsible for establishing reasonable conditions on intervenors in order to limit the presentation of redundant evidence, to reasonably restrict interrogation and argument to relevant matters, to protect the interests of the parties, including the right to a timely decision, and to prevent avoidable delay. Such conditions may include, but are not limited to, the following:

A. restricting the intervenor’s participation to designated issues in which the intervenor has a particular interest demonstrated by the petition; limiting the intervenor’s use of discovery, cross-examination, and other procedures so as to promote the orderly and prompt conduct of the proceeding; and

B. limiting the intervenor’s use of discovery, cross-examination, and other procedures so as to promote the orderly and prompt conduct of the proceedings; and

C. requiring two or more intervenors to combine their presentations of evidence and argument, cross-examination, discovery, and other participation in the proceeding.

3. Intervention by other interested persons.

A. Petition. An interested person may file a timely petition to intervene as full or limited party to the proceeding. All petitions must be made in writing and received by the Secretary of State, Hearings Section, at least five days before the scheduled proceeding. Untimely petitions may not be accepted or considered. The granting of a petition for intervention by an interested person is discretionary with the Secretary of State.

B. Information required. The petition must include:

(1) a statement of facts demonstrating that the petitioner’s interest is or may be affected by the proceeding, and

(2) a statement of the reasons and purposes for which intervention is sought.

C. Responsibilities of Hearing Examiner. The responsibilities of the Hearing Examiner are those listed in Section 1(C), and the Hearing Examiner must consider the factors outlined in Section 1(C) (1).

SECTION 8. Pre-hearing conference.

Prior to any hearing, the Hearing Examiner may, at the request of a party or in the Examiner’s discretion, confer with the parties. If a pre-hearing conference is scheduled, all parties will be notified and given an opportunity to participate. Conferences may be held by telephone or in person or may be conducted in writing. Frequently, such conferences are held immediately prior to the scheduled hearing and may include such matters as: the parties’ estimation of the time required for the hearing; the identification of the legal issues likely to arise at hearing; the development of stipulations and admissions; the identification and, if possible, agreement as to admissibility of any evidence; the clarification of the issues; the resolution of disputes as to evidence requested to be produced by subpoena or otherwise; or any other action which will aid in the proper and fair conduct of the hearing.

SECTION 9. Discovery and subpoenas.

1. Discovery. Prior to the scheduled hearing, a party has the right to obtain copies of any documents, records or exhibits intended to be introduced into evidence at the hearing. Problems or disagreements shall be made known to the Hearing Examiner at least five days prior to the scheduled hearing date.

2. Subpoenas.

A. Right to issuance. A party has the right to the issuance of subpoenas in the name of the Secretary of State to require the attendance and testimony of witnesses and the production of evidence relevant to any issue of fact at the hearing.

B. Petition to vacate or modify subpoena. Any witness issued a subpoena may petition the Secretary of State to vacate or modify the subpoena. The Secretary of State shall promptly give notice of such petitionto the party who requested the issuance of the subpoena. The Secretary of State may conduct an investigation as deemed necessary and appropriate. The Secretary of State may, to protect a person subject to or affected by the subpoena, vacate or modify the subpoena or, if the party in whose behalf the subpoena is issued shows a substantial need for the testimony or material that cannot otherwise be met without undue hardship and assures that the person to whom the subpoena is issued will be reasonably compensated, the Secretary of State may order appearance or production only upon specified conditions.

(1) Factors to be considered in deciding petitions. In addition to any other applicable statutory provisions, the Secretary of State shall consider the following factors when deciding to vacate or modify subpoenas:

(a) whether the information sought by the subpoena is relevant to the proceeding;

(b) whether the subpoena allows a reasonable time for compliance;

(c) whether the subpoena requires a person to incur a substantial expense to travel more than one hundred miles one way to attend the hearing;

(d) whether the subpoena requires disclosure of privileged or other protected matter and no exception or waiver applies;

(e) whether the subpoena requires disclosure of a trade secret or other confidential research, development, or commercial information; and

(f) whether the subpoena subjects a person to undue burden.

SECTION 10. Conduct of hearings.

1. Hearings shall be scheduled by the Secretary of State without undue delay.

2. The Hearing Examiner shall have full and exclusive control of the conduct of the hearing. In cases of disorder or refusal to comply with the rules of the hearing or orders of the Hearing Examiner, the Hearing Examiner shall use reasonable means to control the hearing. Parties, representatives, and witnesses shall not engage in bitter exchanges, vulgarities, or abuse or make offensive or insulting comments. When such conduct occurs, the Hearing Examiner shall admonish the offender, reminding the person that such behavior does not contribute to a fair hearing and impedes the orderly disposition of a case. If the offense is repeated and further admonition appears fruitless, the Hearing Examiner shall exclude a disorderly person from the hearing. If a disorderly person’s offensive conduct is so flagrant that it prevents the completion of the case, the disorderly person shall be removed from the hearing room and the hearing will proceed without the attendance of the disorderly person.

3. All witnesses shall be sworn.

4. Persons may be represented by counsel or other representatives in a hearing before the Secretary of State.

5. Continuances. A hearing may be continued to a later time at the request of a party or a material witness or upon the Secretary of State’s or a Hearing Examiner’s own initiative as justice may require. Continuances may be granted only for good cause and are discretionary with the Secretary of State. Requests for continuances must be made at least twenty-four hours prior to the scheduled hearing. Emergency requests for continuances may be entertained at any time and are discretionary with the Secretary of State. A continuance may be granted on the condition that a party waives any applicable timelimits. All parties and witnesses must be informed of continuances or denials of requests for continuances in a timely manner.

A. Grounds for granting continuances. The grounds for granting a continuance include but are not limited to the following:

(1) to accommodate the appearance of a witness;

(2) to implement a party’s rights regarding choice of representation at hearing;

(3) to assure that a party has adequate opportunity for preparation and presentation of evidence and argument;

(4) to assure that a party has adequate opportunity to review, evaluate, and respond to new evidence; or where appropriate, to require that a party review, evaluate and respond to new evidence;

(5) to permit a party to reconsider a previous action or decision;

(6) to permit or require performance of actions not previously taken; and

(7) to secure additional time or to permit or require additional activity by a party as justice may require.

SECTION 11. Issues resolved at the hearing.

The issues at the hearing shall be limited to those outlined in the applicable statute and shall be stated for the record by the Hearing Examiner at the beginning of each hearing.

SECTION 12. Hearings recorded.

All hearings must be recorded.

SECTION 13. Ex parte communication.

No Hearing Examiner shall communicate directly or indirectly about any material issue involved in a hearing with any party, except upon notice and opportunity for all parties to participate. This section does not prohibit a Hearing Examiner from communicating in any respect with other Bureau members or having the aid or advice of Bureau members, counsel or consultants retained by the Bureau who have not participated and will not participate in that hearing in an advocate capacity.

SECTION 14. Presentation of evidence; official notice.

1. Persons may present evidence bearing directly on the issues involved in the hearing, call and examine witnesses, and cross-examine adverse witnesses.In lieu of live testimony, video and telephone testimony may be offered.

2. The Administrative Procedure Act, 5 M.R.S.A. Chapter 375, Subchapter IV, shall control the admissibility of evidence at hearings. Evidence shall be admitted if it is the kind of evidence upon which reasonable persons are accustomed to rely in the conduct of serious affairs.

3. The rules of privilege recognized by law shall be observed.

4. TheHearing Examiner may exclude evidence that is irrelevant or unduly repetitious.

5. The Hearing Examiner may take official notice of records maintained by the Secretary of State, e.g., accident reports, affidavits and any information of which a court could take judicial notice. Parties shall be notified of the material so noticed, and they shall be afforded an opportunity to contest the substance or materiality of the facts noticed. Facts officially noticed shall be included and indicated as such in the record.

SECTION 15. Record.

1. The Hearing Examiner shall make a record consisting of:

A. A brief statement of the issues to be decided;

B. Evidence received or considered;

C. A statement of facts officially noticed;

D. Offers of proof, objections and ruling thereon;

E. Proposed findings and objections, if any;

F. The recommended decision, opinion, or report, if any, by the Hearing Examiner;

G. Staff memoranda;

H. The decision.

2. Copies of recordings, transcriptions of recordings and copies of the full record shall be available to any person at actual cost. Affected parties may object to the release of confidential, proprietary, or otherwise protected material or information.

3. All material the Hearing Examiner utilizes as evidence in making a decision shall be offered and made a part of the record and no other factual information or evidence, other than that offered by a party or intervenor and admitted, shall be considered in rendering a decision.

SECTION 16. Recommended findings and decision.

In any case in which law or regulations or special instructions from the Secretary of State dictate that an individual other than the Hearing Examiner will make a final hearing decision, the Hearing Examiner will prepare a recommended decision rather than a final hearing decision. A recommended decision will be made on the same basis and in the same form as a final decision.

Copies of recommended decisions will be provided to all parties who will have an opportunity to submit responses and exceptions to the final decision maker. These written responses and exceptions will be due within twenty days of receipt of the recommended decision and copies provided to all parties, the Hearing Examiner, the Secretary of State and/or the Secretary of State’s designee.

The responses and exceptions shall contain:

1. a clear statement of the party’s position and the reason for it;

2. a listing of any errors or omissions made by the Hearing Examiner during the hearing;

3. any relevant legal arguments the party wishes to offer.

Additional factual information which could have been presented and considered during the hearing need not be considered by the final decision maker.

SECTION 17. Decisions.

1. Decisions shall be in writing or stated in the record, and shall include findings of fact sufficient to apprise the person involved of the basis for the decision.

2. A copy of any written decision shall be delivered or mailed to the person involved and his or her representative.

3. The decision of the Hearing Examiner constitutes the final agency action by the Secretary of State.

SECTION 18. Notice of right to appeal; request for stay.

Written notice of the person’s right to appeal the decision to the Superior Court, of the action required to file or perfect the appeal, and the time within which this action must be taken in order to exercise the rights of appeal must be given with the decision.

Requests for stay of administrative suspension pending appeal to the Superior Court must be made in writing first to the Director of the Division of Legal Affairs, Adjudications and Hearings, Bureau of Motor Vehicles. A stay may be issued only upon showing of irreparable injury to the petitioner, a strong likelihood of success on the merits and no substantial harm to adverse parties or the general public.

The Director or a designee shall issue a prompt response to any request, basing the decision on whether the hearing was conducted in accordance with all applicable rules, regulations and statutes, whether the decision is supported by the evidence, whether an appeal is likely to succeed, and whether the petitioner’s prior driving record indicates the petitioner does not present a significant threat to the safety of the motoring public.

SECTION 19. Correction or amendment of hearing decision.

Either at the request of a party or sua sponte, a Hearing Examiner may correct or amend a decision to correct a ministerial or typographical error, to clarify or correct the record, or to rule upon any issue that was heard but not ruled upon. If the correction or amendment is substantive, the Hearing Examiner shall reiterate the mechanism for appeal of the decision.

SECTION 20. Reopening of hearings.

Either at the request of a party or sua sponte, the Hearing Examiner may upon notice to all parties reopen the record of any hearing under the following circumstances:

1. a party to the original hearing has discovered new evidence which could reasonably have affected the outcome of the proceeding but could not have been discovered by due diligence in time to present during the original proceeding, or;

2. there was fraud or misrepresentation regarding an issue of fact material to the original proceeding, which could reasonably be determined to have affected the outcome of the proceeding, if known at the time or;

3. all parties agree to reopen.

A motion to request to amend or reconsider a decision or to reopen the hearing does not extend the statutory appeal period (which is jurisdictional).

SECTION 21. Advisory rulings.

An interested person may request the Department of the Secretary of State, Bureau of Motor Vehicles to make an advisory ruling with respect to the applicability of any statute or rule administered by the Bureau to the person or the person’s property or actual state of facts. All advisory rulings must be in writing and are not deemed binding upon the Bureau. An interested person shall direct the written request for an advisory ruling to: Bureau of Motor Vehicles, 29 State House Station, Augusta, Maine 04333.

History

• STATUTORY AUTHORITY: 29-A MRSA §153
• EFFECTIVE DATE: July 10, 1978
• AMENDED: May 7, 1979 - Sec. 2 (D)
• AMENDED: July 31, 1983
• AMENDED: March 5, 1988
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: December 14, 2000 - converted to MS Word, formatting
• REPEALED AND REPLACED: February 1, 2006 – filing 2006-51
• REPEALED AND REPLACED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025
• APAO ACCESSIBILITY CHECK (Word): April 6, 2026
• APAO ACCESSIBILITY CHECK (Word): INDEX
• APAO ACCESSIBILITY CHECK (Word): SECTION 1. Scope of rules.
• APAO ACCESSIBILITY CHECK (Word): SECTION 2. Notice of opportunity for hearing.
• APAO ACCESSIBILITY CHECK (Word): SECTION 3. Request for hearing.
• APAO ACCESSIBILITY CHECK (Word): SECTION 4. Notice of hearing.
• APAO ACCESSIBILITY CHECK (Word): SECTION 5. Disposition without full hearing.
• APAO ACCESSIBILITY CHECK (Word): SECTION 6. Default.
• APAO ACCESSIBILITY CHECK (Word): SECTION 7. Participation at Hearing.
• APAO ACCESSIBILITY CHECK (Word): SECTION 8. Pre-Hearing conference.
• APAO ACCESSIBILITY CHECK (Word): SECTION 9. Discovery and subpoenas.
• APAO ACCESSIBILITY CHECK (Word): SECTION 10. Conduct of hearings.
• APAO ACCESSIBILITY CHECK (Word): SECTION 11. Issues resolved at the hearing.
• APAO ACCESSIBILITY CHECK (Word): SECTION 12. Hearings recorded.
• APAO ACCESSIBILITY CHECK (Word): SECTION 13. Ex parte communication.
• APAO ACCESSIBILITY CHECK (Word): SECTION 14. Presentation of evidence; official notice.
• APAO ACCESSIBILITY CHECK (Word): SECTION 15. Record.
• APAO ACCESSIBILITY CHECK (Word): SECTION 16. Recommended findings and decision.
• APAO ACCESSIBILITY CHECK (Word): SECTION 17. Decisions.
• APAO ACCESSIBILITY CHECK (Word): SECTION 18. Notice of right to appeal; request for stay.
• APAO ACCESSIBILITY CHECK (Word): SECTION 19. Correction or amendment of hearing decision.
• APAO ACCESSIBILITY CHECK (Word): SECTION 20. Reopening of hearings.
• APAO ACCESSIBILITY CHECK (Word): SECTION 21. Advisory rulings.

Chapter 3 Physical, Emotional and Mental Competence to Operate a Motor Vehicle

Code Me. R. 29-250 Ch. 3 Physical, Emotional and Mental Competence to Operate a Motor Vehicle {#sec-29-250-ch.-3 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 3}

TABLE OF CONTENTS PAGE

29 DEPARTMENT OF SECRETARY OF STATE

250 BUREAU OF MOTOR VEHICLES

Chapter 3: PHYSICAL, EMOTIONAL AND MENTAL COMPETENCE TO OPERATE A MOTOR VEHICLE

SUMMARY: These rules describe the standards to be used by the Secretary of State in determining physical, emotional and mental competence of persons to operate motor vehicles. The rules establish a reporting system that requires persons to submit medical information to the Secretary of State. Persons found incompetent to operate a motor vehicle in accordance with procedures outlined in these rules may have their driving privileges suspended, revoked or restricted.

SECTION 1: STANDARDS

1. Secretary of State. The Secretary of State shall determine the physical, emotional, and mental competence of a person to operate a motor vehicle with the advice of the Medical Advisory Board and on the basis of the Functional AbilityProfiles.

2. Functional Ability Profiles. Standards to determine the competence of a person to operate a motor vehicle are those contained in the "Functional Ability Profiles" adopted by the Secretary of State with the assistance of the Medical Advisory Board.

SECTION 2: REPORTING SYSTEM

1. Medical conditions requiring report. Conditions which may result in functional limitations and increase risk of unsafe operation of a motor vehicle should be reported. Conditions for which a person is required to submit a report to the Secretary of State include, but are not limited to, alterations/loss of consciousness, brain injury, cardiovascular, chronic respiratory diseases, CVA/stroke, hypoglycemia, musculoskeletal, neurological (including dementia, epilepsy/seizures, narcolepsy, Parkinson’s, sleep apnea), substance use, mental health conditions, and visual disorders.

2. Sources of information. Sources of information concerning medical conditions include, but are not limited to:

A. Permit, license, or renewal applications, and accident reports;

B. Written reports from family, physicians, law enforcement personnel and other government agencies; and

C. Signed statements from citizens.

3. Nature of medical report. Upon receipt of information concerning the existence of a medical condition for which a report is required, or which may affect a person's ability to operate a motor vehicle, the Secretary of State or their designee shall request the person involved to submit a medical report from a physician or from other qualified treatment personnel who may be specified. Other treatment personnel may include licensed or certified professionals as follows: Licensed physicians (MD, DO, or ND from a CNME accredited program), nurse practitioners (NP), physician’s assistants (PA), optometrists (OD), chiropractors (only for musculoskeletal issues), licensed clinical social workers (LCSW) trained in substance abuse or mental health, speech, physical or occupational therapists (ST, PT or OT); psychologists, and any other medical personnel as deemed appropriate by the Secretary of State or their designee. Medical professionals should not make assessments outside their area of expertise or knowledge.

A. To be acceptable, the medical report must be made on forms supplied or approved by the Secretary of State and must contain the physician's or other treatment personnel's diagnosis of the patient's condition(s) and any prescribed medication(s). The date of exam must normally be within the past 12 months, unless otherwise specified.

B. The Secretary of State or their designee may specify the clinician qualifications in certain situations when appropriate.

C. The Secretary of State or their designee may require an individual to certify in writing the date of the person's last seizure, or alteration of consciousness.

4. Action by the Secretary of State

A. Upon receipt of a medical report indicating that a person is competent to operate a motor vehicle, the Secretary of State or their designee may approve the person's competence to operate a motor vehicle, with or without restrictions, taking into consideration the safety of the public and the welfare of the driver.

B. Upon receipt of a medical report indicating that a person is not competent to operate a motor vehicle, or upon the failure or refusal of a person to submit the requested information, the Secretary of State or their designee shall follow one or more of the following procedures:

(1) If, from records or other sufficient evidence, the Secretary of State has cause to believe that a person is not physically, emotionally, or mentally competent to operate a motor vehicle, the Secretary of State may:

(a) Obtain the advice of any member of the Medical Advisory Board or the Board collectively. The Board, or any member may formulate advice from the existing records and reports or may request that an examination and report be made by the Board or any other qualified person so designated. The licensed driver or applicant may present a written report from a physician or other qualified person of the driver’s choice, to the Board or the member reviewing the matter and such report must be given due consideration. Members of the Board and other persons making examinations and reports are not liable for their opinions and recommendations pursuant to this subsection.

(b) Require a person to submit to a driving evaluation. Upon the conclusion of such an evaluation, the Secretary of State shall take action as may be appropriate. The Secretary of State may suspend the license of such person, allow person to retain a license, or issue a license subject to any conditions or restrictions deemed advisable, having in mind the safety of the public and the person.

(c) After hearing, suspend any operator's license, operating privileges, or privilege to apply for and obtain a license in the State of Maine.

(d) Without preliminary hearing, suspend any operator's license, operating privilege, or privilege to apply for and obtain a license in the State of Maine if the Secretary of State determines that the person's continued operation of a motor vehicle presents a potential danger to the person or other persons or property. The Secretary of State shall notify the person that a hearing will be provided without undue delay.

5. Confidentiality of reports. Reports received under this rule are confidential in accordance with the Maine Motor Vehicle Statutes.

SECTION 3: FUNCTIONAL ABILITY PROFILES

Functional ability to operate a vehicle safely may be affected by a wide range of physical, mental or emotional impairments. To simplify reporting and to make possible a comparison of relative risks and limitations, the Medical Advisory Board has developed Functional Ability Profiles for fourteen categories, with multiple levels under each profile. Conditions that may affect the safety of a person to operate a motor vehicle, but are not included in the specified categories, may be reported using the general definitions listed below. Clinician recommendations to limit or expand driving privileges, shorten or extend intervals for review, add or delete restrictions or require a road test will be given due consideration. However, the Secretary of State or their designee will make the final determination.

Each profile follows the same format and describes levels or degrees of impairment. The profile levels are intended to describe potential for at risk driving; they are not meant to correspond to clinical definitions.

1. No diagnosed condition. This section is used for a patient who has indicated to the Bureau of Motor Vehicles a problem for which no evidence is found, or for which no ongoing condition can be identified. For example, this category might apply to a person with a heart murmur as a young child who indicates heart trouble, or to a teenager who fainted in gym class once on a hot day who indicates blackouts.

2. Condition fully recovered/compensated. This category includes history of a condition that has been resolved or does not warrant review. Guidance for the use of this section is provided in each profile.

3. Active impairment

A. Mild. This section deals with conditions which warrant periodic medical review because of an ongoing condition that could deteriorate, and/or conditions that may impair ability to drive but which are controlled so that a person can still operate a motor vehicle safely.

B. Moderate. This section deals with conditions that require more frequent medical review, or may necessitate use of personal medical devices, orthotics, adaptive equipment for the car, or restrictions to safely operate a motor vehicle. Some conditions may require a driving test to determine fitness to drive, or may preclude driving, but with potential for recovery allowing safe operation of a motor vehicle.

C. Severe. This section deals with conditions that preclude safe operation of a motor vehicle. This may be due to the severity of the condition; because the condition is not controlled; or because of a new condition which requires further testing and follow-up to determine safety to operate.

In all cases, periodic review may result in a different profile level as the condition improves or deteriorates. Tables for specific conditions included within this chapter of rules, also articulate a frequency of periodic review commensurate with the level of risk.

When the circumstances of an individual driver do not clearly fit within the guidelines presented in these rules, the Medical Advisory Board or any Member may be consulted for review, on a case-by-case basis.

Reporting of temporary conditions is not required. However, a person experiencing a condition or taking medications that may impair their ability to safely operate a motor vehicle should refrain from operating a motor vehicle until their condition improves or they are no longer taking the medication.

CARDIOVASCULAR CONDITIONS PREAMBLE

Cardiovascular disease may affect a driver's ability in a variety of ways, most particularly being the possibility of cardiac syncope or near syncope, due to either dysrhythmia or medications/devices used to treat the cardiac condition. Guidelines are provided for important categories of diagnoses that may require driving restriction or periodic review.

Supraventricular Arrhythmia (SVT) and Bradyarrhythmia:

In general, profile 2 would apply to individuals whose arrhythmia has been of a minor nature or so remote and well controlled that the patient is expected to drive without his/her condition presenting a risk to the public. In other cases of Supraventricular Tachycardia, Atrial Fibrillation, or bradydysrhythmias, the risk is related to the likelihood of recurrence, and the likelihood that recurrence may result in alteration or loss of consciousness.

Ventricular Tachycardia and Ventricular Fibrillation (VT and VF)

In cases of ventricular tachycardia or ventricular fibrillation risk for driving is related to the likelihood of recurrence and the likelihood that recurrence may result in an alteration of level of consciousness or loss of consciousness (AOC or LOC). Implantable Cardioverter-Defibrillators (ICD) present special circumstances and problems. Generally, a patient who receives such a device for a presenting rhythm that resulted in loss of consciousness (e.g., for secondary prevention,ⁱ following syncope or sudden death), or a person who experiences interference with abilities needed to control a motor vehicle, alteration or loss of consciousness associated with discharge of the device for an abnormal rhythm, should not drive for 6 months. Driving may be resumed after 6 months being free from an event. Patients who have a device implanted for primary preventionⁱ who have not presented a syncopal rhythm yet, may be allowed to resume driving within a week at the judgment of treating clinician.

Other Cardiac Conditions

This section includes other cardiac conditions which could cause syncope or near syncope; or that are severe enough to cause symptoms at rest that could affect driving or meet New York Heart Association Class IV criteria. For cardiac conditions which could cause syncope or near syncope, risk for driving is related to the likelihood of alteration or loss of consciousness.

Clinician recommendations about resumption of driving or the interval for review will be taken into consideration.

Vasovagal syncope is excluded from this FAP unless episodes have occurred while driving. Driving may resume after receiving treatment and being symptom free 3 months. For an unexplained alteration or loss of consciousness, please refer to that FAP.

Generalized Deconditioning:

A person with generalized deconditioning which reduces functional capacity should be evaluated using the “Miscellaneous Musculoskeletal and Neurological Conditions” FAP.

Footnotes:

¹Primary prevention refers to placement of an ICD in a person that has not experienced a sudden cardiac arrest but is at high risk for such an event. Placement in a person that has already experienced a cardiac event such as syncope or cardiac arrest is referred to as secondary prevention.

FUNCTIONAL ABILITY PROFILE

Cardiovascular Conditions¹: Ventricular Tachycardia/Ventricular Fibrillation¹

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No diagnosed condition

No known history of Ventricular Tachycardia (VT) or Ventricular Fibrillation (VF)

N/A

Condition fully recovered

Arrhythmia by history, not documented, asymptomatic

N/A

Active impairment

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe.)

a. Mild risk

Non-syncopal, non-sustained ventricular tachycardia.

4 years

b. Moderate risk

Sustained VT or VF, treated with medication or ICD³, more than 6 months without recurrence of syncope.

For drivers with ICD, no pre or post shock syncope, alteration of consciousness, or interference with ability to control a motor vehicle, within past 6 months.

2 years

c. Severe risk

Sustained VT or VF untreated or treated with medication or ICD² less than 6 months, or syncopal arrhythmia not responding to treatment; or

New or worsening established conditions under investigation to determine potential risk for unsafe driving.

No driving

¹ For further discussion regarding CARDIOVASCULAR CONDITIONS, please refer to PREAMBLE at the beginning of this section.

² ICD includes implantable cardioverter defibrillators

FUNCTIONAL ABILITY PROFILE

Cardiovascular Conditions¹: Supraventricular Arrhythmias²/Bradyarrhythmias

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No diagnosed condition

No known history of supraventricular arrhythmias or bradyarrhythmias

N/A

Condition fully recovered

Arrhythmias by history, not documented, asymptomatic; or

Documented supraventricular arrhythmias (SVT) or bradyarrhythmias, with none in the last 18 months and no other identified heart disease.

N/A

Active impairment

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe.)

Documented SVT or bradyarrhythmia and excluding transient arrhythmias or conduction defects associated with acute myocardial infarction.

a. Mild risk

Documented arrhythmias associated with syncope more than 18 months ago, asymptomatic; and/or

A-fib or supraventricular tachycardia without syncope, only mildly symptomatic (e.g., dyspnea, mild lightheadedness).

6 years

b. Moderate risk

Documented arrhythmias associated with syncope within the past 6-18 months, mildly symptomatic (e.g., dyspnea, mild lightheadedness).

2 years

c. Severe risk

Documented arrhythmias associated with syncope within the past 6 months or symptoms that interfere with normal functioning; or

New conditions presumed to be arrhythmic under investigation to determine potential risk for unsafe driving.

No driving

For further discussion regarding CARDIOVASCULAR CONDITIONS, please refer to PREAMBLE at the beginning of this section.

FUNCTIONAL ABILITY PROFILE

Cardiovascular Conditions¹: Other Cardiac²

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No known conditions

No history of any cardiac conditions

N/A

Condition fully recovered

History of a cardiac condition that has been resolved or does not warrant review² according to FAP guidelines, and no history of cardiac syncope within the past 4 years.

N/A

Active impairment

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe.)

Any cardiac condition not specified in another FAP and meets the criteria below. For vasovagal episodes see footnote⁵.

Clinician must specify diagnosis & reason for concern.

a. Mild risk

On-going cardiac condition that warrants review due to risk of developing symptoms severe enough to affect ability to operate a motor vehicle; and/or

History of syncopal episode greater than 18 months but less than 4 years.

4 years

b. Moderate risk

On-going condition that warrants more frequent review, or

History of syncopal episode 6-18 months ago

2 years

Clinician may recommend shorter interval for review

c. Severe risk

Condition precludes safe operation of a motor vehicle. This may be due to any of the following: the severity of the condition (E.g., angina or shortness of breath at rest or with minimal activity (NYHA IV)); or

Non-vasovagal syncopal episodes less than 6 months ago, and likelihood of recurrence unknown^{3, 5}; or

New or suspected condition which requires further testing and follow-up to determine safety to operate; or

History of vasovagal syncope while driving or with high-risk features, treated for less than 3 months, or untreated. See footnote³

No driving

Clinician must specify reason for suspension⁴

¹ For further discussion regarding CARDIOVASCULAR CONDITIONS, please refer to Preamble at the beginning of this section.

² Other cardiac conditions which normally would not require review may include CAD, CHF, valvular heart disease or others.

³ Vasovagal syncope is excluded from this FAP as long as episodes have not occurred while driving or in high-risk setting (occurs without warning and in any position, has no clear precipitating causes, and/or occurs frequently). Driving may resume after receiving appropriate treatment and being symptom free 3 months. For unexplained alteration or loss of consciousness, refer to the “Unexplained Alteration of Consciousness” FAP.

⁴ Document reason for suspension, such as diagnosis and specific symptoms.

⁵ Definitive therapy for prevention of syncope may allow driving in less than 6 months on an individual basis.

CHRONIC RESPIRATORY DISEASE PREAMBLE

Chronic respiratory disease includes conditions that may result in hypoxemia and chronic respiratory failure. Chronic obstructive pulmonary disease (COPD) refers to those pulmonary diseases characterized by obstruction to the outflow of breath, as measured by expiratory flow rates, and includes emphysema, chronic bronchitis, and some forms of chronic asthma. Restrictive respiratory diseases are distinct in limitation of expansion of the lung and include any type of pulmonary fibrosis, chronic infection with scarring, dust deposition, etc. Although the pathology is different, a final common pathway for both types of respiratory disease will be breathlessness, hypoxia, infections, eventual pulmonary insufficiency, and finally respiratory failure. Additionally, other disease processes such as congestive heart failure, cor pulmonale, pulmonary hypertension, among other disease processes can lead to chronic hypoxia.

Most studies of driving ability and COPD have focused on the neuropsychological effects of hypoxia. Classic studies in the 1980’s found difficulties in COPD patients on complex cognitive testing. Grant and colleagues (1982)^Astudied 203 severely hypoxic patients (mean PO2 of 51) and matched controls, and found 42% with cognitive difficulties in the study group compared to 14% in the controls. These did not correlate well with standard pulmonary function tests (PFT’s). A second study by Prigatano (1983)^B confirmed the same type of cognitive limits in slightly less hypoxic patients, mean PO2 of 66. A meta-analysis^C done by several of these researchers in 1987 found that neuropsychological effects were correlated with level of hypoxia.

Studies using driving simulators,^{D, E} done by European researchers, have confirmed that even mildly hypoxic patients have perceptual difficulties and perform less well than controls. Few studies however have shown higher crash rates among COPD patients, although some Utah driver data^F suggests that persons with any pulmonary condition are at higher risk of crashes.

A recent large trial testing long-term treatment with supplemental oxygen in COPD patients with moderate resting desaturation (89-93%) or moderate exercise induced hypoxia was performed.^G There was no significant improvement in time to death or hospitalizations with supplemental oxygen. In addition, there was no significant difference in measures of quality of life. Thus, at this time there would not be an expectation for these patients to require oxygen with driving, if their resting O2 Sat > 88%.

Restrictive respiratory diseases or any other disease process (CHF, pulmonary hypertension, cor pulmonale, etc.) could be subject to the same driving restrictions when hypoxic respiratory failure develops.

Shorter review periods are beneficial in persons with higher class of disease or those requiring oxygen (even nocturnal or partial use) given that such persons are prone to exacerbations worsening their daily status, prone to gradual decline, and prone to experience difficulty with stressful driving conditions. Those who cannot maintain adequate oxygenation with supplementation should not drive.

FUNCTIONAL ABILITY PROFILE

Chronic Respiratory Disease¹

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No diagnosed condition

No history of chronic respiratory disease

N/A

Condition fully recovered

Any respiratory condition, recovered or cured; or

Minimal, reversible, episodic, controlled pulmonary condition.

N/A

Active impairment

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe.)

Chronic respiratory disease²

a. Mild risk

COPD, restrictive respiratory diseases or other disease processes with mild dyspnea, able to maintain O2 Sat 89% or greater on room air, at rest.

4 years

b. Moderate risk

COPD, restrictive respiratory diseases or other disease processes with moderate dyspnea, O2 Sat 88% or less, or PaO2 55 or less on room air, but able to maintain O2 Sat 89% or greater on oxygen supplementation ; or

Exercise or sleep induced O2 sat 88% or less but able to maintain 89% at rest on room air.

2 year

If O2 sat less than 88% (on room air) while at rest must use O2 while driving.

Note: Those with only sleep or exercise induced hypoxia are not required to use O2 while driving.

c. Severe risk

COPD, restrictive respiratory diseases or other disease processes with severe dyspnea and/or hypoxia that cannot be controlled to maintain O2 Sat 89% or greater, or PaO2 56 or greater on oxygen at rest; or

New condition with poorly controlled hypoxia, unable to maintain O2 sat at 89% or above, under investigation.

No driving

¹ For further discussion regarding CHRONIC RESPIRATORY DISEASE, please refer to PREAMBLE at the beginning of this section.

² Specify the diagnosis

DEMENTIA PREAMBLE

Many disease processes can cause dementia, most commonly Alzheimer's Dementia, stroke, and Parkinson's Disease. Less common causes include Lewy Body and fronto-temporal dementias, HIV and other chronic viral CNS infections, B12 deficiency, chronic alcohol damage, and multiple sclerosis. All dementias cause some mixture of permanent, often progressive, loss or impairment of cognitive skills like memory, visuo-spatial perception, language, abstraction, prosody and/or praxis impairments, and/or executive function (complex reasoning, planning and judgment).

Cognitive impairment due to another diagnosis such as mental health or neurodevelopmental disorders should be reviewed according to the appropriate Functional Ability Profile (FAP). Dementia caused by another diagnosis such as stroke, brain Injury or other medical conditions should trigger completion of a profile level for the other condition as well as dementia. When there are cognitive changes or other combination of deficits raising concern for unsafe driving but there is no diagnosis of dementia and no explanatory diagnosis, refer to the “Medical – Other” FAP. In setting of unknown diagnosis, physician will need to determine appropriate work up or refer to appropriate specialist.

Memory loss is usually the first symptom to occur in Alzheimer's Dementia, but alone is insufficient to make that diagnosis without other cognitive deficits. Memory loss may be absent or at least occur later in several other types of dementia. Dementias must also be differentiated from other cognitive impairments like a congenital intellectual disability, transient impairments from delirium-producing conditions, or “mild cognitive impairment” (MCI) which entails mild memory or other cognitive deficits but no functional impairment. MCI carries no increased crash risk, nor may mild dementia. However, the potential for progression in both justifies more frequent physician re-evaluations.

The cognitive changes associated with dementia often affect drivers’ ability to operate competently and increase crash risks. Those risks are elevated, especially in emergencies and in complicated traffic patterns, such as at intersections, with lane changes, while merging and making left-hand turns.

Unfortunately, there are no tests of driving competence with 100% sensitivity/specificity. Current evidence does show several potentially useful clinical associations between specific cognitive test results and driving outcomes, although scoring cut-points for safe/unsafe driving often vary among studies. Nevertheless, office tests of attention, executive function, visuo-spatial skills, and memory are useful in assessments of drivers with dementia. These include Trails B, Useful Field of View, clock drawing, Snellgrove Maze Test and several others.^{A, B} Testing should be tailored to the type of dementia and the particular deficits identified to best capture degree and severity of the impairment.^C

Although clinical testing and screening have limited ability to predict whether or not an individual driver may be able to pass a road test, screening scores may be used as supporting evidence when selecting a profile level and completing the Driver Medical Evaluation form. For example, a Mini Mental Status Exam (MMSE) of 24-26+, Clinical Dementia Rating Scale (CDR) <1, or Montreal Cognitive Assessment Test (MoCA) ≥22 would usually be associated with mild cognitive impairment and lower crash risk. An MMSE 20-23, CDR 1-1.5, or MoCA 19-21 may be associated with moderate cognitive impairment and greater crash risk. While an MMSE ≤19, CDR 2 or greater, or MoCA≤18, or deficits in visuo-spatial or executive function would often be associated with greater impairment and higher crash risk. Drivers with a screening (MMSE) score of <24 fail road tests 70% of the time, but 30% pass; those with scores of <19 fail 95% of the time, and only 5% pass.^A All relevant factors, including self-report or family/caregiver reports of unsafe driving, should be taken into consideration. Documentation should support evidence for the diagnosis and profile level written on the Driver Medical Evaluation form.

Although not all experts agree, the Driver Fitness Working Group^Astates that the presence of two or more of the following factors may indicate the need for a cognitive assessment by a health care professional. Applicants with greater numbers of risk factors should be considered at greater risk, although the relative risks are not necessarily additive.

Age 80 years or older

History of a recent crash or moving violations

Applicant self-report or caregiver report of impaired skills

Use of psychoactive medications such as benzodiazepines, neuroleptics, antidepressants, or use of medications for Alzheimer’s Disease

History of active alcohol abuse

History of falls

Inability to understand or hear instructions during interactions with the health professional

Scores with simple screening tools that indicate the possibility of a cognitive deficit

Online medical textbooks maintain useful reviews of all these issues.^D

When BMV is notified that a licensed driver is diagnosed with dementia, the driver will usually be required to submit a “Driver Medical Evaluation” (CR-24) form, completed by an appropriate clinician. Depending on the outcome of the Evaluation, the driver may also be required to take a road test, which must be administered by a BMV Driver’s License Examiner.

For a description of the BMV road test components, see the Appendix. It should be noted that Driver License Examiners are not trained in cognitive evaluation.

Online programs intended to assist older drivers self-evaluate driving skills may help them to an appropriate decision to retire from driving. On-road tests with a driving rehabilitation instructor, occupational therapist or a driver educator may also be useful. Please be aware that BMV does not normally require these evaluations and they are not a substitute for the BMV road test. Refer to the appendix for more information about Occupational Therapy Evaluations.

FUNCTIONAL ABILITY PROFILE

Dementia¹

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No diagnosed condition

No diagnosed dementia, no suspected dementia of concern for driving.

N/A

Condition fully recovered

Cognitive impairment recovered. (Rare, usually within 6 months of identification. Example: recovery following a stroke.)

N/A

Active impairment

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe.)

Diagnosed dementias (not MCI), other causes having been ruled out. (For Lewy Body Dementia, see footnote²).

Or,

New cognitive impairment under investigation, see Dementia Preamble.

Documentation should support evidence of the diagnosis and profile level reported.

a. Mild risk

Consistent slight forgetfulness, or mild deficits in judgment and problem solving. May have mild comprehension difficulties. No evidence of executive dysfunction or visuo-spatial impairment.

No known driving impairment.

2 years³

ROAD TEST if recommended by clinician

b. Moderate risk

Cognitive impairment interferes with everyday activities and there may be geographic disorientation, or deficits in judgment, difficulty problem solving or managing sudden events. Without significant evidence of executive dysfunction or visuo-spatial impairment.

Potential concern for driving impairment.

1 year³

ROAD TEST

c. Severe risk

Cognitive impairment significant to the point that new information is not retained; or judgment and problem solving significantly impaired; or there is disorientation to time and place or may be unable to manage complex chores or activities; or

History of unsafe driving; or driving is not safe in judgment of clinician; or

New cognitive impairment under investigation for dementia, with concern for potentially unsafe driving.

No driving

Documentation supports evidence of the diagnosis and profile level reported

¹ For further discussion regarding DEMENTIA, please refer to PREAMBLE at the beginning of this section.

² Lewy Body Dementia exhibiting significant movement disorder manifestations should also be reviewed using the Parkinson’s FAP.

³If clinician documents progression of disease and recommends more frequent review and road testing, the interval may be shortened.

HYPOGLYCEMIA PREAMBLE

Hypoglycemia involving a loss of consciousness or requiring third party assistance is incompatible with driving and is especially concerning when accompanied by hypoglycemia unawareness. Examples of requiring third party assistance include but are not limited to: (1) The driver became so confused while hypoglycemic that they got lost while driving and had to call for help; (2) A driver had an alteration of consciousness while hypoglycemic that required someone else to get them to eat or drink something in order to recover.

Some drivers whom the clinician feels are not treating the hypoglycemia condition properly may not be safe to drive, even though they have not had a hypoglycemic episode involving a loss of consciousness or requiring third party assistance. In these cases, the clinician should consider public safety and contact the BMV for guidance.

Drivers with other conditions should be assessed under the appropriate guidelines, e.g., diabetic retinopathy should be reviewed using the Visual Acuity profile, peripheral neuropathy should be reviewed using the Miscellaneous Musculoskeletal and Neurological Disorders profile.

FUNCTIONAL ABILITY PROFILE

Hypoglycemia¹

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No diagnosed condition

No history of hypoglycemic episodes involving a loss of consciousness or requiring third party assistance.

N/A

Condition fully recovered

No hypoglycemic episodes involving a loss of consciousness or requiring third party assistance within past 3 years.

N/A

Active impairment

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe)

At least one episode of hypoglycemia involving a loss of consciousness or requiring third party assistance within the past 3 years.

Refer to hypoglycemia “Preamble” for others at high risk.

a. Mild risk

History of hypoglycemia involving a loss of consciousness or requiring third party assistance, more than 12 months ago but fewer than 3 years ago.

3 years

b. Moderate risk

i. One or more episodes of hypoglycemia involving a loss of consciousness or requiring third party assistance between 3-12 months ago, with hypoglycemia awareness; or

1 year

ii. One or more episodes of hypoglycemia involving a loss of consciousness or requiring third party assistance between 3-12 months ago and has hypoglycemia unawareness. The clinician should mark this on the Driver Medical Evaluation form and work with the patient to develop a plan of action to improve awareness.²

3 months

c. Severe risk

One or more hypoglycemic episodes involving a loss of consciousness or requiring third party assistance, within the past 3 months.

No driving

¹For further discussion regarding HYPOGLYCEMIA, please refer to Preamble at the beginning of this section.

²Examples: Increased glucose target to prevent hypoglycemia or introduce a real-time continuous glucose monitor (CGM) or increase finger stick glucose testing frequency.

MENTAL HEALTH CONDITIONS PREAMBLE

There is no certain way of predicting which persons with mental health conditions will have accidents, but many high-risk drivers are such because of symptoms from mental health conditions. In a review of medical literature spanning 1960-2000, the National Highway Traffic Safety Administration noted that people with schizophrenia, personality disorders and chronic alcohol abuse are at highest risk for unsafe driving.^A (Guidelines for Substance Use Disorders are listed in a separate FAP.)

Given that many mental health conditions wax and wane in severity, this FAP attempts to provide guidelines that protect public safety but allow driving when possible. Recommendations are drawn from a review of medical literature, a review of recommendations from other jurisdictions, and from the experiences of physicians in Maine.

Diagnosis of a mental health condition is important, but clinicians should also focus on a patient’s function, in particular attention and concentration, executive function (or other cognitive functioning as it relates to the mental health condition), psychosis, psychomotor retardation, response disinhibition or impulsivity, intent for dangerousness to self or others, and on whether or not the patient has the insight to recognize limitations or the judgment to stop driving if limiting symptoms occur.

When assessing safety and stability, clinicians should also consider patient histories and collateral information about motor vehicle crashes, driving citations, relapses in substance use disorder, patient compliance with treatment, and relapses in the mental health condition for which the patient is being treated in order to gain a fuller picture of the patient’s ability to drive safely. One episode of poor judgment does not necessarily mean a patient should stop driving. There should be a pattern of concerning behaviors or symptoms.

Many individuals with mental health conditions are maintained on medications on an outpatient basis. These drugs have varying degrees of sedative side effects and can potentiate other central nervous system depressants. Persons receiving such medications should be screened in terms of severity of side effects incident to medication and the adequacy of the remission of symptoms related to the mental health condition, as it relates to operating a motor vehicle.

Normally, BMV will not require reporting of prescribed medications used as ordered. However, in cases where proper use of prescription medications have resulted in driver impairment, such as OUI, crashes, reports of unsafe driving, or when a clinician is concerned that a patient may be non-compliant with driving recommendations, use of the Prescription Medications and/or Opioid Replacement Therapy FAP is appropriate. Please note that clinicians are responsible to assess their patients for potential risk and advise them whether to drive or not based on their medications and medical conditions.

Medications that are of particular concern for sedation, especially if patients are prescribed more than two or are concurrently prescribed opioids, are using marijuana^{B, C, D, E} or abusing drugs or alcohol,^F include the tricyclic antidepressants, sedative hypnotics, some antipsychotics, and benzodiazepines. Methadone and benzodiazepines are a particularly troubling combination for risk of sedation. (See Substance Use Disorder FAP if that is primary diagnosis).

Special Circumstances

Electroconvulsive Therapy (ECT):

A seizure induced by ECT treatment is not considered a Seizure Disorder for purposes of driving a motor vehicle. Transient confusion or cognitive changes would be expected to clear in a day or two after treatment, during which the patient should not drive. However, it is possible for ECT treatments to result in long-lasting cognitive changes that impair the ability to drive safely, usually in the context of evolving dementia. Under these circumstances evaluate according to the Dementia FAP.

Psychogenic Non-epileptic Seizures (PNES):

PNES are considered to be a form of Conversion Disorder in DSM-V (the most recent DSM at the time this FAP was written).^{G, H} Until a formal diagnosis of PNES has been made (consultation with Neurology and EEG Video Monitoring are especially helpful in this regard), clinicians should use the FAP for Seizures even if PNES is suspected. Once PNES is formally diagnosed, the evaluation of driver safety should be individualized but patients with PNES are very likely to fall within Profile Level 3b or 3c on this FAP. There is no clear consensus in the medical literature about driving limitations for PNES, but in a study in the United Kingdom, 50% of neurologists who specialize in diagnosing PNES felt that driving restrictions should be similar to that for epilepsy. There are reports of motor vehicle crashes related to PNES.^I Prognosis for cessation of psychogenic seizures is better if PNES resolves spontaneously in the first year or two, but poor if the symptoms have gone on for 10 or more years.

Medical conditions with mental health symptoms:

Other conditions may at times be associated with mental health symptoms and may require review using this FAP. Examples may include but are not limited to Parkinson’s or Tourette’s Syndrome.

Novel treatments or treatment in development:

Transcranial Magnetic Stimulation^J and intravenous ketamine are examples of new or novel treatments at the time of this FAP preparation that have no track record in the medical literature as far as driver safety is concerned (but are not meant to be the only treatments considered here). Practitioners using any new or novel treatments are strongly urged to consider a patient’s ability to drive safely as part of their post-treatment assessment protocols.

FUNCTIONAL ABILITY PROFILE

Mental Health Conditions¹

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No diagnosed condition

No history of mental health condition.

N/A

Condition fully recovered

Diagnoses of depression, anxiety, Autism, or ADHD (ADD), but no association with functional impairment in the past 2 years or more in the judgment of the treating clinician; or

History of a mental health condition in sustained remission 2 years or more. No functional impairment in the judgment of the treating clinician. No impairment in driving abilities from medication/treatment side effects and does not meet criteria listed in sections below.

N/A

Active impairment

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe.)

On-going symptoms that meet current DSM criteria for a mental disorder.^{2, 3}

Please refer to Mental Health Conditions Preamble for “Special Circumstances”.

a. Mild risk

Condition stable but less than 2 years; no concerns related to current cognitive function and only minimal functional impairment from symptoms or medications or other treatments; or

Occasional recurrence of mild to moderate symptoms without suicidal or homicidal intent and with insight and judgment adequate to stop driving if functional limitations or medication side effects occur.

2 years or less if recommended by clinician

b. Moderate risk

History of symptoms that might jeopardize safe operation of a motor vehicle but stable for at least 3 months and fit to drive; and

No concerns related to current cognitive function. Demonstrates overall compliance with treatment/recovery plan, has insight and judgment adequate to stop driving if functional limitations or medication side effects occur; and

Does not exhibit symptoms that might jeopardize safe operation, such as suicidal or homicidal intent, aggressive or violent behaviors, impulsivity, psychosis, inattentiveness.

NOTE: Clinician may recommend a road test when appropriate and SHOULD recommend a road test if transitioning from Profile Level 3c to Profile Level 3b, or if returning to driving after 6 months or more of no driving.

1 year or less if recommended by clinician

ROAD TEST⁵ if recommended by clinician

c. Severe risk

Currently, or within the past 3 months, has exhibited symptoms that might jeopardize safe operation of a motor vehicle and/or has not demonstrated overall compliance with treatment/recovery plan.

Symptoms that may jeopardize safe operation may include significant executive function or cognitive impairment related to a mental health condition, chronic dangerous behaviors⁴ toward self or others, chronic suicidal or homicidal intent; severe anger, impulsivity or irritability that create a driving hazard; chronic delusions⁶ or hallucinations⁶ that impair driving ability; chronic poor insight and judgment about driving limitations leading to dangerous behaviors; chronic medication or treatment side effects that impair safe vehicle operation, such as sedation, blurred vision or certain movement disorders; or

New condition or onset of symptoms, under investigation and that may pose risk to safe operation of a motor vehicle.

No driving

¹ For further discussion regarding MENTAL HEALTH CONDITIONS, please refer to Preamble at the beginning of this section.

² For substance use or withdrawal disorders, please see FAP for Substance Use Disorders.

³ Diagnoses of depression, anxiety, Autism, or ADHD (ADD) are common disorders and require consideration in this section. They require on-going review when associated with functional impairment within the past 2 years, in the judgement of the treating clinician.

⁴ Dangerous behaviors include but are not limited to those described.

⁵ For a description of BMV road test, please refer to the Appendix.

⁶ Examples of hallucinations and delusions that create risk for unsafe driving include but are not limited to those that cause the person to take action, cause distraction or startling, or command hallucinations.

MUSCULOSKELETAL AND NEUROLOGICAL DISORDERS PREAMBLE

There are a wide variety of neurologic and musculoskeletal disorders which can impact driving safety. Impairment may be the result of altered muscular, skeletal, neurologic, and/or cognitive function. Motor, sensory, and/or cognitive deficits may adversely affect strength, coordination, reaction time, range of motion, visual perception, processing speed, judgment, problem solving, attention, memory, and/or awareness, in terms of a driver's ability to perform the actions necessary to safely operate a motor vehicle.

Disorders affecting cognition such as epilepsy, stroke, traumatic brain injury, Parkinson’s disease, dementia, as well as disorders affecting neuromuscular function such as multiple sclerosis, Parkinson’s disease, muscular dystrophy, cerebral palsy, myasthenia gravis, amyotrophic lateral sclerosis, spinocerebellar ataxia, foot drop, neuropathy, and spinal cord disorders all may present their own unique barriers to safe motor vehicle operation. What’s more, there is considerable overlap in the clinical manifestations of these disorders. A driver with these conditions may have chronic functional limitations that have the potential to affect safe operation of a motor vehicle and should be evaluated. When functional abilities are in question, a road test may be recommended by the clinician or required by BMV. A description of the road test may be found in the Appendix.

Many of these conditions may result in symptoms or impairments that fall under more than one Functional Ability Profile (FAP) and will need to be evaluated using more than one FAP. For example, following a stroke a driver may experience a motor deficit which requires them to use adaptive equipment for their vehicle and may also have a visual field or acuity disturbance. A person with Parkinson’s Disease may have cognitive or psychiatric deficits as well as the neurological and motor deficits. They would need to be evaluated using the Parkinson’s, as well as the Dementia or Mental Health Conditions FAP. A person with Tourette’s Syndrome may exhibit symptoms that should be reviewed using the Mental Health Conditions FAP. BMV will use the most restrictive FAP to determine the fitness of a person to drive.

Neurological disorders may have an unpredictable, episodic, or progressive course and require periodic evaluation by a qualified medical practitioner. The treating clinician may recommend the timing of evaluation but should have a working knowledge of a driver’s current condition when filling out the Driver Medical Evaluation (CR-24) form. When completing the CR-24 the driver must have been seen within the past 12 months or less.

Individuals with any number of neurological and musculoskeletal conditions may use adaptive equipment when driving. Person’s that use adaptive driving aids for the vehicle must take a road test. Although referral to a driving rehabilitation specialist may be indicated in some cases, it is not required by BMV. When BMV requires a road test, it will be administered by a BMV Driver’s License Examiner. The road test will determine whether the person is allowed to drive and if there are driving restrictions. A description of a comprehensive OT driving evaluation and the BMV the road test may be found in the Appendix. Adaptive driving aids for the vehicle may include but are not limited to hand controls, pedal extenders, seat modifications, etc.

Driver’s that are prescribed personal assistive medical devices for a chronic condition will be required to take a road test. Personal assistive medical devices include but are not limited to a wheelchair, prosthesis, orthosis, walker, or a cane when required for normal ambulation. If a cane is the only medical device needed, the clinician may recommend that the road test be waived.

Conditions which require review include but are not limited to the following:

Amputation or Limb Deficiency:

Amputation or limb deficiencies may be either congenital or acquired of the upper or lower extremities, with functional implications to safe driving being the decreased ability to operate one or more of the vehicle controls. Adaptive driving aids for the vehicle will require consideration depending on the specific limb deficiency, use of prosthesis and overall functional abilities of the person. Evaluation by a driving rehabilitation specialist may be appropriate depending on the extent of impairment. However, it is not required and does not take the place of the BMV road test. The Miscellaneous Musculoskeletal and Neurological Functional Ability Profile should be used to assess potential for driving impairment.

Arthritis or Joint Disorders:

This category would include related conditions such as rheumatoid arthritis, osteoarthritis, ankylosing spondylitis, and spinal stenosis, among others. Affected structures include joints and/or spinal nerves. These conditions can cause pain, decreased strength and range of motion, and impaired functional mobility, potentially altering the ability to safely operate motor a motor vehicle. In assessing these persons for potential driving impairment, overall functional performance of the person in terms of ability to perform activities of daily living should be taken into consideration to help determine if adaptive driving aids for the vehicle or other strategies may be needed. The Miscellaneous Musculoskeletal and Neurological Conditions Functional Ability Profile should be used to assess driving impairment.

Brain Injury:

Brain injury causes dysfunction of the central nervous system resulting from trauma or forces to the head significant enough to alter brain function. Cognitive changes after a brain injury can affect mood, memory, executive function, judgment, initiation, attention, and problem-solving. In addition, because self-awareness and judgment may be affected, a person may not be able recognize their impairments. Depending on the extent of the injury, other deficits may include altered gait, balance and sensation, as well as impaired muscle and joint function due to weakness, spasticity, and contracture. These persons may require ankle-foot orthoses or upper extremity orthotics to improve mobility and use of extremities. Factors that impact the ability to drive safely after a brain injury can be extensive, and a comprehensive driving evaluation by a driving rehabilitation specialist should be considered. Use the Stroke/Brain Injury Functional Ability Profile to assess impairment. Other medical impairments following brain injury may include but are not limited to seizures and visual disturbances. These may need evaluation separately using the additional Functional Ability Profile.

Cerebrovascular Accident (CVA or Stroke):

Stroke may have a complicated and variable presentation. Residual impairments may include altered strength, mobility, coordination, motor planning, sensation, spatial planning, body or environmental awareness, vision, communication, judgment, and cognition. Motor deficits or contractures may require upper or lower extremity personal assistive medical devices or adaptive driving aids for the vehicle.

Due to the possibility of multiple potential deficits, a comprehensive evaluation by a driving rehabilitation specialist may be indicated but is not required. Use the Brain Injury/Stroke Functional Ability Profile to assess impairment. Other medical impairments following a stroke may include but are not limited to seizures, aphasia and/or visual disturbances. These may need to be evaluated separately using the additional Functional Ability Profile. Please note that a transient ischemic attack (TIA) by definition has no residual deficit and is therefore not subject to the Stroke FAP.

Miscellaneous Musculoskeletal and Neurological Conditions

Neurologic and musculoskeletal conditions with the potential to impair a person’s ability to safely operate a motor vehicle are numerous, and therefore have not all been specifically listed. Even if these conditions have not been adequately identified in any of the other categories, they still should be evaluated. Examples of neuromuscular conditions which would be appropriately evaluated using the Miscellaneous Musculoskeletal and Neurological Conditions FAP include but are not limited to muscular dystrophy, cerebral palsy, amyotrophic lateral sclerosis, peripheral/other neuropathies, syringomyelia, non-stroke related aphasia, Tourette’s Syndrome, as well as any generalized deconditioning syndrome due to any etiology which reduces functional capacity to drive. These conditions may require personal assistive medical devices or adaptive driving aids for the vehicle, cause deficits in mobility, sensation, strength, coordination, reaction time, range of motion, and/or other abilities needed to safely operate a motor vehicle. Referral to a driving rehabilitation specialist, although not required, may be indicated in some cases. Also, persons who have an implanted spinal cord/dorsal column stimulator are advised to turn off the device prior to driving due to the potential for unexpected changes in stimulation with activity that could possibly be unsafe. When visual, cognitive, psychiatric or other conditions also exist, they should be evaluated separately using the appropriate profile.

If a clinician has concerns regarding an individual’s ability to operate a vehicle safely that are not captured in this FAP, a road test may be requested. Include documentation of all pertinent medical concerns and the rationale for requesting a road test.

Multiple Sclerosis (MS):

Multiple Sclerosis is a highly variable disorder. Some people may have few if any perceptible symptoms associated with the disorder, while others may be significantly impaired. MS may cause visual impairment, cognitive impairment, alterations in sensation, muscle weakness, incoordination, spasticity, or joint contracture. Upper and/or lower extremity orthotics may be required, or a person may require vehicle adaptations or be operating a vehicle from a mobility device (such as a wheelchair). These deficits may cause difficulties with manipulation of vehicle controls, and driver performance in complex driving environments. Comprehensive evaluation for adaptive driving aids and an evaluation by a driving rehabilitation specialist may be beneficial but is not required. The progressive nature of MS warrants periodic reassessment of driving risk using the MS Functional Ability Profile. Psychiatric, cognitive, or visual deficits should be evaluated separately using the appropriate Functional Ability Profile.

Parkinson’s or Parkinsonian Syndromes:

Parkinson’s Disease and Parkinsonism physical signs include tremor, bradykinesia, postural instability, and rigidity, along with complex cognitive issues such as dementia and mood disturbance. These deficits may cause slowed reaction times, difficulties with vehicle controls, and impaired performance in complex driving environments further complicated by medication efficacy. Evaluation by a driving rehabilitation specialist may be indicated. The progressive nature of the disorder warrants periodic reassessment using the Parkinson’s Functional Ability Profile. Psychiatric or cognitive issues should be evaluated separately using the appropriate Functional Ability Profile.

For the purpose of this FAP, Progressive Supranuclear Palsy, Multisystem Atrophy, Corticobasal Ganglionic Degenerations, Medication Induced Parkinsonism and Lewy Body Dementia are considered Parkinsonian Syndromes. The cognitive implications of Lewy Body Dementia should be reviewed using the Dementia FAP. Other movement disorders should be reviewed using the Miscellaneous Musculoskeletal and Neurological Conditions FAP.

Spinal Cord Injury (SCI):

SCI of the cervical, thoracic, or lumbosacral regions is the result of a medical condition, lesion or trauma to the neural elements within the spinal canal. This causes impairment of motor and sensory function to the upper or lower limbs and trunk which is variable and depends on the level of injury. Although common terms to describe spinal cord injury are paraplegia and tetraplegia (quadriplegia), The American Spinal Injury Association (ASIA) Impairment Scale more precisely grades the degree of impairment according to the spinal level of preserved motor and sensory function. Safe driving after SCI may be impaired due the altered ability to operate vehicle controls; so use of orthotics, adaptive driving aids for the vehicle, and an adapted motor vehicle for use with mobility device/wheelchair are often required. Comprehensive evaluation by a driving rehabilitation specialist should be considered. The Miscellaneous Musculoskeletal and Neurological Conditions Functional Ability Profile should be used to assess driving impairment.

FUNCTIONAL ABILITY PROFILE

Cerebrovascular Accident (CVA/Stroke) or Brain Injury¹

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No diagnosed condition

No history or stroke or brain injury.

N/A

Condition fully recovered

History of stroke or brain injury without residual physical, cognitive or vision deficits or impairments.

Does not require personal assistive medical devices² or adaptive driving aids for the vehicle as a result of the stroke or brain injury.

N/A

Active impairment

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe.)

History of stroke or brain injury with residual³ cognitive, physical or vision deficits. For TIA, see.⁴

Please document residual deficits on Driver Medical form.

a. Mild risk

Residual³ cognitive, physical or vision deficits, but unlikely risk to safely operating a motor vehicle and does not require personal assistive medical or devices² or adaptive driving aids for the vehicle; or

Clinician documents stable 3b condition that is unlikely to deteriorate, and driver has already passed a road test.

N/A

Clinician may request ROAD TEST if unsure^{5, 6}

b. Moderate risk

Residual³ cognitive, physical or vision deficits that could potentially impair ability to safely drive, and/or requires personal assistive medical devices² or adaptive driving aids for the vehicle.

4 years

ROAD TEST^{5, 6}

c. Severe risk

Residual³ cognitive, physical or vision deficits that are significant enough to impair ability to safely drive; or

Cognitive, physical or vision changes when stroke is suspected, and condition is being investigated.

No driving

¹ For further discussion regarding CEREBROVASCULAR ACCIDENT OR BRAIN INJURY, please refer to Preamble at the beginning of this section.

² Driver’s that are prescribed personal assistive medical devices for a chronic condition, such as but not limited to a wheelchair, prosthesis, orthosis, walker, or a cane when required for normal ambulation will be required to take a road test. If a cane is the only medical device needed, the clinician may recommend that the road test be waived.

³Stroke and brain injury may lead to other impairments that need to be evaluated using an additional FAP, such as seizures, visual deficits such as hemianopsia or diplopia. The most restrictive Profile will determine the driving privileges.

⁴Please note that a transient ischemic attack (TIA) by definition has no residual deficit and is therefore not subject to this FAP.

⁵ If a clinician has concerns regarding an individual’s ability to operate a vehicle safely that are not captured in this FAP, a road test may be requested. Include documentation of all pertinent medical concerns, and rationale for requesting road test.

⁶ Refer to the appendix for more information about BMV Road Tests and Comprehensive Occupational Therapy Driving Evaluations. On-road tests with a driving rehabilitation instructor, occupational therapist or a driver educator may be appropriate in some situations, but BMV does not normally require these evaluations and they are not a substitute for the BMV road test.

FUNCTIONAL ABILITY PROFILE

Miscellaneous Musculoskeletal and Neurological Disorders¹

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No diagnosed condition

No history of musculoskeletal or neurological condition(s)

N/A

Condition fully recovered

History of injury, deficiency, disorder, or other condition recovered, no longer requires treatment and maintains normal function; and does not require use of personal assistive medical devices² or adaptive driving aids for the vehicle.

N/A

Active impairment

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe.)

Chronic condition such as amputation or limitation of limb, arthritis, joint disorders, spinal cord injury, non-Parkinsonian movement disorders, or others which may affect neuromuscular function; and currently requires treatment or cause impairments, restrictions, or deficits.

For spinal cord/dorsal column stimulator see³.

If clinician has concerns that are not captured in this FAP, see footnote⁴

a. Mild risk

Chronic condition that does not pose risk for safe driving and does not require use of personal assistive medical devices² or adaptive driving aids for the vehicle; or

Clinician documents stable Profile Level 3b condition that is unlikely to deteriorate, and driver has already passed road test.

N/A⁴

b. Moderate risk

Chronic condition, which may impair ability to drive safely and/or requires use of personal assistive medical devices² or adaptive driving aids for the vehicle, such as hand/foot controls.

4 years⁵

ROAD TEST^{5, 6}

c. Severe risk

Chronic condition which causes impairments that interfere with the ability to operate safely.

No driving

¹ For further discussion regarding MISCELLANEOUS MUSCULOSKELETAL AND NEUROLOGICAL DISORDERS, please refer to Preamble at the beginning of this section.

² Driver’s that are prescribed personal assistive medical devices for a chronic condition, such as but not limited to a wheelchair, prosthesis, orthosis, walker, or a cane when required for normal ambulation will be required to take a road test. If a cane is the only medical device needed, the clinician may recommend that the road test be waived.

³ Persons who have an implanted spinal cord/dorsal column stimulator are advised to turn off the device prior to driving due to the potential for unexpected changes in stimulation with activity that could possibly be unsafe.

⁴If a clinician has concerns regarding an individual’s ability to operate a vehicle safely that are not captured in this FAP, a road test may be requested. Include documentation of all pertinent medical concerns, and rationale for requesting a road test.

⁵ Interval for review and road test may be more frequent if recommended by clinician.

⁶ Refer to the appendix for more information about BMV Road Tests and Comprehensive Occupational Therapy Driving Evaluations. On-road tests with a driving rehabilitation instructor, occupational therapist or a driver educator may be appropriate in some situations, but BMV does not normally require these evaluations and they are not a substitute for the BMV road test.

FUNCTIONAL ABILITY PROFILE

Multiple Sclerosis¹

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No diagnosed condition

No diagnosed multiple sclerosis

N/A

Condition fully recovered

There is no recovery from multiple sclerosis

N/A

Active impairment

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe.)

Multiple sclerosis may affect many domains of the nervous system including cognition, vision, motor skills, coordination etc. In addition, it may cause fatigue and/or psychiatric symptoms.²

a. Mild risk

Symptoms² well controlled, or condition is quiescent. No side effects from medications that could potentially impair driving. No personal assistive medical devices³ or adaptive driving aids for the vehicle; or

Clinician documents stable 3b condition that is unlikely to deteriorate, and driver has already passed a road test.

4 years⁴

b. Moderate risk

Symptoms² or medication side effects that may potentially impair safe driving and/or requires personal assistive medical devices³ or adaptive driving aids for the vehicle.

2 years

ROAD TEST^{3, 5}

c. Severe risk

Symptoms² or side effects of medication severe enough to impair safe driving.

No driving

¹ For further discussion regarding MULTIPLE SCLEROSIS, please refer to Preamble at the beginning of this section.

² Multiple Sclerosis is highly variable. Some people may have few if any perceptible symptoms associated with the disorder, while others may be significantly physically or cognitively impaired. Symptoms may fall under more than one FAP and all appropriate FAP’s should be used. For example, a driver may require vehicle modifications or have a significant visual field or acuity disturbance. The most restrictive FAP will determine driving privileges or restrictions.

³Driver’s that are prescribed personal assistive medical devices for a chronic condition, such as but not limited to a wheelchair, prosthesis, orthosis, walker, or a cane when required for normal ambulation, will be required to take a road test. If a cane is the only medical device needed, the clinician may recommend that the road test be waived.

⁴ Clinician may recommend a longer interval for review for those whose condition is quiescent or stable and well controlled, and without concerning side effects from medications.

⁵ Refer to the appendix for more information about BMV Road Tests and Comprehensive Occupational Therapy Driving Evaluations. On-road tests with a driving rehabilitation instructor, occupational therapist or a driver educator may be appropriate in some situations, but BMV does not normally require these evaluations and they are not a substitute for the BMV road test.

FUNCTIONAL ABILITY PROFILE

Parkinson’s and Parkinsonian Syndromes¹

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No diagnosed condition

No diagnosed Parkinson’s²

N/A

Condition fully recovered

Parkinson’s Disease and/or Parkinsonian Syndromes² are lifelong conditions and there is no recovery.

Drug induced Parkinsonism may be considered recovered when symptoms resolve after the causative medication is stopped.

N/A

Active impairment

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe.)

Parkinson’s Disease and/or Parkinsonian Syndromes² may cause tremor, autonomic instability, rigidity, bradykinesia and/or dyskinesia, cognitive or psychiatric symptoms.^3,

a. Mild risk

Mild physical symptoms that do not pose risk for safe operation of a vehicle. No cognitive or psychiatric symptoms.³ Medications do not cause impairment. Does not require personal assistive medical devices⁵ or adaptive driving aids for the vehicle.

2 years^{4, 5}

b. Moderate risk

Physical symptoms and/or side effects of medication may potentially interfere with the safe operation of a motor vehicle. May have early cognitive or psychiatric symptoms;³ and/or require personal assistive medical devices⁵ or adaptive driving aids for the vehicle.

1 year

ROAD TEST^{5, 6}

c. Severe risk

Physical symptoms or side effects of medications are incompatible with safe operation of a motor vehicle. For cognitive or psychiatric symptoms, see³.

No driving

¹ For further discussion regarding PARKINSON’S OR PARKINSONIAN SYNDROMES, please refer to Preamble at the beginning of this section.

² For the purpose of this FAP, Lewy Body Dementia, Multisystem Atrophy, Corticobasal Ganglionic Degenerations, medication induced Parkinsonism, Vascular Parkinsonism, and Progressive Supranuclear Palsy are considered Parkinsonian Syndromes.

³ Cognitive or Psychiatric symptoms should be evaluated using the Dementia or Mental Health Conditions FAP.

⁴When Parkinsonian Syndrome is caused by medications and patient is stable, the clinician may recommend extending the review interval up to 4 years.

⁵ Driver’s that are prescribed personal assistive medical devices for a chronic condition, such as but not limited to a wheelchair, prosthesis, orthosis, walker, or a cane when required for normal ambulation will be required to take a road test. If a cane is the only medical device needed, the clinician may recommend that the road test be waived.

⁶ Refer to the appendix for more information about BMV Road Tests and Comprehensive Occupational Therapy Driving Evaluations. On-road tests with a driving rehabilitation instructor, occupational therapist or a driver educator may be appropriate in some situations, but BMV does not normally require these evaluations and they are not a substitute for the BMV road test.

NARCOLEPSY OR IDEOPATHIC HYPERSOMNIA PREAMBLE

Narcolepsy is a chronic condition of the central nervous system characterized by the brain’s inability to control sleep-wake cycles. The prevalence is not clear but estimated at approximately 0.1% of the US population.^A Many researchers believe the condition remains undiagnosed or underdiagnosed in many affected individuals. At various times throughout the day, people with narcolepsy can experience excessive daytime sleepiness: the onset of sleep is usually heralded by awareness of sleepiness which usually becomes more predictable over time and with experience. In addition to daytime sleepiness, other symptoms can include cataplexy which is the sudden loss of voluntary muscle tone triggered by strong emotions, sleep paralysis, sleep hallucinations, and disturbed night sleep. Symptoms commonly begin in the teen years but may occur later in life as well.

The diagnosis of narcolepsy should be made by a physician (generally a sleep specialist, neurologist or pulmonologist). When possible, these patients are frequently followed by these same specialists or their associated nurse practitioners and physician assistants.

Narcolepsy is a lifetime condition that requires ongoing monitoring and assessment, as response to medications may wane over time, or cataplexy may develop years after other symptoms. Given that daytime sleepiness can be profound, careful monitoring for increasing levels of sleepiness and emergence of cataplexy are essential. An overnight polysomnogram with multiple sleep latency test (MSLT)ⁱ is recommended for diagnosis. Practice parameters recommend regular follow up to determine adherence and response to treatment; a patient stabilized on medications should be seen regularly; at least once per year, and ideally twice yearly.^B Follow up MSLTⁱ or MWTⁱⁱ are not routinely performed, but may be used to assess an individual’s ability to remain awake (or propensity to fall asleep) if sleepiness poses a risk for public or personal safety.^C

There are significant implications for driving safety given the core symptoms of this condition but there is a paucity of data regarding narcolepsy and driving safety. People with untreated symptoms of narcolepsy have three to four-fold risk of crashes compared to the general population (self-reported data).^{D, E, F} The few studies that examined crash risk and narcolepsy were performed in untreated individuals and utilized driving simulators: the applicability to real world driving is not known.^G Narcolepsy is a treatable condition, and both behavioral interventions and medications are used. Medications used to treat sleepiness include but are not limited to stimulants (amphetamine/ methylphenidate), wake promoting (modafinil, armodfinil, pitolisant) and sodium oxybate (Xyrem/Xyway). Cataplexy is treated with medications such as Serotonin and Norepinephrine Reuptake Inhibitor/Selective Serotonin Reuptake Inhibitor medications (SNRI/SSRI’s), tricyclic antidepressant medications, pitolisant, and/or sodium oxybate.

Narcolepsy with cataplexy may create increased risk for unsafe driving. Given the risk for crashes if symptoms are not effectively treated, clinician documentation should include additional information regarding current symptoms that may impact safe operation of a motor vehicle. Specifically, documentation should include the presence or absence and severity of cataplexy, cataplexy triggers, degree of residual daytime sleepiness, and adherence to medications and behavioral strategies.

Idiopathic hypersomnia is a sleep condition characterized by chronic excessive sleepiness. Patients struggle to maintain wakefulness during the day, with sleep occurring at inappropriate times and interfering with daily activities. The diagnosis of idiopathic hypersomnia requires an overnight polysomnography to rule out other possible etiologies such as obstructive sleep apnea. This may be followed by a multiple sleep latency test demonstrating a shortened sleep latency (< 8 minutes) and < 2 sleep-onset REM periods which will help to differentiate from a narcolepsy diagnosis.^H Medications including stimulants and wake promoting medications are often used to manage daytime sleepiness.^I

Footnotes:

ⁱMultiple Sleep Latency Test: performed in Sleep Centers. Objective determination of an individual’s underlying sleepiness by measuring latency to sleep in 5 trials of 20 minutes each after documentation of adequate sleep the night prior to testing. Pathologic sleepiness is defined as a mean sleep latency of less than 8 minutes. May be used to assess efficacy of treatment.^J

ⁱⁱMaintenance of Wakefulness Test: performed in Sleep Centers. Objective assessment of ability to stay awake while passive and sedentary in a non-stimulating environment. The strongest evidence for an individual’s ability to maintain wakefulness is provided by a capacity to remain awake through 4 trials of 40 minutes each. AASM standards state that MWT testing is indicated when assessing individuals whose inability to remain alert constitutes a safety hazard and in patients with Narcolepsy. May be used to assess efficacy of treatment.^K

FUNCTIONAL ABILITY PROFILE

Narcolepsy or Idiopathic Hypersomnia¹

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No diagnosed condition

No diagnosed narcolepsy or idiopathic hypersomnia.

N/A

Condition fully recovered

Narcolepsy is a chronic lifelong condition.

Do not use this profile level for narcolepsy.

Active impairment

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe.)

This diagnosis must be made by a physician, (preferably a sleep specialist, neurologist or pulmonologist), or nurse practitioners and physicians assistants with specialized training in narcolepsy.

This FAP applies to patients who have a confirmed diagnosis of narcolepsy or idiopathic hypersomnia. (For exception, see profile level 3c.)

Clinician assessment recommended at least annually.

Clinician should assess risk, evaluating the presence/absence of cataplexy (type of symptoms and frequency), cataplexy triggers, effectiveness of treatment, and adherence to treatment.

a. Mild risk

No recent crashes or near misses due to sleepiness or cataplexy, and

Mild subjective sleepiness (Epworth Sleepiness Scale² of 12 or less), and

Consistent use of medications and behavioral strategies, and

No cataplexy, or predictable mild cataplexy that does not cause risk for driving and is controlled with behavioral strategies and medication.

2 year

b. Moderate risk

No recent crashes or near misses due to sleepiness, and

Moderate subjective sleepiness (ESS² 13-15), and

Consistent use of medications and behavioral strategies for sleepiness, and avoidance of driving if sleepy, and

No cataplexy or predictable mild cataplexy that does not cause risk for driving and is controlled with behavioral strategies and medication.

1 year

c. Severe risk

Recent crash or near miss due to sleepiness or cataplexy; or

Uncontrolled narcolepsy; or

Inconsistent use of medications or no effective medication yet found; or

Severe subjective sleepiness (ESS² 16 or higher); or

Unpredictable cataplexy or cataplexy that poses risk for driving; or

Suspected narcolepsy under investigation with concern for safety.

No driving

¹ For further discussion regarding NARCOLEPSY OR IDEOPATHIC HYPERSOMNIA, please refer to PREAMBLE at the beginning of this section.

² The Epworth Sleepiness Scale is a widely used measure of subjective daytime sleepiness. It is a validated sleep questionnaire containing eight items that ask for self-reported disclosure of expectation of “dozing” in a variety of situations. Dozing probability ratings are none (0), slight (1), moderate (2), or high (3) in eight hypothetical situations. A scale of 0-10 is normal, 11-12 is mild, 13-15 is moderate, and 16-24 is severe excessive daytime sleepiness. https://epworthsleepinessscale.com/about-the-ess/.

OTHER MEDICAL PREAMBLE

The Medical Advisory Board recognizes that not all patients fit into one of the diagnostic categories outlined in the Functional Ability Profile (FAP) rules. The category of Medical-Other has been created to encompass drivers with conditions not included in other specified FAP categories, especially when there are multiple medical or fluctuating medical problems that may negatively impact ability to drive safely. Examples may include recurring hepatic encephalopathy, symptoms associated with renal failure and dialysis, brain cancer, or others.

The evaluating clinician should use this profile only when one of the other listed categories does not adequately capture the clinician’s concerns and when there are specific concerns for unsafe operation of a motor vehicle. The clinician should include a narrative description of the medical concerns and their impact on driving when submitting a Driver Medical Evaluation (CR-24 form).

This FAP excludes conditions addressed in other FAP’s. Please note that generalized deconditioning can be addressed using the Miscellaneous Musculoskeletal and/or Neurological Conditions FAP. Concerns related to polypharmacy may be addressed using the FAP for Prescription Medications and/or Opioid Replacement Therapy.

FUNCTIONAL ABILITY PROFILE

Other Medical¹

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No diagnosed condition

No known disorder

N/A

Condition fully recovered

Condition is recovered with no on-going risk for unsafe driving.

N/A

Active impairment

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe.)

A condition or combination of conditions that poses risk for unsafe driving but is not included in any other specified FAP category.

Requires diagnosis and description of concerns

a. Mild risk

Condition warrants review for impact on driving.

A medical concern with fluctuating symptoms that could impair driving; or

Multiple medical problems that together may impair ability to drive safely; or

A condition that could impair driving but is not included in any other specified FAP category.

2 years or as recommended by clinician

b. Moderate risk

Condition may require more frequent medical review, or may require use of personal assistive medical devices,² adaptive driving aids for the vehicle, driving restrictions or a road test;³and/or

A medical condition with fluctuating symptoms; or multiple medical problems; or a condition not listed in any other FAP category; and condition could impair driving.

1 year or as recommended by clinician

Road test³ may be recommended by clinician.

c. Severe risk

A medical condition not included in any other specified FAP category that presently impairs skills needed for safe driving. This may be due to severity of the condition; because the condition is not controlled; due to treatment side effects or because condition requires further evaluation to determine safety to drive.

No driving

Specific impairment must be described.

No driving will be allowed until a new Driver Medical Evaluation form is completed, detailing resolution of condition.

¹ For further discussion regarding OTHER MEDICAL, please refer to Preamble at the beginning of this section.

²Personal assistive medical devices include but are not limited to a wheelchair, prosthesis, orthosis, walker, or a cane when required for normal ambulation.

³ Refer to the appendix for more information about BMV Road Tests and/or a Comprehensive Occupational Therapy Driving Evaluation. On-road tests with a driving rehabilitation instructor, occupational therapist or a driver educator may be appropriate in some situations, but BMV does not normally require these evaluations and they are not a substitute for a BMV road test.

PRESCRIPTION MEDICATIONS &/or OPIOID REPLACEMENT THERAPY PREAMBLE

Prescription medications, even when taken as prescribed, have the potential for side effects, ¹ dependence, or interactions which may alter the ability to drive, or exacerbate a decline in function related to an underlying medical condition. It is important for clinicians to know that a driver who is impaired due to prescribed medication or medical marijuana can also be charged with OUI.

Clinicians are responsible to assess their patients for potential risks and advise them whether to drive or not based on their medications and medical conditions. With this in mind, the clinician’s role is to recognize high-risk individuals from a medical perspective and assess their physical and mental fitness to drive safely.

Normally, BMV does not require reporting when prescribed medications are used as ordered. However, in cases where proper use of prescription medications has resulted in driver impairment, leading to OUI, crashes, reports of unsafe driving, or when a clinician is concerned that a patient may be non-compliant with driving recommendations, use of the Prescription Medications and/or Opioid Replacement FAP is appropriate.

This FAP may be used when there is a specific concern for driving with a person on prescription medications, including prescribed opioid medications for replacement therapy or pain management, or any other medications that may potentially impair driving. Medications of particular concern for driving include the tricyclic antidepressants, sedative hypnotics, some antipsychotics, and benzodiazepines. Concern is even greater when patients are prescribed more than two medications or are concurrently prescribed opioids, using medical marijuana, or are misusing drugs or alcohol. Methadone and benzodiazepines are a particularly troubling combination for risk of sedation. Data on buprenorphine and driving indicate that once established on a dose and in stable recovery, most people can safely drive. This must be assessed on an individual basis.^A Medical Marijuana, although not a prescription medication, is included here due to its’ potential to produce side effects that could impair driving.

Statistically, once a patient is on an established dose of methadone, the risk for sedation or at-risk driving is minimal (barring any other polysubstance abuse or polypharmacy).^B However, on an individual basis, in the period of time immediately following an opioid replacement dose, there may be an increased risk for sedation to the point that the patient should be counseled not to drive. This is particularly pertinent in the case of methadone, since patients may have to drive to receive a dose at a methadone clinic and then drive home and is especially worrisome if the patient is also on a benzodiazepine.

¹ Physical dependence occurs when a person develops a physiologic tolerance to a substance or substances. Physical dependence on a prescribed medication when taken as ordered does not create concern for driving in and of itself. Be aware that many patients who exhibit “drug-seeking” behaviors are likely exhibiting physical dependence (which may be iatrogenic from legitimate treatment by the medical provider).

FUNCTIONAL ABILITY PROFILE

Prescription Medications and/or Opioid Replacement Therapy¹

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No known disorder

No known history of unsafe driving due to prescribed medications.

N/A

Condition fully recovered

No longer on opiate replacement therapy, with no relapses and no evidence of prescription abuse for at least 2 years;² or

No longer prescribed the medication(s) that caused impairment or no on-going side effects that could impair driving x 1 year.²

N/A

Active impairment³

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe.)

On prescription medication,³ or

On opioid replacement therapy, (e.g., suboxone or methadone or similar prescription), when there is a specific concern for driving; and

a. Mild risk

Stable and functioning well with no other Substance Use Disorder issues² and no sedation or unsafe side effects. No impairment of motor, judgment or intellectual functions from prescription medications; or

Off prescription medications but not long enough to meet criteria for Profile Level 2.²

2 years

b. Moderate risk

Experiences sedating or other side effects from medication, but with judgment to avoid driving while having these side effects, and no other Substance Use Disorder issues.² NOTE: If there is a history of poor judgment about driving under these circumstances, leading to OUI, crashes, or reports of unsafe driving, must demonstrate they have the judgment to avoid driving while having these side effects or have been off medication for at least 3 months AND passed a ROAD TEST, to resume driving.

1 year

ROAD TEST

c. Severe risk

i. Experiences sedation or side effects from medication², with poor judgment about driving under these circumstances, leading to OUI, crashes or reports of unsafe driving and has not yet met criteria for Profile Level 3.b; or

No driving

ii. Has problems with substances of abuse that increase the risk for dangerous driving in combination with prescription medications.²

Comply with appropriate profile level on Substance Use Disorder FAP

¹ For further discussion regarding PRESCRIPTION MEDICATIONS AND/OR OPIOID REPLACEMENT THERAPY, please refer to Preamble at the beginning of this section.

² Comply with “Substance Use Disorders” FAP when patient misuses prescription medications or non-prescribed drugs.

³ Normally, prescribed medications used as ordered do not need to be reported to BMV. Clinicians are responsible to assess their patients for potential risk and advise them whether to drive or not based on their medications and medical conditions. However, in cases where proper use of prescription medications has resulted in driver impairment, such as OUI, crashes, reports of unsafe driving, or when a clinician is concerned that a patient may be non-compliant with driving recommendations, use of this FAP is appropriate.

SEIZURES AND EPILEPSY PREAMBLE

A seizure is a disruption in the normal electrical activity in the brain resulting in temporary cerebral dysfunction. Epilepsy is defined as a disorder in which a person has had two or more unprovoked seizures. Epilepsy excludes people with provoked (otherwise known as symptomatic) seizures such as from eclampsia, central nervous system infection, secondary to an adverse drug reaction, acute stroke, metabolic derangement, or alcohol withdrawal. Seizures and epilepsy shall be evaluated using this FAP. The disorders causing provoked seizures as well as many other physiological processes may cause an alteration in consciousness sufficient to preclude the safe operation of a motor vehicle. These shall abide by the FAP in the appropriate section if known, or that entitled, “Unexplained Alteration or Loss of Consciousness”.

Guidelines For Special Circumstances:

1. First ever unprovoked seizures, will be no driving for 6 months off medication or no driving until a minimum of 3 months seizure free on medication. Then follow the rules for epilepsy.

2. If a person has a provoked seizure that is that is very unlikely to recur such as a seizure caused by a medication that is subsequently stopped, then driving may resume when the treating clinician feels it is reasonable. If the likelihood of recurrence of a provoked seizure is not known , e.g., a head injury or brain infection, no driving is allowed until seizure free for at least 6 months. If the reason for the seizure is captured in a different FAP, such as substance use disorder, a profile level for the other FAP should also be submitted and the more restrictive FAP will determine driving restrictions.

3. Seizures occurring in the setting of medically supervised medication changes are profile level 3c and are not to drive until the treating clinician believes the person is medically stable. Generally, at least one month on a new medication regimen. When stable, they may be changed to profile level 3a. When medication is tapered with the intention to stop anti-seizure medications, they should be profile level 3c and no driving allowed while tapering and for 3 months after the medication has been stopped. The person will then be considered profile 3a until profile 2 is appropriate.

4. If there is a pattern of at least one year of nocturnal only seizures then driving is permitted and the person shall be considered profile 3a. This diagnosis should be made by a neurologist or other appropriately qualified clinician.

5. If there is an established pattern (6 months or longer) of only simple partial seizures, without any alteration of consciousness and they do not affect the abilities needed to operate a motor vehicle, then driving is permitted and the person shall be considered profile 3a. Example: Arm parasthesias without weakness or alteration of consciousness after brain tumor resection. This diagnosis should be made by a neurologist or other appropriately qualified clinician.

6. Suspected psychogenic non-epileptic seizures (PNES) should be evaluated using this FAP. However, once a diagnosis of PNES is confirmed, the mental Health Conditions FAP should be used.

7. Seizures caused by Electroconvulsive Therapy are excluded from this FAP.

FUNCTIONAL ABILITY PROFILE

Epilepsy and UNPROVOKED Seizures¹

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No diagnosed condition

No history of seizures.

N/A

Condition fully recovered

History of epilepsy: 2 years seizure free, off medications (e.g., after resolution of a childhood epilepsy syndrome or successful tapering off seizure medications when a person has been free of seizures for an extended period of time).

N/A

Active impairment

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe.)

Epilepsy or UNPROVOKED seizure

For special circumstances such as first ever unprovoked seizure, medication changes, nocturnal or partial seizures only and psychogenic non-epileptic seizures (PNES), refer to “Guidelines” in the Preamble.

See separate FAP for provoked (symptomatic) seizures.

a. Mild risk (seizures controlled)

History of epilepsy: On or off medication. Seizure free 3 months or more; or

First ever unprovoked seizure, at least 3 months or more seizure free on medication; or

First ever unprovoked seizure, at least 6 months or more seizure free off medication; or

Seizures in context of medication changes, see footnote²: or

A pattern of nocturnal only seizures for at least 1 year, see footnote³; or

Established pattern of ONLY simple partial seizures for at least 6 months, without effect on abilities needed to drive safely, see footnote⁴; or

Suspected psychogenic non-epileptic seizures, seizure free at least 3 months or more, see footnote⁵.

2 years

b. Moderate risk

N/A

N/A

c. Severe risk (seizures uncontrolled)

Seizure within previous 3 months, refractory epilepsy or medication non-adherence; or

First ever unprovoked seizure less than 3 months seizure free on medication; or

First ever unprovoked seizure, less than 6 months seizure free off medication; or

Seizures in context of medication changes, see footnote²; or

Suspected psychogenic non-epileptic seizures, seizure free less than 3 months, see footnote⁵.

No driving

¹ For further discussion regarding SEIZURES AND EPILEPSY, please refer to Preamble at the beginning of this section.

² Seizures occurring in the setting of medically supervised medication changes are profile level 3c and are not allowed to drive until the treating clinician believes the person is medically stable. Generally, at least one month on a new medication regimen. When stable, they may be changed to profile level 3a. When medication is tapered with the intention to stop anti-seizure medications, this will be profile level 3c and no driving is allowed while tapering and for 3 months after the medication has been stopped. The person will then be considered profile 3a until profile 2 is appropriate.

³ If there is a pattern of at least one year of nocturnal only seizures then driving is permitted and the person shall be considered profile 3a. This diagnosis should be made by a neurologist or other appropriately qualified clinician.

⁴ If there is an established pattern (6 months or longer) of only simple partial seizures, without any alteration of consciousness and they do not affect abilities needed to operate a motor vehicle, then driving is permitted and the person shall be considered profile 3a. Example: Arm parasthesias without weakness or alteration of consciousness after brain tumor resection. This diagnosis should be made by a neurologist or other appropriately qualified clinician.

⁵ Suspected psychogenic non-epileptic seizures (PNES) should be evaluated using this FAP. However, once a diagnosis of PNES is confirmed, the mental health conditions FAP should be used.

FUNCTIONAL ABILITY PROFILE

Symptomatic or PROVOKED Seizures¹

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No diagnosed condition

No history of seizures

N/A

Condition fully recovered

Seizure provoked by known cause, very unlikely to recur (e.g., resolution of a subdural hematoma or resection of a meningioma that had caused seizures). Refer to “Guidelines” in the Preamble.

N/A

Active impairment

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe.)

PROVOKED (symptomatic) seizures

For special circumstances such as the reason for the seizure is captured in a separate FAP, seizures in the context of medication changes, and psychogenic non-epileptic seizures (PNES), refer to “Guidelines” in the Preamble.

See separate FAP for UNPROVOKED seizures.

a. Mild risk (seizures controlled)

Provoked seizure unlikely to recur (e.g., caused by a medication that is subsequently stopped) and clinician feels it is reasonable to allow driving; or

Provoked seizures, likelihood of recurrence unknown (e.g., following head injury or brain infection), more than 6 months ago and clinician feels it is reasonable to resume driving; or

Seizures in context of medication changes, see footnote²; or

Seizures caused by substance use or withdrawal, more than 6 months ago and meets all criteria to resume driving, see footnote^3,4; or

Suspected psychogenic non-epileptic seizure, more than 3 months ago⁴ and clinician feels it is reasonable to allow driving, see footnote.⁵

2 years

b. Moderate risk

N/A

N/A

c. Severe risk (seizures uncontrolled)

Provoked seizure unlikely to recur but clinician has not yet cleared to resume driving; or

Provoked seizures, likelihood of recurrence unknown, less than 6 months ago; or

Seizures in context of medication changes, see footnote²; or

Seizure caused by substance use or withdrawal within previous 6 months, see footnotes^{3, 4}; or

Suspected psychogenic non-epileptic seizure within past 3 months, see footnote⁵.

No driving

¹ For further discussion regarding SEIZURES AND EPILEPSY, please refer to Preamble at the beginning of this section.

² Seizures occurring in the setting of medically supervised medication changes are profile level 3c and are not allowed to drive until the treating clinician believes the person is medically stable. Generally, at least one month on a new medication regimen. When stable, they may be changed to profile level 3a. When medication is tapered with the intention to stop anti-seizure medications , this will be profile level 3c and no driving is allowed while tapering and for 3 months after the medication has been stopped. The person will then be considered profile 3a until profile 2 is appropriate.

³ If the reason for the seizure is captured in a different FAP, such as substance use disorder, a profile level for the other FAP should also be submitted and the more restrictive FAP will determine driving restrictions.

⁴ When seizure is due to substance use or withdrawal, refer to Substance Use Disorder FAP criteria for abstinence and/or compliance with treatment/recovery.

⁵ Suspected psychogenic non-epileptic seizures (PNES) should be evaluated using this FAP. However, once a diagnosis of PNES is confirmed, the mental health conditions FAP should be used.

SLEEP APNEA SYNDROME PREAMBLE

Driver sleepiness^A is a major cause of motor vehicle crashes. Most crashes due to drowsy driving likely occur in healthy but sleep deprived individuals, but drivers with sleep apnea are at increased risk for motor vehicle accidents.

OSA (and possibly central sleep apnea) can cause impairment in daytime performance. It is associated with increased risk of motor vehicle crashes, with estimates ranging from 2% to 7% in those with sleep apnea compared to those without.^{B, C} The condition is common (2-8% in older literature, with more recent estimates suggesting that 25% of adult men in the US are affected), and the frequency of occurrence increases with age, BMI (body mass index) and comorbid conditions such as diabetes.

People with sleep apnea may have delayed reaction times and inattentiveness in addition to frank sleepiness. Some are unaware of their sleepiness and cognitive impairment. It is important to recognize that excessive daytime sleepiness and crash risk may not correlate with the severity of the sleep apnea. A recent study demonstrated that increased risk of motor vehicle crashes is present in those with mild OSA as well as those with severe disease.^D The diagnosis of OSA is made through polysomnography (PSG), and/or Home Sleep Studies (HSAT).

Treatment of sleep apnea generally improves daytime sleepiness. Use of continuous or bi-level positive airway pressure (CPAP or BPAP) is a highly effective treatment with studies suggesting that daytime symptoms improve within two weeks of positive airway pressure (PAP) treatment.^{E, F} It is the only treatment modality demonstrated to reduce crash risk.^G

Other treatment options for sleep apnea potentially may include weight loss through lifestyle modifications and/or bariatric surgery for severe obesity, use of oral mandibular advancement devices, positional therapy (if non-supine AHI equal to or less than 15), upper airway (hypoglossal nerve) stimulation therapy, upper airway surgery and craniofacial surgery,^H and craniofacial surgery. Hypoglossal nerve stimulators have been approved by the FDA for treatment of sleep apnea.^I Assessment of treatment efficacy (AHI equal to or less than 15) with sleep testing is recommended.

It is difficult for clinicians to assess sleepiness (and possible impairment while driving) in a patient with sleep apnea. Sleepiness cannot be measured easily by objective testing. Maintenance of Wakefulness Tests (MWT)^J and Multiple Sleep Latency Tests (MSLT)^J are the objective measures of daytime sleepiness. They are not routinely used to assess daytime sleepiness in drivers, however, may be used at the clinician’s discretion when subjective measures suggest excessive sleepiness despite treatment. The clinician uses subjective reports as well as objective data from CPAP downloads to assess adherence to treatment and level of daytime sleepiness.

The Epworth Sleepiness Scale (ESS) is a widely used measure of subjective daytime sleepiness. It is a validated sleep questionnaire containing eight items that ask for self-reported disclosure of expectation of “dozing” in a variety of situations. Dozing probability ratings are none (0), slight (1), moderate (2), or high (3) in eight hypothetical situations. A score of 0 to 10 is normal, 11-12 is mild, 13-15 is moderate, and 16 or greater is severe daytime sleepiness.^K

The diagnosis of sleep apnea should only be made by a physician or nurse practitioner or physician’s assistant with specialized training in Sleep Medicine. Those with sleep apnea are frequently followed by a sleep specialist, neurologist, or a pulmonologist. In some cases, a dentist with specialized education and certification, may collaborate with the sleep specialist to provide oral appliance therapy.

Patients on PAP therapy should have data downloaded from their device to measure adherence with therapy. Medicare guidelines^L are the standard for adherence to treatment and require an average of 4 hours PAP use per night 70% of the time.

The clinician must educate patients that driving safety is ultimately the individual’s responsibility. Insufficient sleep time, medications, shift work and illness may affect one’s ability to drive safely despite consistent use of PAP therapy.

FUNCTIONAL ABILITY PROFILE

Sleep Apnea Syndrome¹

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No diagnosed condition

No diagnosis of sleep apnea

N/A

Condition fully recovered

Recovered after treatment such as independent weight loss, bariatric surgery, or ENT surgery that has been confirmed with a Polysomnography or Home Sleep Apnea Test (HSAT) demonstrating an AHI² less than 5 events/hour.

N/A

Active impairment

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe.)

See footnote regarding PAP therapy.³ This diagnosis should be made only after a sleep study. Neurology, pulmonary or sleep medicine specialists are often the clinicians to provide follow-up.

a. Mild risk

No report of accident or near miss of concern; and

AHI² 5-15 on diagnostic PSG or HSAT and not sleepy, ESS (Epworth Sleepiness Scale)⁴ 12 or less and not on treatment; or,

Treatments such as upper airway stimulation therapy, surgery, positional therapy, or oral appliance⁵. Polysomnogram or HSAT demonstrates an AHI² on treatment of equal to or less than 15. ESS⁴ score 12 or less; or,

PAP download demonstrates adherence to treatment.^3,6,7 AHI² equal to or less than 15 on download. ESS⁴ 12 or less.

3 years

b. Moderate risk

No report of accidents or near miss of concern; and

PAP download demonstrates adherence to treatment.^{3, 6, 7} AHI² may be greater than 15 on download (could include central sleep apnea). ESS⁴ 13-15.

1 year

c. Severe risk

History of falling asleep while driving or near miss, or strong suspicion of sleep apnea with concern for unsafe driving; and/or

Non-responsive⁷ or non-adherent⁸to therapy.

No driving

¹ For further discussion regarding SLEEP APNEA SYNDROME, please refer to Preamble at the beginning of this section.

² AHI: apnea/hypopnea index: number of obstructive events per hour of sleep.

³ Treatment with positive airway pressure therapy. PAP devices include but are not limited to, CPAP (continuous positive airway pressure), BiPAP (bi-level positive airway pressure), and ASV (adaptive servo-ventilation).

⁴The Epworth Sleepiness Scale is a widely used measure of subjective daytime sleepiness. A score of 10 or less out of 24 is considered normal. A score greater than 10 suggests a degree of excessive sleepiness.^K

⁵ For those with an oral appliance, positional therapy, upper airway stimulation therapy or surgery, repeat PSG or HSAT must be done with treatment in place.

⁶ Adherence to or compliance with PAP treatment derived from Medicare guidelines: use of PAP an average of four or more hours per night at least 70% of the time.

⁷ Other or new treatments may be considered on an individual basis if effective in treating AHI and excessive somnolence, when recommended by the clinician and upon review of the Medical Advisory Board. Assessment by a sleep specialist may be required.

⁸For drivers who have not been compliant with PAP therapy but are willing to seek effective treatment, the clinician may write a letter to request that driving be allowed during workup if there are no specific concerns for unsafe driving. Normally, this should be done before completing the Driver Medical Evaluation form. The letter must contain a recent ESS score, the request to allow driving, the plan for treatment and the estimated time frame. Clinician may call BMV Medical Section with any questions or concerns, at 207-624-9000, Ext. 52124.

SUBSTANCE USE DISORDER PREAMBLE

Driving under the influence of marijuana, opioids and alcohol can have profound effects on driving. Almost 1 in 3 fatal motor vehicle accidents in Maine involved alcohol.^A Use of illicit drugs or misuse of prescription drugs can make driving a car unsafe, just like driving after drinking alcohol. It's hard to measure how many crashes are caused by drugged driving, but estimates show that 43 percent of drivers tested in fatal car crashes were found positive for drugs and over half of those drivers were positive for two or more drugs. ^{B, C}

Many substances affect driving. ^C According to the National Academy of Sciences and the National Institutes of Health, there is evidence of an association between cannabis use and increased risk of motor vehicle crash. ^D Marijuanaaffects psychomotor skills and cognitive functions critical to driving including vigilance, drowsiness, time and distance perception, reaction time, divided attention, lane tracking, coordination, and balance. Opioids can cause drowsiness and can impair cognitive function. Alcohol can reduce coordination, concentration, ability to track moving objects and reduce response to emergency driving situations as well as difficulty steering and maintaining lane position. It can also cause drowsiness. The use of more than one drug or drugs combined with alcohol increase the effects on driver performance. The yearly prevalence of fatally injured drivers who tested positive for drugs increased significantly from 2007 to 2017. These findings highlight that drugged driving remains a public health priority .^E

Clinicians are responsible to assess their patients for potential risks and advise them whether to drive or not based on their medications and medical conditions. Being alert to other medical or social history information that points to drug or alcohol abuse, such as gastrointestinal symptoms, falls or injuries, muscle or neurologic symptoms, infections, and social or work problems is part of that process. With this in mind, the clinician’s role is to recognize high-risk individuals from a medical perspective and assess their physical and mental fitness to drive safely. Compliance with treatment and recovery is also a critical factor in determining whether a patient is stable and fit to return to safe driving. In addition, criteria for defining use versus abuse may be different in a community setting compared to use when in a treatment/recovery program where abstinence is a criterion. For specific details regarding abstinence and driving, refer to the FAP Table.

A diagnosis of Substance Use Disorder^Fcan involve substance misuse or dependence and is diagnosed when a patient continues to use a substance or combination of substances at the expense of significant medical, social or legal consequences. Please note that the descriptions of “Mild, “Moderate” or “Severe” in the Substance Use Disorder FAP Table, do NOT correspond to the similarly named categories in the DSM.

In order to evaluate a patient for substance use-related fitness to drive safely, the clinician must take into account many factors. These include the substance/substances being used (e.g. alcohol, benzodiazepines, opiates/opioids, sedative-hypnotics, marijuana/cannabis, stimulants, heroin, cocaine, methamphetamine, and/or other street drugs), interactions between substances, including interactions with prescribed medications, the patient’s insight into his/her misuse behaviors, his/her judgment about driving when intoxicated or impaired, the risk for polysubstance use and abuse, and the patient’s ability or motivation to comply or participate in rehabilitation and recovery. In the context of alcohol or drug use this can be particularly challenging given the intermittent and/or relapsing nature of Substance Use Disorders.

Other medical risks or side effects related to Substance Use Disorder also need to be taken into account. For example, a person may have difficulty driving safely during periods of withdrawal from substances, especially alcohol and benzodiazepines where delirium and seizures are a risk. Withdrawal from opiates/opioids or heavy marijuana use can cause physical symptoms that would impair muscle control, concentration and attention. Chronic heavy alcohol use ^G also puts a person at increasing risk for cognitive impairment and neuromuscular decline, both of which mean potentially unsafe motor vehicle operation. Please note that a driver who suffers a convulsive seizure caused by abuse of or withdrawal from street drugs, prescription medications or alcohol is unfit to drive for a minimum of 6 months per NHTSA Driver Fitness Medical Guidelines. ^H Clinicians also need to be aware of the risks to public safety from drivers that combine substances of abuse, and/or mix them with legitimately prescribed medications. Among the most significant substance mixtures are alcohol in combination with either marijuana or a stimulant such as cocaine; marijuana used along with either a stimulant, benzodiazepine or an opioid; and benzodiazepines combined with opioid. Methadone and benzodiazepines are an especially worrisome combination due to a greatly increased risk of sedation.

Currently, the legal environment surrounding marijuana/cannabis has seen several changes. Clinicians need to be aware of related safety risks. NHTSA’s Fatality Analysis Reporting System (FARS) reported that drugs were present in nearly 43% of the fatally injured drivers with a known test result, more frequently than alcohol was present.^I Over a 10-year study period, cannabis has been detected in the blood in an increasing number of drivers involved in fatal accidents (from 4.2% in 1999 to 12.2% in 2010 in one study of 23,591 fatal accidents).^J The most recent NHTSA Roadside Survey^K at the time of this writing, found drugs in 22% of drivers both on weekend nights and on weekday days.

Resources and Tools for Clinicians :

(These resources are not part of rules. They are provided for informational purposes only.)

Maine’s Prescription Monitoring Program. As of April, 2015, the link to sign up as a PMP “data requester” is http://www.maine.gov/pmp .

Screening tools for alcohol risk exist, such as CAGE^L and AUDIT.^M

Laboratory assessment may give objective evidence for substance use or compliance with a recovery program. However, urine drug testing is fraught with pitfalls. Medical providers are strongly encouraged to educate themselves before interpreting drug test data (for example via the paper on rational urine drug testing cited here)^N. Medical providers need to be aware of the parameters for detection of the laboratory they use.^O

Biomarkers for Alcohol^O—Located in the Appendix

FUNCTIONAL ABILITY PROFILE

Substance Use Disorder¹

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No diagnosed condition

No known substance use disorder.

N/A

Condition fully recovered

History of substance use disorder, in sustained recovery for 2 or more years, and must not fit any of the profile level descriptions below.

N/A

Active impairment

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe.)

Substance use at any point in the past two years that meets current DSM Criteria for a Substance Use Disorder; and

a. Mild risk

No motor, judgment or intellectual impairment with NO history of consequences such as, but not limited to, medical detox, drug or alcohol related seizure², adverse driving or legal consequences of substance use for the past 12 months, & no more than 1 consequence in last 5 years.

1 year

Until criteria met for Profile Level 2.

b. Moderate risk

History of problematic substance use significant enough to cause motor, judgment, or intellectual impairment, and may include drug or alcohol related events such as, but not limited to, motor vehicle crash, OUI or serious medical consequences. (E.g. medical detoxification or seizure² from use or withdrawal)

Has been abstinent or has demonstrated overall compliance with treatment/recovery plan³ for at least 3 months with up to one event in one year or two events in 5 years, EXCEPT in case of convulsive seizure² related to abuse of or withdrawal from alcohol or drugs. Has at least 6 months of abstinence or compliance with treatment/recovery plan³; or

History of two or more events in 1 year, three or more in 5 years, has been abstinent or demonstrated overall compliance with treatment/recovery plan³ for at least 1 year.

6 months

(To resume driving after specified period of abstinence, driver must be medically cleared and pass a ROAD TEST.)

c. Severe risk

History of drug or alcohol related event(s) including motor vehicle crash, OUI, or medical consequences (including medical detoxification or seizure² from use or withdrawal). Driver has not been abstinent or has not been compliant with treatment/recovery plan long enough to meet criteria for Profile Level 3.b.; or

Substance use significant enough to cause permanent motor, judgment, or intellectual impairment. For dementia related to substance use, see footnote⁴

No driving

¹ For further discussion regarding SUBSTANCE USE DISORDER, please refer to Preamble at the beginning of this section.

² For other types of seizures, refer to Seizure /Epilepsy FAP.

³Patient demonstrates overall compliance with treatment or personal recovery plan. Patient must be abstinent or have only had minimal use that does not lead to actions that jeopardize public safety; no new driving incidents. Patient is stable and fit to return to safe driving.

⁴If patient has dementia related to substance use, use Dementia FAP.

UNEXPLAINED ALTERATION / LOSS OF CONSCIOUSNESS PREAMBLE

The Functional Ability Profile (FAP) for alteration/loss of consciousness shall pertain to drivers who have an unexplained alteration in their thought process that would preclude safe operation of a motor vehicle. This is a relatively common occurrence. Through medical investigation the cause may be identified or explained and the person should then be categorized under the appropriate FAP. Medical work up should evaluate possible cardiac and/or neurologic causes. An explained alteration of consciousness (AOC) with low to no likelihood of recurrence is not generally subject to the FAP rules. Examples of this include concussion with recovery, adverse drug reaction, or medical illness with recovery such as pneumonia, sepsis, singular cough syncope, or anaphylactic reactions. Vasovagal syncope is excluded from this FAP unless episodes have occurred while driving. Driving may resume after receiving treatment and being symptom free 3 months (Please refer to Cardiovascular Conditions FAP).

FUNCTIONAL ABILITY PROFILE

Unexplained Alteration of Consciousness (AOC)¹

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No diagnosed condition

No known disorder

N/A

Condition fully recovered

History of unexplained AOC but none in 4 years.

N/A

Active impairment

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe.)

Refer to Preamble for description.

a. Mild risk

History of unexplained AOC greater than 1 year ago.

2 years

b. Moderate risk

History of any unexplained AOC within 6 months – 1 year ago.

1 year

c. Severe risk

Any unexplained AOC within the past 6 months.

No driving

¹ For further discussion regarding UNEXPLAINED ALTERATION OF CONSCIOUSNESS, please refer to Preamble at the beginning of this section.

VISUAL CONDITIONS PREAMBLE

The main elements of vision necessary for safe driving are adequate visual acuity and peripheral vision. These two items are elaborated in the following pages as Functional Ability Profile (FAP) Tables on visual parameters. Other visual factors that may impact driving ability but which may not easily be measured are also discussed below.

Visual acuity is tested using a Snellen chart. It is tested in each eye without correction and with the correction the patient typically uses when driving. Refraction is not required for visual acuity testing. Corrective lenses, including contact lenses are permissible for testing. Bioptic telescopic lenses (BTL’s) may not be used to meet the visual acuity requirements. A minimum of 50% of the letters on the line of the eye chart must be correctly identified to qualify as passing that level of acuity.

For screening purposes, peripheral vision should be tested using a 10 mm round white test object at a distance of 330 mm, preferably without corrective lenses, but contact lenses or corrective lenses may be worn. Alternatively, confrontation visual fields and devices such as, but not limited to, an arc perimeter, tangent screen or a Goldmann visual field using a V4e target are all acceptable forms of testing. With the subject fixating straight ahead at a fixation target in primary gaze, a continuous horizontal visual field of 110 degrees is required to meet the vision standard. Field expansion devices, spectacle systems incorporating pasted or mounted prisms, mirrors or a camera in or on a carrier lens or frame which are designed to shift the visual field in one or both eyes so that objects within a scotoma can be seen, may not be used for testing.

A binocular Esterman visual field test may be performed when it is inconclusive that the total horizontal field on the screening exam meets the 110-degree minimum. Examples of Esterman test results may be found in the appendix. Corrective lenses normally worn for driving may be worn for the Esterman, but field expansion devices may not be used for testing. The subject is to focus on the central fixation point of the perimeter and scanning eye movements are not permitted. Examples of conditions where the Esterman visual field may provide clarification include, but are not limited to hemianopsias, quadrantanopsias, retinitis pigmentosa, bilateral proliferative diabetic retinopathy following panretinal photocoagulation, and severe bilateral glaucoma. Homonymous hemianopsia is a condition where there is visual field loss to one side (either the right half or the left half) in both eyes and is most often the result of a brain injury. Most subjects with this type of vision loss will not be considered fit to drive because they will be unable to meet theminimum horizontal visual field of 110 degrees. The Esterman visual field only measures points as far peripherally as 75 degrees to the left and right of fixation. The normal peripheral visual field does extend out to 90 degrees or slightly greater, leaving a portion of the peripheral field that cannot be assessed with the Esterman test. If, on the basis of confrontational or other visual field testing it has been established that the subject can see beyond the 75° tested horizontally on the Esterman, this fact may be noted and the additional degrees counted toward the total visual field when determining whether or not the 110 degree minimum has been met. For a monocular person, the physiologic blind spot is not considered a visual field defect when scoring the test.

Exceptional Case Criteria for Visual Field

Subjects who do not meet vision requirements due to a visual field defect may be eligible for individual consideration for licensing by meeting the following criteria:

The applicant must:

Contact BMV Medical Department to request an exception and provide information and documentation as requested by BMV.

BMV will:

Notify driver of information needed

Contact subject’s eye care provider for information as needed

Review appropriate BMV records including applications, driving history (e.g., crashes, citations, driving logs), or other relevant driving information

Review driver status (e.g., a new applicant, suspended driver, driver seeking license renewal, etc.)

Forward clinical documentation, driving documentation and recommendation about driving credential to MAB

MAB will review all documentation and may approve the subject for a road test and licensure based on the following criteria:

The subject has a visual field defect caused by an isolated, non-progressive event that has been present for a minimum of 12 months, unless the patient has been evaluated by a neurologist, neuro-ophthalmologist, or an occupational therapy driving evaluator who can attest that a driver has compensated to the point of being safe to operate. Or,

The subject has a progressive visual field defect and meets all other exceptional case criteria.

The subject has no other progressive condition that is likely to cause additional visual field loss.

The visual acuity is at least 20/40 or better in the better seeing eye and is at least 20/100 or better in the fellow eye. Correction may be used to test for visual acuity.

The subject does not experience diplopia that could affect driving.

The subject’s driving record must show a pattern of safe motor vehicle operation with specific consideration given to at fault crashes or law enforcement reports of adverse driving.

If the subject has a Learner’s Permit, regardless of age, they must log at least 70 hours of supervised driving, according to BMV protocol for Exceptional Cases. If they wish to request a nighttime road test, they must include at least 10 hours of nighttime driving.

The Medical Advisory Board or their designated representative(s) will assess for potential approval of licensing based on a review of the preceding criteria or any other relevant factors. Further vision testing, including but not limited to an Esterman test, may be required.

If the subject meets the above criteria, they may be scheduled for a road test.

A driver may request a nighttime road test to have the daylight only driving restriction removed. Refer to criteria for removal of daylight only driving restriction.

A nighttime road test must be approved by the MAB for a person with a progressive condition.

If a driving privilege has been suspended for vision, the subject may request a temporary lifting of the suspension. If approved, they will be issued a restricted temporary credential. They may be restricted to driving only with another licensed driver holding a valid credential in good standing for at least 2 years; a driving instructor; or a Certified Occupational Therapy Driving Rehabilitation Specialist; and this person must be seated next to the subject in the vehicle while in operation.

A road test will be administered by a BMV Driver’s License Examiner, to determine qualification or disqualification to hold a driving credential, with consideration for the following:

The subject must satisfactorily pass a road test. A description of the road test may be found in the appendix.

Upon passing the road test, BMV will issue an appropriate temporary driving credential subject to final review by the MAB.

A license that is approved using these criteria will be restricted to daylight only driving, based on recommendation of the MAB, per criteria listed above.

If the subject passes the road examination, BMV will forward the results and examiner notes to MAB to determine the following:

Whether to allow driving and if approved, the required interval for review.

The interval for review will not exceed 1 year for drivers with a progressive condition and will not exceed 4 years for a person with a stable, non-progressive condition.

The need for repeat road testing will be determined by the MAB. Repeat road testing is not expected in cases where no safety concerns are determined, and the condition is non-progressive.

When binocular diplopia creates a concern for safe operation of a motor vehicle, the clinician should recommend corrective measures. No driving restrictions are required as long as the visual acuity and peripheral visual field requirements described above are met. Fogging, patching, and temporary or permanent prisms used with lenses may all be employed. If the clinician has concern for safe operation due to diplopia that is not included in this description, they may recommend a restriction or a road test.

Based on criteria described in the FAP Tables, the following restrictions will be applied to a driver’s license:

Corrective lenses are required for drivers whose uncorrected visual acuity is less than (i.e. worse than) 20/40 in both eyes.

Daylight only driving is permitted for drivers whose visual acuity is 20/50 – 20/100 in the better seeing eye. This restriction may also be imposed as per the Exceptional Case Criteria for visual field defects where less than 110 degrees of continues horizontal field is present.

The daylight only driving restriction may be removed based on:

A report from an optometrist or ophthalmologist advising that no additional eye conditions or other known relevant factors exist that may affect the ability to safely operate a motor vehicle, AND

BMV review of the subject’s driving record (crashes, adverse reports of driving, etc.) shows they have the ability to operate a motor vehicle safely and in accordance with all applicable laws, rules and regulations governing the operation of motor vehicles; AND

Passing a BMV night-time driver’s examination that demonstrates the ability to operate a motor vehicle safely.

Individuals undergoing BMV vision review with potentially progressive pathology affecting either visual acuity or peripheral visual field are required to have their eyes examined at specified intervals. A clinician may request a shorter interval based on the likelihood of more rapid deterioration.

Sometimes an ocular defect or disease does not cause the applicant to fail the eye examination but the examining clinician suspects that the condition may affect driving ability. It is reasonable to ask that a road test be given by a BMV Driver’s License Examiner to look at specific aspects of driving. For example, a patient with retinitis pigmentosa who wants to drive at night may pass the eye exam but the effect of the disease on the patient’s night driving ability remains uncertain. The clinician might recommend a nighttime road test. Alternatively, a patient who has suffered a stroke or a patient with bilateral severe glaucoma may meet the visual field-testing criteria, but the ability to detect obstacles and remain in the driving lane may be questioned. A road test may be requested by the clinician. A road test cannot be requested in order to obtain a license for an individual who has failed to meet the vision standards, unless they have already met the “exceptional case” criteria. A description of the road test may be found in the appendix.

When there is a history of traumatic brain injury or stroke that has resulted in either decreased vision and/or peripheral field loss, an Eye Examination Form (MVE-103) must be completed using the Visual Conditions FAP; and a Driver Medical Evaluation (CR-24) form must be completed using the Cerebrovascular Accident (CVA/Stroke) or Traumatic Brain Injury (TBI) FAP. Each form should be completed by the appropriate health care provider and the condition with the more restrictive rules will determine driving privileges.

Contrast sensitivity, glare recovery and night vision may be impaired in the presence of various pathologies such as corneal scars, cataracts, and retinal disease. Evidence is inconclusive that standard office testing of these parameters of visual function can determine which drivers can safely operate a motor vehicle. Defects in color vision, which may impair the ability to distinguish traffic signals, are not sufficient reason in the absence of any other visual loss to deny or restrict driving.

FUNCTIONAL ABILITY PROFILE

Visual Conditions¹: Visual Acuity

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No diagnosed condition

Visual acuity is equal to or better than 20/40 in the better seeing eye without correction and with no progressive disease.²

N/A

Condition fully recovered

Visual acuity equal to or better than 20/40 in the better seeing eye with correction and the condition is stable.²

Restrict to corrective lenses

Active impairment

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe.)

Presence of progressive disease or of another serious visual deficit (glaucoma, diabetic retinopathy, macular degeneration, cataract and others).

Bioptic telescopic lenses are not permitted for vision testing.²

Those needing corrective lenses to meet visual acuity requirements will be restricted to wearing them while driving for all profile levels described below.

a. Mild risk

Visual acuity equal to or better than 20/40 in the better seeing eye but could deteriorate due to progressive disease.²

4 years or earlier if recommended by vision examiner

b. Moderate risk

Visual acuity 20/50 - 20/100 in the better seeing eye.²

2 years or earlier if recommended by vision examiner

Restrict to daylight driving only³

c. Severe risk

Visual acuity less (worse) than 20/100 in the better seeing eye.²

No driving

¹ For further discussion regarding VISUAL CONDITIONS, please refer to PREAMBLE at the beginning of this section.

² Bioptic telescopic lenses (BTL’s) may not be used for the purposes of meeting any of the visual acuity requirements. Drivers who meet the Visual Acuity requirements without BTL’s may use them for taking the road test and for driving.

³ The daylight only driving restriction may be removed based on:

A report from an optometrist or ophthalmologist advising that no additional eye conditions or other known relevant factors exist that may affect the ability to safely operate a motor vehicle, AND

BMV review of the person’s driving record (crashes, citations, etc.) shows they have the ability to operate a motor vehicle safely and in accordance with all applicable laws, rules and regulations governing the operation of motor vehicles; AND

Passing a BMV night-time driver’s examination that demonstrates the ability to operate a motor vehicle safely.

FUNCTIONAL ABILITY PROFILE

Visual Conditions¹: Peripheral Vision

Profile Levels

Degree of Impairment/ Potential for At Risk Driving

Condition Definition / Example

Interval for Review and Other Actions

No diagnosed condition

Total continuous horizontal visual field^{2, 3} of at least 110°; no progressive disease and no visual field deficits.

N/A

Condition fully recovered

Past history of visual field^{2, 3} defect but current continuous horizontal total is 110° or more and condition is recovered.

N/A

Active impairment

(Profile levels are intended to describe potential for at risk driving; they are NOT consistent with clinical definitions for mild, moderate or severe)

Presence of progressive conditions, visual field loss following CVA/TBI, and/or other serious visual diseases or deficits (E.g., hemianopsia, quadrantanopsia, retinitis pigmentosa, bilateral severe glaucoma).⁴

For instructions on measuring peripheral vision, see preamble and footnotes. ^{2, 3}

a. Mild risk

Total continuous horizontal visual field^{2, 3} of 110° OR more with a visual field deficit^{4, 5} but without expectation of deterioration.

4 years or earlier if recommended by vision examiner.

Esterman test may be performed.⁵

Road test may be required if recommended by vision examiner or MAB.

b. Moderate risk

i. Total continuous horizontal visual field^{2, 3} at least 110° with potential for deterioration.^{4, 5}

1 year or earlier if recommended by vision examiner.

Esterman test may be performed.⁵

Road test may be required if recommended by vision examiner or MAB.

ii. Total continuous horizontal visual field^{2, 3} less than 110^o and subject has been approved by MAB for Exceptional Case consideration.^{4, 5, 6}

Initial road test required.

Need for repeat road test will be determined by MAB.

Interval for review to be determined by MAB.

c. Severe risk

Total continuous horizontal visual field^{2, 3} less than 110^o.^{4, 5, 6}

No driving

See criteria for exceptional cases⁶

¹ For further discussion regarding VISUAL CONDITIONS, please refer to PREAMBLE at the beginning of this section.

² For screening purposes, peripheral vision should be tested using a 10 mm round white test object at a distance of 330 mm, preferably without corrective lenses, but contact lenses or corrective lenses may be worn. Alternatively, confrontation visual fields and devices such as, but not limited to, an arc perimeter, tangent screen or a Goldmann visual field using a V4e target are all acceptable forms of testing. The subject must be fixating straight ahead at a fixation target in primary gaze.

³ Field expansion devices, spectacle systems incorporating pasted or mounted prisms, mirrors or a camera in or on a carrier lens or frame which are designed to shift the visual field in one or both eyes so that objects within a scotoma can be seen, may not be used for testing visual field.

⁴If hemianopsia or quadrantanopsia is present, driver will also need to be evaluated using the Brain Injury/Stroke profile guidelines.

⁵A binocular Esterman visual field test may be performed when it is uncertain that the total horizontal field on the screening exam meets the 110-degree minimum. Refer to preamble.

⁶ See the Visual Conditions Preamble for exceptional case consideration criteria.

APPENDIX

(Items included in the appendix are for information only and are not incorporated into rules.)

BUREAU OF MOTOR VEHICLES – DRIVING TEST

Purpose of test

There are a wide variety of physical, emotional and mental conditions that have the potential to impact an individual’s ability to drive safely. Impairment may be the result of altered muscular, skeletal, neurologic or cognitive functions. Motor, sensory, and/or cognitive deficits may adversely affect strength, coordination, reaction time, range of motion, visual perception, processing speed, judgment, problem solving, attention/concentration, memory, and/or awareness, to name a few. Some impairment may require restrictions such as corrective lenses, or adaptive equipment for the vehicle. Most people with these conditions may continue to operate safely without restriction. In the most severe circumstances, a person’s condition may preclude driving. In certain situations, a driving test will be required to determine whether or not a person is capable of properly operating a motor vehicle. This is not a comprehensive medical evaluation. It is a simple driving test to evaluate basic driving skills.

Components of driving test

Experience Adjust to conditions

Familiar with vehicle

Proper control

Shifting Select proper gear

Proper use of clutch

No stalling

Traffic Rules Appropriate stops

Operate within own lane

Proper lane position

Proper operation at traffic signal

Signs/Signals Stop at STOP sign

Stop at red light

Stop for stopped school bus

Turning Left/Right

Approach from correct lane

Enter correct lane

No cutting corner

No wide approach at intersection

No wide entrance of lane at intersection

Proper recovery

Backing Straight line back without going into traffic lane, onto sidewalk or curb

Offset back (parallel parking)

Look over shoulder

Look to rear

Signaling Signal appropriately

Use correct signals

Posted Speed Stay within posted speed limits

Pedestrians Yield for pedestrians in crosswalk and roadway

Railroad Crossing Obey signals

Observe both ways before crossing

Yielding Yield properly

Other Observe at intersections

Observe when changing lanes

Observe when pulling from curb

Collision Avoid collision with another vehicle or any fixed object

(This information is included for information only and is not incorporated into rules.)

DRIVING EVALUATIONS BY AN OCCUPATIONAL THERAPIST

“Occupational therapy practitioners with specialized training in driver rehabilitation may administer comprehensive driving evaluations. This type of driving evaluation typically includes two parts: one part in an office or clinic and the second part behind the wheel of a car. The purpose of the evaluation in the office or clinic is to examine the physical, visual, and mental abilities required for safe driving. This would include:

Reaction time, needed for stopping fast enough to avoid a crash;

Basic visual acuity, or sharpness of vision; and

Decision making, judgment, and planning (e.g., needed for making left turns).”

Quotation from the American Occupational Association website. For more information, please visit: https://www.aota.org/practice/productive-aging/driving/clients/evaluate/eval-by-ot.aspx

(This information is included for information only and is not incorporated into rules.)

POTENTIAL BIOMARKERS OF ALCOHOL USE

Note: Medical providers are strongly encouraged to read the information in this reference to get more details about the appropriate use of these lab tests. The tests are listed here as a basic introduction. Medical providers need to understand the subtleties of these lab tests and the potential for false positives and false negatives when using these tests clinically.

Biomarker¹

Screens for Heavy Drinking

Identifies Relapse to Heavy Drinking

Monitors Abstinence

Time to return to normal - Range with abstinence

CDT

yes

yes

2-3 weeks

Ethyl Glucuronide (urine)

yes

yes

1-3 days

EtS

yes

yes

1-3 days

GGT

yes

2-4 weeks

MCV

yes

several months

Phosphatidyl ethanol

yes

2-4 weeks

AST, ALT

yes

2-4 weeks

¹ The role of Biomarkers in the Treatment of Alcohol use Disorder, Revision Spring 2012. Volume 11, Issue 2. www.samhsa.gov

This reference is available free, online, and isincluded for information only. It is not a part of rules.

SAMPLE BINOCULAR ESTERMAN TEST - 1

(Included for information only and not incorporated into rules.)

SAMPLE BINOCULAR ESTERMAN TEST - 2

(Included for information only and not incorporated into rules.)

BIBLIOGRAPHY

(References are included for information only and are not a part of rules.)

CARDIOVASCULAR CONDITIONS

Epstein A.E. Miles W.M. Benditt D.G. et al. Personal and public safety issues related to arrhythmias that may affect consciousness: implications for regulation and physician recommendations. A medical/scientific statement from the American Heart Association and the North American Society of Pacing and Electrophysiology. Circulation. 1996; 94: 1147-1166

Shen WK, Sheldon RS, Benditt DG, et al. 2017 ACC/AHA/HRS guideline for the evaluation and management of patients with syncope: a report of the American College of Cardiology/American Heart Association Task Force on Clinical Practice Guidelines and the Heart Rhythm Society[published online March 9, 2017]. Heart Rhythm. doi:10.1016/j.hrthm.2017.03.004.

Tan VH, Ritchie D, Maxey C, Sheldon R; POST Investigators. Prospective Assessment of the Risk of Vasovagal Syncope During Driving. JACC Clin Electrophysiol. 2016 Apr;2(2):203-208. doi: 10.1016/j.jacep.2015.10.006. Epub 2015 Nov 17. PMID: 29766871.

Sorajja D, Nesbitt GC, Hodge DO, Low PA, Hammill SC, Gersh BJ, Shen WK. Syncope while driving: clinical characteristics, causes, and prognosis. Circulation. 2009 Sep 15;120(11):928-34. doi: 10.1161/CIRCULATIONAHA.108.827626. Epub 2009 Aug 31. PMID: 19720940; PMCID: PMC3918881. https://www.gov.uk/guidance/cardiovascular-disorders-assessing-fitness-to-drive

Curtis, Anne B. When Is It Safe To Resume Driving After ICD Implantation. American College of Cardiology: Expert Analysis. 2011 Sep 7. https://www.acc.org/latest-in-cardiology/articles/2014/07/18/11/37/when-is-it-s afe-to-resume-driving-after-icd-implantation

Margulescu AD, Anderson MH. A Review of Driving Restrictions in Patients at Risk of Syncope and Cardiac Arrhythmias Associated with Sudden Incapacity: Differing Global Approaches to Regulation and Risk. Arrhythm Electrophysiol Rev. 2019 May;8(2):90-98. doi: 10.15420/aer.2019.13.2. PMID: 31114682; PMCID: PMC6528027

CHRONIC RESPIRATORY DISEASE

^AGrant, I., Heaton, R.K., McSweeny, A.J., Adams, K.M., & Timms, R.M. (1982). Neuropsychologic findings in hyoxemic chronic obstructive pulmonary disease. Archives of Internal Medicine, 142, 1470-1476.

^BPrigatono, G.P., Parsons, G.A., Wright, E., et al. (1983). Neuropsychologic test performance in mildly hypoxemic patients with chronic obstructive pulmonary disease. Journal of Clinical and Consulting Psychology, 51, 108-116.

^CGrant, I., Prigatano, G.P., Heaton, R.K., McSweeny, A.J., Wright, E. C., & Adams, K.M. (1987). Progressive neuropsychologic impairment and hypoxemia. Annals of General Psychiatry, 44, 999-1006.

^DKarakontaki, F., Gennimata, S., et al. Driving-Related Neuropsychological Performance in Stable COPD Patients(2013). Pulmonary Medicine, 2013, 1-10. https://www.ncbi.nlm.nih.gov/pmc/articles/PMC3575615/

^EOrth, M., Diekmann, C., et al, Driving Performance in Patients with Chronic Obstructive Pulmonary Disease(2008). Journal of Physiology and Pharmacology, 59, Suppl 6, 539-547. https://bmjopenrespres.bmj.com/content/2/1/e000092.full

^FDiller, E., Cook, L., Leonard, D., Dean, J.M., Reading, J., & Vernon, D. (1998). Evaluating drivers licensed with medical conditions in Utah, 1992-1996. NHTSA Technical Report 1992-1996. Washington, DC. https://one.nhtsa.gov/people/injury/research/utahdrivers/utahmedconditions.html

^GThe Long-Term Oxygen Treatment Trial Group. A Randomized Trial of Long-Term Oxygen for COPD with Moderate Desatration. NEJM 2016; 375:1617-1627.

DEMENTIA

^A Driver Fitness Medical Guidelines, September 2009, DOT HS 811 210; National Highway Traffic Safety Administration. www.nhtsa.gov

^BClinician’s Guide To Assessing and Counseling Older Drivers 4th Edition (2019) https://geriatricscareonline.org/application/content/products/B047/pdf/AGS-Clinicians_Guide_4th_edition.pdf

^C D.J. Iverson, G.S. Gronseth, M.A. Reger, S. Classen, R.M. Dubinsky, M. Rizzo Practice Parameter update: Evaluation and management of driving risk in dementia. Neurology Apr 2010, 74 (16) 1316-1324; https://n.neurology.org/content/74/16/1316.short

^DLadden MD. Approach to the evaluation of older drivers In: UpToDate, Schmader KE (Ed), UpToDate, Waltham, MA. (Accessed July 17, 2020.)

HYPOGLYCEMIA

Medical Conditions and Driving – A Review of Literature (1960-2000), September 2005, DOT HS 809 690; US Dept. of Transportation National Highway Traffic Safety Administration

Assessing Fitness to Drive for Commercial and Private Vehicle Drivers, Medical Standards to Drive and Clinical Management Guidelines, 2016 as amended up to August 1, 2017, NTC Australia

Driver Fitness Medical Guidelines, September 2009, DOT HS 811 210; National Highway Traffic Safety Administration www.nhtsa.gov

MENTAL HEALTH

^AMedical Conditions and Driving – A Review of Literature (1960-2000), September 2005, DOT HS 809 690; US Dept of Transportation National Highway Traffic Safety Administration https://icsw.nhtsa.gov/people/injury/research/Medical_Condition_Driving/pages/Sec1-Intro.htm

^BHartman RL, Huestis MA. Cannabis effects on driving skills. Clin Chem. 2013;59(3):478-492. doi:10.1373/clinchem.2012.194381

^CRamaekers, J. G., Berghaus, G., van Laar, M., & Drummer, O. H. (2004). Dose related risk of motor vehicle crashes after cannabis use. Drug and Alcohol Dependence, 73, 109–119. doi:10.1016/j.drugalcdep.2003.10.008

^DAsbridge, M., Hayden, J. A., & Cartwright, J. L. (2012). Acute cannabis consumption and motor vehicle collision risk: Systematic review of observational studies and meta-analysis. BMJ, 344, e536. doi:10.1136/bmj.e536.

^ELi, M.-C., Brady, J. E., DiMaggio, C. J., Lusardi, A. R., Tzong, K. Y., & Li, G. (2012). Marijuana use and motor vehicle crashes. Epidemiologic Reviews, 34, 65–72. doi:10.1093/epirev/mxr017.

^FMcCarthy, D. M., Lynch, A. M., & Pedersen, S. L. (2007). Driving after use of alcohol and marijuana in college students. Psychology of Addictive Behaviors, 21(3), 425–430. https://doi.org/10.1037/0893-164X.21.3.425

^GAmerican Psychiatric Association (2013). Diagnostic and Statistical Manual (5th ed). Washington DC.

^HBenbadis, S, Lutsep, H, et al. Psychogenic Nonepileptic Seizures. Medscape. Updated: July 26, 2018. https://emedicine.medscape.com/article/1184694-overview

^IMorrison I and Razvi S. Driving regulations and psychogenic non-epileptic seizures: Perspectives from the United Kingdom. Seizure European Journal of Epilepsy. March 2011. 20(2):177-180. https://pubmed.ncbi.nlm.nih.gov/21112222/

^JRossi S, Hallett M, Rossini Ret al. Safety, ethical considerations and application guidelines for the use of transcranial magnetic stimulation in clinical practice and research. Clin Neurophysiol 2009. 120(12):2008-2039. https://pubmed.ncbi.nlm.nih.gov/19833552/

MUSCULOSKELETAL AND NEUROLOGICAL

Thompson, T., Poulter, D., Miles, C., Solmi, M., Veronese, N., Carvalho, A. F., Stubbs, B., & Uc, E. Y. (2018). Driving impairment and crash risk in Parkinson disease: A systematic review and meta-analysis. Neurology, 91(10), e906–e916. https://doi.org/10.1212/WNL.0000000000006132

Akinwuntan, A. E., O'Connor, C., McGonegal, E., Turchi, K., Smith, S., Williams, M., & Wachtel, J. (2012). Prediction of driving ability in people with relapsing-remitting multiple sclerosis using the stroke driver screening assessment. International journal of MS care, 14(2), 65–70. https://doi.org/10.7224/1537-2073-14.2.65

Greve, J. M., Santos, L., Alonso, A. C., & Tate, D. G. (2015). Driving evaluation methods for able-bodied persons and individuals with lower extremity disabilities: a review of assessment modalities. Clinics (Sao Paulo, Brazil), 70(9), 638–647. https://doi.org/10.6061/clinics/2015(09)08

Morrow, S. A., Classen, S., Monahan, M., Danter, T., Taylor, R., Krasniuk, S., Rosehart, H., & He, W. (2018). On-road assessment of fitness-to-drive in persons with MS with cognitive impairment: A prospective study. Multiple Sclerosis Journal, 24(11), 1499–1506. https://doi.org/10.1177/1352458517723991

Devos, H., Akinwuntan, A. E., Nieuwboer, A., Truijen, S., Tant, M., & De Weerdt, W. (2011). Screening for fitness to drive after stroke: a systematic review and meta-analysis. Neurology, 76(8), 747–756. https://doi.org/10.1212/WNL.0b013e31820d6300

Frith, J., Hubbard, I. J., James, C. L., & Warren-Forward, H. (2015). Returning to driving after stroke: A systematic review of adherence to guidelines and legislation. British Journal of Occupational Therapy, 78(6), 349–355. https://doi.org/10.1177/0308022614562795

NARCOLEPSY

^A National Organization for Rare Disorders, For Patients and Families, Rare Disease Information, Rare Disease Information, Narcolepsy. Accessed: 02.03.2022. https://rarediseases.org/rare-diseases/narcolepsy/

^B T. Morgenthaler, V Kapur, T. Brown, et al. Practice Parameters for the Treatment of Narcolepsy and other Hypersomnias of Central Origin. Sleep, 2007, Dec 1; 30 (12): 1705-1711

^C M. Littner, C. Kushida, M. Wise, et al. Practice Parameters for Clinical Use of the Multiple Sleep Latency Test and the Maintenance of Wakefulness Test. Sleep, 2005; 28 (1):113-121

^D Aldrich, M.S. Automobile accidents in patients with sleep disorders. Sleep 1989; 12(6), 487-494.

^EBroughton R, Ghanem Q, Hishikawa Y, Sugita Y, Nevsimalova S, Roth B. Life effects of narcolepsy in 180 patients from North America, Asia and Europe compared to matched controls. Can J Neurol Sci 1981; 8(4):299–304.

^F Aldrich, M.S. Narcolepsy. The New England Journal of Medicine (1990), 323, 389-394.

^GFindley, L., Unverzagt, M., Guchu, R., Gabrizio, M., Buckner, J., & Suratt, P. (1995). Vigilance and automobile accidents in patients with sleep apnea or narcolepsy. Chest (1995); 108(3), 619-624

^HTrotti LM. Arnulf I. Idiopathic Hypersomnia and Other Hypersomnia Syndromes, Neurotherapeutics. 2021 Jan; 18(1): 20-31.

^I Maski K. Trotti, LM. Kotagal, Suresh. Auger, RR. Rowley, J. Hashmi, SD. Watson, NF. Treatment of central disorders of hypersomnolence: an American Academy of Sleep Medicine clinical practice guideline. 2021 JASM.AASM.org https://doi.org/ 10.5664/jcsm.9328

^JCarskadon MA, Dement WC: Daytime sleepiness: Quantification of behavioral state. Neurosci Bio Rev 1987; 11:307-317.

^KReview by the MSLT and MWT Task Force of the Standards of Practice Committee of the American Academy of Sleep Medicine: The clinical use of the MSLT and MWT. Sleep, 2005; 28: 123-144.

OTHER MEDICAL

Clinician’s Guide to Assessing and Counselling Older Drivers, 4^th Ed. (2019) https://www.nhtsa.gov/document/clinicians-guide-assessing-and-counseling-older-drivers

PRESCRIPTION MEDICATIONS AND/OR OPIOID REPLACEMENT THERAPY

^ASoyka M et al. Less impairment in one portion of a driving-relevant psychomotor battery in buprenorphine-maintained than in methadone maintenance patients. Results of a randomized clinical trial. J of Clin Psychopharm 2005; 25(5), 490-493

^BNational Highway Traffic Safety Administration: Drug and Human Performance Fact Sheets. Methadone. http://www.nhtsa.gov/people/injury/research/job185drugs/methadone.htm

SEIZURES AND EPILEPSY

Driver Fitness Medical Guidelines, September 2009, DOT HS 811 210; National Highway Traffic Safety Administration. www.nhtsa.gov

Krumholz, Allan, et al. Driving restrictions for patients with seizures and epilepsy. In UpToDate, Garcia, P (Ed), UpToDate, Waltham, Mass, (Accessed on June 14, 2021.)

SLEEP APNEA

^AGurubhagavatula MD. Drowsy driving: Risks, evaluation, and management In: UpToDate, Scammell TE (Ed), UpToDate, Waltham, MA. (Accessed March 30, 2021.) https://www.uptodate.com/contents/drowsy-driving-risks-evaluation-and-management

^BVorona RD, Ware JC: Sleep disordered breathing and driving risk. Curr Opin Pulm Med 2002; 8: 506-510

^CTregear,S Reston J, Phillips B: Continuous positive airway pressure reduces risk of motor vehicle crash among drivers with obstructive sleep apnea: systematic review and meta-analysis. Sleep, 2010; 33(10): 1373-1380.

^DWeaver TE, Mancini C, Maislin G, Cater J, Staley B, Landis JR, Ferguson KA, George CF, Schulman DA, Greenberg H, Rapoport DM, Walsleben JA, Continuous positive airway pressure treatment of sleepy patients with milder obstructive sleep apnea: results of the CPAP Apnea Trial North American Program (CATNAP) randomized clinical trial. AM J Resp Critical Care Med, 2012 Oct 1;186(7):677-83.

^EGeorge CF: Reduction in motor vehicle collisions following treatment of sleep apnea with nasal CPAP. Thorax 2001; 56:508-512

^FPatil SP, Ayappa IA, Caples SM, Kimoff RJ, Patel SR, Harrod CG. Treatment of adult obstructive sleep apnea with positive airway pressure: an American Academy of Sleep Medicine systematic review, meta-analysis, and GRADE assessment. J Clin Sleep Med. 2019;15(2):301–334.

^GSassani A, Findley LJ, Kryger M, et al: Reducing motor vehicle collisions, costs, and fatalities by treating obstructive sleep apnea. Sleep, 2004; 27(3): 453-458.

^HKryger M, Malhotra A. Management of obstructive sleep apnea in adults In: UpToDate, Collop, N (Ed), UpToDate, Waltham, MA. (Accessed February 3, 2022.) https://www.uptodate.com/contents/management-of-obstructive-sleep-apnea-in-adults

^IMalhotra, Atul. Hypoglossal-nerve stimulation for obstructive sleep apnea. N Engl J Med, 2014 Jan 9; 370(2):170-1

^JLittner MR, Kushida C, Wise M, Davila DG, Morgenthaler T, Lee-Chiong T, Hirshkowitz M, Daniel LL, Bailey D, Berry RB, Kapen S, Kramer M; Standards of Practice Committee of the American Academy of Sleep Medicine. Practice parameters for clinical use of the multiple sleep latency test and the maintenance of wakefulness test. Sleep. 2005 Jan;28(1):113-21.

^K Johns, Murray, The Epworth Sleepiness Scale: About the ESS. (Accessed: February 3, 2022.) https://epworthsleepinessscale.com/about-the-ess/

^LCenters for Medicare and Medicaid Services, SUPERSEDED Local Coverage Determination (LCD): Positive Airway Pressure (PAP) Devices for the Treatment of Obstructive Sleep Apnea (L33718). Accessed March 14, 2022. LCD - Positive Airway Pressure (PAP) Devices for the Treatment of Obstructive Sleep Apnea (L33718) (cms.gov)

SUBSTANCE USE DISORDER

^ASubstance Abuse Trends in Maine State Epidemiological Profile 2016. https://www.maineseow.com/Documents/SEOW%20EpiProfile%202016%20FINAL.pdf

^BDrug-Impaired Driving: Marijuana and Opioids Raise Critical Issues for States. Governors Highway Safety Association. May 2018, p. 7. https://www.ghsa.org/sites/default/files/2018-05/GHSA_DrugImpairedDriving_FINAL.pdf

^CNIH Drug Facts, December 2019 https://www.drugabuse.gov/sites/default/files/drugfacts-drugged-driving.pdf

^DThe Health Effects of Cannabis and Cannabinoids: The Current State of Evidence

and Recommendations for Research. National Academy of Sciences (NAS). January 12, 2017 https://www.nap.edu/resource/24625/Cannabis_committee_conclusions.pdf

^EAzagba, et al. Positive drug test trends in fatally injured drivers in the United States from 2007 to 2017. Substance Abuse Treatment, Prevention, and Policy (2019) 14:43. https://substanceabusepolicy.biomedcentral.com/track/pdf/10.1186/s13011-019-0228-z

^FAmerican Psychiatric Association (2013). Diagnostic and Statistical Manual (5th ed). Washington DC.

^GNational Institute on Alcohol Abuse and Alcoholism. Alcohol’s Effects on Health: Overview of Alcohol Consumption, Drinking Levels Defined. Accessed 02.08.2022. https://www.niaaa.nih.gov/alcohol-health/overview-alcohol-consumption/moderate-binge-drinking

^HDriver Fitness Medical Guidelines, September 2009, DOT HS 811 210; National Highway Traffic Safety Administration. www.nhtsa.gov

^I Drug-Impaired Driving: A Guide for States. Governors Highway Safety Association. April,2017, p. 2. https://www.ghsa.org/sites/default/files/2017-04/GHSA_DruggedDriving2017_FINAL.pdf

^JBrady JE, Li G., Trends in Alcohol and Other Drugs Detected in Fatally Injured Drivers in the United States. 1999-2010. Am J Epidemiology 2014; 179(6):692-9. Epub Jan 29, 2014: doi 10.1093/aje/kwt327 https://www.ncbi.nlm.nih.gov/pmc/articles/PMC3939850/pdf/kwt327.pdf

^KThe 2013-2014 National Roadside Study of Alcohol and Drug Use. https://www.nhtsa.gov/behavioral-research/2013-14-national-roadside-study-alcohol-and-drug-use-drivers#2013-14-national-roadside-study-alcohol-and-drug-use-drivers-2013-14-national-roadside-study-alcohol

^LJA Ewing. Detecting Alcoholism: The CAGE Questionnaire. JAMA 252: 1905-1907; 1984. https://jamanetwork.com/journals/jama/fullarticle/182810

^M Babor TF, et al. The Alcohol Use Disorders Identification Test Guidelines for Use in Primary Care, 2^nd Ed. https://www.who.int/publications/i/item/audit-the-alcohol-use-disorders-identification-test-guidelines-for-use-in-primary- health -care

^NReisfield GM, Salazar E, Bertholf RL. Review: Rational Use and Interpretation of Urine Drug Testing in Chronic Opioid Therapy. An Clin Lab Sci Autumn 37(4), 301-314, 2007. www.annclinlabsci.org/content/37/4/301.full

^OThe role of Biomarkers in the Treatment of Alcohol use Disorder. Spring 2012. Volume 11, Issue 2. https://etg.weebly.com/uploads/7/4/7/5/74751/samsha_biomarker_advisory_may_2012.pdf

UNEXPLAINED ALTERATION/LOSS OF CONSCIOUSNESS

Weisberg, LA., Garcia, R Strub. “Episodic Loss of Consciousness.” Essentials of Clinical Neurology: Neurology History and Examination. Chapter 8, pp. 1-13. www.psychneuro.tulane.edu/neurolect/ https://n.neurology.org/content/48/1/299.2

Shen WK, Sheldon RS, Benditt DG, et al. 2017 ACC/AHA/HRS guideline for the evaluation and management of patients with syncope: a report of the American College of Cardiology/American Heart Association Task Force on Clinical Practice Guidelines and the Heart Rhythm Society[published online March 9, 2017]. Heart Rhythm. doi:10.1016/j.hrthm.2017.03.004.

Margulescu AD, Anderson MH. A Review of Driving Restrictions in Patients at Risk of Syncope and Cardiac Arrhythmias Associated with Sudden Incapacity: Differing Global Approaches to Regulation and Risk. Arrhythm Electrophysiol Rev. 2019 May;8(2):90-98. doi: 10.15420/aer.2019.13.2. PMID: 31114682; PMCID: PMC6528027.

Sorajja D, Nesbitt GC, Hodge DO, et al. Syncope While Driving: Clinical Characteristics, Causes, and Prognosis. Circulation. 2009;120(11):928-934. doi:10.1161/CIRCULATIONAHA.108.827626 https://www.ncbi.nlm.nih.gov/pmc/articles/PMC3918881/

Tan VH, Ritchie D, Maxey C, Sheldon R. Prospective Assessment of the Risk of Vasovagal Syncope During Driving. JACC: Clinical Electrophysiology, Volume 2, Issue 2, 2016, Pages 203-208. https://doi.org/10.1016/j.jacep.2015.10.006. (https://www.sciencedirect.com/science/article/pii/S2405500X1500376X)

Anne B. Curtis, MD and Andrew E. Epstein, MD Syncope While Driving. How Safe is Safe? Circulation, Volume 120, Issue 11, 15 September 2009; Pages 921-923

https://doi.org/10.1161/CIRCULATIONAHA.109.890335 https://www.ahajournals.org/doi/epub/10.1161/CIRCULATIONAHA.109.890335

Driving is Safe for Most Patients with a History of Fainting. February 8, 2016.

http://www.cardiosmart.org/news/2016/2/driving-is-safe-for-most-patients-with-a-history-of-fainting

VISION

New standards for the visual function of drivers. Report of the Eyesight Working Group. Brussels. 2005. https://ec.europa.eu/transport/road_safety/sites/roadsafety/files/pdf/behavior/new_standards_final_version_en.pdf

Driver Fitness Medical Guidelines, September 2009, DOT HS 811 210; National Highway Traffic Safety Administration https://www.roadsafeseniors.org/resources/family-caregiver-resources-and-alternative-transportation/resources-assist-older-road-14

Pearce I, Hingorani M. Royal College of Ophthalmologists: Ophthalmic Services Guidance. Vision Standards for Driving, April 2019. https://www.rcophth.ac.uk/patients/vision-standards/

Bowers, A. Driving with homonymous visual field loss: a review of the literature. Clin Exp Optom. 2016;99(5):402-418. https://pubmed.ncbi.nlm.nih.gov/27535208/

Colenbrander, August., Delaey, Jean. Report on Vision Requirements for Driving Safely, (2006) International Council of Ophthalmology, 30th World Ophthalmology Congress, Sao Paulo, Brazil www.icoph.org/pdf/visionfordriving.pdf

Elgin, J. et al. Evaluation of on-road driving in people with hemianopia and quadrantanopia. American Journal of Occupational Therapy. 2010;64(2):268-278. https://ajot.aota.org/article.aspx?articleid=1862670

Goodwin, D. Homonymous hemianopia: Challenges and solutions. Clinical Ophthalmology. 2014;8:1919-1927. https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4181645/pdf/opth-8-1919.pdf

Huisingh, C. et al. The driving visual field and a history of motor vehicle collision involvement in older drivers: a population-based examination. Investigative Ophthalmology and Visual Science. 2015;56:132-138. https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4288142/pdf/i1552-5783-56-1-132.pdf

Howard C, Rowe FJ. Adaptation to poststroke visual field loss: A systematic review. Brain and Behavior. 2018;8:e01041. https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6086007/pdf/BRB3-8-e01041.pdf

Jencke, Mary. Accident Rates of Drivers with Bioptic Telescopic Lenses. Journal of Safety Research. Vol. 14, pp. 159-165, 1983 https://trid.trb.org/view/210158

Kunimatsu-Sanuki et al. The role of specific visual subfields in collisions with oncoming cars during simulated driving in patients with advanced glaucoma. British Journal Ophthalmology. 2017;101(7):896-901. https://www.ncbi.nlm.nih.gov/pmc/articles/PMC5530804/pdf/bjophthalmol-2016-308754.pdf

Kwon, M. et al. Association between glaucoma and at-fault motor vehicle collision involvement among older drivers. Ophthalmology. 2016;123(1):109-116. https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4695303/pdf/nihms-721423.pdf

McGwin,G. et al. Motor Vehicle Collision Involvement among Persons with Hemianopia and Quadrantanopia. Geriatrics. 2016;1(3):19. https://www.ncbi.nlm.nih.gov/pmc/articles/PMC5617349/pdf/geriatrics-01-00019.pdf

Mills, R.P. and Drance, S.M. Esterman disability rating in severe glaucoma. Ophthalmology. 1986. 93(3):371-378. https://pubmed.ncbi.nlm.nih.gov/3703506/

Musch, D.C. et al. Binocular measure of visual acuity and visual field versus binocular approximations. Ophthalmology. 2017;124(7):1031-1038. https://www.ncbi.nlm.nih.gov/pmc/articles/PMC5483206/pdf/nihms852778.pdf

Owsley, C. et al. A Roadmap for Interpreting the Literature on Vision and Driving. Survey of Ophthalmology. 2015; 60(3):250-262. https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4404194/pdf/nihms663214.pdf

Owsley, Cynthia. Should Your Patient Still Be Driving. Review of Ophthalmology. May 2015: 80-85 https://www.reviewofophthalmology.com/article/should-your-patient--still-be-driving

Owsley, C, McGwin, G. Vision and driving. Vision Research. 2010;50:2348-2361. https://www.ncbi.nlm.nih.gov/pmc/articles/PMC2975746/pdf/nihms208578.pdf

Philadelphia, prnewswire, May 22, 2019. Wills Eye Hospital Research Suggests Glaucoma Patients May Be at Higher Risk of Motor Vehicle Accidents than those of Similar Age https://www.prnewswire.com/news-releases/wills-eye-hospital-research-suggests-glaucoma-patients-may-be-at-higher-risk-of-motor-vehicle-accidents-than-those-of-similar-age-300854664.html

Wizov S, et al. Risk of auto accidents in patients with moderate-stage glaucoma. Presented at: Association for Research in Vision and Ophthalmology; April 28-May 2, 2019; Vancouver, British Columbia. https://iovs.arvojournals.org/article.aspx?articleid=2743402

History

• STATUTORY AUTHORITY: 29-A M.R.S.A. §§ 153, 1258
• EFFECTIVE DATE: May 7, 1979
• AMENDED: March 24, 1986
• AMENDED: October 11, 1986
• AMENDED: September 11, 1988 (pages 28 & 29)
• AMENDED: October 17, 1989
• AMENDED: May 24, 1992 - page 27
• AMENDED: October 18, 1994
• AMENDED: May 28, 1995
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: December 14, 2000 - converted to MS Word, formatting
• NON-SUBSTANTIVE CORRECTIONS: January 14, 2016 – statutory reference corrected
• NON-SUBSTANTIVE CORRECTIONS: January 28, 2016 – statutory reference corrected
• REPEALED AND REPLACED: December 31, 2016 – filing 2016-080
• AMENDED: May 3, 2023 – filing 2023-060
• APAO ACCESSIBILITY CHECK (Word): April 6, 2026

Chapter 4 Driver License Examination Rules

Code Me. R. 29-250 Ch. 4 Driver License Examination Rules {#sec-29-250-ch.-4 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 4}

SUMMARY: These rules describe the components of the examination used by the Secretary of State to determine a person's qualifications to obtain a license to operate a motor vehicle.

1. COMPONENTS OF THE DRIVER LICENSE EXAMINATION

Except as provided in section 2, the examination required by 29 MRSA Section 581 to determine a person's qualifications to operate a motor vehicle must consist of a road sign test, knowledge test, vision test and road test.

A. Road Sign Test

(1) The road sign test is administered to applicants to determine their ability to identify and understand highway signs.

(2) The road sign test must consist of at least 10 questions. The applicant must correctly answer eighty (80) percent to qualify for a license.

B. Knowledge Test

The knowledge test is administered to determine whether the applicant has acquired an understanding and knowledge of the traffic laws and regulations and safe driving practices established by the Driver Examination Manual and the Commercial Driver's Manual. Applicants must correctly answer eighty (80) percent of the questions on each knowledge test to qualify for a license.

C. Vision Test

The vision screening test is administered to determine whether the applicant's vision is adequate to permit the safe operation of a motor vehicle. The vision screening test may consist of the following parts:

(1) Visual acuity examination. Applicants for a motor vehicle operator's license must meet the minimum visual acuity standards established by Chapter 3, Department of State, Motor Vehicle Division, Physical, Emotional And Mental Competence To Operate A Motor Vehicle, Functional Ability Profiles Governing The Physical, Emotional and Mental Competence To Operate a Motor Vehicle (Functional Ability Profiles). Applicants for a school bus endorsement may be required to satisfy more stringent standards.

(a) Applicants who fail to meet the minimum standard will be referred to an optometrist or ophthalmologist for a comprehensive vision examination. An applicant may be issued an operator's license following such an examination in accordance with the Functional Ability Profiles.

(b) If an applicant referred to a doctor declines to undergo a vision examination, an operator's license or instruction permit must not be issued.

(2) Depth perception examination. The depth perception examination measures the ability to make a judgment of space, distance, and relative position of objects.

(3) Visual field examination. The field of vision examination measures the ability to detect objects to the right or left while looking straight ahead.

D. Road Test

The road test is administered to determine the applicant's actual ability safely to exercise ordinary and reasonable control in the operation of a motor vehicle as described in the Driver License Examination Manual and the Commercial Driver's Manual. The following requirements and restrictions apply to the road test:

(1) The road test must not be given until the applicant has successfully completed all other required tests.

(2) When appearing for the road test, the applicant must present the following items to the driver license examiner.

(a) The appointment form properly completed;

(b) A valid permit. An applicant with a valid operator's license is not required to present a permit provided the license does not prohibit operation of that vehicle;

(c) The accompanying operator's valid license. An applicant with a valid operator's license to operate that vehicle is not required to present an accompanying operator's license;

(d) The current registration certificate or registrations of the vehicle or vehicles to be used.

(3) Each applicant must furnish a properly equipped, safe vehicle within the class license for which application is made.

(a) If the driver license examiner finds the vehicle improperly equipped or unsafe for operation, the road test may be refused and will be rescheduled to a later date.

(b) If the vehicle is not in the class for which the application is made, the applicant may either be rescheduled or submit to the test. If the applicant submits to the test and qualifies, the license will be endorsed for the class of vehicle used.

(i) Applicants administered a commercial driver examination in a vehicle that has a gross vehicle weight rating of 26,000 pounds or less will be restricted to operation of vehicles of that weight rating.

(4) Unless authorized by the Secretary of State no passenger other than the driver and the driver license examiner or examiners are permitted in the vehicle during the road test.

(5) No pets are permitted in the vehicle during the road test.

(6) Driver license examiners are prohibited from using tricks, asking the applicant to do anything unlawful, or attempting to confuse or hurry the applicant during the road test.

2. ADOPTION OF FEDERAL REGULATIONS AS STATE RULES

Except as specifically exempted, 49 Code of Federal Regulations Part 383, Subparts B, E, F, G and H, as amended from time to time, are hereby adopted as the Secretary of State's rules governing applicants for commercial drivers licenses and are incorporated by reference into these rules. Subpart G includes the examination requirements contained in the Maine Driver License Examination Manual and the Commercial Driver's Manual.

(a) Exemptions. The following exemptions are made to 49 Code of Federal Regulations Part 383 and are not adopted as part of these rules.

(i) Part 383.71(a) (3);

(ii) Part 383.73(b)(4)(ii);

(iii) Part 383.75; and

(iv) Part 383.77 after March 31, 1992.

3. WAIVER

Unless in conflict with any state or federal statute, regulation or rule, any component of the driver license examination may be waived by the Secretary of State.

History

• STATUTORY AUTHORITY: 29 MRSA §§ 51 and 530-B
• EFFECTIVE DATE: May 7, 1979
• REPEAL AND REPLACE: November 19, 1991
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: December 14, 2000 - converted to MS Word, formatting
• APAO ACCESSIBILITY CHECK (Word): April 6, 2026

Chapter 6 Rules for the Suspension of Commercial Drivers Licenses

Code Me. R. 29-250 Ch. 6 Rules for the Suspension of Commercial Drivers' Licenses {#sec-29-250-ch.-6 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 6}

SUMMARY: These rules implement those provisions of the federal Commercial Motor Vehicle Safety Act of 1986 (Public Law 99-570, Title XII), Motor Carrier Safety Improvement Act of 1999 (Public Law 106-59), 113 Stat. 1748 and rules adopted thereto and the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism (USA Patriot Act) Act of 2001 (Public Law 107-56) and rules adopted thereto relating to the disqualification of persons from operating commercial motor vehicles upon conviction, adjudication, or administrative determination for specific traffic and other designated offenses. The adoption of these rules does not limit the authority of the Secretary of State to suspend or revoke a commercial driver's license for reasons not stated herein.

1. Purposes

The purposes of these rules are to implement the provisions of the federal Commercial Motor Vehicle Safety Act of 1986 (Public Law 99-570 Title XII) and Motor Carrier Safety Improvement Act of 1999 (Public Law 106-59), 113 Stat. 1748 and rules adopted thereto ; to reduce or prevent commercial motor vehicle accidents, fatalities and injuries by disqualifying persons who have committed serious traffic or other designated offenses from operating commercial motor vehicles; and to remove quickly from the public highways of this State those drivers of commercial motor vehicles who have shown themselves to be safety hazards by operating commercial motor vehicles while having 0.04 percent or more by weight of alcohol in the blood, failing to submit to and complete a test to determine the blood-alcohol level, or operating a commercial motor vehicle while under the influence of liquor or drugs. These rules also implement certain provisions of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism (USA Patriot Act) Act of 2001 (Public Law 107-56) and rules adopted thereto. To effectuate the purposes of these rules the Secretary of State shall participate in the National commercial driver’s license information system clearing house.

2. Definitions

For the purpose of these rules the following definitions apply:

A. Commercial driver's license means a license issued by this state or other jurisdiction to an individual which authorizes the individual to operate a class of commercial motor vehicle.

B. Chemical test means a test or tests used to determine blood-alcohol level or drug concentration by analysis of blood, breath or urine.

C. Commercial motor vehicle (CMV) means a motor vehicle or combination of motor vehicles that:

(1) Has a gross combination weight rating or a registered weight of 26,001 or more pounds, inclusive of a towed unit with a gross vehicle weight rating or gross weight of more than 10,000 pounds; or

(2) Has a gross vehicle weight rating or registered weight of 26,001 or more pounds;

(3) Is a bus; or

(4) Is in any vehicle weight class and used in the transportation of hazardous materials requiring placarding pursuant to 49 USC Section 5102 (2) [United States Code, 2000 Edition, Supplement 1] and related regulations in 49 CFR Sections 172.500 to 172.600 [Code of Federal Regulations, October 1, 2004 Edition] or any quantity of material listed as a select agent or toxin in 42 CFR Sections 73 to 73.2 [Code of Federal Regulations, October 1, 2004 Edition].

D. Controlled substance means any substance so classified pursuant to 21 USC Section 802 (6) [United States Code, 2004 Edition, Supplement 1, and includes all substances listed on Schedules I through V in 21 CFR Sections 1308.11 to 1308.15 [Code of Federal Regulations, April 1, 2005 Edition].

E. Conviction has the same meaning as that found in 49 CFR Section 383.5 [Code of Federal Regulations, October 1, 2004 Edition].

F. Drugs means scheduled drugs as defined in 17-A MRSA Section 1101 as amended through June 18, 2005. The term drugs includes any natural or artificial chemical substance that when taken into the human body, can impair the ability of the person to safely operate a motor vehicle.

G. Hazardous material has the same meaning as that found in 49 USC Section 5102 [United States Code, 2000 Edition, Supplement 1] and includes any quantity of material listed as a select agent or toxin in 42 CFR Sections 73 to 73.21 [Code of Federal Regulations, October 1, 2004 Edition].

H. Non-commercial motor vehicle (Non-CMV) means a motor vehicle or combination of motor vehicles not defined by the term “commercial motor vehicle (CMV)” by these rules.

I. Out-of-service order means a declaration by the Federal Motor Carrier Safety Administration, an authorized enforcement officer of a Federal, State, Canadian, Mexican, or local jurisdiction that a driver, a commercial motor vehicle, or a motor carrier operating, is out-of-­service pursuant to 49 CFR Sections 383.52, 392.5, 395.13, or 396.9 of [Code of Federal Regulations, October 1, 2004 Edition], or compatible laws, or the North American Uniform Out-of Service Criteria [Commercial Motor Vehicle Safety Alliance, North American Standard Out-Of-Service criteria, Revised April 1, 2005].

J. Railroad, grade, or track crossing violation means a conviction, adjudication or administrative determination that a person violated a federal, state or local law or regulation governing railroad, grade, or track crossings.

K. Serious traffic violation means:

(1) a conviction or adjudication for speeding 15 or more miles per hour above the speed limit.

(2) a conviction or adjudication for driving to endanger or reckless driving.

(3) a conviction or adjudication for following too closely.

(4) a conviction or adjudication for improper or erratic lane changes.

(5) a conviction or adjudication relating to motor vehicle traffic control (other than a parking violation) arising in connection with a fatal traffic accident.

(6) a conviction or adjudication for operating without a license, including operating without the proper class of license or proper endorsement.

(7) a conviction or adjudication for operating without having a license in immediate possession.

Serious traffic violations exclude vehicle weight and defect violations.

L. Under the influence of intoxicating liquor or drugs means being under the influence of alcohol, a drug other than alcohol, a combination of drugs , or a combination of alcohol and drugs.

3. Suspension on administrative determination for operating a commercial motor vehicle while having 0.04% or more by weight of alcohol in the blood

A. Suspension. Except where a longer period of suspension is otherwise provided by law, the Secretary of State shall suspend the commercial driver's license or permit to operate, privilege to operate a commercial motor vehicle and privilege to apply for or obtain a commercial driver's license of any person:

(1) As to whom there is received a record of conviction or adjudication for operating a commercial motor vehicle while having 0.04% or more by weight of Alcohol in the blood, while under the influence of intoxicating liquor or drugs, or with an excessive blood-alcohol level; or

(2) As to whom the Secretary of State determines has operated a commercial motor vehicle while having 0.04% or more by weight of alcohol in the blood.

B. Determination of Suspension. The Secretary of State shall make the determination of suspension required by section 3(A)(2) as follows.

(1) The Secretary of State shall make a determination on the basis of the information required in Section 3(C), and this determination is final unless a hearing is requested and held. If a hearing is held, the Secretary of State shall review the matter and make a final determination on the basis of the evidence received at the hearing.

(2) The determination of these facts by the Secretary of State is independent of the determination of the same or similar facts in the adjudication of any civil or criminal charges arising out of the same occurrence. The disposition of those civil or criminal charges does not affect any suspension issued pursuant to these rules.

C. Report by Law Enforcement Officer. A law enforcement officer shall forward a report to the Secretary of State as follows.

(1) A law enforcement officer who has probable cause to believe that any person operated a commercial motor vehicle while having 0.04% or more by weight of alcohol in the blood shall forward to the Secretary of State a report under oath of all information relevant to the incident including a statement of the officer's grounds for belief that the person was operating a commercial motor vehicle while having 0.04% or more by weight of alcohol in the blood and a certificate under 29-A MRSA Section 2431 of the results of any blood-alcohol tests by a self-contained breath‑alcohol testing apparatus which were conducted.

(2) The report required in Section 3(C)(1) shall be made on forms supplied by or approved by the Secretary of State.

(3) If the blood-alcohol test was not analyzed by a law enforcement officer, the person who analyzed the results shall cause a copy of the certificate under 29-A MRSA Section 2431 to be sent to the Secretary of State.

D. Period of Suspension. The period of suspension for a person determined to have operated a commercial motor vehicle while having 0.04% or more by weight of alcohol in the blood, while under the influence of intoxicating liquor or drugs, or with an excessive blood alcohol level is as follows.

(1) A one year suspension in the case of a person having no previous convictions for operating a commercial motor vehicle while under the influence of intoxicating liquor or drugs or with an excessive blood-alcohol level and no previous suspensions for failure to comply with the duty to submit to and complete chemical testing involving the operation of a commercial motor vehicle or for operating a commercial motor vehicle while having 0.04% or more by weight of alcohol in the blood. If the person was operating a commercial motor vehicle containing hazardous materials, the suspension must be for a period of three years.

(2) A permanent suspension in the case of a person having a previous conviction for operating a commercial motor vehicle while under the influence of intoxicating liquor or drugs or with an excessive blood-alcohol level or a previous suspension for failure to comply with the duty to submit to and complete chemical testing involving the operation of a commercial motor vehicle or for operating a commercial motor vehicle while having 0.04% or more by weight of alcohol in the blood. The reinstatement process described in paragraph 10, below, is not applicable for offenses described in this paragraph.

(3) For the purposes of these rules, a conviction, adjudication or suspension includes a conviction, adjudication or suspension obtained or issued pursuant to the laws, rules, or regulations of this state, any other state or province, and the federal government of the United States.

E. Implied Consent. A person who operates a commercial motor vehicle shall submit to a test to determine the blood-alcohol level or drug concentration by analysis of the blood or breath, if there is probable cause to believe the person has operated a commercial motor vehicle while having 0.04% or more by weight of alcohol in the blood or while under the influence of drugs. The provisions of 29‑A MRSA section 2523 apply.

F. Notice of Suspension. The notice of suspension by the Secretary of State shall be made as follows:

(1) Upon receipt of the information required in Section 3(C) of these rules, the Secretary of State shall make the determination described in Section 3(A)(2). If the Secretary of State determines that the person is subject to license suspension, the Secretary of State shall immediately issue a notice of suspension.

(2) The notice of suspension must be sent in accordance with 29-A MRSA Section 2482 or to the address provided in the report of the law enforcement officer if that address differs from the address of record. The notice is deemed received 3 days after mailing, unless returned by postal authorities.

(3) The notice of suspension must clearly specify the reason and statutory grounds for the suspension, the effective date of the suspension, the right of the person to request a hearing, the procedure for requesting a hearing and the date by which the request for a hearing must be made. The notice of suspension must also clearly state that a copy of the report of the law enforcement officer and the blood-alcohol test certificate will be provided to the person upon request to the Secretary of State.

G. Effective date and period of suspension. The effective date and period of suspension are determined as follows.

(1) Any suspension imposed must be effective on a specified date not less than 10 days after the mailing of the notification of suspension by the Secretary of State. A suspension served in hand may become effective when served. If a person whose license is suspended desires to have a hearing, the person shall notify the Secretary of State, in writing, within 10 days from the effective date of suspension. If within ten days from the effective date of the suspension, the Secretary of State receives a written request for a hearing for a suspension issued pursuant to section 3(A)(2), the suspension must be stayed until a hearing is held and a decision is issued. Notwithstanding this subsection, there may be no stay of suspension during the period of any delay in hearing which is caused or requested by the petitioner.

(2) When a person's commercial driver's license is suspended pursuant to these rules and is also suspended after having been adjudicated or convicted on charges arising out of the same occurrence for a violation of 29-A MRSA Section 2411 or 15 MRSA section 3103(l)(F), the period of time that person's commercial driver's license has been suspended under this section prior to the adjudication or conviction must be deducted from the period of time of any suspension of the commercial driver's license ordered by the court or imposed by the Secretary of State.

H. Request for hearing. A person who has received notice of suspension issued pursuant to Section 3(A)(2) may request a hearing as follows.

(1) A person who has received a notice of suspension may make a written request for a review of the determination of the Secretary of State at a hearing.

(2) The request for a hearing must be made within 10 days from the effective date of the suspension. If a written request for a hearing is made after the 10-day period and the Secretary of State finds that the person was unable to make a timely request due to lack of actual notice of the suspension or due to factors of physical incapacity, the Secretary of State shall waive the period of limitation, reopen the matter and grant the hearing request, except, in such a case, a stay of suspension pending the hearing shall not be granted.

I. Hearing. The hearing and notice shall be as follows.

(1) The hearing and notice shall be as provided in 29-A MRSA Sections 2483, 2484, and 2485.

(2) The scope of the hearing shall include whether, by a preponderance of the evidence:

(a) There was probable cause to believe that the person was operating a commercial motor vehicle while having 0.04% or more by weight of alcohol in the blood;

(b) The person operated a commercial motor vehicle; and

(c) At the time the person had 0.04% or more by weight of alcohol in the blood.

(3) A certificate duly signed and sworn to pursuant to 29-A MRSA Section 2431 shall be admissible in evidence as prima facie proof of facts stated therein and that the person taking a specimen of blood, breath or urine was authorized by 29-A MRSA Section 2431, that the equipment, chemicals and other materials used in the taking of the blood or urine specimen or breath sample were of a quality appropriate for the purpose of producing reliable test results, that any equipment, chemicals or materials required by 29-A MRSA Section 2431, to be approved by the Department of Health and Human Services were in fact approved, that the sample tested by the person certified under 29-A MRSA Section 2431, was in fact the same sample taken and that the percentage by weight of alcohol in the blood was, at the time the blood, breath or urine sample was taken, as stated in the certificate.

(4) If it is determined after hearing that there was not the requisite probable cause for blood-alcohol test administration or that the person did not operate a commercial motor vehicle while having 0.04% or more by weight of alcohol in the blood, the suspension shall be removed immediately and the Secretary of State shall delete any record of the suspension.

(5) Any person whose license is suspended under this section on the basis of blood-alcohol test may, within 30 days after receipt of the decision, appeal to the Superior Court for judicial review, as provided in Title 5, sections 11001 to 11008. The suspension imposed shall remain in effect during the time an appeal is pending unless the court orders otherwise. If the court rescinds the suspension, the Secretary of State shall delete any record of the suspension.

J. Restoration of commercial driver's license. Following the expiration of the aggregate periods of suspension imposed pursuant to these rules, otherwise imposed by the Secretary of State, or ordered by any court, the Secretary of State may issue a commercial driver's license to the person, subject to the conditions, restrictions or terms the Secretary of State deems advisable, if the Secretary of State has received written notice that the person has satisfactorily completed the alcohol and other drug education, evaluation and treatment program administered by the Department of Health and Human Services.

4. Suspension of commercial driver's licenses on conviction or adjudication

A. Except where a longer period of suspension is otherwise provided by law, the Secretary of State shall suspend for a period of at least one year the commercial driver's license or permit to operate, privilege to operate a commercial motor vehicle and privilege to apply for or obtain a commercial driver's license of any person as to whom there is received a record of conviction or adjudication for:

(1) leaving the scene of an accident involving a commercial motor vehicle operated by the person;

(2) a Class A, Class B, Class C crime, or any other crime that is punishable by death or imprisonment for a term exceeding one year, the commission of which involved the use of a commercial motor vehicle;

(3) operating a commercial motor vehicle while under the influence of a controlled substance.

(4) operating a commercial motor vehicle after the person’s license has been suspended, revoked, cancelled or withdrawn for violations while operating a commercial motor vehicle; or

(5) causing a fatality by the negligent or criminal operation of a commercial motor vehicle.

B. Hazardous materials. If the person was operating a commercial motor vehicle containing hazardous materials at the time of the commission of the offenses listed in Section 4(A), the suspension shall be for a period of at least three years.

C. The Secretary of State shall suspend permanently the commercial driver's license or permit to operate, privilege to operate a commercial motor vehicle and right to apply for or obtain a commercial driver's license of any person as to whom there is received a record of a second or subsequent conviction or adjudication for any combination of offenses or suspensions listed in sections 3 and 4(A) and 29-A MRSA § 2523. Reinstatement from a permanent suspension may be requested in accordance with paragraph 10, below.

D. Drug offenses. The Secretary of State shall suspend permanently the commercial driver's license or permit to operate, privilege to operate a commercial motor vehicle and right to apply for or obtain a commercial driver's license of any person as to whom there is received a record of conviction or adjudication for a Class A, Class B, or Class C crime or any other crime that is punishable by death or imprisonment for a term exceeding one year, the commission of which involved the use of a commercial motor vehicle in the manufacturing, distributing, or dispensing a controlled substance, or possession with intent to manufacture, distribute, or dispense a controlled substance. Reinstatement from a permanent suspension may be requested in accordance with paragraph 10, below.

E. Falsity on Application. The Secretary of State shall suspend for a period of at least 60 days the commercial driver's license or permit to operate, privilege to operate a commercial motor vehicle and privilege to apply for or obtain a commercial driver's license of any person as to whom there is received a record of conviction or adjudication pursuant to 29-A MRSA Section 2103 which involved the application for a commercial driver's license.

5. Suspension of commercial driver's license on conviction or adjudication for multiple serious traffic violations

A. Except where a longer period of suspension is otherwise provided by law, the Secretary of State shall suspend for a period of at least sixty days the commercial driver's license or permit to operate, privilege to operate a commercial motor vehicle and privilege to apply for or obtain a commercial driver's license of any person as to whom there is received a record of two convictions or adjudications for serious traffic violations, as defined by Section 2(K), that were committed within a three year period while operating a commercial motor vehicle.

B. Except where a longer period of suspension is otherwise provided by the law, the Secretary of State shall suspend for a period of at least 120 days the commercial driver's license or permit to operate, privilege to operate a commercial motor vehicle and privilege to apply for or obtain a commercial driver's license of any person as to whom there is received a record of three convictions or adjudications for serious traffic violations, as defined by Section 2(K), that were committed within a three year period while operating a commercial motor vehicle.

6. Suspension of commercial driver's license on conviction or adjudication for violation of an out-of-service order

A. Except where a longer period of suspension is otherwise provided by the law, the Secretary of State shall suspend for a period of at least 90 days the commercial driver's license or permit to operate, privilege to operate a commercial motor vehicle and privilege to apply for or obtain a commercial driver's license of any person as to whom there is received a conviction or adjudication for a violation of an out-of-service order that was committed while operating a commercial motor vehicle, or motor vehicle with a gross vehicle weight rating or gross combination weight rating of 10,001 or more pounds.

B. Except where a longer period of suspension is otherwise provided by the law, the Secretary of State shall suspend for a period of at least one year the commercial driver's license or permit to operate, privilege to operate a commercial motor vehicle and privilege to apply for or obtain a commercial driver's license of any person as to whom there is received a record of two convictions or adjudications for violations of out-of-service orders that were committed within a ten year period while operating a commercial motor vehicle, or motor vehicle with a gross vehicle weight rating of gross combination weight rating of 10,001 or more pounds.

C. Except where a longer period of suspension is otherwise provided by law, the Secretary of State shall suspend for a period of at least three years the commercial driver's license or permit to operate, privilege to operate a commercial motor vehicle and privilege to apply for or obtain a commercial driver's license of any person as to whom there is received a record of three or more convictions or adjudications for violations of out-of-­service orders that were committed within a ten year period while operating a commercial motor vehicle or motor vehicle with a gross vehicle weight rating or gross combination weight rating of 10,001 or more pounds.

D. Except where a longer period of suspension is otherwise provided by the law, the Secretary of State shall suspend for a period of at least 180 days the commercial driver's license or permit to operate, privilege to operate a commercial motor vehicle and privilege to apply for or obtain a commercial driver's license of any person as to whom there is received a conviction or adjudication for a violation of an out-of-service order that was committed while operating a commercial motor vehicle or a motor vehicle with a gross vehicle weight rating or gross combination weight rating of 10,001 or more pounds containing hazardous materials..

E. Except where a longer period of suspension is otherwise provided by the law, the Secretary of State shall suspend for a period of at least three years the commercial driver license or permit to operate, privilege to operate a commercial motor vehicle and privilege to apply for or obtain a commercial driver's license of any person as to whom there is received a record of two or more convictions or adjudications for violations of out-of-service orders that were committed within a ten year period while operating a commercial motor vehicle or motor vehicle with a gross vehicle weight rating or gross combination weight rating of 10,001 or more pounds containing hazardous materials.

7. Suspension of commercial driver’s license on conviction or adjudication for a railroad, grade, or track crossing violation

A. Except where a longer period of suspension is otherwise provided by law, the Secretary of State shall suspend for a period of at least 60 days the commercial driver’s license or permit to operate, privilege to operate a commercial motor vehicle and privilege to apply for or obtain a commercial driver’s license of any person as to whom there is received a conviction or adjudication for a railroad, grade, or track crossing violation that was committed while operating a commercial motor vehicle.

B. Except where a longer period of suspension is otherwise provided by the law, the Secretary of State shall suspend for a period of at least 120 days the commercial driver’s license or permit to operate, privilege to operate a commercial motor vehicle and privilege to apply for or obtain a commercial driver’s license of any person as to whom there is received a record of two convictions or adjudications for railroad, grade, or track crossing violations that were committed within a three year period while operating a commercial motor vehicle.

C. Except where a longer period of suspension is otherwise provided by law, the Secretary of State shall suspend for a period of one year the commercial driver’s license or permit to operate, privilege to operate a commercial motor vehicle and privilege to apply for or obtain a commercial driver’s license of any person as to whom there is received a record of three or more convictions or adjudications for railroad, grade, or track crossing violations that were committed within a three year period while operating a commercial motor vehicle.

8. Suspension of commercial driver’s license on conviction or adjudication of offenses committed while operating Non-CMVs

A. A conviction, adjudication or suspension for an offense or conduct described in these rules, state or federal statute or rules committed by a person who has been issued a commercial driver’s license or permit while operating a Non-CMV must be treated the same as if the offense or conduct occurred while operating a CMV, provided the conviction, adjudication or conduct results in the revocation, cancellation or suspension of the person’s commercial or non-commercial driver’s license.

B. Paragraph A applies to conduct and offenses occurring after September 29, 2005.

9. USA Patriot Act. The Secretary of State shall suspend or refuse to issue a commercial driver’s license or endorsement of any person who is required to comply with the requirements and conditions of the Act and fails to do so.

10. Reinstatement of a commercial driving license from lifetime disqualification after 10 years

A. The Secretary of State may reinstate any eligible commercial driver disqualified for life based on offenses described in paragraphs (b)(1) through (8) of Table 1 to 49 CFR Section 383.51 after 10 years, if that person has voluntarily entered and successfully completed the appropriate rehabilitation program described in this section.

B. Only drivers who possessed a commercial driving license issued by the Maine Bureau of Motor Vehicles at the time of lifetime disqualification may apply under the provisions of this section.

C. Drivers Disqualified for Life as a Result of non-OUI Offenses (Rows 5-8 of Table 1, 49 CFR, Section 383.51).

Eligibility Criteria. To be eligible under this paragraph, an applicant must meet the requirements of 49 CFR Section 383.51 and must:

(a) Not have received any convictions in a commercial motor vehicle within 10 years of application submission.

(b) Not have received any criminal convictions in a non-commercial motor vehicle within 5 years of application submission.

(c) Not have received any convictions in a non-commercial motor vehicle that would otherwise trigger commercial driving license suspension per 49 CFR 383.51(b) within 5 years of application submission.

(d) Possess an active Maine Class C non-commercial driver’s license.

Rehabilitation Requirements. An applicant must submit with their application:

(a) Certificate of Completion of the National Safety Council’s Defensive Driving Professional Truck Driving Course (4-hour duration) within 180 days of application.

(b) Reinstatement fees consistent with M.R.S.A. 29-A, section 2486, sub. 1 or 1-A as appropriate.

Maine BMV will verify the applicant is not listed as ‘prohibited’ in the Drug and Alcohol Clearinghouse when reviewing the application.

D. Drivers Disqualified for Life as a Result Offenses Related to Operation Under the Influence (Rows 1-4 of Table 1, 49 CFR, Section 383.51) on any of the major offenses aggregated to reach the lifetime disqualification determination.

(1) Eligibility Criteria. To be eligible under this paragraph, an applicant must meet the requirements of paragraph C (1) (a-e) above, and must:

(a) Not have received any administrative or criminal convictions for operating under the influence in a non-commercial motor vehicle within 5 years of application submission.

(2) Rehabilitation Requirements. An applicant must submit with their application the items listed in paragraph C (2) ((a-b) above, and:

(a) Drug Education and Evaluation Program (DEEP) Certificate of Completion from the Maine Department of Health and Human Services (DHHS) dated within 180 days of application.

E. A driver reinstated under this program must also complete all examination requirements per MRSA 29-A, Chapter 11: Driver’s License before the commercial driver’s license and any accompanying endorsements will be awarded.

F. Request for hearing.An applicant who is denied reinstatement may make a written request for a hearing to review the determination of the Secretary of State. The request must be made within 10 days from notification that an application was denied. Hearings will be conducted per M.R.S.A. 29-A, Section 2483.

G. A driver reinstated under this program shall not be licensed or endorsed to operate any class of schoolbus.

There will be no fiscal impact to municipalities resulting from the adoption of these amendments.

History

• STATUTORY AUTHORITY: 29-A MRSA §1253
• EFFECTIVE DATE: November 5, 1990
• AMENDED: October 10, 1995
• NON-SUBSTANTIVE CORRECTION: March 5, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTION: December 14, 2000 - converted to MS Word, formatting
• AMENDED: August 10, 2005 – filing 2005-323
• AMENDED: December 17, 2024 – filing 2024-271
• AMENDED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025
• APAO ACCESSIBILITY CHECK (Word): April 6, 2026

Chapter 7 Rules for the Suspension of Licenses for Failure to Comply with Child Support Orders

Code Me. R. 29-250 Ch. 7 Rules for the Suspension of Licenses for Failure to Comply with Child Support Orders {#sec-29-250-ch.-7 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 7}

Summary: These rules implement the provisions of 19-A MRSA §2202 and 29-A MRSA §§ 2459 and 2459-A which require the Secretary of State to suspend the driver permits and licenses of an individual whom the Commissioner of Health and Human Services or the Penobscot Nation certifies is not in compliance with a child support order.

1. Purposes. The purpose of these rules is to implement the provisions of 19-A MRSA §2202 and 29-A MRSA §§ 2459 and 2459-A which require the Secretary of State to suspend the driver permits and licenses of individuals whom the Commissioner of Health and Human Services or the Penobscot Nation certifies are not in compliance with child support orders. The rules establish permit and license suspension and restoration requirements and set conditions for the issuance of temporary driver's licenses.

2. Definitions. For the purpose of these rules the following definitions apply:

A. Commissioner of Health and Human Services means the Commissioner of Health and Human Services, a designee or an authorized representative.

B. Compliance with an order of support has the same meaning as found in §2101, subsection 2 of Title 19-A, Maine Revised Statutes Annotated .

C. Order of support has the same meaning as found in §2101, subsection 13 of Title 19-A, and §2459-A, subsection 1C of Title 29-A Maine Revised Statutes Annotated .

D. Driver's license has the same meaning as license as defined in §101(31) of Title 29-A, Maine Revised Statutes Annotated .

E. Secretary of State means the Secretary of State, a designee or an authorized representative.

F. Penobscot Nation means the Penobscot Nation Tribal Court, a designee or an authorized representative.

3. Compliance with child support orders. The privilege of an individual to possess or apply for a driver's license or permit is conditioned on compliance with child support orders.

4. Certification of noncompliance with child support orders. The Secretary of State shall suspend the driver's license, permit or privilege to apply for such a license or permit of any individual whom the Commissioner of Health and Human Services or the Penobscot Nation certifies, in writing, is not in compliance with child support orders. An individual whose driver's license or permit is suspended may file a petition for review with the Superior Court within 30 days from receipt of the notice of driver's license or permit suspension to challenge the action.

5. License or permit reinstatement. Unless the driver's license or permit suspension is rescinded by a court, the Secretary of State may terminate the suspension upon receipt of a written release from the Commissioner of Health and Human Services or the Penobscot Nation stating that the individual is in compliance with child support orders; the individual's license or permit is not suspended for any other reason; and the individual pays any applicable reinstatement fees to the Secretary of State.

6. Temporary Driver's License

A. Conditional release. The Secretary of State may issue a temporary driver's license with or without restrictions, which may not exceed 120 days, to an individual whose driver's license is suspended upon receipt of a conditional release from the Commissioner of Health and Human Services or the Penobscot Nation.

B. Relevant Information. In deciding whether to issue a temporary driver's license the Secretary of State may consider relevant factors, including but not limited to: the hardship resulting from the driver's license suspension, the existence of alternative means of transportation, the needs of the individual, the past driving record of the individual and public safety. Application for a temporary driver's license must be made on a form provided or approved by the Secretary of State.

C. Hearing. If a temporary driver's license is not granted, the individual may make a written request for an administrative hearing before the Secretary of State to show cause why a temporary license should be issued.

There will be no fiscal impact to municipalities as the result of the adoption of this rule.

History

• STATUTORY AUTHORITY: 29 MRS §791(5)
• EFFECTIVE DATE: March 14, 1994
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTION: December 14, 2000 - converted to MS Word, formatting
• AMENDED: April 19, 2017 – filing 2017-062
• APAO ACCESSIBILITY CHECK (Word): April 6, 2026

Chapter 8 Rules for Ignition Interlock DevicesAttachment (PDF): Model Specifications for Breath Alcohol Ignition Interlock Devices (in pdf format)

Code Me. R. 29-250 Ch. 8 Rules for Ignition Interlock Devices {#sec-29-250-ch.-8 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 8}

SUMMARY: These rules implement the provisions of 29-A MRSA §2508 which allows the Secretary of State to reinstate the driver’s license of a person convicted of an OUI offense prior to the expiration of the total period of suspension if the person installs an approved ignition interlock device in the motor vehicle the person operates and satisfies all other conditions for license reinstatement.

§1. Purpose.

The purpose of this rule is to implement the provisions of 29-A MRSA §2508 which authorizes the Secretary of State to reinstate the driver’s license of a person convicted of an OUI offense prior to the expiration of the total period of suspension if the person satisfies all other restoration requirements and installs an ignition interlock device approved by the Secretary of State in the motor vehicle the person operates. The rule establishes testing, certification and installation requirements for ignition interlock devices and sets out conditions for the early restoration of driver’s licenses for persons convicted of an OUI offense.

§2. Definitions.

For the purposes of these rules, the following definitions apply:

1. Alcohol setpoint means the minimum alcohol concentration at which an ignition interlock device is set to lock a motor vehicle’s ignition. That level is .025% BAC in Maine.

2. Certified laboratory means a laboratory certified by the Department of Health, Department of Human Services, or Department of Health and Human Services of any state, which is properly equipped and staffed to conduct laboratory tests of ignition interlock devices to ensure the devices meet National Highway Traffic Safety Administration guidelines.

3. Health and Environmental Testing Laboratory means the Health and Environmental Testing Laboratory of the State of Maine, Department of Health and Human Services.

4. Ignition Interlock Device means ignition interlock device as defined by 29-A MRSA §2401(5-A).

5. Installer means an individual, business or other entity identified by a manufacturer of an approved ignition interlock device as the manufacturer's official representative for the installation, maintenance, monitoring and repair of the devices, and includes agents and employees of the manufacturer.

6. License means license as defined by 29-A MRSA §101(31).

§3. Certification of manufacturers of ignition interlock devices

1. Certification required. No ignition interlock device may be leased, sold, installed or used as part of the program outlined in 29-A MRSA §2508 unless the model or type of device has been approved by the Secretary of State in accordance with the provisions of this rule.

2. Application for certification

A. General. A manufacturer may apply for certification of a device by submitting an application to the Secretary of State as set out below. A separate application is required for each model or type of device for which approval is sought. A manufacturer must certify that the device:

(1) Does not impede the safe operation of a vehicle;

(2) Minimizes opportunities to bypass;

(3) Performs accurately and reliably under all normally anticipated circumstances;

(4) Satisfies the requirements for certification set forth in this rule, and;

(5) Prevents a person from starting a vehicle when the person has a prohibited alcohol concentration.

B. Required information. An application for certification must include all of the following information:

(1) The name, address, telephone number and email address of the manufacturer of the device.

(2) The name and model number of the device.

(3) A detailed description of the device including the complete written instructions provided to installers for installation, operation, service, repair and removal of devices.

(4) Complete technical specifications describing the device’s accuracy, reliability, security, data collection and recording, tamper prevention and detection, and environmental features.

(5) A complete and true copy of data from an independent certified laboratory demonstrating that the device meets or exceeds the minimum federal standards contained in the “Model Specifications for Breath Alcohol Ignition Interlock Devices” adopted by the National Highway Traffic Safety Administration in a Notice in the Federal Register, Vol. 78, No. 89, Wednesday May 8, 2013 (effective May 8, 2014), a copy of which is attached to this rule and adopted as part of this rule.

(6) A certification from an officer of the laboratory or a certified laboratory technician whom tested the device stating the device was tested in accordance with the federal standards and the device was found to satisfy the requirements of Sections 2 C and 2 D of the “Model Specifications…”.

(7) A complete listing of the number, location and type (fixed-site or mobile) of all authorized installers located in the State of Maine, where the device may be purchased, installed, serviced, repaired, calibrated, inspected and monitored, including the contact name, location, telephone number, and hours of operation; the relationship between the manufacturer and installer; and the plan for providing service within 100 miles or two hours, whichever is less, of any restricted driver’s residence or place of business or employment. Manufacturers must notify the Secretary of State in writing, within 10 days, of changes in status of any of the authorized installers or future additions or deletions to the list of installers.

(8) A certificate from an insurance company licensed or authorized to do business in Maine evidencing that the manufacturer holds product liability insurance with minimum liability limits of $1,000,000 per occurrence. The policy must provide coverage on a per occurrence basis, and must include coverage for defects in product design and materials, manufacturing, calibration, installation and removal of devices. The certificate must include a statement from the insurance company that 30 days written notice will be given to the Bureau of Motor Vehicles prior to the cancellation of insurance.

(9) The manufacturer’s plan to provide financial assistance to those restricted drivers demonstrating financial hardship. The plan must provide for a reduction of the cost, inclusive of the total of all fees and charges assessed to the driver, of at least 50%. Financial hardship is demonstrated by presentation of a person’s most recent federal income tax return showing an adjusted gross household income below the poverty guidelines for the tax year by the United States Department of Health and Human Services for the person’s family size.

(10) Bond. A bond from a surety company authorized to transact business in the State of Maine for the benefit of, and made payable to, the Department of the Secretary of State, Bureau of Motor Vehicles in the amount of $25,000 to ensure faithful compliance with this rule. The bond must be filed with the Bureau of Motor Vehicles within ten days after the manufacturer receives certification approval.

(11) Indemnification statement. A signed statement that the manufacturer must indemnify and hold the State of Maine and the Department of the Secretary of State and his officers, employees and agents from all claims, demands and actions as a result of damage or injury to persons or property which may arise, directly or indirectly, out of any act or omission by the manufacturer relating to the installation, service, repair, use and removal of a device.

3. Effect of representations made on application for certification. The representations made by a manufacturer on the application for certification become conditions to the certification when the certification is approved by the Secretary of State. The failure of a manufacturer to comply with those conditions may result in the suspension or revocation of the certification as provided by Section 3(6).

Additional testing. The Secretary of State may have the laboratory test results reviewed by the State of Maine Health and Human Services, Environmental Testing Laboratory and may require the manufacturer to furnish three units of a device of the same model or type for which certification is being sought from normal production to the State for further testing to determine whether the device meets the requirements for certification. The Secretary of State may require manufacturers to install up to five devices on vehicles approved by the Secretary of State to field test the devices.

5. Action on application. The Secretary of State shall certify, or refuse to certify, a device after receipt of a complete application and after the device is successfully field tested, if such testing is required. The manufacturer will be notified within 15 days of receipt of the application if the application is incomplete, and the manufacturer will be informed of what information or documents are needed to complete the application.

6. Denial, suspension or revocation of certification. The Secretary of State may deny, suspend, or revoke certification of a manufacturer or device for any of the following reasons:

A. Defects in design, materials, or workmanship causing repeated failures of a device to function as intended.

B. Termination or cancellation of a manufacturer’s liability insurance or bond.

C. The manufacturer ceases to manufacture ignition interlock devices.

D. Voluntary request by a manufacturer to cancel approval of a device.

E. Violation by a manufacturer, vendor, installer, service provider or agent, employee or independent contractor of any provisions of this rule or conditions to the certification.

F. Providing materially false or inaccurate information relating to a device’s performance standards by the manufacturer or certifying laboratory.

G. Modification or alteration of the components, design, or installation and operation instructions in such a way that the requirements of the minimum federal standards are no longer satisfied, unless the modifications have already been certified.

7. Effective date of suspension or revocation. A suspension or revocation is effective 10 days after notification is sent to the manufacturer by regular mail or such later date as may be specified in the notice. The notice must specify the basis for the action.

8. Right to hearing. A manufacturer whose application for certification is denied or whose certification is suspended or revoked may request an administrative hearing before the Secretary of State. The hearing will be held pursuant to 29-A MRSA §§ 111 and 112 and Chapter 2 of the rules of the Secretary of State. The issue at the hearing is whether, by a preponderance of the evidence, the manufacturer can show cause why the decision of the Secretary of State should not be upheld.

9. Removal and replacement of devices on suspension or revocation. Within 90 days of the event of suspension or revocation of certification, the manufacturer is responsible for and must bear the cost for the removal of any and all decertified devices and the replacement with a certified device whether their own or another certified manufacturer’s device.

10. Notice of modifications and alterations. A manufacturer must notify the Secretary of State immediately, in writing, of any material modification or alteration in the components, design or installation and operating instructions of any device approved for use in this state, and must provide the Secretary of State satisfactory proof (to include retesting by an independent laboratory, if required) prior to sale or distribution of the altered or modified device that these modifications or alterations do not adversely affect the ability of the device to satisfy the requirements of the minimum federal standards contained in the “Model Specifications for Breath Alcohol Ignition Interlock Devices” adopted by the National Highway Traffic Safety Administration. Any device with a material modification or alteration must be re-approved by the Secretary of State.

§4. Standards and specifications for ignition interlock devices

Federal standards. All ignition interlock devices must meet or exceed the standards established by the U.S. Department of Transportation, National Highway Traffic Safety Administration, identified as “Model Specifications for Breath Alcohol Ignition Interlock Devices” 78 Fed. Reg. 89, pp. 26862-26867.

Sufficient breath sample. The device must indicate by audible or visual means when a sufficient breath sample has been collected and indicate the result by a pass/fail signal.

Preventing starting of a vehicle. The device must prevent a driver from starting the vehicle when a breath test detects a BAC of .025 or greater and when a driver fails to appear for a scheduled service or violations service within the five day warning period.

Violation reset. Whenever the device’s service reminder is activated by a violations reset feature the device must place the vehicle in a permanent lock out condition after five days.

Random retest feature. A random retest feature is required for all devices. The device must require the driver to submit to a random retest within a variable interval ranging from five to fifteen minutes after a driver has passed an initial breath test and started the vehicle. An audible or visual warning must alert the driver of the retest and the driver will have ten minutes to take the random retest. If the driver fails to submit to the retest within ten minutes or the device detects a BAC of .025 or greater, the horn will sound repeatedly until the vehicle is turned off. Once the vehicle is turned off, the device must not allow the driver to restart the vehicle within three minutes without taking an initial breath test. If the vehicle is turned off or accidentally stalls after or during the warning of an impending random retest, but before the driver takes the random retest, the device must prevent the driver from starting the vehicle without taking an initial breath test.

A device must be programmed to allow a maximum of three attempts to provide a breath sample on a retest within a ten minute period.

7. A device must record data in its memory in such a manner that data cannot be erased and a hard copy can be printed. The data recorder must be incorporated into a module that cannot be detached and must have a backup system to protect the security of all recorded data in the event the power supply to the device is interrupted or the sample head is disengaged or disconnected. The following information must be stored in the data recorder:

A. The date and time of any use or attempted use of a vehicle.

B. The date and time of any attempt to tamper, circumvent or bypass the device.

C. The date, time and alcohol concentration, in grams per 210 liters, of each breath sample provided to the device.

D. The date and time of any malfunctions of the device.

E. The date and time of any failures to provide retest samples.

F. The date that a “service required” message is issued to the customer.

G. The date that any service is performed.

8. Information provided to driver. A device must provide all of the following information to a driver.

A. The device’s readiness for acceptance of a breath sample.

B. A reminder, seven days prior to a scheduled service date followed by a warning to obtain service within five days.

9. Permanent lockout feature. The device must place the vehicle in a permanent lockout state, if any of the following conditions occur:

A. Three or more breath samples have an alcohol concentration at or above the alcohol setpoint,

B. The device detects tampering, circumvention or bypass attempts,

C. Three refusals to provide a retest sample,

D. A scheduled service date is missed, or

E. Service is not obtained within five days of the service reminder.

10. Anti-tampering. A manufacturer shall ensure that a device has adequate electronic anti-tampering features which include the following:

A. A device must retain its tamper detection capabilities when disconnected from the vehicle’s power supply, or record that it was disconnected.

B. A device must retain its data memory when disconnected from the vehicle’s power supply.

C. When a device detects a condition that would be considered tampering, the device must activate a visual and audible indicator.

§5. Installers of ignition interlock devices

1. Manufacturer responsibilities

A. A manufacturer must provide the following information to the Secretary of State:

(1) a copy of the standard agreement between the manufacturer and installer,

(2) a copy of the standard agreement between the installer/manufacturer and the driver of the vehicle in which the device is installed,

(3) the toll free telephone number which the manufacturer provides the public to contact authorized installers, and

(4) the fee schedule listing the costs assessed to a driver for installation of the device, monthly leasing of the device, scheduled service visit, violations service visit, and removal of the device.

B. A manufacturer must ensure installers:

(1) meet the conditions established in Sections 5, 6, 7 and 8.

(2) possess and maintain all necessary training and skills required to install, examine, troubleshoot, and verify proper operation of devices.

(3) possess the tools, test equipment and manuals needed to install, inspect, download, calibrate, repair, maintain, service and remove devices.

(4) provide the restricted driver and all persons who will use the vehicle with written and hands on training in how to operate a vehicle equipped with the device, including

1. care, cleaning and maintenance,
2. identification of vehicle malfunctions and repairs affecting the device and procedures for addressing them, and
3. a 24-hour emergency telephone number for assistance in the event a device fails to operate properly or a vehicle experiences a problem relating to the installation, operation or failure of a device. Assistance must include technical information, tow service, and/or road service. Emergency assistance related to the failure of a device must be provided within two hours for vehicles located in or near an area with an installation facility. The device must be made functional within 48 hours from when the call for assistance is received or the device must be replaced.

(5) maintain established business hours with an installer available during those hours.

(6) conduct business from an enclosed building with a separate waiting area for customers. If installation is done by a mobile unit, the customer must have a separate, enclosed waiting area available. The business premises and mobile units are subject to announced and unannounced inspection by the Bureau of Motor Vehicles.

2. Requirements for persons employed to install ignition interlock devices

3. Professional character and reputation. A person employed as an installer must be of sound and reputable business character and may be required to furnish letters of reference attesting to the person’s good business reputation in the community.

4. Criminal convictions, not including traffic offenses. A person may not be employed as an installer when the person has been convicted of the following category of crimes: 1. A class A, B or C crime as defined by Maine statute; or 2. Any crime described in 17-A MRSA Chapters 11, 12, 19, 25, and 37.

5. Criminal convictions for major traffic offenses. A person may not be employed as an installer when the person has been convicted for a major traffic offense unless the conviction occurred more than 10-years prior to the date the person is employed as an installer. Major traffic offenses are those listed in 29-A MRSA Section 2551-A(1)(A)(1)-(4) and (6)-(12).

D. Other criminal convictions not included in paragraph B or C. A person may not be employed as an installer when the person has been convicted for a class D or E crime as defined by Maine statute unless the conviction occurred more than five years prior to the date the person is employed as an installer.

Criminal convictions included. The convictions described in paragraphs B, C, and D include convictions for offenses pursuant to federal law and laws of other jurisdictions, provided the elements of the crimes and the authorized range of sentences are substantially similar to the Maine offenses.

Manufacturer responsibility. A manufacturer must obtain a criminal history record check to ensure an installer meets the requirements of this section.

Installer’s duty to report convictions. An installer convicted for an offense described in this rule must notify the manufacturer within five days of the date the conviction occurred.

Approval of installers. Persons employed as installers are subject to the approval of the Bureau of Motor Vehicles.

§6. Installation, monitoring, servicing and removal of ignition interlock devices

1. Installation

A. Timeliness. A device must be installed within 14 days of the request from a person approved by the Bureau of Motor vehicles for installation of a device. An installer must provide proof of installation, including the information required in Section 7B, to the Bureau of Motor Vehicles electronically within 24 hours of the installation.

B. Security. Only installers, manufacturers and representatives of the Bureau of Motor Vehicles may observe the installation and removal of devices. Reasonable security measures must be taken to prevent access by unauthorized persons to devices, and the written materials and hardware and software associated with the devices.

C. Examination of vehicle. An installer shall examine each vehicle before installing the device. The examination must include screening procedures to ensure the vehicle in which the device is to be installed is in a mechanical and electrical condition that will allow the device to meet the specifications contained in these rules. Conditions that the manufacturer has determined would prevent the device from meeting the specifications must be repaired before the device is installed. The person seeking installation is responsible for the costs of any repairs to the vehicle.

D. Functional test. After a device is installed, the vehicle and device must be inspected to ensure that the installation was performed properly, the device is working as required and the device does not interfere with the normal operation of the vehicle.

E. Certificate of installation. An installer must provide a certificate of installation to the person. The certificate must include the information required by Section 7B. The person may present a copy of this certificate to the Bureau of Motor Vehicles when applying for a license pursuant to 29-A MRSA Section 2508.

F. Warning label. A warning label, approved by the Bureau of Motor Vehicles, must be affixed to installed devices. The warning label must contain the following information: “WARNING”- A person removing, tampering with, disconnecting or otherwise circumventing this device may be subject to criminal and civil penalties. 29-A MRSA Section 2508.

2. Monitoring and servicing

Specifications. An installer must follow the requirements established by this rule and the manufacturer’s specifications for service monitoring, service and repair.

B. Schedule of service. A device must be scheduled for service 30 days after initial installation and thereafter at intervals not to exceed 60 days.

C. Timeliness. Service must be provided within three business days after the request for service is made.

D. Service visit inspection requirements. Each time a device is serviced, the installer must:

review the data recorded in the device’s memory and retain a copy in the person’s file,

inspect the device for indications of tampering, and

calibrate the device.

3. Removal

Prohibition on removal. Only a manufacturer or installer may remove a device.

B. An installer or manufacturer must notify the Bureau of Motor Vehicles electronically within 24 hours of the removal of a device stating the specific reasons for removal.

C. Restoration of vehicle. Whenever a device is removed, the vehicle must be restored to its original condition. All severed wires must be securely reconnected and insulated with heat shrink tubing or its equivalent.

§7. Reports and records

1. Violations reports

• 1. Duty to report. A manufacturer or installer must electronically notify the Bureau of Motor Vehicles within 24 hours of discovering reliable information showing:

(1) evidence of circumventing, removing, or tampering with a device;

(2) a registered BAC during a rolling retest;

(3) a failure to submit to a retest that results in a permanent lock out condition; or

(4) a missed service visit.

• 1. Content of report. The report must include the following information:

(1) name and affiliation (manufacturer and installer) of the person submitting the report;

(2) reason and basis for the report;

(3) driver’s full name, date of birth, driver license number and address; and

(4) registration plate number or name and the vehicle identification number of the vehicle in which the device is installed.

2. Driver monitoring reports

A. Duty to report. A manufacturer or installer must electronically notify the Bureau of Motor Vehicles within 10 days of the servicing of a device.

B. Content of report. The report must include the following information required by Section 7(1) B and the results of the service, including a summary of the information provided by the device’s data recorder.

3. Six month status reports

A. Duty to report. A manufacturer or installer must electronically provide the Bureau of Motor Vehicles a status report once every six months.

B. Content of report. The report must provide the following:

(1) information required by Section 7(1)(B)(1) and (2);

(2) standard prices established for installation, calibration, removal, device rental, reinstallation and any other standard charges;

(3) non-standard charges assessed to any driver, listing the driver’s contact information as provided in Section 7(1)(B)(3) and the amount and reason for the charge;

(4) number of requests for financial assistance and the number of requests granted and denied;

(5) list of persons, including the information required by Section 7(1)(B)(3) and (4), whom had a device installed or removed from a vehicle;

(6) number of devices installed and number of devices that malfunctioned or were defective requiring service, repair or replacement. The serial numbers and the specific problem identified for malfunctioning and defective devices must be included in the report;

(7) number of service visits that resulted in a charge to a driver, including the information required by Section 7(1)(B)(3), amount of the charge and the reason for the charge; and

(8) number and a summary of all complaints received and the corrective action, if any, taken by the manufacturer or installer for each model or type of device.

4. Record retention. A manufacturer or installer must keep all records relating to the application for approval of a device and all records relating to the installation, service, removal, performance and use of individual devices for a period of three years following the removal of any device.

§8. Audit and inspection of records and facilities

The Bureau of Motor Vehicles may audit and inspect the facilities and records of a manufacturer and installer to verify compliance with the requirements of this rule. Manufacturers and installers must make facilities and records available to the Bureau of Motor Vehicles.

§9. Driver eligibility requirements for installation of interlock devices

1. Petition for early license reinstatement. A person convicted of an OUI offense pursuant to 29-A MRSA §2411 and a person whose driver’s license was suspended in accordance with 29-A MRSA §2453 may petition the Secretary of State for license reinstatement prior to the expiration of the total period of suspension, if the person:

A. Satisfies all other conditions for license reinstatement;

B. Satisfies the Secretary of State’s driver eligibility criteria; and

• 1. Installs an ignition interlock device approved by the Secretary of State in the vehicle the person operates.

2. First offenders. A first offender’s license may be reinstated after serving 30 days of a 150 day suspension if the person installs a device for the full term of the original suspension.

3. Second offenders. The license of a person with two OUI offenses may be reinstated after 9 months of the suspension period has run if the person has installed for a period of 2 years an ignition interlock device approved by the Secretary of State in the motor vehicle the person operates.

4. Third offenders. The license of a person with three OUI offenses may be reinstated after three years of the suspension period has run if a person has installed for a period of three years an ignition interlock device approved by the Secretary of State in the motor vehicle person operates.

5. Fourth and subsequent offenders. The license of a person with four or more OUI offenses may be reinstated after four years of the suspension period has run if the person has installed for a period of four years an ignition interlock device approved by the Secretary of State in a motor vehicle the person operates.

6. Proof of installation. The Bureau of Motor vehicles must be provided proof of installation of an approved device before a person may be issued a restricted driver’s license.

7. Persons licensed by another state. A person who has been issued a license restricted to operation of a vehicle equipped with an ignition interlock device by another state, and who is otherwise eligible for the issuance of a Maine driver’s license, may be issued a license in accordance with this rule.

8. Driver violations. A person issued a restricted driver’s license pursuant to 29-A MRSA §2508 and this rule violates the terms and conditions of the restricted driver’s license when the person:

A. Operates a motor vehicle without an ignition interlock device;

B. Requests or solicits another person to blow into or otherwise activate the device for the purpose of providing the restricted driver with an operable motor vehicle;

C. Removes, tampers with, disconnects or disables the device or circumvents the operation of the device;

D. Registers a BAC during a rolling retest;

E. Fails to submit to a retest that results in a permanent lock out condition;

F. Misses a service visit; or

1. Has the device removed from the vehicle by a manufacturer, installer or unauthorized person.

Violation of any of these conditions must result in the immediate suspension of the person’s license for the time periods set out in 29-A MRSA §2508(4)(B). Except for removal of a device for financial reasons, a person whose license is suspended pursuant to this section is not entitled to the issuance of any type of license until the suspension period has expired.

§10. Right to hearing

1. Denial of petition for early reinstatement. A person whose request for early license reinstatement pursuant to 29-A MRSA §2508 is denied may request an administrative hearing before the Secretary of State. The hearing will be held pursuant to 29-A MRSA §111 and 2483 and Chapter 2 of the Rules of the Secretary of State. The issue at hearing is whether, by a preponderance of the evidence, the person can show cause why the decision of the Secretary of State should not be upheld.

2. Violations. Except for a person who has been convicted or adjudicated of an offense described in 29-A MRSA §2508(2) or (3), a person whose license is suspended for a violation listed in Section 9(7) may request an administrative hearing before the Secretary of State. The hearing will be held pursuant to 29-A MRSA §111 and Chapter 2 of the Rules of the Secretary of State. The issue at the hearing is whether, by a preponderance of the evidence, the person committed a violation listed in Section 9(7).

There will be no fiscal impact to municipalities resulting from the adoption of these rules.

History

• STATUTORY AUTHORITY: 29-A MRSA §153
• EFFECTIVE DATE: October 13, 1997
• NON-SUBSTANTIVE CORRECTIONS: November 13, 1997 - removed comma in §3 sub-§7 ¶D; changed verb tense in §4 sub-§13 par. C.
• AMENDED: August 15, 1998 - § 2(8), §4(14).
• NON-SUBSTANTIVE CORRECTION: December 14, 2000 - §3(9)
• REPEALED AND REPLACED: September 28, 2008 - filing 2008-415 (EMERGENCY)
• AMENDED: September 28, 2008 - filing 2008-436 (EMERGENCY), affecting §9(2)
• AMENDED: November 26, 2008 – filing 2008-557
• AMENDED: August 9, 2016 - filing 2016-136
• AMENDED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025
• APAO ACCESSIBILITY CHECK (Word): April 6, 2026

Chapter 9 Rules Governing Driver Education

Code Me. R. 29-250 Ch. 9 Rules Governing Driver Education {#sec-29-250-ch.-9 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 9}

Section Page

§1. Purpose 1

§2. Definitions 1

§3. Application and Expiration for Driver Education Licenses. 3

§4. Driver Education Instructor Licensing Requirements. 3

§5. Driver Education School Licensing Requirements. 10

§6. Driver Education School Curriculum. 18

§7. Monitoring and Inspection by the Secretary of State. 26

§8. Prohibited Conduct. 26

§9. Complaints. 28

§10. Suspension and Revocation of Licenses. 28

Appendix A: Class A Surety Bond………………………………………………………………29

Appendix B: Class B Surety Bond………………………………………………………………30

29-250 DEPARTMENT OF SECRETARY OF STATE

BUREAU OF MOTOR VEHICLES

Chapter 9: RULES GOVERNING DRIVER EDUCATION

SUMMARY: These rules govern the licensure of driver education instructors and schools.

Purpose. The primary purposes of these rules are to: (1) establish the minimum qualifications, licensing standards, and procedures for the licensure of driver education schools and instructors, and (2) implement a standardized driver education curriculum based on best practices.

Definitions. For the purposes of these rules the following definitions apply.

1. “Applicant” means applicant as defined by 29-A MRSA §1354.
2. “Behind-the-wheel instruction” means that portion of driver education during which a student actually manipulates the controls of a motor vehicle.
3. “Class A driver education instructor license” means a license issued by the Secretary of State which authorizes the holder to teach both the classroom and behind-the-wheel phases of driver education.
4. “Class A driver education school license” means a license issued by the Secretary of State which authorizes the holder to provide both the classroom and behind‑the‑wheel phases of driver education and to employ Class A and Class B driver education instructors.
5. “Class B driver education instructor license” means a license issued by the Secretary of State which authorizes the holder to teach only the behind-the-wheel phase of driver education.
6. “Class B driver education school license” means a license issued by the Secretary of State which authorizes the holder to provide only behind-the-wheel instruction to individuals who hold a learner’s permit, driver’s license or temporary driver’s license and to employ Class A and Class B driver education instructors to provide behind-the-wheel instruction.
7. “Classroom instruction” means that portion of driver education during which a student is participating in instruction at an approved classroom facility.
8. “Commercial driver’s license” means commercial driver’s license as defined by 29‑A MRSA §101(16).
9. “Commercial motor vehicle” means commercial motor vehicle as defined by 29‑A MRSA §101 (17).
10. “Commercial motor vehicle driver education” means any type of instruction or tutoring given to a person in the operation of a commercial motor vehicle or in preparing for a commercial driver examination, including endorsements, in exchange for remuneration or course credit.
11. “Commercial motor vehicle driver education school license” means a license issued by the Secretary of State which authorizes the holder to provide commercial driver education.
12. “Commercial vehicle endorsement” means an endorsement issued by the Secretary of State to a driver education instructor which authorizes the person to provide commercial motor vehicle driver education. A Class A commercial vehicle endorsement authorizes a person to teach classroom and behind‑the‑wheel phases of commercial motor vehicle driver education. A Class B commercial vehicle endorsement authorizes a person to teach only the behind‑the‑wheel phase of commercial motor vehicle driver education.
13. “Digital instruction” means any driver education provided through digital media approved by the Secretary of State including, but not limited to, internet based learning; compact disc (CD); digital video disc (DVD); blu-ray disc; or distance learning technology. Digital instruction must be conducted in conjunction with traditional classroom instruction.
14. “Driver education” means driver education as defined by 29-A MRSA §1354.
15. “Driver education course” means driver education provided to individuals who do not possess a valid permit or license for the operation of the class of vehicle for which driver education is provided.
16. “Driver education school” means driver education school as defined by 29-A MRSA §1354.
17. “Driver education instructor” means driver education instructor as defined by 29‑A MRSA §1354.
18. “Hour” means 60 minutes. This is inclusive of a five-minute break per hour of instruction.
19. “Person” means person as defined by 29-A MRSA §1354.
20. “Representative vehicle” means a motor vehicle that represents the type and class of motor vehicle, including endorsements, in which the driver education school or instructor will provide the behind-the-wheel phase of driver education.
21. “Student” means a person enrolled in a driver education course.

Application and Expiration for Driver Education Licenses

1. Forms. The Secretary of State shall provide forms and general information to persons to apply for the issuance of driver education licenses.
2. License. The Secretary of State may issue a driver education license, with endorsements, to persons who meet applicable licensing standards and qualifications upon payment of the required fees. Driver education licenses are not transferable.
3. Expiration of driver education licenses 1. A driver education school license expires one year from the date of issuance. The Secretary of State may issue one temporary driver education school license for a period not to exceed 60 days. 2. A driver education instructor license expires two years from the date of issuance. The Secretary of State may issue one temporary driver education instructor license to an applicant for a period not to exceed 60 days. A person whose driver education instructor license has expired for more than five years must meet all the requirements for an initial applicant for a driver education instructor license.
4. Fees. The fee for a driver education license is established by 29-A MRSA §1354.

Driver Education Instructor Licensing Requirements

1. Types of driver education instructor licenses 1. Class A driver education instructor license. A Class A license authorizes the person to teach both the classroom and behind-the-wheel phases of driver education, and, when authorized by the Secretary of State, to provide digital instruction. 2. Class B driver education instructor license. A Class B license authorizes the person to teach only the behind-the-wheel phase of driver education. 3. Class A commercial vehicle endorsement. A Class A endorsement authorizes the person to teach both the classroom and behind-the-wheel phases of commercial motor vehicle driver education, and, when authorized by the Secretary of State, to provide digital instruction. 4. Class B commercial vehicle endorsement. A Class B endorsement authorizes the person to teach only the behind-the-wheel phase of commercial motor vehicle driver education.
2. General requirements. Any person who conducts driver education, operates a driver education school, acts as a driver education instructor or represents oneself as providing the same must be licensed by the Secretary of State. The Secretary of State may not authorize a person to conduct any type of driver education unless the person meets the following requirements. 1. The person is at least 22 years of age and has a high school diploma or its equivalent. The age requirement applies to any initial applicant following the effective date of these rules. 2. The person has at least six years of driving experience as a licensed operator and possesses a valid license.

If a person has not held a Maine license, a certified copy of the persons driving record and proof of licensure from any state in which a license was held in the preceding six years must be provided with the instructor application.

• 1. The person has not been convicted for a moving criminal traffic offense within the last six years, other than operating with an expired registration or operating without a license when the license had expired less than five years before. 2. The person has not been designated as an accident prone driver pursuant to 29-A MRSA §1308 within the last year. 3. The person has not had a driver’s license suspended or revoked within the last six years pursuant to 29-A MRSA §§ 2411, 2453, 2454, 2456, 2457, 2472, 2521, 2525, 2552, 2554, 2555 or 2557. 4. The person has not been convicted of any Class A, B or C crime within the last ten years. The person has never been convicted of any crimes listed in 17-A MRSA §§ 201, 202, 203, 208, 208B, 208C, 210A, 210B, 210C, 211, 211A, 213, 253, 254, 255A, 256, 258, 260, 261, 282, 283, 284, 301, 302, 303, 553, 554, 556, 854, 855. A person whose application (or renewal application) is denied based on conviction of a crime listed in 17-A MRSA §§ 211, 211-A, 256, or 259-A may request a hearing with the Secretary of State to show cause why denial on these grounds is not appropriate. 5. The person passes an examination administered by the Secretary of State, as described in §4, subsection 7, consisting of a knowledge, vision and road test in a representative vehicle. 6. The person has completed a first aid course approved by the Secretary of State within the preceding three years. Upon application, the first aid course completion certificate must be valid. 7. The person has completed a driving dynamics or defensive driving course approved by the Secretary of State within the preceding year. 8. The person does not have any physical, emotional or mental impairment which would prevent driver licensure in accordance with Chapter 3, Secretary of State, Bureau of Motor Vehicles, Rules Governing the Physical, Emotional and Mental Competence to Operate a Motor Vehicle. Any person under review for a reportable medical, physical, mental, or emotional condition may, at the Secretary of State’s discretion, be disqualified from possessing a driver education instructor license until all medical requirements have been met. 9. An out-of-state driver applying to be licensed as a driver education instructor in Maine must provide a criminal background check from the state of record upon initial application and each renewal of the instructor license. 10. With approval from the Secretary of State, a person from another state who has been licensed as a driver education instructor in another state in the preceding five years, may be exempted from §4 subsection 3A by providing proof of driver education instructor certification requirements and applicable certification documents.

1. Requirements for a Class A driver education instructor license. In addition to the general requirements listed in §4, subsection 2, a person applying for a Class A driver education instructor license must meet the following requirements. 1. Introductory course in driver education instruction. The person must have completed an introductory course in driver education instruction which includes peer teaching, curriculum delivery, harassment prevention, and teaching special needs students, within the preceding three years. The course must be approved by the Secretary of State. 1. Upon successful completion of this course, filing a completed application and appropriate fees, satisfactory criminal background check, and meeting the general requirements listed in §4, subsection 2, except §4, 2G, a person may provide classroom and behind-the-wheel instruction, for up to 30 days from the driver education instruction course completion date, under the direct supervision of a Class A driving instructor who has been licensed as such for at least five years. The supervising instructor must be in the classroom and vehicle while instruction is being delivered.
2. Requirements for a Class B driver education instructor license. In addition to the general requirements listed in §4, subsection 2, a person applying for a Class B driver education instructor license must have completed the introductory course in driver education for a Class B driver education instructor license as described in §4, subsection 8 within the preceding three years. Upon successful completion of this course, filing an application and appropriate fees, a satisfactory criminal background check, and meeting the general requirements listed in §4, subsection 2, except §4, 2G a person may provide behind-the-wheel instruction, for up to 30 days from the course completion date, under the direct supervision of a Class A or B driving instructor who has been licensed as such for at least five years, and is in the vehicle while behind-the-wheel instruction is being delivered.
3. Requirements for a commercial vehicle endorsement 1. Class A commercial vehicle endorsement. In addition to the requirements listed in §4, subsections 2 and 3, a person applying for a Class A commercial vehicle endorsement must meet the following requirements. 1. The person must have completed an introductory course in commercial vehicle driver education within the preceding three years. The course must be approved by the Secretary of State. 2. The person must possess a valid commercial driver’s license and have at least two years experience in the last 10 years as a licensed driver in the actual operation of a representative commercial motor vehicle. 3. The person has not had a driver’s license suspended or revoked for operating a commercial motor vehicle with a blood-alcohol level of 0.04 percent or more or refusing to submit to a chemical test within the last six years. 2. Class B commercial vehicle endorsement. In addition to the requirements listed in §4, subsection 2, a person applying for a Class B commercial vehicle endorsement must meet the requirements listed in §4, subsection 5(A)(2) and 5(A)(3).
4. Continuing education and training requirements for driver education instructor license renewal. In addition to the requirements listed in §4, subsection 2, a person applying for the renewal of a driver education instructor license must meet the following requirements. 1. Continuing education. The person must complete a minimum of 16 hours of continued education within each two year period following the issuance of the initial driver education instructor license granted after the effective date of these rules. The Secretary of State may approve, prior to participation and on an individual basis, courses, conferences, workshops, webinars, seminars or digital learning which satisfy this requirement. Course pre-approval is obtained by submission and approval of a syllabus, course outline, or conference agenda. Proof of continued education must be submitted with each renewal application. 2. Driver education instruction. A person licensed as a Class A driving instructor, must provide at least 60 hours of classroom instruction and 20 hours of behind-the-wheel instruction in each two year period following the issuance of a renewed or initial driver education instructor license granted after the effective date of these rules. A person licensed as a Class B instructor, must provide at least 40 hours of behind-the-wheel instruction in each two year period following the issuance of a renewed or initial driver education instructor license granted after the effective date of these rules. Student record sheets must be provided as proof of instruction. Other related teaching experience may satisfy this requirement if an applicant for license renewal can show good cause, in writing, why driver education instruction was not provided .
5. Knowledge, vision and road test for driver education instructors. Prior to the issuance of a driver education instructor license an applicant must successfully complete a knowledge, vision and road test administered by the Secretary of State. The applicant must pay the applicable fee as established by 29-A MRSA Chapter 11. 1. Knowledge test. A knowledge test consisting of at least 50 questions which measures an applicant’s knowledge of traffic laws, safety, rules of the road, signs and other driver responsibilities. An applicant must score at least 80 percent to pass the knowledge test. 2. Vision screening. An applicant must meet the vision standards established by Chapter 3, Secretary of State, Bureau of Motor Vehicles, Rules Governing the Physical, Emotional and Mental Competence to Operate a Motor Vehicle. 3. Road test. The road evaluation measures the applicant’s ability to operate a representative vehicle in a safe and prudent manner while demonstrating the requisite skill, knowledge and judgment. The test must include, at a minimum, the following: 1. positioning of the vehicle on ways, 2. turns, 3. parking on a hill, 4. offset backing (parallel parking) 5. straight line backing, 6. lane changes, 7. adjusting to adverse conditions, 8. observance of signs and signals, 9. observance of road markings, 10. railroad grade crossing if available, 11. perpendicular parking if available, 12. angle parking if available, and 13. turnabout: 2 point, 3 point, and U-turn. 4. Upon successful completion of required testing, and meeting all other licensing requirements, a person will be provisionally licensed to teach appropriate courses under limited supervision. Within six months of being provisionally licensed, a person must successfully complete a teaching evaluation, conducted by a designee of the Secretary of State, for the types of instruction relative to instructor license class. 5. Except for vision screening, a person may not exceed three attempts to successfully complete each form of required testing or evaluation within one year of application date.
6. Authority to provide the introductory course in driver education instruction to applicants for a Class A driver education instructor license. A licensed Class A driver education instructor may be authorized by the Secretary of State to provide the introductory course in driver education for Class A driver education instructor license applicants required by §4, subsection 3 (A). 1. Requirements. A person seeking authorization under subsection 8 must meet the following requirements: 1. The person must hold a bachelors degree, have held a valid Class A driver education instructor license for the preceding three years, and taught at least five complete driver education courses; or 2. The person must have held a valid Class A driver education instructor license for the preceding five years, and taught at least ten complete driver education courses; and 3. The person must not have violated any statute or rule governing driver education or any condition or restriction placed on any license issued pursuant to these rules for which administrative or other enforcement action was taken within the last five years; and 4. The person must complete an instructor preparation program as approved by the Secretary of State. 2. Curriculum. The introductory course in driver education for Class A driver education instructor license applicants must be based on the approved curriculum standards; include components in harassment prevention; and teaching students with special needs; and provide a minimum of 90 hours of instruction which includes five hours of behind-the-wheel training. The curriculum must be submitted to the Secretary of State for review and approval. 3. Location. The location where the course will be conducted must be inspected and approved by the Secretary of State. 4. A course instructor must provide the Secretary of State, in writing, notification of a driver education instructor course at least 10 days prior to the start of the course. 5. Any instructor authorized under this section must to allow any interested person to enroll in a course to meet licensing requirements. The authorized instructor may assess a fee equal to the current tuition for a three credit course through the University of Southern Maine.
7. Authority to provide the introductory course in driver education instruction to applicants for a Class B driver education instructor license. A licensed Class A driver education instructor may be authorized by the Secretary of State to provide the introductory course in driver education instruction for Behind-the-Wheel (Class B) driver education instructor license applicants required by §4, subsection 4. 1. Requirements. A person seeking authorization under subsection 9 must meet the following requirements. 1. The person must be a licensed Class A driver education instructor for the preceding five years and have taught at least 10 complete driver education courses. 2. The person must not have violated any statute or rule governing driver education or any condition or restriction placed on any license issued pursuant to these rules for which administrative or other enforcement action was taken within the last five years. 3. The person must complete an instructor preparation program as approved by the Secretary of State. 4. The person must be observed and approved by the Secretary of State teaching the first classroom and behind-the-wheel instruction of a Class B driver education instructor introductory course in driver education taught by the person. 2. Curriculum. The introductory course in driver education for Class B driver education instructor license applicants must be based on the approved curriculum, include harassment prevention training, provide a minimum of eight hours of instruction and include behind-the-wheel training. The proposed curriculum must be submitted to the Secretary of State for review and approval. 3. Location. The location where the course will be conducted must be inspected and approved by the Secretary of State. 4. A course instructor must provide the Secretary of State, in writing, notification of a driver education instructor course at least 10 days prior to the start of the course.
8. Change of name or address. When a person, after applying for or receiving a driver education instructor license, changes his or her name or moves from the address named in the application or on the driver education instructor license issued, that person shall, within 30 days, notify the Secretary of State, in writing or by other means approved by the Secretary of State, of the old and new name/address.

Driver Education School Licensing Requirements

1. License requirements. Any person who conducts driver education, operates a driver education school, acts as a driver education instructor or represents oneself as providing the same must be licensed by the Secretary of State. Except as provided by these rules, a license is required for each location where driver education is provided.
2. Types of driver education school licenses 1. Class A driver education school license. A Class A school license authorizes a person to provide both the classroom and behind-the-wheel phases of driver education and to employ Class A and Class B driver education instructors. A Class A driver education school license may authorize the school to provide digital instruction. 2. Class B driver education school license. A Class B school license authorizes a person to provide only behind-the-wheel instruction of driver education to a person who holds a valid learner’s permit, temporary license, or driver’s license and to employ Class A and Class B driver education instructors. 3. Commercial motor vehicle driver education school license. A commercial vehicle driver education school license authorizes a person to provide commercial motor vehicle driver education as follows. 1. Class A commercial motor vehicle driver education school license. A Class A license authorizes a person to provide the classroom and behind-the-wheel phases of commercial motor vehicle driver education and to employ Class A and Class B driver education instructors with commercial vehicle endorsements. 2. Class B commercial motor vehicle driver education school license. A Class B license authorizes a person to provide only the behind-the-wheel instruction of commercial motor vehicle driver education to a person who holds a valid learner’s permit, temporary license or driver’s license and to employ Class A and Class B driver education instructors with commercial vehicle endorsements.
3. General requirements. An applicant for a driver education school license must submit the following information to the Secretary of State, who will provide forms for this purpose, and meet the following requirements. 1. Ownership and employee information 1. Identity of school owners. The name, date of birth, address and title of each owner including partners and shareholders. If a person applying for a driver education school license is not licensed as a driver education instructor, the person must submit to a criminal background check and pay the appropriate fee. 2. Identity of driver education instructors. The name, date of birth and address of driver education instructors employed or otherwise used by the school. 3. Identity and location of school. The school name, mailing address, classroom location, and the location where records will be maintained. 1. School name. If a driving school does not renew its license within two years from the date of expiration, the school name shall be available for use by another person or entity unless the name is copyrighted or is a registered trademark. 2. School location. A driver education school may not be located in a facility where the Secretary of State conducts business at any location initially licensed after the effective date of these rules. 4. Harassment prevention. A driver education school must have a written policy to prevent any form of harassment of any student or instructor. A copy of the policy must be filed with the Secretary of State. In addition, a driver education school owner must provide training to prevent harassment of any kind to any employee upon initial hiring and require any employee to review the policy annually. Documentation of completion of training or review of the policy must be signed by the instructor and school owner and kept on file. 5. Other. The Secretary of State may request applicants to provide additional information relevant to the licensing requirements. 2. Training vehicle information. A list of training vehicles, including the year, make, registration plate number and vehicle identification number, used by the school, its employees and others authorized by the school to provide behind-the-wheel instruction. 3. Insurance. A certificate of insurance or a bond providing the coverage in the amounts specified by 29-A MRSA §1354, which insurance or bond must be maintained at all times. The certificate or bond must contain the name of the driving school or instructor. A new certificate of insurance or bond must be submitted to the Secretary of State any time a vehicle is added or deleted. If the certificate or bond is in a person’s name, it must state the vehicle is insured for driver education. 4. Surety bond. The surety bond shall be for the use and benefit of the Secretary of State, and for any person who may suffer a financial loss due to a driver education school failing to provide driver education as required in 29-A MRSA subchapter 3, Driver Education and Department of Secretary of State, Bureau of Motor Vehicles, Chapter 9: Rules Governing Driver Education §6. 1. The surety bond shall be at least $10,000 for a Class A driver education school. 2. The surety bond shall be at least $2,500 for a class B driver education school. 3. The surety bond shall become payable upon order of the court of competent jurisdiction or administrative rule by the Bureau of Consumer Credit Protection or the Secretary of State. 4. Form of the surety bond is prescribed in Appendices A and B. 5. Compliance with land use regulations. A certificate of occupancy or a report from the local fire department or other proper official which demonstrates that the school premises comply with state and municipal requirements regarding public health, safety and access. Authorization to use the facility as a driver education school is required. If the classroom is located in a public or private school, a comparable letter from superintendent, principal, dean or headmaster will fulfill this requirement. 6. Facilities and equipment 1. Permanent and established place of business. A Class A driver education and commercial motor vehicle driver education school must maintain an established place of business which must contain all required books and records. The name of the school may be displayed at the established place of business. A Class B driver education school and commercial motor vehicle driver education school must keep all required records at a permanent location. 2. Classrooms. A Class A driver education school and commercial motor vehicle driver education school must provide an adequate classroom, which must be used exclusively for driver education instruction during classroom instruction. 1. Requirements. The classroom must meet the following requirements.

have 15 square feet of floor space per student plus 24 square feet for the instructor,

have seating and writing space for each student,

provide adequate heat, lighting and ventilation,

have a restroom which must be readily accessible to students,

have vision screening equipment or a vision screening chart or vision screening instrument, and

have a blackboard, whiteboard or other similar instructional device.

• • 1. Publications. A driver education school or commercial motor vehicle driver education school must have the following publications available at the school. 1. The most recent edition of the Maine Motor Vehicle Statutes, Title 29-A, Maine Revised Statutes at each driver education school location. 2. The most recent State of Maine Motorist Handbook and Study Guide . 3. The approved teacher and student textbooks which may not be more than one edition older than the most recently published edition. 2. Training vehicle requirements. All vehicles used by a driver education school or commercial motor vehicle driver education school must meet the following requirements. 1. Compliance with motor vehicle statutes. The vehicle must at all times be in compliance with the provisions of Title 29-A, the Maine Motor Vehicle Statutes. 2. Signs. The vehicle must be equipped with a sign listing the name of the school where the student is enrolled, and a student driver sign which must be displayed during driving instruction. The signs must be in letters clearly visible from a minimum of 30 feet. Except for commercial motor vehicles, the signs must be removed or obscured if the vehicle is used for a driver license examination. Other markings on the vehicle referring to driving school, academy, driver education or training, or other similar phrases, except registration plates, must be obscured during a driver license examination. 3. Dual brake and clutch pedals. Except for commercial motor vehicles, the vehicle must be equipped with an operable dual-control foot brake and, if the vehicle is not equipped with an automatic transmission, operable dual-control clutch pedal. The brake pedal on the passenger side must be hydraulically or mechanically attached to the braking system of the vehicle to allow the driver education instructor to bring the vehicle to a stop. 4. Exceptions. The following vehicles are exempt from the requirements of subparagraph 4(b) and 4(c).

A vehicle, which is not provided by the driver education school, and is used to instruct a person with a disability which is specially equipped for use by a person with a disability.

A vehicle, which is not provided by the driver education school, and is being used to instruct a person who possesses a valid license or permit.

• • 1. Inside mirror. Except for commercial motor vehicles, the vehicle must be equipped with an inside mirror that is available for use and provides the driver education instructor with unobstructed vision to the rear of the vehicle. The mirror must be easily removed from the windshield. At the request of a Driver License Examiner, the instructor must remove the mirror for a road test. Vanity or visor mirrors are not acceptable. 2. Approved by Secretary of State. Prior to use for instruction, the vehicle must be examined and approved as a training vehicle by the Secretary of State. A new certificate of insurance or bond must be submitted to the Secretary of State any time a vehicle is added or deleted. Exception: A commercial motor vehicle as defined in 29-A MRSA §101 subsection 17 that is leased and used for commercial vehicle driver education is exempt from inspection prior to use for instruction upon receipt of written authorization by the Secretary of State. Prior to use, the school must notify the Secretary of State in writing of the year, make, model and vehicle identification number and also provide an insurance certificate. The vehicle must be made available for inspection upon request from the Secretary of State.

1. Recordkeeping Requirements. Driver education schools must record and transmit the following information. 1. Class A driver education and commercial motor vehicle driver education school records. Class A schools must maintain the following records. 1. New course reports. A new course report must be submitted to the Secretary of State on an approved form at least seven days prior to the start of a driver education course. The Secretary of State must be notified, prior to the change or as quickly as possible thereafter, of any changes made to the schedule indicated on the originally submitted report, including cancellations due to weather or other unforeseen circumstances. 2. Course completion reports. A driver education course consists of two parts: classroom instruction and behind-the-wheel instruction. Classroom instruction and behind-the-wheel instruction must be completed before the student is issued a course completion certificate, and added to a course completion report. Course completion reports must be submitted to the Secretary of State within 30 days of the final classroom session. Any students who have not completed the course by the 30 day due date must be listed on a separate report. Only the name of the instructor(s) directly involved in any portion of the instruction of the course shall be listed on the course completion report. 3. Student record sheets. A student record sheet must be kept for each student and maintained in a secure location by the school for a period of at least two years from the date driver education was completed. Upon expiration of the retention period all student record sheets must be disposed of in a secure manner. The student record sheet must contain the following information. 1. Student identity. The name, address, telephone number, email address (optional) and date of birth of the student and the control number of the course completion certificate issued to the student. 2. Visual acuity. The visual acuity of the student. 3. Instruction. The number of classroom and behind-the-wheel instruction hours provided to the student. 4. Instructor and location. The name of the instructor who provided the classroom and behind-the-wheel instruction and the location where the classroom instruction was conducted. Only the name of the instructor(s) directly involved in any portion of the instruction of the course shall be listed on the student record sheet. 5. Parental involvement. Date and type of parental involvement as defined in §6, subsection 1D (1). 6. At the completion of the course, signature of the student, certifying the student received all required components of the course indicated on the student record sheet. A copy of the student record sheet shall be provided if requested by the student, parent or guardian. 7. Student record sheets shall be provided to the Secretary of State on request. 8. Class A schools must maintain a record for each person given private behind-the-wheel driving lessons that includes the person’s name, date of birth, address, the nature and extent of instruction provided and the name of the driver education instructor(s). These records must be maintained and kept in a secure location for a period of at least two years from the date driver education was completed. Upon expiration of the retention period all records must be disposed of in a secure manner. 4. Employees. The school shall provide the names and addresses of persons employed by the school. The school must immediately advise the Secretary of State, in writing, whenever a driver education instructor is hired or leaves the school’s employ. 5. Location. The location and address of the school. The school owner must immediately advise the Secretary of State, in writing, whenever the location or address of the school changes. 2. Class B driver education and commercial motor vehicle driver education school records. Class B driver education schools and commercial motor vehicle driver education schools must maintain a record for each person given driver education that includes the person’s name, date of birth, address, the nature and extent of instruction provided, and the name of the driver education instructor(s). These records must be maintained for a period of at least two years from the date driver education was completed. A copy of the student record sheet shall be provided if requested by the student, parent or guardian. Student record sheets shall be provided to the Secretary of State upon request. 3. Inspection of records. The Secretary of State may, with or without notice to the driver education school, inspect all school records. The school must make such records available to the Secretary of State for inspection. 4. Sale or closure of driver education school. A driver education school owner must immediately advise the Secretary of State, in writing, of its sale or closure. If a driver education school has any students who have not completed the course, a written plan must be submitted to the Secretary of State detailing what arrangements will be made to enable the students to complete the course. A driver education school that is closed or sold must immediately return all documents, forms and other related material issued by the Secretary of State and its license, if unexpired, to the Secretary of State. 5. Loss or destruction of records. The loss, mutilation or destruction of any records required to be filed or maintained in accordance with these rules must be reported immediately to the Secretary of State. 6. Exceptions for commercial motor vehicle driver education schools. A commercial motor vehicle driver education school is exempt from the requirements of subsection 4, paragraph A(1) and A(2).
2. Additional requirements for Class A commercial motor vehicle driver education schools. In addition to the requirements listed in §4, subsection 3 and 4, a Class A commercial motor vehicle driver education school must meet the following requirements. 1. Publications. The school must have the following publications and information available at the school. 1. Federal motor carrier safety regulations. The most recent printed or electronic edition of the United States Department of Transportation, Federal Highway Administration, Motor Carrier Safety Regulations at each location. 2. Commercial driver’s manual. The most recent edition of the State of Maine Commercial Driver’s Manual . 3. Curriculum textbook. A textbook approved by the Secretary of State which may not be more than one edition older than the most recent edition. 2. Off street driving range. The school must have an off street range area approved by the Secretary of State that measures at least 20,000 square feet and is sufficient for providing training on parallel parking, straight line backing, forward through an offset alley and alley docking. A range of 15,000 square ft. is acceptable for a Class B commercial vehicle, passenger bus or school bus.

Driver Education School Curriculum. All driver education schools must adhere to the standardized curricula established by these rules.

1. Class A driver education school curriculum. A Class A driver education school providing a driver education course must follow the driver education curriculum approved by the Secretary of State. The textbook and other materials necessary to deliver the curriculum must be available for each student and may not be more than one edition older than the most recent edition or version. The Secretary of State may authorize the use of older editions if the changes to the most recent edition are insignificant. This curriculum requires 30 hours of classroom and ten hours of behind-the-wheel training. The curriculum is divided into three sections and provides a learning sequence which begins with the presentation of basic driver education concepts leading to the more difficult and complex concepts. A driver education instructor may not provide the instruction required by this curriculum until the person has completed training, approved by the Secretary of State, to deliver the curriculum. 1. Pre-driving instruction. The following classroom instruction must be provided to the student before the student operates a motor vehicle. 1. The Highway Transportation System & Risk Management 2. Observation techniques 3. Understanding Regulatory & Warning Signs 4. Guide & International Signs 5. Understanding the Purpose of Pavement Markings 6. Traffic Control Signals 7. Right-of-Way Rules 8. Speed Limits Help in Reducing Risk 9. Comfort & Control Systems & Risk Management 10. The Visibility & Protective Systems of Your Car 11. Information & Communication Systems 12. Checks & Procedures to Use Before Driving 13. Basic Operating Procedures: Automatic Transmission 14. Basic Operating Procedures: Manual Transmission 15. Acceleration, Deceleration & Speed 16. Learning How to Steer the Car 2. Behind-the-wheel instruction. The following classroom instruction must be presented in the order indicated 1. Moving From a Curb into Traffic & Out of Traffic to a Curb 2. How to Prepare for & Execute a Right Turn 3. How to Prepare for & Execute a Left Turn Planning & Executing a Reverse in Direction 4. Managing Power & Speed on Hills & Mountains 5. Managing Visibility, Time & Space 6. Visibility, Time & Space on Rural 7. Visibility, Time & Space on Urban Streets 8. Visibility, Time & Space on Multiple-Lane Highways 9. Managing Visibility, Time & Space When Changing Lanes 10. Passing Another Vehicle & Being Passed 11. How to Prepare for and Execute a Parking Maneuver 3. Additional instruction. The following classroom instruction must be provided. The order of presentation is optional with the school. 1. Distracted Driving 2. Knowing Yourself 3. Handling Social Pressures 4. Administrative Laws and Accidents 5. Light & Weather Conditions 6. Sharing the Roadway 7. Natural Laws & Driving 8. Responding to An Emergency 9. Buying a Car 10. Car Systems & Maintenance 11. Planning A Trip 12. Getting Ready: Your State Driving Test 4. Other related requirements 1. Parental involvement. The curriculum includes a parental involvement component. For the purpose of this paragraph the following person would satisfy this component: parent, stepparent, foster parent, legal guardian, or grandparent living within the same household, or other person approved by the Secretary of State. The component must be approved by the Secretary of State and may be satisfied by the following non-exhaustive list of methods. 1. Attendance during classroom instruction for at least two hours. 2. Accompanying the student during behind-the-wheel training for at least one hour. 3. Attendance at a school orientation for at least one hour. 4. Review of instructional/informational video tapes provided by the school which last for at least one hour. A work sheet completed by the student and parent must be submitted for review by the instructor. 5. Any exception to parental involvement must be approved by the Secretary of State. This component is not required if the student is 18 years old by the completion of the course. This component may be waived for an emancipated minor. 2. Classroom hours. Classroom instruction may not exceed ten hours in any seven day period from the start date of the course and no more than three hours of classroom instruction may be provided on any calendar day. Break time shall not be accumulated for early release from classroom instruction. Courses offered in public or private schools may not start sooner than 15 minutes after the end of the regular school day. Two or more courses scheduled consecutively at the same location on the same day, may not start sooner than 15 minutes after the scheduled completion of the immediate preceding session. No classroom instruction may be provided before 6:00 AM or after 10:00 PM. A request to waive these time restrictions must be made in writing and may be approved by the Secretary of State if warranted by extenuating circumstances such as a severe weather event. 3. Student-instructor ratio. The maximum student-instructor ratio is 30 to 1. 4. Guest speakers. Unless authorized by the Secretary of State, no more than three hours of the 30 classroom hours may be devoted to guest speakers. A Class A driver education instructor must be present during a guest speaker’s presentation. All speaker presentations must be directly related to the required curriculum and use of graphic accident scene pictures or video material is prohibited unless approved by the Secretary of State. 5. Behind-the-wheel hours. Behind-the-wheel instruction may not exceed two hours for a student on any calendar day. When a student is scheduled for a two hour lesson, at the end of the first hour an instructor shall provide the student the option of a ten minute break. If the student is displaying signs of fatigue or extreme stress, the instructor shall require the student to take a ten minute break. If the student opts not to take a break, a behind-the-wheel lesson may not be ended ten minutes early. Unless authorized by the Secretary of State, no behind-the-wheel instruction may be provided before 6:00 a.m. or after 10:00 p.m. 6. Behind-the-wheel instruction on road test routes. Behind-the-wheel instruction in a driver education vehicle, including instruction provided to persons who are not enrolled in a driver education course, may not include practicing parking maneuvers on a state vehicle specifically marked “Reserved for Road Testing”. A driver education instructor must make every reasonable effort to avoid interfering with a driver license examiner who is conducting a road test. 7. Vision screening for students. A school must screen each student’s vision prior to conducting behind-the-wheel training. A student who does not have vision correctable by lenses of at least 20/40 in the best eye may not operate a motor vehicle until the student presents a statement from a doctor, optometrist, registered nurse or other person approved by the Secretary of State that shows vision is at least 20/40 in the best eye. 8. Evaluation. A driver education school providing a driver education course must have a plan for evaluating and recording student progress in meeting course objectives, which may include performance standards. A driver education school must also have a written policy, which must be provided to students prior to the start of a driver education course, that defines satisfactory course completion standards. 9. Refund and cancellation policy. A driver education school must have a written refund and cancellation policy which must be furnished to the student at the time of enrollment in a driver education course. All fees related to the course must be disclosed in this policy. This policy must include a notice that driver education is regulated by the Secretary of State. 10. Incomplete driver education course. A student, enrolled in a driver education course who fails to complete the course by discontinuing, is allowed to resume a similar course from the point which the student had completed if the student resumes within six months. Missed classes may be taken at any licensed driver education school provided the subject and topic area missed by the student are covered. 11. A student who is absent from class or classes may not take the final examination until all classroom instruction is completed; or be issued a course completion certificate until all components have been completed. A student has six months from the date of the missed class to complete the makeup. For the purpose of this section, a student may exceed the time limit as described in §6, subsection 1D (2) once in the course in which they are enrolled. 12. Video. All forms of video presentation, including but not limited to VHS, CD, DVD, Blu-ray disc or Internet based format, must be approved by the Secretary of State prior to use in a driver education course. Instructors must be present in the classroom during the video presentation. 13. Harassment prevention. At the beginning of a driver education course, a driver education school must provide, and review with students, information to prevent any form of harassment of any student or instructor either in the classroom or in a vehicle during behind-the-wheel instruction. 14. A course completion certificate shall not be issued to any student who has not completed classroom and behind-the-wheel instruction, passed the final examination or was not 15 years old at the commencement of the course. 5. Final examination. A driver education school must administer a final examination to students who have completed all the requirements provided in these rules and any additional requirements imposed by the driver education school. The examination must consist of a minimum of 30 questions and the student must correctly answer 80 percent of the questions to pass the examination. The Secretary of State shall provide the questions by category which the school must use for the final examination. 6. Course completion certificate. A driver education school must issue a course completion certificate, provided by the Secretary of State, to a student who successfully completes all of the course requirements. A student may not be issued a completion certificate unless the student has received all the instruction required by the approved curriculum and meets the minimum requirements established by these rules and applicable statute. A driver education school may establish additional reasonable requirements, including performance standards, that a student must meet to obtain a course completion certificate. If a driver education school establishes additional requirements, the student must be advised, in writing, prior to enrolling in the course of all the requirements necessary to earn a course completion certificate. A driver education school may not withhold the issuance of a course completion certificate solely because the student fails to pay any fee required by the school.
2. Commercial motor vehicle driver education curriculum 1. Commercial motor vehicle driver education course instructing students in the operation of vehicles which require a Class A driver’s license. A commercial motor vehicle driver education school providing such a course must follow the tractor trailer driver curriculum approved by the Secretary of State. The textbook and other materials necessary to deliver the curriculum may not be more than one edition older than the most recent edition or version. The Secretary of State may authorize the use of older editions if the changes to the most recent edition are insignificant. This curriculum requires 78 hours of classroom instruction, 25 ½ hours of laboratory instruction and 44 hours behind-the-wheel instruction. All behind-the-wheel instruction must occur under the direct supervision of a driver education instructor who has a commercial vehicle endorsement. A driver education instructor may not provide the instruction required by this curriculum until the person has completed training, approved by the Secretary of State, to deliver the curriculum. 2. Commercial motor vehicle driver education course instructing students in the operation of vehicles which require a Class B driver’s license. A commercial motor vehicle driver education school providing such a course must adhere to the following requirements and must submit the curriculum to the Secretary of State for approval before the start of a course. 1. Classroom and behind-the-wheel hours. The course must provide 42 hours of classroom instruction, 20 hours of behind-the-wheel instruction on an off-road range area or facility and 10 hours of behind-the-wheel instruction on-road in rural and urban traffic areas. 2. Classroom instruction. Classroom instruction must include the following topics. 1. Orientation 2. Safe operation regulations, including:

Maine motor vehicle law (Title 29-A, Maine Revised Statutes)

Federal motor carrier safety regulations

• • • 1. Equipment introduction 2. Commercial motor vehicle safety control systems 3. Safe vehicle control, including:

control systems

basic control

shifting

backing

visual search

communication

speed and space management

driver fatigue

night operation

extreme driving conditions

hazard perceptions

emergency maneuvers

skid control and recovery

• • • 1. Relationship of cargo to vehicle control 2. Vehicle inspections 3. Hazardous materials knowledge 4. Air brake knowledge 5. First Aid 6. Accident procedures 7. Defensive driving principles 8. Enforcement agencies and regulations 9. Drugs, alcohol and driver fitness 10. Distracted driving 1. Behind-the-wheel instruction. All behind-the-wheel instruction must occur under the direct supervision of a driver education instructor who has a commercial motor vehicle endorsement and must include the following skills and topics. 1. Basic safe vehicle control, including:

ability to start

ability to stop

ability to move the vehicle forward and backward

• • • 1. Basic vehicle inspection and operation of air brakes 2. Safe driving, including:

visual search methods

use of signals

speed control for weather, traffic and cargo conditions

ability to choose a safe gap and correctly position the vehicle when changing lanes or turning

• 1. Other requirements. The requirements of subsection 1, paragraph D, subparagraphs (7) through (11) apply to the commercial motor vehicle driver education curriculum.

Monitoring and Inspection by Secretary of State. The Secretary of State shall monitor, with or without notice, classroom and behind-the-wheel instruction for compliance with statutory and regulatory requirements. A driver education school and driver education instructor must allow the Secretary of State access to facilities, vehicles and records necessary to monitor and inspect classroom and behind-the-wheel instruction.

Prohibited conduct. A person may not engage in the following conduct or activities.

1. Driver education. A person may not conduct driver education, operate a driver education school, act as a driver education instructor or represent oneself as providing the same without being licensed by the Secretary of State.
2. Solicitation and advertising. A driver education school, including employees and agents, and a driver education instructor may not: 1. solicit or advertise business at a location where the Secretary of State conducts driver tests; 2. advertise, imply or otherwise represent oneself to be an employee or agent of the Secretary of State; 3. advertise, imply or otherwise represent or insinuate that the issuance of a driver’s license is guaranteed or assured; 4. make any false, misleading or deceitful claims, statements or representations in any advertisement or solicitation; or 5. advertise or solicit business for a new unlicensed school or location.
3. Mobile communication devices. A driver education instructor may not engage in the use of any form of two-way communication devices while conducting behind-the-wheel instruction, and the student is operating the vehicle as defined in 29-A MRSA §2119 (1) (D). Such devices include, but are not limited to, mobile or cellular telephones, two-way radios, citizen band radios or text messaging devices.
4. A driver education school, including employees and agents, and a driver education instructor may not engage in unprofessional conduct with other driver education providers at a location where the Secretary of State conducts business.
5. A driver education school, including employees and agents, and a driver education instructor may not interfere with, harass or intimidate any person where the Secretary of State conducts business.
6. A driver education school, including employees and agents, and a driver education instructor may not engage in any verbal, physical or visual harassment of any employee or agent of the Secretary of State.
7. A driver education school, including employees and agents, and a driver education instructor may not intimidate or harass an employee, student or other person receiving driver education based on sex, color, race, religion, national origin, age, marital status, physical or mental disability or sexual orientation. For the purpose of this paragraph harassment includes the following, which may be a series of incidents or a single occurrence: unwelcome sexual advances, gestures, comments, or contact; threats; offensive jokes; subjecting employees, students or other persons receiving driver education to ridicule, slurs, or derogatory actions. For the purpose of this paragraph, sexual-harassment includes the following, which may be a series of incidents or a single occurrence: verbal, nonverbal and physical behavior that is sexual in nature such as comments about a person’s looks, personal inquiries, sexual jokes, use of derogatory sexual stereotypes, uttering sexually suggestive sounds, writing sexual notes, use of the computer equipment to send or receive material of a sexual nature, looking someone up-and-down, staring or leering at someone’s body, deliberate blocking of a person’s path, displaying sexual visuals, making sexual gestures, massaging, touching, deliberate brushing up against someone, hugging, pinching, grabbing or other sexual touching, contact or act.
8. A driver education school or instructor shall not park in an area reserved for road test parking at any facility where the Secretary of State conducts road tests during normal business hours.
9. A driver education school or instructor shall not leave an unattended vehicle with signs displayed as required in §5, subsection 3, F, (4)(b) at any location where the Secretary of State conducts business.

Complaints. All complaints regarding a driver education school or instructor must be signed by the complainant and submitted to the Secretary of State in writing. The Secretary of State shall acknowledge receipt of the complaint and notify the complainant of the final action taken. The Secretary of State shall advise the person against whom a complaint has been registered of the nature of the claim. The Secretary of State may investigate complaints as deemed appropriate.

Suspension and revocation of licenses. The Secretary of State may suspend, revoke or refuse to issue or renew a driver education school or instructor license for noncompliance with statutory and regulatory requirements. A person refused a license or whose license is suspended or revoked may request a hearing with the Secretary of State. Administrative hearings are conducted in accordance with 29-A M.R.S.A, Chapter 23, Subchapter III, Article 3.

Appendix A

Surety Bond for Class A

Driver Education School

BOND NUMBER:

KNOW ALL MEN BY THESE PRESENTS, That we__________________________________________

(Name of Driving School)

of ______________________________________ and __________________________________________

(Driving School Address) (Surety Company)

as surety authorized to do business in the State of Maine are held and firmly bound unto the Secretary of State, State of Maine to ensure faithful compliance with Chapter 9, Rules Governing Driver Education and the terms and conditions of the certificate issued there under. This bond has been undertaken by the principal in the amount of ten thousand ($10,000) for the payment of which we bind ourselves, our heirs, executors, administrators, successors and assigns, jointly and severally.

Whereas the above bounden Principal has made application to the Secretary of State, State of Maine, Bureau of Motor Vehicles, for certification to engage in business as a driver education school in accordance with rules promulgated by the Secretary of State, and if so certified, said Principal is required to furnish a surety bond pursuant to Chapter 9, Rules Governing Driver Education.

Now, therefore, the condition of this Obligation is such that if the said Principal shall faithfully observe the provisions of the rules promulgated relating to the business of driver education school obligation shall be null and void, otherwise to remain in full force and effect.

It is further understood and agreed that:

This bond shall run from the date it is signed and dated and shall continue in full force and effect for a minimum of one (1) year after driver education school license expiration.

This bond may be canceled by the Surety at any time by giving thirty (30) days written notice by registered or certified mail to the Secretary of State.

Principal and Surety agree to be bound by the laws of the State of Maine as to the interpretation of this instrument.

Signed, sealed and dated the _______day of ______, 20

__________________________________________ ____________________________________

Principal Surety Company

___________________________________

Address of Surety Company

BY:_______________________________________ BY:________________________________

Witness:___________________________________

Appendix B

Surety Bond for Class B

Driver Education School

BOND NUMBER:

KNOW ALL MEN BY THESE PRESENTS, That we__________________________________________

(Name of Driving School)

of ______________________________________ and __________________________________________

(Driving School Address) (Surety Company)

as surety authorized to do business in the State of Maine are held and firmly bound unto the Secretary of State, State of Maine to ensure faithful compliance with Chapter 9, Rules Governing Driver Education and the terms and conditions of the certificate issued there under. This bond has been undertaken by the principal in the amount of two thousand five hundred dollars ($2,500) for the payment of which we bind ourselves, our heirs, executors, administrators, successors and assigns, jointly and severally.

Whereas the above bounden Principal has made application to the Secretary of State, State of Maine, Bureau of Motor Vehicles, for certification to engage in business as a driver education school in accordance with rules promulgated by the Secretary of State, and if so certified, said Principal is required to furnish a surety bond pursuant to Chapter 9, Rules Governing Driver Education.

Now, therefore, the condition of this Obligation is such that if the said Principal shall faithfully observe the provisions of the rules promulgated relating to the business of driver education school obligation shall be null and void, otherwise to remain in full force and effect.

It is further understood and agreed that:

This bond shall run from the date it is signed and dated and shall continue in full force and effect for a minimum of one (1) year after driver education school license expiration.

This bond may be canceled by the Surety at any time by giving thirty (30) days written notice by registered or certified mail to the Secretary of State.

Principal and Surety agree to be bound by the laws of the State of Maine as to the interpretation of this instrument.

Signed, sealed and dated the _______day of ______, 20

__________________________________________ ____________________________________

Principal Surety Company

___________________________________

Address of Surety Company

BY:_______________________________________ BY:________________________________

Witness:___________________________________

History

• STATUTORY AUTHORITY: 29-A MRSA §153
• EFFECTIVE DATE: November 3, 1997 except for Section 6, sub-section 1 paragraphs A, B, C, D, subparagraph (1), and subsection 2 paragraphs A and B, which become effective July 1, 1998. In the interval, older curricula language originally adopted by the Department of Education and by the former Board of Commercial Driver Education remained effective.
• NON-SUBSTANTIVE CORRECTIONS: December 20, 2000 - the expired curricula language was removed.
• AMENDED: September 1, 2003 - Section 6, sub-section 1, paragraph D, subparagraph (2) - filing 2003-163
• REPEALED AND REPLACED: August 8, 2015 - filing 2015-140
• REPEALED AND REPLACED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025
• APAO ACCESSIBILITY CHECK (Word): April 6, 2026

Chapter 10 Rule Implementing the Federal Driver's Privacy Protection Act

Code Me. R. 29-250 Ch. 10 Rules Implementing the Federal Driver’s Privacy Protection Act {#sec-29-250-ch.-10 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 10}

Summary: This rule establishes the procedure for the disclosure of personal information contained in motor vehicle records in accordance with state (29-A MRSA §256) and federal law (18 U.S.C. Chapter 123).

§1. Purpose

The purpose of this rule is to implement the federal Driver’s Privacy Protection Act of 1994 (Title 18 U.S.C. Chapter 123), as amended, relating to the disclosure of personal information contained in motor vehicle records.

§2. Definitions

For the purpose of these rules the following definitions apply:

1. Bureau means the State of Maine, Department of the Secretary of State, Bureau of Motor Vehicles.

2. Disclose means to engage in any practice or conduct to make available and make known personal information contained in a motor vehicle record about an individual to any other person, organization or entity, by any means of communication.

3. Motor vehicle record means any record that pertains to a motor vehicle operator’s or driver’s license or permit, motor vehicle registration, motor vehicle title, or identification card issued by the Bureau.

4. Person means an individual, organization or entity, but does not include this state or an agency thereof.

5. Personal information means information that identifies an individual, including an individual’s photograph or digital image, social security number, driver identification number, name, address (but not the 5-digit zip code), telephone number, and medical or disability information, but does not include information on vehicular accidents, driving violations, and driver’s license or registration status.

6. Sensitive personal information means an individual’s photograph, social security number, and medical and disability information from a motor vehicle record, but does not include information on vehicular accidents, driving violations and driver’s license or registration status.

§3. Prohibition on disclosure of personal information from motor vehicle records

Except as provided in Sections 4-7, the Bureau and any officer, employee, agent or contractor thereof shall not knowingly disclose or otherwise make available to any person personal information about any individual obtained by the Bureau in connection with a motor vehicle record.

§4. Mandatory disclosures

Personal information must be disclosed for use in connection with matters of motor vehicle or driver safety and theft, motor vehicle emissions, motor vehicle product alterations, recalls, or advisories, performance monitoring of motor vehicles and dealers by motor vehicle manufacturers, and removal of nonowner records from the original owner records of motor vehicle manufacturers to carry out the purposes of the Federal Automobile Information Disclosure Act, 15 U.S.C. 1231 et seq ., the Motor Vehicle Information Cost Saving Act, 15 U.S.C. 1901 et seq ., the National Traffic and Motor Vehicle Safety Act of 1966, 15 U.S.C. 1381 et seq ., the Anti-Car Theft Act of 1992, 15 U.S.C. 2021 et seq ., and the Clear Air Act, 42 U.S.C. 7401 et seq ., as amended.

§5. Disclosure with written consent

Personal information may be disclosed to any person, if the person demonstrates, in such form and manner as the Bureau prescribes, that the person has obtained the written consent of the individual to whom the information pertains. Disclosure of personal information will be denied by the Bureau unless written consent was provided to the person requesting the information within the last 12 months.

§6. Disclosure by choice

Federal law allows the disclosure of personal information to any person or organization, including sales and marketing organizations. An individual may authorize the Bureau to disclose this information by completing a separate form prescribed by the Bureau.

§7. Authorized disclosures. Unless prohibited by statute, personal information will be disclosed as follows:

1. Personal and sensitive personal information will be disclosed as follows:

A. For use by any government agency, including any court or law enforcement agency, in carrying out its functions, or any private person acting on behalf of a government agency in carrying out its functions.

B. For use in connection with any civil, criminal, administrative, or arbitral proceeding in any court or government agency or before any self-regulatory body, including the service of process, investigation in anticipation of litigation, and the execution or enforcement of judgments and orders, or pursuant to an order of any court.

C. For use by any insurer or insurance support organization, or by a self-insured entity, or its agents, employees, or contractors in connection with claims investigation activities, anti-fraud activities, rating or underwriting.

D. For use by an employer or its agent or insurer to obtain or verify information relating to a holder of a commercial driver’s license that is required under the Commercial Motor Vehicle Safety Act of 1986 (49 U.S.C. App. 2710 et seq .).

2. Personal information, except for sensitive personal information unless the individual to whom the sensitive personal information pertains authorizes, in writing, disclosure of such information, will be disclosed as follows:

A. For use in connection with matters of motor vehicle or driver safety and theft, motor vehicle emissions, motor vehicle product alterations, recalls, or advisories, performance monitoring of motor vehicles, motor vehicle parts and dealers, motor vehicle market activities, including survey research, and removal of nonowner records from the original owner records of motor vehicle manufacturers.

B. For use in the normal course of business by a legitimate business or its agents, employees, or contractors, but only:

(1) to verify the accuracy of personal information submitted by the individual to the business or its agents, employees, or contractors, and

(2) if such information as so submitted is not correct or is no longer correct, to obtain the correct information, but only for the purpose of preventing fraud by, pursuing legal remedies against, or recovering on a debt or security interest against, the individual.

C. For use in research activities, and for use in producing statistical reports, so long as the personal information is not published, redisclosed, or used to contact individuals.

D. For use in providing notice to the owners of towed or impounded vehicles.

E. For use by a licensed private investigative agency or licensed security service for any purpose permitted by this rule.

F. For use in connection with the operation of private toll transportation facilities.

G. For any other use specifically authorized by law that is related to the operation of a motor vehicle or public safety.

3. Personal information will also be disclosed as follows:

A. For bulk distribution for surveys, marketing or solicitations if the Bureau has obtained the written consent of the individual to whom such personal information pertains.

B. For any other use in response to requests for individual motor vehicle records if the Bureau obtained the written consent of the individual to whom such personal information pertains.

C. For use by any requestor, if the requestor demonstrates it has obtained the written consent of the individual to whom the information pertains.

§8. Resale or redisclosure of personal information

1. Unlimited Resale and Redisclosure. A recipient of personal information pertaining to an individual, who has authorized disclosure pursuant to Section 6, may resell or redisclose personal information for any purpose.

2. Limit on Resale and Redisclosure. Except as otherwise provided in this Section, a recipient of personal information under Sections 4 and 7 may resell or redisclose personal information only for a use permitted under Sections 4 and 7.

3. Records and Inspection. A recipient of personal information under Sections 4 and 7, other than a recipient under Section 7(3)(B), who resells or rediscloses personal information must keep for a period of five years records identifying each person who receives that information and the permitted purpose for which the information will be used and must make such records available to the Bureau or another person or state agency designated by the Bureau upon request.

§9. Conditions prior to disclosure of personal information

The Bureau may, prior to the disclosure of personal information, require persons requesting such information to provide periodically assurances concerning identity and intended use of such information.

§10. Fees

All applicable costs and fees must be paid prior to the disclosure of personal information.

There will be no fiscal impact to municipalities resulting from the adoption of these rules.

History

• STATUTORY AUTHORITY: 29-A MRSA §153
• EFFECTIVE DATE: September 15, 1997
• AMENDED: June 1, 2000
• MINOR CORRECTION (SPELLING): March 5, 2018 – Section 2(6)
• APAO ACCESSIBILITY CHECK (Word): April 6, 2026

Chapter 11 Rules Governing Motorcycle Rider Education

Code Me. R. 29-250 Ch. 11 Rules Governing Motorcycle Rider Education {#sec-29-250-ch.-11 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 11}

Section Page

§1. Purpose 1

§2. Definitions 1

§3. Motorcycle Training Curricula Provider’s Requirements. 2

§4. Application and Expiration for Motorcycle Rider Education Licenses. 3

§5. Motorcycle Rider Education Instructor Licensing Requirements. 4

§6. Motorcycle Rider Education School Licensing Requirements. 6

§7. Motorcycle Rider Education Program Requirements. 10

§8. Monitoring and Inspection by Secretary of State .14

§9. Complaints. … 14

§10. Suspension and Revocation of Licenses. 14

§11. Prohibited Conduct… . 15

Appendix A: Motorcycle Rider Education Surety Bond 17

29-250 DEPARTMENT OF THE SECRETARY OF STATE

BUREAU OF MOTOR VEHICLES

Chapter 11: RULES GOVERNING MOTORCYCLE RIDER EDUCATION

Summary: These rules govern the licensure of motorcycle rider education schools and instructors.

Section 1. Purpose.

These rules describe qualification standards and requirements for licensing motorcycle rider education schools and instructors, define application procedures, establish instructor certification courses, define the motorcycle rider education program, and describe school requirements. These rules repeal existing rules governing motorcycle rider education.

Section 2. Definitions.

For the purpose of these rules the following definitions apply.

Instructor means a person licensed by the Secretary of State to conduct a motorcycle rider education program.

School owner means a person whose facility and range are licensed by the Secretary of State to conduct a motorcycle rider education program.

Motorcycle rider education means the programs of instruction entitled:

Ecourse: All required motorcycle training curricula shall include a 3‑hour on-line ecourse or equivalent. Course content shall include motorcycle types; controls, indicators and equipment; basic operation; riding preparation; risk associated with riding; strategies for basic street riding: strategies for common situations; emergency situations; special riding situations and rider impairments.

Basic Motorcycle Rider Education Course: A basic motorcycle rider education course approved by the Secretary of State must consist of classroom instruction and actual hands-on operation instruction provided in an approved classroom and range. Successful completion of the hands-on skill evaluation and written knowledge test of a basic hands-on motorcycle rider education course fulfills the requirement of 29-A MRS Section 1352 (6A and 6B).

3-Wheel Basic Motorcycle Rider Education Course. A 3-wheel basic motorcycle rider education course consisting of a minimum of 16 hours; 8 hours classroom instruction and 8 hours actual hands on instruction provided at a licensed motorcycle rider education school. Successful completion of the hands-on skill evaluation and written knowledge test of a 3-wheel motorcycle rider education course fulfills the requirement of 29-A MRS Section 1352 (6A and 6B).

Experienced Motorcycle Rider Education Course. A course for experienced motorcycle riders is limited to students who possess a motorcycle license or endorsement and have at least three (3) months of motorcycle riding experience. The course does not fulfill the requirement of 29-A MRS Section 1352 (6A and 6B).

Advanced Motorcycle Rider Education Course. This course consists of 2 hours of classroom discussion and 5 hours of riding exercises and is designed for riders who have basic skills and possess a current motorcycle learner’s permit or endorsement. Riders should use their own personal

street-legal motorcycle for this course. This course does not fulfill the requirement of 29-A MRS Section 1352 (6A and 6B).

4. Motorcycle rider education school means a classroom and range licensed and approved by the Secretary of State for use in a motorcycle rider education program.

5. MSF means the Motorcycle Safety Foundation.

6. Secretary of State means the Secretary of State or an authorized agent.

7. Student means a person who is at least sixteen (16) years of age and who is enrolled in a motorcycle rider education course.

8. Hour means sixty (60) minutes.

9. State of Maine, Motorcycle Safety Program Manual .This is a manual to further describe the policies and procedures required by the State of Maine which are not covered in Chapter 11: Rules Governing Motorcycle Rider Education and the curriculum provider publications.

10. Duration of course. All courses must be completed within 8 days from the start date.

11. Proper Riding Gear. Helmet, long pants, long sleeves, over the ankle footwear, eye protection, and gloves.

Section 3. Motorcycle training curricula provider’s requirements

Approved Curricula Provider(s): Motorcycle Safety Foundation (MSF)-1987

The curricula provider shall submit all training and administrative materials to the Secretary of State for the vetting of their program.

The curricula provider shall allow the incorporation of Maine specific information and policies for the enhancement of the program.

The curricula provider shall recognize the State of Maine, Motorcycle Safety Program Coordinator, as the responsible party and final authority for all testing during all instructor certification courses.

Curricula provider shall have a system for monitoring quality assurance of the training and other administrative aspects.

Curricula provider will be responsible for training the Motorcycle Safety Program Coordinator, and all other state employees as appropriate, at no cost to the State of Maine, before all other instructors are trained and certified in that curriculum. This will include all levels of training necessary to certify and oversee instructors. This requirement must be fulfilled prior to use of the approved curriculum in the State of Maine.

The curricula shall incorporate a system of courses to include, but not limited to, hands-on training for obtaining a standard 2-wheel motorcycle endorsement and 3-wheel motorcycle endorsement.

The curricula provider shall adhere to Maine standards as listed in the State of Maine, Motorcycle Safety Program Manual .

Section 4. Application and Expiration for Motorcycle Rider Education Licenses

Forms. The Secretary of State shall provide forms and general information to persons who apply for the issuance of motorcycle rider education licenses. Such forms and general information are available at the website of the Secretary of State.

License. Upon application and payment of the required fees, the Secretary of State may issue a motorcycle rider education instructor and/or school license to persons who meet applicable licensing standards and qualifications. Motorcycle rider education licenses are not transferable.

Expiration of motorcycle rider education licenses

A motorcycle rider education school license expires on December 31, annually.

A motorcycle rider education instructor license expires one year from date of issue.

A licensed instructor shall, on or before the annual expiration of licensure, submit a renewal application and the prescribed renewal fee. A person, who renews their instructor license within 24 months of the expiration of their last license, may be licensed without further requirement upon submission of an application, valid first aid card, valid certification from an approved curricula provider, and payment of the license fee.

Certification. A person must maintain certification with an approved curriculum provider for instructor and school licensure.

Fees. The fee for a motorcycle rider education school and instructor license is established by 29-A MRS Section 1353.

Section 5. Motorcycle Rider Education Instructor Licensing Requirements

General requirements. Any person who conducts motorcycle rider education, acts as an instructor or represents oneself as providing the same must be licensed by the Secretary of State. The Secretary of State shall not authorize a person to conduct motorcycle rider education unless the person meets the following requirements:

A. The person is at least twenty (20) years of age;

B. The person has a high school diploma or equivalent;

C. The person has a valid operator’s license with an endorsement, or restriction, to operate a motorcycle as described in 29-A MRS Section 1254;

The person has at least two (2) years of riding experience as a licensed motorcycle operator in this state or another jurisdiction. If a person has not held a Maine license as required in this section, a certified copy of a driving record from all states in which a license was held in the preceding six years, must be provided with the instructor application. The record must provide the date of licensing or endorsement for operation of a motorcycle.

E. The person has not been convicted of a moving criminal traffic offense within the last six (6) years, except for operating without an operator’s license if the operator’s license was expired less than five (5) years, and operating with an expired registration;

F. The person has not been designated as an accident-prone driver pursuant to 29-A MRS Section 1308 within the last year;

G. The person has not had an operator’s license suspended or revoked within the last six (6) years pursuant to 29-A MRS Sections 2411, 2453, 2454, 2456, 2457, 2521, 2525, 2552, 2554, 2555 or 2557A;

H. The person has not been convicted of any felony within the last ten (10) years;

I. The person has never been convicted of any crimes listed in 17-A MRS Sections 201, 202, 203, 208, 208B, 208C, 210A, 210B, 210C, 211, 211A, 213, 253, 254, 255A, 256, 258, 260, 261, 282, 283, 284, 301, 302, 303, 553, 554, 556, 854, 855. A person whose application (or renewal application) is denied based on conviction of a crime listed in 17-A MRS Sections 211, 211-A, 256, or 259-A may request a hearing with the Secretary of State to show cause why denial on those grounds is not appropriate;

J. The person must provide valid, current proof of completion of a first aid course;

K. The person pays the fee as established by 29-A MRS Section 1353;

L. The person must not have any physical, emotional or mental impairment that would prevent driver licensure in accordance with 29-250, Chapter 3, Secretary of State, Bureau of Motor Vehicles, Rules Governing the Physical, Emotional and Mental Competence to Operate a Motor Vehicle. Any person under review for a reportable medical, physical, mental, or emotional condition may, at the Secretary of State’s discretion, be disqualified from possessing a motorcycle rider education instructor license until all medical requirements have been met;

M. The person successfully completes a motorcycle rider education instructor preparation course approved by the Secretary of State;

N. If the Instructor Preparation course is completed in another state, prior to a motorcycle rider education instructor license being issued, the individual shall attend a workshop with the Maine Motorcycle Safety Program Coordinator to ensure compliance with Maine rules and policies;

O. Initial instructor licensing must be completed within two years of fulfilling the requirements of subsection 1M and 1N;

P. Prior to enrollment in any instructor preparation course, the person must participate, as a student, in a hands-on basic motorcycle rider education course within the preceding year.

The person must be certified by an entity that has proprietary rights to a curriculum, approved by the Secretary of State, as a motorcycle rider education course, for the specific curriculum being taught.

Instructor applicants shall submit to State Bureau of Identification background check upon initial and renewal application. The Bureau of Motor Vehicles will request and receive the background check from the State Bureau of Identification. A fee will be assessed at time of initial and renewal application pursuant to Title 25 MRS Sec1541 (1).

State and federal criminal history record information shall be used for the purpose of screening motorcycle rider education instructors in order to determine whether issuance of a motorcycle rider education instructor license is granted or maintained.

A motorcycle rider education instructor must be in possession of a valid motorcycle rider education instructor license, reflecting the appropriate license type, when teaching in the classroom and on the range.

Continuing education and training requirements. In addition to the requirements listed in subsection 1, a person applying for instructor license renewal must:

Attend continuing education programs or seminars as required by the Secretary of State.

Course delivery and safety. Motorcycle rider education instructors shall ensure proper delivery and execution of course materials; effectively evaluate and coach; maintain student safety to the highest degree where applicable; demonstrate safe riding habits; and wear proper riding gear when riding to, from and during rider training activities.

Change of name or address. When a person, after applying for or receiving a motorcycle rider education instructor license, changes his or her name or moves from the address named on the application or on the motorcycle rider education instructor license issued, that person shall, within 30 days, notify the Secretary of State, in writing or by other means approved by the Secretary of State, of the old and new name/address.

Section 6. Motorcycle Rider Education School Licensing Requirements

Licensing Requirements. Any person, who conducts motorcycle rider education, operates a motorcycle rider education school or represents oneself as providing the same must be licensed by the Secretary of State. A license is required for each location where motorcycle rider education is provided.

Application and General Requirements. An applicant for a motorcycle rider education school license must submit the following information to the Secretary of State, who will provide forms for this purpose, and meet the following requirements.

Ownership and Employee Information.

Identity of school owners. The name, date of birth, address and title of each owner, including partners and shareholders. Prior to approval of an application, if a person applying for a motorcycle rider education school license is not licensed as a motorcycle rider education instructor, the person must submit to a criminal background check and pay the appropriate fee.This includes corporate owners and partners.

Identity of motorcycle rider education instructors. The names and date of births of motorcycle rider education instructors employed by the school. The school must ensure that all motorcycle rider education instructors employed by their school hold a valid certification from an approved curriculum provider, driver’s license and motorcycle instructor license.

Identity and location of school. The school name, mailing address, classroom location, range location, and the location where records will be maintained.

School name. If a motorcycle school does not renew its license within two years, the Secretary of State may grant a license to another school with the same operating name.

School location. A motorcycle rider education school may not be located in a facility where the Secretary of State conducts business at any location initially licensed after the effective date of these rules.

Must be in good standing with an approved curriculum provider as a motorcycle rider education school.

Facilities and Equipment. Motorcycle rider education courses shall only be conducted at a location licensed by the Secretary of State. Only one school may be licensed at any location where motorcycle rider education is conducted. The classroom must be used exclusively for motorcycle rider education instruction during classroom instruction. A person making application for a motorcycle

rider education school license shall provide a classroom in a permanent or temporary location, to include a range, that includes:

A minimum of 24 square feet of floor space for the instructor, plus a minimum of fifteen (15) square feet of floor space per student;

Adequate seating and writing space for each student;

Adequate lighting, heat and ventilation;

Adequate rest room facility that is accessible to students during the classroom and range portion of the course. A restroom facility must be located within a reasonable distance of a range, which will be determined at the time of inspection;

Currently inspected fire extinguishers; 5 lb. for the classroom and 10 lb. for the range;

Appropriate teaching aids, literature and forms that must include:

An instructor guide appropriate to the course being taught;

The latest edition of the State of Maine, Motorcycle Safety Program Manual ;

(3) The latest edition of the Maine Motor Vehicle Statutes (Title 29-A);

(4) A copy for each student of the latest edition of the Maine Motorist Handbook and Study Guide as developed by the Secretary of State;

(5) A copy for each student, of the latest edition of the curriculum provider student workbook, for the appropriate course being taught;

(6) A copy of the Motorcycle Rider Education Rules;

(7) New course reports;

(8) Course completion reports;

(9) Course completion certificates;

(10) Incomplete student reports;

(11) Skill evaluation score sheets;

(12) Incident reports;

(13) Course waiver/indemnification forms;

(14) Learner’s permit applications; and

(15) Organ donation pamphlets.

G. Range information. A range must be within visual proximity of the classroom facility and meet specifications for range layout and equipment as set forth in the curriculum provider’s specifications.

Insurance. Confirmation of liability insurance coverage from the school owner for the motorcycle riders while operating on the range. Minimum liability insurance coverage of $2,000,000.

I. Compliance with land use regulations. A certificate of occupancy or a report from the local fire department or other proper official which demonstrates that the school premises comply with state and municipal requirements regarding public health, safety and access. Authorization to use the facility as a rider education school is required. If the classroom is located in a public or private school, a comparable letter from the superintendent, principal, dean or headmaster will fulfill this requirement. Mobile or portable classrooms are also subject to this requirement.

Surety bond. The surety bond shall be for the use and benefit of the Secretary of State, and for any person who may suffer a financial loss due to a motorcycle rider education school failing to provide motorcycle rider education as required in 29-A MRS subchapter 3, 1352 (1) and Department of Secretary of State, Bureau of Motor Vehicles, Chapter 11: Rules Governing Motorcycle Rider Education §4.

The surety bond shall be at least $10,000.

The surety bond shall become payable upon order of the court of competent jurisdiction or administrative rule by the Bureau of Consumer Credit Protection or the Secretary of State.

K. Inspections. Classrooms and ranges shall be inspected annually. The Secretary of State may at any reasonable time, with or without notice, conduct on-site inspections of records, facilities and equipment in order to determine compliance with these rules.

L. Fees. Motorcycle rider education schools shall submit an annual fee as established by 29-A MRS Section 1353 (2).

M. Signs. The name of the school may be displayed at the established place of business. “Motorcycle course” may be included on the sign; the sign cannot reference guarantee of a permit or license.

N. Motorcycles. School owned, rented, leased, or borrowed motorcycles used for any hands-on training course must be approved by the Secretary of State and meet the following requirements:

(1) A motorcycle must be available for each student enrolled in the course, and two spare motorcycles must be made available for student use in the event of mechanical malfunction.

(2) Must be in safe operating condition.

(3) Must meet at least two of the following:

(a) An engine displacement of 500cc or less;

(b) An unladen weight of 440 pounds or less;

(c) A seat height of 30 inches or less;

(4) All primary controls including, but not limited to throttle, clutch lever, gear shift lever, front brake lever, rear brake pedal, and associated cables must be without defect and fully functional.

(5) The brake light must illuminate when slight pressure is applied to the front brake lever, and rear brake pedal independently.

(6) Tire tread depth must be at least 2/32 of an inch everywhere on the tread when measured with a tread depth gauge, or unless worn to the wear indicators.

(7) Chain guard must be securely mounted and provide shielding from the chain or drive belt.

(8) Exhaust system must prevent excessive noise and not be altered beyond manufacturer specifications.

(9) Battery cover must be securely in place and protect the battery terminals.

Employees. The school must immediately advise the Secretary of State, in writing, whenever a motorcycle rider education instructor is hired or leaves the school’s employ.

Sale or closure of motorcycle rider education school. A motorcycle rider education school owner must immediately advise the Secretary of State, in writing, of its sale or closure. A school that is closed or sold must immediately return all documents, forms and other related material issued by the Secretary of State and its license, if unexpired, to the Secretary of State.

Section 7. Motorcycle Rider Education Program Requirements

• • 1. Curriculum. An instructor shall comply with the approved course curriculum meeting national standards, approved by the Secretary of State, and the Maine Motorcycle Safety Program Manual while conducting a motorcycle rider education course.

Curriculum hours. An instructor shall ensure that each student completes:

Prior to any training course, all motorcycle rider education students shall complete a minimum of 3 hours on-line (ecourse) or an equivalent pre-course assignment that includes motorcycle safety related topics and rider responsibility aspects as required by the State of Maine standards.

At least 5 hours of actual classroom instruction and 10 hours of actual hands-on range instruction, as required in the basic

motorcycle rider education course instructor guide before a student may be issued a course completion certificate; or

At least 8 hours of actual classroom instruction and 8 hours of actual hands-on range instruction as required in the 3-wheel basic motorcycle rider education instructor guide before a student may be issued a course completion certificate; or

(4) Classroom units and range exercises must be delivered as outlined in the approved curriculum and the Maine Motorcycle Safety Program Manual . Any exceptions must be approved by the Secretary of State.

For safety reasons, during any motorcycle course, a training day that exceeds 5 hours of instruction shall incorporate a 45-minute (minimum) meal/rest break for students and instructors, near the mid-way point of that training day. Other student breaks as prescribed by the curricula shall be completed.

B. Student eligibility. An instructor shall ensure that each student:

(1) Is at least sixteen (16) years of age at the start of any motorcycle rider education course;

(2) A person under 18 years of age must have written permission from a person that meets the requirements of 29-A MRS Section 1302, subsection 1;

(3) Furnishes proof of age when enrolling in a motorcycle rider education course if not in possession of a valid State of Maine driver’s license; and

(4) Furnishes proof of completion of an approved program of driver education, as described in 29-A MRS, Section 1351, if under eighteen (18) years of age and not in possession of a valid Maine driver’s license.

C. Submission and retention of records. A motorcycle rider education school shall:

• • • 1. Submit a copy of all new course reports to the Secretary of State at least seven (7) days prior to the start of the course. School owner shall notify the Secretary of State, in writing, of any course cancellation or change within 48 hours of the course start

time. The motorcycle safety program coordinator shall be notified via cellphone of any last-minute course cancellations or changes, before the start of any course;

(2) Submit a copy of all course completion reports to the Secretary of State within seven (7) days of completion of the course;

(3) Retain a duplicate copy of all records for at least five (5) years;

(4) Report the loss, mutilation or destruction of any records to the Secretary of State within ten (10) days, stating the date and circumstances involved;

(5) Keep records current and available for inspection by the Secretary of State at all reasonable times and;

(6) Return all course completion certificates voided by the school to the Secretary of State upon completion of the course.

Course completion certificates. For the purpose of obtaining a motorcycle license, endorsement or learner’s permit, as required by 29-A MRS, Section 1352(5):

A school shall issue a course completion certificate, provided by the Secretary of State, to a student who successfully completes all course requirements;

A student may not be issued a course completion certificate unless the student has received all the instruction required by the standardized curriculum of a motorcycle rider education course, and meets the minimum requirements established by these rules and applicable statute;

A student who begins but does not complete a basic motorcycle rider education course or 3-wheel basic motorcycle rider education course, must repeat a complete course to receive a course completion certificate.

A student who passes the written exam, but disqualifies on the skills evaluation of a basic or 3-wheel motorcycle rider education course, and otherwise meets requirements of 29-A MRS Section 1352, subsection 6B allowing waiver of a road test, may repeat the entire range portion and skills evaluation during the current riding season of the initial course in which they participated.

A motorcycle rider education school may not withhold the issuance of a course completion certificate solely because the student fails to pay any fee required by the school.

E. Duplicate course completion certificates

(1) A school may not issue a duplicate course completion certificate but shall instead refer each student’s request to the Secretary of State, Bureau of Motor Vehicles.

The Bureau of Motor Vehicles may issue a certification of completion, upon each student’s request, provided it has received

course completion report showing the completion of the student, and it is satisfied that such a request is justified.

F. Monitoring performance. The Secretary of State may, at any reasonable time, monitor and evaluate an instructor’s performance to determine compliance with 29-A MRS Section 1352 and these rules.

Refund and cancellation policy. A motorcycle rider education school must have a written refund and cancellation policy which must be furnished to the student at the time of enrollment in a course. All fees related to the course must be disclosed in this policy. This policy must include a notice that motorcycle rider education is regulated by the Secretary of State.

H. Student to Instructor ratio

Basic Motorcycle Rider Education Course. The maximum number allowed in the classroom shall not exceed 24 students and shall not exceed 12 students per instructor. The maximum number allowed on the range shall not exceed 12 students and shall not exceed 6 students per instructor.

3-Wheel Basic Motorcycle Rider Education Course. The maximum number allowed in the classroom shall not exceed 12 students. The maximum allowed on the range shall not exceed 6 students with two instructors. The maximum allowed on the range shall not exceed 4 students with one instructor. As ride sharing (half riding/half observing) is acceptable for the 3‑wheel basic motorcycle rider education course, an additional instructor shall be present when students are observing a group that is riding.

Double Classes. When two separate groups of students are sharing a training facility during the same period of time while conducting a Basic Motorcycle Rider Education Course or in combination with a 3-Wheel Basic Motorcycle Rider Education Course, the following will be adhered to:

When one group is on the range, an additional instructor will be required to assist when the second group arrives until the completion of all training;

All instructors and students will be provided a minimum 1-hour meal/rest break at the same time, at the transition between range and classroom or at the transition between the groups utilizing the range or;

Two additional instructors must be provided to train the second group on the range.

Instructor Preparation Course. The Maine Motorcycle Safety Program Coordinator or a certified curriculum instructor trainer, approved by the Secretary of State, will conduct Instructor Preparation Courses on an as needed basis.

The course shall be held at a licensed motorcycle rider education school.

If an approved certified curriculum instructor trainer is providing the Instructor Preparation Course, the Maine Motorcycle Safety Program Coordinator will conduct the final evaluation and scoring of each candidate and student.

The approved certified curriculum instructor trainer must provide, in writing to the Secretary of State, notification of an Instructor Preparation Course at least 60 days prior to the start of the course. A form will be provided by the Secretary of State for course reporting.

Section 8. Monitoring and Inspection by Secretary of State.

The Secretary of State shall monitor, with or without notice, classroom and range instruction for compliance with statutory and regulatory requirements. A motorcycle rider education school and motorcycle rider education instructor must allow the Secretary of State access to facilities, vehicles and records necessary to monitor and inspect classroom and range instruction.

Section 9. Complaint Processing Procedure for Complaints against Licensed Schools and Instructors.

All complaints regarding a motorcycle rider education school and/or instructor must be signed by the complainant and submitted to the Secretary of State in writing. The Secretary of State shall acknowledge receipt of the complaint and notify the complainant of the final action taken. The Secretary of State shall advise the school, instructor or person, against whom a complaint has been registered, of the nature of the claim. The Secretary of State may investigate complaints as deemed appropriate.

Section 10. Denying, Suspending or Revoking the Licensing of a School or Instructor

1. The Secretary of State may suspend, revoke or deny to issue or renew a motorcycle rider education instructor or school license for just cause in accordance with the Maine Administrative Procedure Act and noncompliance with statutory and regulatory requirements.

2. A person refused a license or whose license is suspended or revoked may request a hearing with the Secretary of State. Administrative hearings are conducted in accordance with 29-A MRS, Chapter 23, Subchapter III Article 3.

3. An instructor or school, upon denial, suspension or revocation of licensure shall at once return all materials issued by the Secretary of State to the Bureau of Motor Vehicles.

An instructor or school whose license is denied, suspended or revoked, or who does not renew certification, for more than 24 months, must complete the licensing process described in Section 5 of these rules again in order to be relicensed.

If the Secretary of State is notified by a curriculum provider, that a school or instructor is ineligible to use their curriculum, a suspension shall be imposed

until such time that documentation is provided showing compliance with the curriculum provider.

If not in good standing with an approved curriculum provider, a request to use another approved curriculum or request to approve a new curriculum will not be permitted.

Section 11. Prohibited Conduct.

A person may not engage in the following conduct or activities:

1. Motorcycle rider education. A person may not conduct motorcycle rider education, operate a motorcycle rider education school, act as a motorcycle rider education instructor or represent oneself as providing the same without being licensed by the Secretary of State.

2. Solicitation and advertising. A motorcycle rider education school, including employees and agents, and a motorcycle rider education instructor may not:

A. Solicit or advertise at a location where the Secretary of State conducts driver tests.

Advertise, imply or otherwise represent oneself to be an employee or agent of the Secretary of State.

Advertise, imply or otherwise represent or insinuate that the issuance of a motorcycle permit, license or endorsement is guaranteed or assured.

D. Make any false, misleading or deceitful claims, statements or representations in any advertisement or solicitation.

E. Advertise or solicit business for a new school, new location or expired school, without being licensed.

3. A motorcycle rider education instructor and student may not engage in the use of mobile telephones or other handheld electronic devices as defined in 29-A MRS Section 101 subsection 26-C, as well as any wireless communication devices while conducting classroom or hands-on instruction.

4. A motorcycle rider education school, including employees and agents, and a motorcycle rider education instructor may not interfere, harass or intimidate any person where the Secretary of State conducts business.

5. A motorcycle rider education school, including employees and agents, and a motorcycle rider education instructor may not engage in any verbal, physical or visual harassment of any employee of the Secretary of State.

6. A motorcycle rider education school, including employees and agents, and a motorcycle rider education instructor may not intimidate or harass an employee, student or other person receiving motorcycle rider education based on sex, color, race, religion, national origin, age, marital status, physical or mental disability or sexual orientation. For the purpose of this paragraph harassment includes the following, which may be a series of incidents or a single occurrence: unwelcome sexual advances, gestures, comments, or contact; threats; offensive jokes; subjecting employees, students or other persons receiving motorcycle rider education to ridicule, slurs, or derogatory actions. For the purpose of this paragraph, sexual-harassment includes the following, which may be a series of incidents or a single occurrence: verbal, nonverbal and physical behavior that is sexual in nature such as comments about a person’s looks, personal inquiries, sexual jokes, use of derogatory sexual stereotypes, uttering sexually suggestive sounds, writing sexual notes, use of the computer equipment to send or receive material of a sexual nature, looking someone up-and-down, staring or leering at someone’s body, deliberate blocking of a person’s path, displaying sexual visuals, making sexual gestures, massaging, touching, deliberate brushing up against someone, hugging, pinching, grabbing or other sexual touching, contact or act.

A motorcycle rider education instructor or school may not allow any marketing activities by a third party during a motorcycle rider education course. Such activities, if allowed by a school or instructor, may occur only prior to, or following any course. Third parties include, but are not limited to, motorcycle manufacturers, dealers, associations or insurance providers. A motorcycle rider education school or instructor may not withhold issuance of a course completion certificate to a person for nonparticipation in any such activities.

At no time will anyone involved in the motorcycle rider education course use or consume any intoxicating or mind-altering substance that would prevent them from legally operating a motor vehicle.

Appendix A

Surety Bond

for

Motorcycle Rider Education School

BOND NUMBER:

KNOW ALL MEN BY THESE PRESENTS, That we__________________________________________

(Name of Motorcycle School)

of ______________________________________ and _________________________________________

(Motorcycle School Address) (Surety Company)

as surety authorized to do business in the State of Maine are held and firmly bound unto the Secretary of State, State of Maine to ensure faithful compliance with Chapter 11, Rules Governing Motorcycle Rider Education and the terms and conditions of the certificate issued there under. This bond has been undertaken by the principal in the amount of ten thousand ($10,000) for the payment of which we bind ourselves, our heirs, executors, administrators, successors and assigns, jointly and severally.

Whereas the above bounden Principal has made application to the Secretary of State, State of Maine, Bureau of Motor Vehicles, for certification to engage in business as a motorcycle rider education school in accordance with rules promulgated by the Secretary of State, and if so certified, said Principal is required to furnish a surety bond pursuant to Chapter 11, Rules Governing Motorcycle Rider Education.

Now, therefore, the condition of this Obligation is such that if the said Principal shall faithfully observe the provisions of the rules promulgated relating to the business of motorcycle rider education school obligation shall be null and void, otherwise to remain in full force and effect.

It is further understood and agreed that:

This bond shall run from the date it is signed and dated and shall continue in full force and effect for a minimum of one (1) year after motorcycle rider education school license expiration.

This bond may be canceled by the Surety at any time by giving thirty (30) days written notice by registered or certified mail to the Secretary of State.

Principal and Surety agree to be bound by the laws of the State of Maine as to the interpretation of this instrument.

Signed, sealed and dated the _______day of __________, 20

__________________________________________ ____________________________________

Principal Surety Company

___________________________________

Address of Surety Company

BY:_______________________________________ BY:________________________________

Witness:___________________________________

There will be no fiscal impact to municipalities resulting from the adoption of these rules.

History

• STATUTORY AUTHORITY: 29-A MRS section 153
• EFFECTIVE DATE: August 16, 1988 – filing 88-276
• AMENDED: September 14, 1992 – filing 92-367
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• REPEALED AND REPLACED: February 7, 1998 – filing 98-74
• REPEALED AND REPLACED: June 13, 2017 – filing 2017-089
• REPEALED AND REPLACED: July 4, 2020 – filing 2020-155
• APAO ACCESSIBILITY CHECK (Word): April 6, 2026

Chapter 12 Rules Governing the Sale of Records and Databases Related to Driver History, Driver Licenses and Motor Vehicles

Code Me. R. 29-250 Ch. 12 Rules Governing the Sale of Records and Databases Related to Driver History, Driver Licenses and Motor Vehicles. {#sec-29-250-ch.-12 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 12}

Summary: These rules describe the process by which requests for motor vehicle records must be made and the fees associated with the sale of records and databases.

1. Statement of Policy.

It is the policy of the Secretary of State to comply fully with the public record provisions of the Maine Freedom of Access Law (1 MRSA §401 et seq.) and other relevant law, including the Federal Driver Privacy Protection Act (18 USC, Chapter 123), in the dissemination of information maintained by the Department of the Secretary of State.

2. Information Required to Process A Request For A Record.

To facilitate the retrieval of records and to ensure the accuracy of records:

A. All requests for records must be in the form acceptable to the Bureau and addressed to the main or home office of the Bureau unless the individual requesting information appears at the office.

B. All requests must be accompanied by the appropriate fee as authorized by statute or these rules. Commercial account holders may be billed for the records in accordance with Bureau procedures.

C. All individual requests for motor vehicle records must contain at least the following identifying information: In the case of a request for driver history or license information, the name and date of birth or the name and Maine driver’s license number, or the name and address of the individual who is the subject of the request. In the case of registration information, the registration certificate/plate number or the name and date of birth of the individual who is the subject of the request.

D. No request for an individual record may be processed without the minimum identifying information because such information is essential to the accurate retrieval of records.

3. Fees.

The fee for records, including a report of no record found, is as provided by statute (29-A MRSA §§ 251 and 252). Source document records up to 10 pages cost $10.00 and an additional $5.00 for every subsequent 10 pages or any portion thereof.

A. Electronic Transmittal. An additional fee of $2.00 per record is charged for records which are transmitted electronically, including by fax or by internet. Faxed records beyond 10 pages are charged an additional $2.00 for every subsequent 10 pages or any portion thereof.

B. Database Records and Lists. Database records and lists are provided by Information Resources of Maine (InforME) and the fees for such information is as established in the Service Level Agreement between InforME and the Department of the Secretary of State. The fee for Database records and lists which are not available through InforME are the same established by the fee schedule to the Service Level Agreement between InforME and the Department of the Secretary of State.

History

• STATUTORY AUTHORITY 29-A MRSA §§ 251 AND 252
• EFFECTIVE DATE: September 1, 2004 - filing 2004-296
• AMENDED: November 12, 2008 – Section 3, first paragraph – filing 2008-533
• APAO ACCESSIBILITY CHECK (Word): April 6, 2026
• APAO ACCESSIBILITY CHECK (Word): 29-250 Chapter 12 page 2

Chapter 13 Rules Governing Driver's License Restrictions

Code Me. R. 29-250 Ch. 13 Rules Governing Driver License Restriction {#sec-29-250-ch.-13 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 13}

Summary: These rules describe the factors to be considered when restrictions are placed on a driver's license pursuant to 29‑A M.R.S.A. §1257. The rules do not apply to restrictions which are authorized or required to be imposed in accordance with statute and other rules. The adoption of these rules does not limit the authority of the Secretary of State to suspend or revoke a license as provided by law.

1. Purpose. The Secretary of State is responsible for ensuring the safety of the motoring public through the judicious administration of the motor vehicle laws. Persons who present an unreasonable risk to the safety of driving public must be denied the privilege to operate motor vehicles. Other persons may have their operating privileges limited or restricted following a driving evaluation.

2. Action by the Secretary of State. The Secretary of State, having good cause to believe that a person is incompetent or otherwise not qualified to operate a motor vehicle may require that person to submit to a driving evaluation. 29‑A M.R.S.A. §1309.

A. Sources of information. Sources of information concerning a person's ability to operate a motor vehicle safely include, but are not limited to:

1. Permits, licenses, renewal applications, and accident reports;

2. Adverse reports of driving from citizens, family, physicians and other medical personnel, law enforcement and other government agencies.

3. Driver history including convictions, adjudications, suspensions, revocations and accidents.

B. Driving Evaluation. A person's ability to operate a motor vehicle safely during a road evaluation must be assessed by a driver license examiner. Following completion of the road evaluation, the Secretary of State may:

1. Suspend or revoke the license if the person's continued operation of a motor vehicle presents a potential danger to the person or other persons or property.

2. Allow the person to obtain or retain a license.

3. Limit or restrict the person's license considering the safety of the public and the person's competence to operate a motor vehicle.

3. Factors evaluated for license restrictions. The following factors must be considered:

A. Driver History. The person's driving record including convictions, adjudications, suspensions, revocations and accidents.

B. Adverse reports. Adverse reports of driving from citizens, family, physicians and other medical personnel, law enforcement and other governmental agencies.

C. Physical, mental, and emotional condition. The physical, mental, and emotional condition of the person.

D. Driving evaluation. The person's ability to operate a motor vehicle safely during a road evaluation conducted by a driver license examiner. The evaluation includes, an assessment of the person's skills, judgment, knowledge and ability to operate and control a motor vehicle safely driving forward, backward and parking, maintaining and changing lanes, turning, observation and reaction to other road users and pedestrians as well as traffic signs, signals and conditions. The evaluation may occur at night and in various geographic locations.

4. Hearing. A person whose license is limited or restricted pursuant to these rules may request a hearing as provided by 29‑A M.R.S.A. §§ 2483‑2485 to contest the restriction. At the hearing, the hearings examiner must consider the factors listed in section 3 of these rules.

History

• STATUTORY AUTHORITY: 29‑A M.R.S.A. §153
• EFFECTIVE DATE: October 3, 2004 - filing 2004-428
• NON-SUBSTANTIVE CORRECTION: October 20, 2004 - spelling in Section 3.D.
• APAO ACCESSIBILITY CHECK (Word): April 6, 2026

Chapter 14 Rules of the Maine Motor Vehicle Franchise Board

Code Me. R. 29-250 Ch. 14 Rules for the Maine Motor Vehicle Franchise Board {#sec-29-250-ch.-14 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 14}

SUMMARY: These rules establish procedures for the conduct of adjudicatory proceedings before the Maine Motor Vehicle Franchise Board. They should be read in conjunction with the statutory provisions of the Maine Motor Vehicle Franchise law 10 M.R.S.A. Chapter 204.

APPLICABILITY ; These rules govern all practice before the Maine Motor Vehicle Franchise Board(“Board”), subject to and in accordance with the Board’s enabling statute, 10 M.R.S.A. § 1187 to 1190-A and the provisions of the Maine Administrative Procedure Act, 5 M.R.S.A. §§ 8001-11008. These rules shall apply to any person or entity defined by 10 MRSA Ch.204, §§ 1171 et seq. and any intervenor who is involved in a proceeding before the Maine Motor Vehicle Franchise Board. These rules guide the Board in carrying out its duties prescribed in 10 M.R.S.A. Chapter 204.

Rules of the Maine Motor Vehicle Franchise Board

Section Page

§1. Purpose 2

§2. Motor Vehicle Franchise Board 2

§3. Commencement of Proceeding, Service, Intervention and Form of Submissions 3

§4. Prehearing Procedure 7

§5. Adjudicatory Proceedings 10

§6. Hearings and Evidence 12

§7. Decisions, Penalties and Fees 16

§1. Purpose

1. Purpose. The purpose of these rules is to establish the operating procedures through which the Maine Motor Vehicle Franchise Board (Board) will enforce the provisions of 10 MRSA Ch.204, §§ 1171 et seq. These rules shall be construed to secure just, speedy and efficient determination of all matters pending before the Board. Procedures not specifically addressed by these rules shall be governed by the Maine Rules of Civil Procedure.

2. The rules of the Maine Motor Vehicle Franchise Board govern all actions pending on or filed with the Board after their effective date.

A. Amendments to these rules will govern those proceedings pending on or begun after their effective date, except as the Chair determines that the application of one or more of the amendments in a particular proceeding pending when the amendment took effect would not be feasible or would work injustice, in which event the Chair need not abide by those amendments.

B. 10 M.R.S.A. §§ 1187-A requires the Board to impose an initial assessment upon each motor vehicle dealer and each motor vehicle manufacturer. In order to carry out its statutory mandate pursuant to this section of the law, the Board is required to determine annually whether to increase that assessment. It will notify each motor vehicle dealer and manufacturer of any change in the annual assessment.

3. Definitions. Terms used in these rules are defined below or are as defined in Tit. 10 M.R.S.A. Chapter 204.

A. Board Chair means the Chairman of the Maine Motor Vehicle Franchise Board as set forth in 10 § 1187.

B. Complaint means any complaint for relief filed pursuant to 10 MRSA §§ 1171 et seq.

C. Party means the person commencing an adjudicatory proceeding, all respondents, and all intervenors in the proceeding.

Respondent means a person or entity against whom an adjudicatory proceeding is initiated under 10 MRSA §§ 1171 et seq.

§ 2. Maine Motor Vehicle Franchise Board

1. The Office of the Maine Motor Vehicle Franchise Board is located at 101 Hospital Street, 29 State House Station, Augusta, ME. 04333-0029.

2. Representation.

A. Pro se representation. Only an individual may appear on the individual's own behalf.

B. Attorneys. A party may be represented by an attorney authorized to practice law in Maine. At the discretion of the Chair, an attorney who is not a member of the Maine bar, but is a member in good standing of the bar of another state or the District of Columbia, may represent a party if a member of the Maine bar moves that the out-of-state attorney be so permitted, and if both the member of the Maine bar and the out-of-state attorney agree to be actively associated during the proceeding. The member of the Maine bar so associated shall further agree to accept service of all papers, to sign all papers filed with the Board and to attend any conference or hearing as ordered by the Chair. The Chair may at any time for good cause revoke such permission without hearing.

C. Notice of appearance. An attorney who appears in a representative capacity shall enter an appearance by filing a written notice of appearance setting forth the attorney's name, business address, and telephone number, and the name and address of the party represented.

D. If an attorney withdraws, the attorney shall notify the board in writing; thereafter correspondence will be forwarded directly to the party.

3. Standard and Burden of Proof.

Proof shall be by a preponderance of the evidence and the burden of proof shall be on the complaining party unless otherwise set forth in Tit.10 §§ 1171 et seq.

§ 3. Commencement of Proceeding, Service, Intervention and Form of Submissions

1. Commencement of Proceeding.

A. A proceeding under these Rules is started by filing a Complaint for relief under Tit. 10 MRSA §§ 1187 et seq. A complaint may be amended as a matter of right only within five days of the date of filing. A Complaint shall provide the reason a hearing is requested, the specific section of the Law under which relief is being sought, the facts which form the grounds for the complaint, and the outcome sought.

B. The Chair shall review the complaint to determine whether any information is inadequate or missing and shall return it to the party with an explanation of the deficiencies and notice that the party may make corrections and resubmit the complaint within five days of receipt.

C. Any complaint shall be accompanied by a filing fee of $1,500.00 and confirmation of service upon the defendant.

D. The filing of any papers required or permitted to be filed under this rule is complete when the Board receives the paper by mail, in-hand delivery, or any other means specified by the Chair.

E. Non-compliance. If a party fails to comply with this section, the Chair may refuse to accept or consider the filing.

F. Nothing in this rule shall operate to limit the Board's right to require additional information from the petitioner or any other party.

G. The Board shall schedule a hearing to occur within 120 days of the date the complaint is received by the Board.

H. The respondent(s) must file and serve an answer within fifteen days of receipt of the complaint, as filed or amended under paragraph B. The answer must respond fully to all allegations and plead any and all available affirmative defenses and the factual and legal basis therefore. The answer must present the respondent’s position on the issues raised by the complaint. All defenses or defense issues not presented in the answer are waived. The Chair may allow an answer to be amended for good cause shown based on information obtained during discovery that was otherwise unavailable to the respondent.

2. Service and Filing of Pleadings and Other Communications.

A. Service of the complaint and answer shall be by certified mail, return receipt requested or independent delivery service that provides confirmation of receipt.

B. Subject to the provisions of M.R. Civ. P. 26(f), all papers after the complaint required to be served upon a party shall be filed with the Board either before service or within a reasonable time thereafter. Such filing by a party shall constitute a representation by the party, subject to the obligations of M.R. Civ. P. 11, that a copy of the paper has been or will be served upon each of the other parties as required by the Maine Rules of Civil Procedure. No further proof of service is required unless an adverse party raises a question of notice.

C. Where a party is represented by an attorney, service of papers shall be made upon the attorney and if a party is not represented by counsel, service shall be to the person who signed the papers on behalf of the party.

D. Acknowledgement of service. For any paper filed under this rule, the filing party shall file the original with the Board along with a statement that copies have been served on every other party or designated representative and specifying for each:

(1) The name and address of the party or attorney and

(2) The date and manner of service.

3. Intervention.

A. Timing. Persons who seek to intervene in a proceeding must do so by motion which must be filed and served on all parties no later than fifteen days after the filing of the answer with the Board, unless the Chair orders otherwise for good cause shown.

B. The motion must include the name, address and telephone number of the person seeking to intervene, the manner in which the movant is affected by or interested in the proceeding, and the movant’s position on the issues raised by the complaint or answer.

C. The motion must include a short and plain statement of the nature and extent of the participation sought and a statement of the nature of the evidence or argument that the movant intends to submit.

D. The Chair shall consider whether the intervention will unduly delay or prejudice the adjudication of the rights of the original parties and may limit the scope of an intervener’s participation in the proceeding in any reasonable manner in order to avoid delay, duplication of evidence, or to otherwise protect the rights of the original parties and preserve Board resources.

4. Number of Copies of Filings and Other Documents.

Parties shall provide an original and seven copies of every Pleading, transcript and all other filings or papers sent to the Board.

5. Form of Papers and Submissions.

A. All papers and submissions filed in connection with adjudicatory proceedings shall be in the form of a pleading in a civil matter in the courts of Maine. They shall contain the names of the parties, a descriptive name of the filing, and the MVFB Case Number, when available.

B. Form. All papers and submissions filed in connection with adjudicatory proceedings, excluding exhibits, shall be typed or otherwise printed on one side of the page of 8.5 x 11 inch paper. The typed matter must be double spaced in at least 12-point type, except that footnotes and indented quotations may be single spaced and in 11-point type, and margins should be at least one inch on all sides. All pages shall be numbered.

C. Signatures. Every paper filed by a party represented by an attorney shall be signed by hand by at least one attorney of record in the attorney's individual name, whose address and telephone number shall be stated. A party who is not represented by an attorney shall sign the paper and state the party's address and telephone number.

6. Motions.

A. All prehearing motions shall be in the form set forth above.

B. Content. All motions must state concisely the question to be determined and the factual and legal grounds for the desired order or action and be accompanied by an attached or incorporated memorandum of law, any supporting documentation and a draft order.

C. Timing. No motion may be filed fewer than five days before the hearing without a showing of good cause and the prior approval of the Chair. The filing or pendency of a motion does not alter or extend any time limit except that a motion to dismiss must be filed within twenty days of the filing of the answer and a motion for summary judgment must be filed within ten days of the close of discovery.

D. Opposition. Any opposition to any motion except a motion to dismiss or a motion for summary judgment must be filed within seven days after receipt of the motion. Any opposition to a motion to dismiss or a motion for summary judgment must be filed within fifteen days after receipt of the motion. A party failing to file such opposition shall be deemed to have waived all objections to the motion.

E. Length. No brief or motion or opposition to a motion to dismiss or motion for summary judgment shall exceed twenty pages without a showing of good cause and the approval of the Chair. No brief or motion or opposition thereto for any other motion shall exceed ten pages without a showing of good cause and approval of the Chair.

F. Briefs and oral argument. The Chair may in his/her discretion order that additional briefs be filed on any issue and may allow oral argument on any motions

G. The Chair shall rule on all motions in writing.

7. Time.

A. General rule. In computing any period of time that is either prescribed or allowed by this rule, or is ordered by the Chair, the day of the act or event after which the designated period of time begins to run is not to be included. The last day of the period so computed is to be included, unless it is a Saturday, Sunday, State holiday, or any other day on which the Board’s office is closed, in which event the period runs until the end of the next business day.

B. Modification. When by this rule or by order of the Chair an act is required or allowed to be done at or within a specified time, the Chair for good cause shown may order the period shortened or extended, except as precluded by statute. The Chair may order the period enlarged if such a request is made before the expiration of the period originally prescribed or as extended by a previous order; upon motion made after the expiration of the specified period the Chair may permit the act to be done where the failure to act within the specified time was the result of excusable neglect.

8. Shortening Time Limits or Staying Further Processing.

The Chair may order accelerated action on a claim without regard to the time limits otherwise provided in these rules, or may order a stay of further processing of a claim on such terms as are appropriate.

9. Additional Time After Service by Mail.

Whenever a party has the right or is required to do some act or take some proceedings within a prescribed period after the service of a notice or other paper upon the party and the notice or paper is served upon the party by mail, three days shall be added to the prescribed period.

§ 4. Prehearing Procedure

1. Prehearing Conference. The Chair shall schedule a conference no later than forty five days from the filing of the Complaint.

A. At least five days before the conference each party shall serve the Board and all other parties with a pretrial memorandum. The memorandum shall, to the greatest extent possible:

(1) identify all issues of fact and law to be raised at the hearing;

(2) list requested admissions or stipulations to facts or documents;

(3) specify the time requested for presentation of the party’s direct case and cross examination of witnesses;

(4) identify all experts and the scope of their testimony;

(5) list requests to use pre-filed direct testimony;

(6) list requests for official notice;

(7) list all outstanding discovery items that the party has requested and discovery to which the party has not responded; and

(8) list proposed exhibits.

B. At the conference the Chair shall, with the participation of the Parties’ representatives,

(1) formulate or simplify the issues of law and fact;

(2) obtain admissions or stipulations to facts and documents;

(3) decide time limits for each party‘s examination of witnesses;

(4) decide requests for official notice;

(5) address discovery disputes and motions;

(6) determine the admissibility of evidence;

(7) address any requests to use prefiled direct testimony;

(8) decide the order of presentation;

(9) arrange for exchange of proposed exhibits, testimony, and evidence;

(10) limit the number of witnesses and extent of witness examinations;

(11) determine scheduling and procedures for the hearing;

(12) rule on pending motions;

(13) schedule the hearing; and

(14) discuss other matters which may expedite the orderly conduct and settlement or adjudication of the proceeding.

C. The parties shall be prepared to engage in a good faith effort to obtain resolution and shall arrive with the person authorized to act on settlement proposals. For good cause shown, the Chair may allow the person authorized to act on settlement proposals to participate by telephone.

D. The Chair shall have the discretion to appoint a mediator to facilitate settlement at the pre-hearing conference, or appoint a mediator to convene a settlement conference after the pre-hearing conference. If mediation does not resolve the dispute, the parties shall split the cost of the mediator, subject to a final award of costs by the Board pursuant to § 1188 of the Act and § 7 of these Rules.

E. Any settlement of a proceeding through mediation, stipulation, or any other agreement of the parties is subject to the Board’s approval.

F. The Chair shall conduct a final prehearing conference ten days before the hearing. Each party shall file a trial brief five days before this conference, consisting of a brief statement of not more than five pages explaining the party’s case, the standard of proof, and the applicable law. It may include proposed findings of fact and conclusions of law. The parties shall review the issues raised at the pre-hearing conference as set forth in subsection 1(A) of this section and exchange pre-marked exhibits and witness lists. Exhibits or witnesses not then listed may be excluded at hearing. The Chair may require the parties to participate in other conferences which may be conducted by telephone, video, or other electronic means.

G. The Chair may designate all or part of the record of prior Board hearings as evidence to be considered in a particular hearing.

H. Upon notice to the participants, all or part of the pre-hearing conferences may be recorded.

I. The Chair may direct the parties to draft a Conference Report setting out the issues resolved at the conference and the issues which remain to be decided at hearing, or the Chair may do so himself. This conference Report shall be made part of the record and will control the course of the proceedings unless modified by the Chair.

2. Discovery.

A. Except as set forth below or ordered by the Chair, the Maine Rules of Civil Procedure govern discovery before the Board.

B. The parties are required to exchange the following information within 30 days of the filing of the complaint:

(1) The name, address, telephone number, facsimile number and electronic address of the person upon whom service shall be made;

(2) The name of the person who is knowledgeable on the issues and primarily responsible for responding to discovery;

(3) Copies of all correspondence and communications of all types between the plaintiff and defendant relevant to the issues for the three years prior to the filing of the complaint;

(4) Copies of the franchise agreement in effect including all addenda thereto, and the sales and service agreements in effect including all addenda thereto relevant to the issues in the proceeding;

(5) Copies of all relevant manufacturer’s service bulletins, recall notices or information, materials relevant to incentive programs, allocation standards, advertising standards or rules and customer survey information.

3. Pursuant to the Maine Rules of Civil Procedure, All parties shall have the right to take depositions, serve interrogatories and serve requests for production of documents and requests for admissions upon any party, subject to the following terms and procedures.

A. Interrogatories and Requests for Production of Documents Pursuant to Rules 33 and 34 must be exchanged within twenty days of service of the answer.

B. Objections to interrogatories, requests for production of documents or requests for admissions shall be filed with the Board no later than seven working days after receipt, unless some other period is prescribed by order of the Chair.

C. Interrogatories, requests for production and requests for admissions shall be answered within fifteen days after receipt or such other period as may be ordered by the Chair, except as to any part of a request to which specific and timely objection is made. In cases where timely objection has been made and the objection is subsequently overruled, the requested information, document or admission shall be provided within seven days of the denial.

4. Confidential or Proprietary Information.

A party may seek protection for information contained in any pleading, document, exhibit, testimony or any other information provided to the Board that is proprietary or confidential under Maine law. The party seeking such protection for confidential or proprietary information must file a motion for protective order pursuant to Rules 26 (c) and 45(d)2 setting forth the information sought to be protected and the basis under Maine law for the protection. The Board and all parties shall treat all information that is the subject of a motion for protection as confidential and proprietary until the Chair issues a ruling denying the motion for protection. The Chair shall rule upon the motion based on the applicable principles of Maine law. If the Chair grants the motion, the ruling shall specify the requirements for protection, which may include confidentiality agreements.

5. Sanctions.

A. Failure of a party to comply with an order of the Chair issued pursuant to this Chapter shall be grounds for dismissal of the complaint, entry of a default judgment, or dismissal of an intervenor from the proceeding. The dismissal or default is with prejudice unless otherwise stated in the order of dismissal or default, and is final unless the Board finds that the failure to comply was the result of excusable neglect.

B. Any motion to compel discovery shall be decided without hearing unless the Chair, following a conference, determines there are genuine issues of fact which require review.

§ 5 Adjudicatory Proceedings

1. The board shall notify the parties of the date, time, location and scope of the hearing.

2. In addition to other duties and powers contained in these rules, the Chair has the power to administer oaths and to require by subpoena the attendance and testimony of witnesses, the presentation of books, records and other evidence relevant or pertinent to the issues presented to the Board for determination.

3. Subpoenas.

A. The Chair or his designee may issue subpoenas at the request of any party to require the attendance and testimony of witnesses and the production of any evidence relating to any issue of fact in the proceeding.

B. The Board may prescribe the form of subpoena, but it shall adhere, insofar as practicable, to the form used in civil cases before the Maine courts. Witnesses shall be subpoenaed only within the territorial limits and in the same manner as witnesses in civil cases before the Maine courts, unless another territory or manner is provided by law. Witnesses subpoenaed shall be paid the same fees for attendance and travel as set out in the Maine Rules of Civil Procedure. Such fees, as well as the costs of serving the subpoena, shall be paid by the party requesting the subpoena.

C. It is the responsibility of the requesting party to serve the subpoena on the named individual. When a witness is subpoenaed, the witness fee and transportation allowance established by 16 M.R.S.A. §251 must then be provided. If a party subpoenas a witness and then decides not to call that witness, the requesting party must give notice of its intent not to call that witness to the other parties to the proceeding and to the Board or the Chair at least forty-eight hours before the witness was scheduled to appear. A subpoena for documents will ordinarily require the production of the documents at the prehearing conference.

D. Any witness subpoenaed to testify or produce documents may move the Chair to quash or modify a subpoena issued by the Board. The grounds to quash or modify a subpoena shall be those set out in Rule 45 of the Maine Rules of Civil Procedure. The Chair may grant the petition in whole or in part upon a finding that the testimony or the evidence whose production is required does not relate reasonably directly to any matter in question, or based upon a finding that the movant did not have a reasonable time to comply with the subpoena or that the subpoena was otherwise unreasonable or oppressive.

E. Pursuant to Tit. 10 § 1188(6), any person served with a subpoena who fails to obey the subpoena without adequate excuse, may be found in contempt. The standards for finding contempt shall be those set out in the Maine Rules of Civil Procedure.

4. Misconduct at a Hearing is subject to the sanctions set forth in the Maine Rules of Civil Procedure and Maine Law.

5. Board Member Withdrawal.

A. Upon the filing in good faith by a party of a timely charge of bias or of personal or financial interest, direct or indirect, of a presiding officer or Board member in the proceeding requesting that that person disqualify himself, that person shall determine the matter as a part of the record.

B. If a Board Member withdraws or it becomes impracticable for him or her to continue to participate in the hearing, the remaining Board members shall continue with the hearing if they constitute a quorum.

6. The Chair and four members of the Board and shall constitute a Quorum. A quorum may take any Board action authorized by the law by a vote of a majority of the members present.

7. In accordance with Maine Law and Rules of Court, the parties may not communicate directly or indirectly with the Chair or any member of the Board, in connection with any issue of fact, law or procedure, except upon notice and opportunity for all parties to participate.

8. Record

A. Generally. In proceedings subject to this chapter, the Board shall make a record consisting of:

(1) The complaint, answer, pleadings, motions, and rulings and orders thereon;

(2) Evidence received or considered;

(3) A statement of facts officially noticed;

(4) Offers of proof objections and rulings thereon; and

(5) The decision of the Board.

B. Hearings recorded. The Board shall record all hearings in a form susceptible to transcription. The Board may, in its discretion, record the hearing stenographically. The Board shall transcribe the recording when necessary for the prosecution of an appeal. At the request of either the plaintiff or defendant, the record shall be taken by a court reporter. The expense of the court reporter, shall be paid by the requesting party, subject to a final award of costs by the Board.

C. Record, copies. The Board shall make a copy of the record, including recordings made pursuant to subsection 2, available at its principal place of operation for inspection by any person during normal business hours, and shall make copies of the record, copies of recordings or transcriptions of recordings available to any person at actual cost. Notwithstanding the provisions of this subsection, the Board shall withhold, obliterate or otherwise prevent the dissemination of any portions of the record that are made confidential by state or federal statute, but shall do so in the least restrictive manner feasible. After the hearing, confidential information shall be sealed within the record and may not be further disclosed except upon order of the Chair.

D. Decision on the record. All material, including records, reports and documents in the possession of the Board, of which it desires to avail itself as evidence in making a decision, shall be offered and made a part of the record and no other factual information or evidence shall be considered in rendering a decision.

E. Documentary evidence. Documentary evidence may be incorporated in the record by reference when the materials so incorporated are made available for examination by the parties before being received in evidence.

§ 6. Hearings and Evidence

1. Hearings.

A. Presentation. Unless otherwise ordered by the Chair, the party filing the complaint shall present its case first, followed by the respondent(s), followed by any intervenors.

B. Openings and closings. Opening and closing statements may be made at the Chair’s discretion.

C. Stipulations. With the approval of the Chair, the parties may stipulate to facts at issue, on the record either orally or in writing, and shall be bound thereby.

2. Evidence. The Board shall accept evidence as follows:

A. Evidence that is relevant and material to the subject matter of the hearing and is of a type commonly relied upon by reasonably prudent persons in the conduct of their affairs shall be admissible.

B. Irrelevant, immaterial or unduly repetitious evidence shall be excluded by the Chair.

C. Expert evidence must be within the expertise of the witness and requires the laying of an adequate foundation.

D. The Board may use its experience, technical competence and specialized knowledge in evaluating the evidence submitted.

E. The Board may designate all or part of the record of prior hearings before the Board as evidence to be considered in a particular hearing.

F. Cost conclusions. No conclusory statements regarding costs will be considered unless supported by actual cost data based on actual operations of manufacturers and/or dealers as appropriate. Projections or estimates of costs may be presented, but in cases of such projections or estimates the actual costs or other data upon which such projections or estimates are based must be provided.

G. If the Chair has granted a motion for protection of confidential information, then during the introduction of such information or testimony on such information, the proceeding will be open only to the Board, parties, parties’ representatives, counsel of record, and the witness testifying regarding the information and access to the information is limited to these persons. After the hearing, the confidential information is sealed within the record and may not be further disclosed except upon order of the Board.

H. Rules of Privilege. The Board shall observe the rules of privilege recognized by law.

I. Amendments to Conform. Upon objection at hearing that evidence presented is not within the issues set out in the pleadings, the Chair shall freely allow the pleadings to be amended when it will aid in the presentation of the merits of the action and the objecting party fails to satisfy the Board that the admission of the evidence would prejudice it in maintaining its action or defense upon the merits. The Board may grant a continuance to enable the objecting party to meet that evidence. Upon the request of a party at the conclusion of the hearing, the complaint or response may be specifically amended to conform to the evidence.

J. All documents, materials and objects offered in evidence as exhibits shall be numbered or otherwise identified. Documentary evidence may be received in the form of copies or excerpts if the original is not readily available. The Chair may require, after reasonable prior oral or written notice, that any person offering any documentary or photographic evidence provide the Board with a specified number of copies of such documents or photographs, unless such documents or photographs are determined to be of such form, size or character as not to be reasonably susceptible of reproduction.

3. Testimony.

A. Prefiled testimony shall be in writing and in a question and answer format as if the witness were testifying at the hearing. It shall be double spaced and shall include the number of each line in the lefthand margin, except as otherwise permitted by the Chair. If the testimony is more than three pages long, it shall include a Table of Contents identifying each issue which was the subject of testimony. It must be served on the Board and all parties at least ten days before the hearing, or such other time as the Chair designates. The witnesses whose testimony was prefiled must be physically present at the hearing for cross-examination.

B. Testimony by written or videotape deposition: A party may move to present testimony by written or videotape deposition in accordance with the Maine Rules of Civil Procedure.

4. Witnesses.

A. With the exception of testimony presented by written or videotape deposition, any witness presenting testimony must be physically present at the hearing. Live testimony from a remote location is prohibited.

B. All witnesses shall be sworn by oath or affirmation. Interpreters shall be administered an oath or affirmation to translate truthfully and accurately, to the best of their ability, all questions asked and answers given. Once a witness has taken an oath or made an affirmation at any hearing it shall not be necessary for him/her to be sworn again for later testimony on the same day and in the same case. The record of the proceeding shall indicate that a person was recalled to testify and reminded that s/he was still under oath or affirmation.

(1) After a witness is sworn, the parties may conduct direct and cross examination, re-direct and re-cross examination. Further examination by the parties is permissible only if the Chair so directs. If the witness submitted pre-filed testimony, further direct testimony is subject to approval by the chair,

(2) Any Board Member may examine witness at any time during the testimony of that witness.

(3) The parties may present rebuttal witnesses and conduct surrebuttal as the Chair so directs in the exercise of his/her discretion.

(4) Limitations. The Chair may limit the number of witnesses and/or the extent of witness testimony.

5. Sequestration.

A. Upon request by a party, or on its own initiative, the Chair may exclude witnesses other than parties from the hearing room when those witnesses are not testifying.

B. A party that is not a natural person may designate an individual as its representative to remain in the hearing room.

C. The witnesses, parties, their counsel, and any person under their direction shall not disclose to any sequestered witness the substance of the testimony, exhibits, or other evidence introduced during the witness' absence.

6. Objections.

A. Objections shall be timely made during the course of the hearing and the basis of each objection shall be stated briefly on the record. The Chair may rule on the objection at the time it is made or may reserve a ruling until later as appropriate.

B. Preserving Objections. Objections to rulings admitting or excluding evidence and other rulings or orders of the Chair shall be made and preserved, and may be appealed in accordance with applicable statutes. Exceptions to rulings or orders of the Chair shall not be made. It is sufficient that a party, at the time the ruling or order of the Chair is made or sought, makes known to the Chair the action which the party desires the Chair to take or the party’s objection to the action of the Chair and the grounds therefore.

7. Offers of Proof.

An offer of proof may be made in connection with an objection to a ruling of the Chair excluding or rejecting any testimony or question on cross examination. Such offer of proof shall consist of a statement of the substance of the proffered evidence or what is expected to be shown by the answer of the witness.

8. Close of Evidence.

Once a party has rested its case, it may introduce no further evidence without the Chair’s consent.

9. Conduct at Hearings.

A. All persons appearing at a hearing before the Board shall conform to the conduct expected in the Superior Court of the State of Maine.

B. Contemptuous, disorderly, or improper conduct by any person appearing at a hearing shall be grounds for the Chair to exclude or expel that person from the hearing or to take other appropriate action.

10. Adjudication on documentary record.

The Chair may not hold a hearing, or a part thereof, if all parties waive their right to the hearing and agree to submit to adjudication based on the documentary record.

11. Official Notice.

The Board may, at any time, take official notice of relevant laws, official regulations and transcripts of other Board hearings, judicially recognizable facts, general recognized facts of common knowledge to the general public and physical, technical or scientific facts within its specialized knowledge. The Board shall make a record of those facts of which it took official notice.

§ 7. Decisions, Penalties and Fees

1. Decision.

A. Only matters appearing on the record in the form of testimony, documentary or other properly submitted evidence, and judicially noticed material may form the basis for the Board’s decision. All decisions shall be reached on the basis of a preponderance of the evidence. The decision of the Board is final as to all factual and legal issues presented.

B. Every decision made at the conclusion of a hearing subject to this chapter shall be in writing and shall include findings of fact sufficient to apprise the parties and any interested member of the public of the basis for the decision.

C. A copy of the decision shall be delivered or promptly mailed to each party to the proceeding or his representative of record. Written notice of the party's right to review of the decision or for a hearing before the Superior Court, and of the action required and the time within which such action must be taken in order to exercise the right of review, shall be given to each party with the decision.

D. The Board shall maintain a record of the vote of each Board member with respect to the decision. For the purpose of rendering a decision, five members of the board, including the Chair, shall constitute a quorum.

E. The Chair will vote only as necessary to break an impasse.

F. A party aggrieved by a final Board order may immediately appeal that decision to the Superior Court pursuant to the Maine Administrative Procedure Act and the Maine Rules of Civil Procedure.

2. Penalties and Fees.

The Board shall levy civil penalties as prescribed by Maine Law including Tit. 10 M.R.S.A. §§ 1171and 1188, if the board determines after a proceeding conducted in accordance with 10 M.R.S.A. §§ 1171 et seq. and these Rules, that a manufacturer or distributor is violating or has violated any provision of the law. The Board shall levy a civil penalty of not less than $1,000, nor more than $10,000 for each violation. The Board shall determine the amount based upon:

A. The seriousness of the violation, including the nature, circumstances, extent and gravity of the prohibited acts and the harm or potential harm to the safety of the public;

B. The economic damage to the public caused by the violation;

C. Any previous violations;

D. The amount necessary to deter future violations;

E. Efforts made to correct the violation; and

F. Any other matters that justice may require.

3. Costs and Attorney and Authorized Agent Fees.

The Board may award costs and attorney’s fees under the Act. A party seeking them shall file a Motion for Payment of costs with supporting documentation and the attorney's or authorized agent's statement of fees. The Party from whom payment is sought shall file any opposition to the motion within ten days of receipt. The Chair shall consider the Motion and statement along with any opposition to the granting of the motion and prepare a recommended decision for review by the Board. The Board’s decision shall be mailed to the parties by regular mail. In determining whether to approve fees and costs, the Board will consider, among other factors, the hourly rate, the number of hours expended, the complexity of the issues and the experience of the attorney requesting the fees.

4. Appeal of Sanction Imposed by Board.

Any decision or order of the board shall remain in full force and effect pending the outcome of the appeal or expiration of the decision or order imposed unless otherwise ordered by the Court.

History

• STATUTORY AUTHORITY: 10 M.R.S.A. § 1187 (6)
• EFFECTIVE DATE: January 23, 2005 – filing 2005-36
• NON-SUBSTANTIVE CORRECTIONS: March 16, 2005
• NON-SUBSTANTIVE CORRECTIONS: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025
• APAO ACCESSIBILITY CHECK (Word): April 6, 2026

Chapter 15 Rules Governing Acceptable Documents to Establish Legal Presence

Code Me. R. 29-250 Ch. 15 Rules Governing Acceptable Documents to Establish Legal Presence {#sec-29-250-ch.-15 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 15}

SUMMARY: These rules implement the provisions of 29-A M.R.S.A. §§ 1301 (2-A) and 1410 (8) which prohibit the Secretary of State from issuing a driver’s license or nondriver identification card to an individual unless the individual presents valid documentary evidence of legal presence in the United States. These rules describe the documents that may be accepted to establish evidence of legal presence in the United States. These rules do not apply to credentials issued under the federal REAL ID Act which are governed by federal regulations at 8 CFR §37 et seq .

§1. Definitions

For purposes of this Chapter:

A. “Immigration authorities” include any federal agency charged with carrying out the Immigration and Nationality Act , including the United States Department of State, Department of Homeland Security, or Department of Justice, including the Executive Office for Immigration Review comprised of the Immigration Courts and the Board of Immigration Appeals, and any predecessor or successor federal agencies.

B. “Document” includes but is not limited to any paper receipts, notices, letters, I-94 Arrival/Departure record or other forms, court orders issued by immigration authorities or by any federal court, or any electronic evidence, including print-outs from websites maintained by immigration authorities or from the Federal Register or federal courts that document an individual’s legal presence.

C. “Evidence” includes information pertaining to the individual, or court orders or Federal Register notices indicating an individual’s legal presence or status as a member of a specific class or category.

§2. General requirement for acceptable documents to establish legal presence in the United States

Any document deemed not authentic may be rejected as unacceptable. All documents described in these rules must be:

A. Legible;

B. Unexpired or having no expiration date; and

C. Valid, i.e., not suspended, revoked, canceled or otherwise voided by the issuing agency.

§3. Documents to establish the legal presence of United States citizens or nationals

A person, who is a United States citizen, including, for the purpose of this rule, United States nationals, may present the following documents to establish evidence of legal presence in the United States.

A. United States Passport or Passport Card.

B. Certified copy of a birth certificate from a State Office of Vital Statistics or equivalent agency showing the individual was born in:

1. a State of the United States;

2. District of Columbia;

3. Puerto Rico after January 12, 1941¹;

4. Virgin Islands after January 16, 1917²;

5. Guam after April 11, 1899³;

6. Commonwealth of Northern Mariana Islands at or after 11:00 a.m. (Saipan time) on January 9, 1978⁴;

7. American Samoa after February 16, 1900⁵; or

8. Swains Island after March 4, 1925⁵;or

.

C. Consular of Report of Birth Abroad, Certificate of Report of Birth or Certification of Report of Birth.

D. Certificate of Naturalization.

E. Certificate of U.S. Citizenship.

F. United States Citizen Identification Card.

G. Identification Card for Resident Citizen in the U.S.

H. American Indian Card.

I. Northern Mariana Identification Card.

§4. Alternative documents to establish the legal presence of United States citizens

A person, who is a United States citizen who is unable to produce a document listed in Section 3 may present acceptable alternative documents, including the following:

A. A person born in a United States jurisdiction listed in Sections 3.B.1 – 3.B.6 may present:

1. A document issued by the United States or a jurisdiction listed in Sections 3.B.1 – 3.B.6 showing the name, date of birth and that the birth occurred in a jurisdiction listed in Sections 3.B.1 – 3.B.6, including but not limited to military discharge records, proof of civil service employment by the United States government prior to June 1, 1976, adoption papers, including court orders, and census records; or

2. A document from the Federal Bureau of Prisons or the Maine Department of Corrections, or any successor agencies, approved by the Secretary of State or the Secretary of State’s designee indicating that the person was born in a United States jurisdiction listed in Sections 3.B.1 – 3.B.6.; or

3. Any other credible documentation that includes the person’s name, date of birth, and that the birth occurred in a jurisdiction listed in Sections 3.B.1 – 3.B.6, including but not limited to a contemporaneously published newspaper birth announcement, hospital birth certificate or birth record, baptismal certificate, religious record or tribal record, doctor’s records or other medical records of the birth, or any combination of documents that when considered together satisfy Maine’s Secretary of State or the Secretary of State’s designee that the person was born in a United States jurisdiction listed in Sections 3.B.1 – 3.B.6.

B. A person born outside the United States who believes they are a United States citizen through a United States citizen parent or parents may present:

1. the person’s foreign birth certificate;

2. proof of the United States citizenship of the parent or parents; and

3. evidence of the applicant’s legal relationship to the U.S. citizen parent or parents.

A credential issued under this subsection must be approved by Maine’s Secretary of State or the Secretary of State’s designee.

C. Unavailability of documents establishing birth abroad or the person’s relationship to parent. The unavailability of such documentation may be established by the United States Department of State’s Foreign Affairs Manual or any successor resource, or by an authentic letter or statement from an authorized representative of the country unable to produce the document advising that the document is unavailable. The applicant may then provide at least two sworn affidavits from individuals with personal knowledge of the person’s birth or relationship to the parent. The affidavits must be signed and include the affiant’s name, address and contact information.

§5. Documents to establish the legal presence of Noncitizens

A person who is not a United States citizen may present the following documents issued by immigration authorities, unless other sources are specified, to establish evidence of legal presence in the United States:

A. Evidence of permanent resident or other permanent or unlimited duration legal presence in the United States.

1. Permanent Resident Card or Resident Alien Card;

2. Memorandum of Creation of Record of Lawful Permanent Residence;

3. Arrival/Departure Form I-94 or foreign passport with any notation referencing temporary evidence of or processed for “I-551” or similar language, or I-551 Alien Documentation and Identification System (ADIT) stamp;

4. Document indicating an approved or granted Form I-485 Application to Register Permanent Residence or Adjust Status;

5. Temporary Resident Card;

6. Court order or other document indicating a grant of cancellation of removal or suspension of deportation;

7. U.S. Travel Document indicating that it is a Refugee Travel Document, or a Reentry Permit, a Permit for Reentry or similar language;

8. Form I-94 Arrival card or other document showing admission as a refugee under INA §207;

9. Document showing asylum granted under INA §208;

10. Court order or other document establishing a grant of withholding of removal or of Convention Against Torture relief;

11. A valid unexpired passport issued by the Republic of the Marshall Islands, the Republic of Palau, or the Federated States of Micronesia with a Form I-94 formdocumenting the applicant's most recent admission to the United States under the Compact of Free Association between the United States and the nation that issued the passport;

12. Arrival/Departure Form I-94 or Canadian passport coded S13; or

13. Letter or tribal document establishing that the person is a First Nations member born in Canada;

B. Evidence of legal presence as a limited term noncitizen.

1. Document indicating a pending Form I-485 Application to Register Permanent Residence or Adjust Status, including an Employment Authorization Document bearing the code C09 or C9;

2. Document indicating a pending Form I-589 application for asylum, withholding of removal, or Convention Against Torture relief, including an Employment Authorization Document bearing the code C08 or C8;

3. Employment Authorization Document (EAD);

4. I-94 Arrival/Departure Form showing class of nonimmigrant visa admission, entry date and “Admit until” date that is unexpired, or that says “D/S” for “duration of status”. If the “Admit until” date is blank, this form must be accompanied by another document from immigration authorities establishing legal presence;

5. Other document showing nonimmigrant visa status that includes the class of nonimmigrant visa, validity period or an expiration date;

6. Student and Exchange Visitor Information System (SEVIS) forms (I-20 or DS-2019) properly endorsed or stamped;

7. Document or other evidence of a pending or approved application for “temporary protected status,” “deferred action,” or “deferred enforced departure” or similar status;

8. Document or other evidence indicating legal presence as a Parolee or person “paroled”, a Cuban/Haitian Entrant, or Conditional Entrant;

9. Notice to Appear, court hearing notice or other evidence indicating a currently pending removal proceeding before the Executive Office for Immigration Review, or any pending appeals to a federal court;

10. Document or other evidence of an Order of Supervision;

11. Document granting a stay of deportation or removal;

12. Document granting voluntary departure until a specified departure date;

13. Document or other evidence indicating a currently pending or approved petition or application for an immigration benefit or immigration relief timely filed with immigration authorities including but not limited to a petition or application relating to a nonimmigrant visa status, or for permanent residency, or for humanitarian relief, under which the noncitizen is authorized to stay during the pendency of those petitions or applications, including exhaustion of available appeals; or

14. Any other document issued by immigration authorities or other evidence that indicates legal presence in the United States, as approved by Maine’s Secretary of State or the Secretary of State’s designee.

§6. Expiration of driver’s license or nondriver identification card

A. United States citizens. A United States citizen whether by birth or naturalization shall be issued a full term driver’s license or nondriver identification card.

B. Noncitizens with permanent legal presence. A noncitizen who has permanent or unlimited duration legal presence as evidenced by any document listed in Section 5.A of this chapter, shall be issued a full term driver’s license or nondriver identification card.

C. Limited term noncitizens.

1. Noncitizens with nonimmigrant visa status: Minimum period of admission required.

A driver’s license or identification card may not be issued to a noncitizen with nonimmigrant visa status if the document listed in Section 5.B.4 through 5.B.6, shows that the authorized period of admission, plus any applicable grace period under federal immigration laws for the relevant nonimmigrant visa category, will expire fewer than 120 days from the date the person applies for a driver’s license or nondriver identification card. This restriction shall not apply to a noncitizen in nonimmigrant visa status who:

a. is requesting a duplicate of a previously issued and unexpired credential;

b. is requesting an additional endorsement added to a previously issued and unexpired credential;

c. provides evidence of a petition or application to extend, change or adjust immigration status currently pending with immigration authorities; or

d. provides other evidence of the ability to remain in the U.S. beyond the date of the nonimmigrant period of admission.

2. Noncitizens with nonimmigrant visa status: Defined period of admission.

In the case of a noncitizen with nonimmigrant visa status specifying a defined period of admission as evidenced by a document listed in Section 5.B.4 through 5.B.6, a driver’s license or nondriver identification card must expire on the date specified on the immigration document plus any applicable grace period under federal immigration laws, or the date specified in 29-A MRSA §1406, whichever is earlier. This subsection shall not apply to a noncitizen with nonimmigrant visa status who provides evidence of an application to extend, change or adjust immigration status currently pending with immigration authorities or provides other evidence of the ability to remain in the U.S. beyond the date of the nonimmigrant period of admission, whose application shall be processed as described at Section 6.C.4.

3. Noncitizens with nonimmigrant visa status: Undefined period of admission.

If the authorized period of admission is “duration of status” (D/S) for a holder of any F, J, or M nonimmigrant visa status, any driver’s license or nondriver identification card expires four years from the date of issuance, or on the date of expiration of their program, including any extensions as indicated on their I-20 or DS-2019 forms or on successor documentation, if that date is earlier.

4. Noncitizens with currently pending petitions, applications or cases.

If the document presented indicates that the noncitizen has a petition, application, or case currently pending before immigration authorities, including any review by the appropriate bodies with appellate jurisdiction, that has no defined duration limit, any driver’s license or nondriver identification card expires two years from the date of issuance.

5. Noncitizens with specified interim action dates.

If a noncitizen presents a document from immigration authorities or other evidence of an interim action date, including but not limited to an employment authorization document with an expiration date, evidence of Temporary Protected Status, Deferred Action status or other humanitarian status with an expiration date, a date to check in with immigration authorities, a parole expiration date, or other evidence of a specified interim date, any driver’s license or nondriver identification card expires on the same date as the interim date. In the case of a court hearing date, a credential may be issued for an additional period beyond the date of the hearing, not to exceed ten days, to allow the noncitizen to travel to and return from a court hearing occurring at a location outside of Maine.

NOTES

¹Individuals born in Puerto Rico on or after January 13, 1941 are U.S. citizens at birth. Those born in Puerto Rico between April 11, 1899 and January 13, 1941 who were subject to U.S. jurisdiction and resided in Puerto Rico or any other U.S. territory also became U.S. citizens effective January 13, 1941. 8 USC §1402.

² Individuals born in the U.S. Virgin Islands on or after February 25, 1927 are U.S. citizens at birth. Most individuals born in the U.S. Virgin Islands after January 17, 1917 and before February 25, 1927 became U.S. citizens on February 25, 1927. 8 USC §1406.

³ All persons born in Guam on or after April 11, 1899 are U.S. citizens at birth, unless those born in Guam between April 11, 1899 and August 1, 1950 took affirmative steps to preserve or acquire another nationality. 8 USC §1407.

⁴ Individuals born in the Commonwealth of the Northern Mariana Islands (CNMI) at or after 11:00 a.m. (Saipan time) on January 9, 1978 are U.S. citizens at birth. Individuals who didn’t otherwise have U.S. citizenship but were domiciled in the CNMI prior to certain dates may also have become U.S. citizens. See https://fam.state.gov/FAM/08FAM/08FAM030202.html and https://www.uscis.gov/policy-manual/volume-12-part-a-chapter-2 .

⁵ Individuals born in the U.S. outlying possession of American Samoa and Swains Island after February 16,1900 or after March 4, 1925 respectively to parents who are not U.S. citizens are U.S. nationals at birth. 8 USC §1408.

History

• STATUTORY AUTHORITY: 29-A MRS §153
• EFFECTIVE DATE: November 13, 2022 – filing 2022-221
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025
• APAO ACCESSIBILITY CHECK (Word): April 6, 2026

Chapter 16 Rules for the Collection of Driver's License Reinstatement Fees

Code Me. R. 29-250 Ch. 16 Rules for the Collection of Driver’s License Reinstatement Fees {#sec-29-250-ch.-16 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 16}

Summary: These rules implement the provisions of 29-A M.R.S.A. §§ 2472(7) and 2486, which require the Secretary of State to collect a reinstatement fee prior to the termination of a suspension or revocation and subsequent reinstatement of a driver’s license.

1. Purposes.

The purpose of these rules is to implement the provisions of 29-A M.R.S.A. §§ 2472(7) and 2486, which require the Secretary of State to collect a reinstatement fee prior to the termination of a suspension or revocation and the reinstatement of a driver’s license. The rules establish the definition of reinstatement and procedures for calculating and collecting reinstatement fees, in order to ensure consistency in agency practice and reduce administrative fiscal penalties.

2. Definitions.

Unless otherwise defined terms have the same meaning as defined in 29-A M.R.S.A. For the purpose of these rules the following definitions apply:

A. Reinstatement means the act of restoring a license, permit, or privilege to operate once all statutory conditions, including payment of any fee, have been met.

B. Court-ordered suspension means a suspension ordered pursuant to §2605 or §2608.

C. Medical suspension means a suspension ordered pursuant to §1258(5), or pursuant to §2458(2)(D) if the driver’s incompetence is due to a medical condition as determined under §1258.

D. A major offense on a juvenile provisional license means a conviction or adjudication of an offense listed in §2551-A(1)(A) as limited by §2551-A(3), when the individual convicted or adjudicated of the offense is the holder of a juvenile provisional license as defined by §2472(1).

E. Administrative suspension for OUI or failure to submit to a test means a suspension under any of the following sections: 2453, 2453-A, or 2521.

3. Reinstatement fee requirement.

Except in the case of an individual who is under suspension solely due to a medical suspension, the reinstatement of an individual’s driver’s license after suspension or revocation requires payment of a reinstatement fee to the Secretary of State, as specified in 29-A M.R.S.A. §2486.

4. No reinstatement fee for medical suspension.

A medical suspension where all other requirements for reinstatement have been met shall be considered to have been set aside by the Secretary of State pursuant to 29-A MRSA §2486(3), and no reinstatement fee shall be due as a result of such a suspension.

5. Amount of reinstatement fee.

At the time an individual pays a reinstatement fee, the Secretary of State shall determine the total reinstatement fee owed as follows:

If the individual is under suspension or revocation in whole or in part due to a court-ordered suspension or multiple court-ordered suspensions, the amount specified in 29-A M.R.S.A. §2486(1) shall be assessed toward the total reinstatement fee.

If the individual is under suspension or revocation in whole or in part for an instance or multiple instances of OUI or failure to submit to a test, the amount specified in 29-A M.R.S.A. §2486(1-A) shall be assessed toward the total reinstatement fee. If all instances were major offenses on a juvenile provisional license, however, the provisions of sub-paragraph (c) below will apply instead.

If the individual is under suspension or revocation in whole or in part for a major offense or multiple major offenses on a juvenile provisional license, including OUI, the amount specified in 29-A M.R.S.A. §2472(7) shall be assessed toward the total reinstatement fee.

If the individual is under suspension or revocation in whole or in part for any other reason or reasons that is not a medical suspension, the amount specified in 29-A M.R.S.A. §2486(1) shall be assessed toward the total reinstatement fee.

The four amounts listed in subsections (a) through (d) above may only be assessed toward the total reinstatement fee one time each, regardless of the total number of reasons the individual is suspended.

6. Reinstatement fees for OUI or failure to submit to a test and subsequent OUI conviction.

If an individual has paid the reinstatement fee for an administrative suspension for OUI or failure to submit to a test as specified in 29-A M.R.S.A. §2486(1-A), and that individual is subsequently suspended as a result of an OUI conviction arising from the same incident, the amount that was previously paid shall be credited toward the reinstatement fee on the subsequent suspension.

7. Reinstatement fees for OUI or failure to submit to a test and subsequent driving to endanger conviction.

If an individual has paid the reinstatement fee for an administrative suspension for OUI or failure to submit to a test as specified in 29-A M.R.S.A. §2486(1-A), and that individual is subsequently suspended as a result of a driving to endanger conviction arising from the same incident, the amount that was previously paid shall be credited toward the reinstatement fee on the subsequent suspension. This shall not be done, however, if the period of time the license was previously suspended has not been deducted from the new suspension period pursuant to the requirements of 29-A M.R.S.A. §2413(3).

8. Administrative fee for reinstatement with an ignition interlock device.

The administrative fee described in 29-A M.R.S.A. §2508(1) is not a reinstatement fee and is not covered by these rules.

History

• STATUTORY AUTHORITY: 29-A M.R.S.A. §153
• EFFECTIVE DATE: September 6, 2023 – filing 2023-120
• APAO ACCESSIBILITY CHECK (Word): April 6, 2026

Chapter 100 Establishment of Renewal Agent Service Fees (for the Renewal of Digital Operator's Licenses)

Code Me. R. 29-250 Ch. 100 Establishment of Renewal Agent Service Fees (for the Renewal of Digital Operator's Licenses) {#sec-29-250-ch.-100 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 100}

SUMMARY: Title 29 M.R.S.A., Chapter 3, Subchapter II, §202 authorizes the Secretary of State to appoint agents at convenient locations throughout the State for the sole purpose of issuing renewals of operator's licenses. This rule implements the provisions of the same statute relating to the Secretary of State's establishment, through rule making, of a service fee that may be charged and retained by these agents for each renewal processed.

1. PURPOSE

To set the amount, in accordance with 29 M.R.S.A., Chapter 3, Subchapter II, Section §202, that an agent appointed by the Secretary of State to process operator's license renewals may charge and retain as a service fee.

2. FEE AUTHORIZATION

In accordance with 29 M.R.S.A., Chapter 3, Subchapter II, Section §202, the amount an agent involved in the issuance of an operator's license renewal may charge and retain as a service fee is set at an amount up to but not to exceed five dollars ($5.00).

History

• STATUTORY AUTHORITY: 29 M.R.S.A., Chapter 3, Subchapter II, §202
• EFFECTIVE DATE: March 20, 2004 - filing 2004-84
• APAO ACCESSIBILITY CHECK (Word): April 6, 2026

Chapter 101 Electronic Lien Titling Program

Code Me. R. 29-250 Ch. 101 Electronic Lien Titling Program {#sec-29-250-ch.-101 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 101}

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Summary: This rule implements 29-A M.R.S.A. §651-A, which authorizes the Secretary of State to operate an Electronic Lien Titling Program (ELT) permitting the creation and exchange of an electronic record for maintaining vehicle title and lien information.

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Introduction

1. The ELT allows BMV and enrolled ELT Lienholders to exchange vehicle title and lien information through an electronic interface. Participation in the program is voluntary. If an ELT Lienholder decides to participate, it must enlist the services of a third-party ELT Service Provider authorized by BMV to electronically exchange lien and title information on its behalf.
2. BMV is developing the ELT in phases. As development proceeds, new electronic title transactions may become available. To remain enrolled in the program as BMV rolls out new phases, ELT Service Providers may be required to update their systems for the purpose of performing new ELT transactions through the BMV’s interface. Current system specifications, as well as BMV’s plans for future development, can be found in the Maine Electronic Lien Titling Program Technical Specifications available at www.maine.gov/sos/bmv/titles/elt. This document may be amended from time to time. When amended, an updated version of the document will be provided to ELT participants by email and shall replace the copy stored at www.maine.gov/sos/bmv/titles/elt. Whenever BMV implements a new phase, BMV shall provide ELT Service Provider a reasonable amount of time to implement new features.
3. ELT Service Providers shall also sign an MOU when enrolling and shall sign a new MOU prior to the beginning of each phase. BMV shall provide a copy of the proposed MOU to ELT Service Provider within a reasonable amount of time to review and sign before implementation of the new phase.
4. Instructions for submitting applications and performing title transactions during enrollment are available at www.maine.gov/sos/bmv/titles/elt.

Definitions

1. For the purpose of this Rule, the following definitions apply: 1. “BMV” means Maine Department of the Secretary of State, Bureau of Motor Vehicles. 2. “ELT Lienholder” means an entity that holds a security interest in a vehicle and who is authorized to exchange lien and title information electronically through an ELT Service Provider. 3. “ELT Service Provider” means a third-party entity authorized to provide electronic data exchange services to ELT Lienholders. 4. “Enrollment” means the period during which an ELT Lienholder or ELT Service Provider is authorized by BMV to participate in the ELT. 5. “Federal Employer Identification Number (FEIN)” means a number issued by the Internal Revenue Service to entities that do business in the United States for tax purposes.

Enrollment Requirements

1. ELT Service Providers 1. BMV must approve all applications for enrollment in the ELT as an ELT Service Provider. 2. If an entity elects to apply for enrollment in the ELT as an ELT Service Provider, the entity shall: 1. be currently registered, and in good standing, with the Secretary of State, Bureau of Corporations, Elections, and Commissions for the purpose of doing business in the State of Maine; 2. submit to BMV a completed application form MVT-57; 3. have a valid FEIN and report the same on form MVT-57; 4. sign a Memorandum of Understanding with BMV; 5. submit to BMV a completed Affirmation Statement for Access to Motor Vehicle Record Information; and 6. complete an electronic system test to the satisfaction of the BMV. 3. Upon approving an ELT Service Provider’s enrollment application, BMV shall send ELT Service Provider a letter designating the date it shall begin using the ELT to electronically exchange title and lien data on behalf of ELT Lienholders. 4. If an ELT Service Provider elects to disenroll from the ELT, it shall: 1. complete and submit form MVT-57 to BMV no fewer than 30 days prior to its desired date of disenrollment; and 2. inform any ELT Lienholders to whom it provides service of its intent to withdraw from the ELT no fewer than 30 days prior to its desired date of disenrollment. 5. Upon processing an ELT Service Provider’s disenrollment application, BMV shall send a letter to ELT Service Provider designating the date its participation in ELT will end.
2. ELT Lienholders 1. BMV must approve all applications for enrollment in the ELT as an ELT Lienholder. 2. If an entity elects to apply for enrollment in the ELT as an ELT Lienholder, the entity shall: 1. be currently registered, and in good standing, with the Secretary of State, Bureau of Corporations, Elections, and Commissions for the purpose of doing business in the State of Maine; 2. enlist the services of a single ELT Service Provider authorized by BMV to exchange lien and title data on behalf of ELT Lienholders; 3. complete form MVT-58 with its ELT Service Provider and submit the same to BMV; and 4. have a valid FEIN and report the same on form MVT-58 to BMV; and 5. submit to BMV a completed Affirmation Statement for Access to Motor Vehicle Record Information. 3. Upon approving an ELT Lienholder’s enrollment application, BMV shall send ELT Lienholder and its ELT Service Provider a letter indicating the date it may begin electronically exchanging lien and title data through ELT. 4. If an ELT Lienholder elects to disenroll from the ELT, it shall complete form MVT-58 along with its ELT Service Provider and submit to BMV no fewer than 30 days prior to the desired date of disenrollment. 5. Upon processing an ELT Lienholder’s disenrollment application, BMV shall: 1. send ELT Lienholder and its ELT Service Provider a letter designating the date ELT Lienholder’s disenrollment will take effect; and 2. provide ELT Lienholder with paper Certificates of Title for any active electronic records listing ELT Lienholder as the First Lienholder.

ELT Participation Requirements

1. ELT Service Providers 1. During an ELT Service Provider’s enrollment in the ELT, it shall: 1. complete and submit applications for enrollment, disenrollment, or change of enrollment information on behalf of ELT Lienholders to whom it provides services; 2. maintain a help desk to resolve any problems ELT Lienholders have connecting to or using ELT Service Provider’s electronic systems; 3. connect to the BMV’s ELT interface for the purposes of conducting ELT transactions during the times specified in the Maine Electronic Lien Titling Program Technical Specifications, as it may be amended from time to time; 4. report transmission errors to BMV by email at elt.bmv@maine.gov within 24 hours of an error’s occurrence; and 5. maintain accurate records of electronic transactions performed during enrollment and make them available to BMV upon request. ELT Service Provider shall maintain these records for no fewer than 5 years after the date of transaction. 2. ELT Service Provider shall comply with 29-250 C.M.R. Chapter 10, Rules Implementing the Federal Driver Privacy Protection Act. 1. ELT Service Provider shall report any violation, or suspected violation, of 29-250 C.M.R. Chapter 10 to the Deputy Secretary of State, Bureau of Motor Vehicles, within 48 hours at elt.bmv@maine.gov or (207) 624-9023. 3. ELT Service Provider is authorized to disclose BMV data only for the purposes of conducting ELT transactions. 1. ELT Service Provider must report unauthorized disclosure, or suspected disclosure, of BMV data to the Deputy Secretary of State, Bureau of Motor Vehicles, within 48 hours at elt.bmv@maine.gov or (207) 624-9023. 4. ELT Service Provider shall be responsible for all costs associated with its computer systems, including training. 5. BMV reserves the right to audit ELT Service Provider’s records and practices associated with the ELT to assess its compliance with this Rule. 1. In general, BMV will schedule the audit for a mutually agreed upon time. BMV, however, reserves the right to conduct an unannounced audit during normal business hours. 6. BMV may terminate ELT Service Provider’s enrollment as set forth in the MOU, including but not limited to on the basis of any violations of this Rule.
2. ELT Lienholder 1. During an ELT Lienholder’s enrollment in the ELT, 1. using the ELT to provide an electronic record shall satisfy the BMV and ELT Lienholder’s requirement to mail, deliver, or surrender a Certificate of Title. 2. ELT Lienholder shall use the ELT to notify BMV when a lien is released or updated. 3. ELT Lienholder may request a paper copy of the Certificate of Title. 2. Lienholder Identification Number: 1. Upon approving an ELT Lienholder’s enrollment application, BMV will send a letter to the ELT Lienholder and its ELT Service Provider indicating its Lienholder Identification Number and the date its enrollment takes effect; 2. BMV will maintain a searchable list of ELT Lienholders’ names of record and their corresponding Lienholder Identification Numbers on its website; 3. ELT Lienholder will be responsible for instructing customers and dealers with whom it does business to use its Lienholder Identification Number on any applicable BMV title applications listing it as Lienholder; and 4. BMV will issue electronic title records to fulfill applications containing the correct ELT Lienholder’s correct name of record and Lienholder Identification Number. 1. If a customer applying for a title fails to include the ELT Lienholder’s name of record and a matching ELT Lienholder Identification Number, then BMV may issue a paper Certificate of Title to fulfill the application. 3. ELT Lienholder shall be responsible for all costs associated with use of the ELT, and its computer systems, including training. 4. ELT Lienholder shall comply with C.M.R. 29-250 Chapter 10, Rules Implementing the Federal Driver’s Privacy Protection Act. 1. ELT Lienholder shall report any violation, or suspected violation, of C.M.R. 29-250 Chapter 10 to the Deputy Secretary of State, Bureau of Motor Vehicles, within 48 hours at elt.bmv@maine.gov or (207) 624-9023. 5. ELT Lienholder is authorized to disclose BMV data only for the purposes of conducting ELT transactions. 1. ELT Lienholder must report unauthorized disclosure, or suspected disclosure, of BMV data to the Deputy Secretary of State, Bureau of Motor Vehicles, within 48 hours at elt.bmv@maine.gov or (207) 624-9023. 6. BMV reserves the right to audit ELT Lienholder’s records and practices associated with the ELT to assess its compliance with this Rule. 1. In general, BMV will schedule the audit for a mutually agreed upon time. BMV, however, reserves the right to conduct an unannounced audit during normal business hours. 7. BMV may terminate ELT Lienholder’s enrollment for any violation of this Rule.

Systems REquirements and System Updates

1. BMV is developing the ELT in phases. Each new phase will make new features available and may require BMV and Service Provider’s to update their systems for the purpose of conducting transactions through the ELT. 1. BMV shall describe the specifications for connecting to BMV’s interface for the purpose of conducting ELT transactions, and plans for updating them, in the Maine Electronic Lien Titling Program Technical Specifications.
2. With each new phase of the ELT, BMV shall: 1. update the Maine Electronic Lien Titling Program Technical Specifications to include the new specifications for connecting and performing ELT transactions through the BMV’s interface during enrollment in the ELT; 2. designate a date on which the new phase will be implemented by BMV; and 3. provide an electronic copy of the Maine Electronic Lien Titling Program Technical Specifications to ELT Service Providers within a reasonable amount of time for it to make any required system updates. 4. provide a copy of the proposed MOU to ELT Service Providers within a reasonable amount of time to review and sign before the implementation of a new phase.
3. Whenever BMV implements a new phase of the ELT, ELT Service Provider shall: 1. sign a new Memorandum of Understanding with the BMV; 2. develop and implement the features associated with the phase to the satisfaction of BMV; and 3. complete a system test of the new features to BMV’s satisfaction.
4. If ELT Service Provider elects not to update their system, or cannot implement the new features and complete a system test to BMV’s satisfaction, then BMV may terminate Service Provider per the provisions of the MOU.

Administrative hearings

1. An ELT Lienholder or ELT Service Provider whose application for enrollment in the ELT has been denied or who has been disenrolled from the ELT may request an administrative hearing. These are the only two actions that are subject to an administrative hearing. The hearing will be held pursuant to 29-A MRSA § 111 and 112 and Chapter 2 of the Rules of the Secretary of State. The sole issue at the hearing is whether, by a preponderance of the evidence, the ELT Lienholder or ELT Service Provider can show cause why the decision of the Secretary of State should not be upheld.

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History

• STATUTORY AUTHORITY: 29‑A M.R.S.A. §651-A
• EFFECTIVE DATE: October 30, 2023 – filing 2023-195
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025
• APAO ACCESSIBILITY CHECK (Word): April 6, 2026

Chapter 102 Title to Motor Vehicles

Code Me. R. 29-250 Ch. 102 Title to Motor Vehicles {#sec-29-250-ch.-102 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 102}

SUMMARY: These rules describe the following: application procedures and guidelines for the determination of type of ownership when application for certificate of title or duplicate certificate of title is made by two or more persons; requirements for transfer of title when the original or duplicate title was issued in common or joint ownership; procedures for transfer of title upon the death of the owner of a titled vehicle when there is a surviving spouse, when the original title was issued in joint ownership and when the original title was issued in common ownership; procedures for the issuance of certificates of title for abandoned or unclaimed vehicles; and procedures for the withdrawal of an application for certificate of title.

1. APPLICATION BY TWO OR MORE OWNERS

A. Signatures required. The signatures of all owners shall be required upon application for certificate of title or duplicate certificate of title.

B. Determination of type of ownership.

1. When an application for certificate of title is filed by two or more persons, the Secretary of State will assume common ownership in equal shares unless a contrary intention is expressed.

2. In order to create a joint ownership with right of survivorship, the application for certificate of title must state "as joint tenants and not an tenants in common" or "as joint tenants with rights of survivorship as such, and not as tenants in common," or the application must use other language clearly expressing an intention to create a joint tenancy.

2. TRANSFER OF TITLE

The signatures of all owners are required to transfer ownership whether the original or duplicate title was issued in joint or common ownership.

3. TRANSFER OF TITLE UPON DEATH OF OWNER OF TITLED VEHICLE.

A. Surviving spouse. Upon the death of a married resident owner of a motor vehicle registered in this state, ownership of the vehicle shall pass to the surviving spouse, if no will or certificate of title provides otherwise, and if permission is granted by any lienholder. (29 M.R.S.A. Section 2372 (5)).

1. Surviving spouse wants title in his/her name. If the surviving spouse wants title in his/her name, he/she shall fulfill the following requirements:

a. The surviving spouse shall file an application for Maine title and surrender the prior title.

b. The surviving spouse shall file with the application a notarized affidavit stating the name of the deceased, stating the date of death, and stating either that the deceased died without a will or that his or her will contained no provision that the vehicle pass to someone other than the surviving spouse.

c. If any lien against the vehicle was not released upon the death of the owner of the vehicle, the surviving spouse shall obtain from the lienholder written consent to issue title to the surviving spouse.

2. Surviving spouse sells vehicle. If the surviving spouse sells the vehicle, the new owner may obtain title by filing:

a. An application for Maine title accompanied by the Usual title fee;

b. The affidavit of the surviving spouse described in paragraph 1, subparagraph b above; and

c. The prior certificate of title properly assigned by the surviving spouse and released by the lienholder, if any.

B. No surviving spouse. When a change of ownership takes place after the death of an owner who left no surviving spouse, the new owner may obtain title by submitting the following documentation to the Secretary of State:

1. An application for Maine title with the required fee;

2. A notarized affidavit stating the name of the deceased and the date of death, identifying the vehicle, naming the person or persons claiming or representing the deceased's interest and specifying whether the claim or representation was based on an award made by an administrator or executor, on a court appointment or will, or on some other process or document not herein mentioned.

a. The affidavit shall be signed by the person or persons claiming or representing the deceased's

b. The Administrator or Executor, if any, shall provide a copy of his appointment authority which shall accompany the affidavit.

c. If there is no Administrator or Executor and so win being probated, a statement from the Probate Court indicating no win being probated shall accompany the affidavit.

d. A release or assignment of interest by the Executor, Administrator or by the person or persons claiming the deceased's interest may be incorporated in the affidavit.

3. The prior certificate of title properly released by any lienholder.

C. Original title issued in joint ownership.

1. Survivor retains ownership. When the original title was issued in Joint ownership and one of the owners dies, the survivor who retains ownership may obtain title in his/her own name by submitting the following:

a. An application for Maine title for which there will be no fee;

b. The prior title certificate; and

c. A copy of the death certificate.

2. Survivor sells vehicle. When the original title was issued in joint ownership sad one of the owners dies, the following requirements must be met to transfer title when the survivor sells the vehicle to a new owner:

a. The survivor shall properly assign the title certificate to the now owner after any lions have been released;

b. The survivor shall give the title certificate and a copy of the death certificate to the now owner; and

c. The new owner shall submit the title certificate, the copy of the death certificate, and a new application for title with the required fee to the Secretary of State.

D. Original title issued in common ownership.

1. New common owners retain ownership of the vehicle. Upon the death of one of the owners of a vehicle titled in common ownership, the surviving common owner and the heir or heirs of the deceased common owner may obtain title in their names by submitting the following documents to the Secretary of State:

a. An application for certificate of title for which there shall be no fee.

b. The prior title certificate.

c. A notarized affidavit stating the name of the deceased and the date of death, identifying the vehicle, naming the person or persons claiming or representing the deceased's interest and specifying whether the claim or representation was based on an award made by an Administrator or Executor, on a court appointment or will, or on some other process or document not herein mentioned.

i. The affidavit shall be signed by the person or persons claiming or representing the deceased's interest.

ii. The Administrator or Executor, if any, shall provide a copy of his appointment authority which shall accompany the affidavit.

iii. If there is no Administrator or Executor and no will being probated, a statement from the Probate Court indicating no will being probated shall accompany the affidavit.

iv. A release or assignment of interest by the Executor, Administrator or by the person or persons claiming the deceased's interest may be incorporated in the affidavit.

d. If a lien was not released upon the death of one of the original common owners, the new common owners shall obtain, from the lienholder named on the last title certificate, written consent to issue title to them.

2. New common owners sell vehicle. Upon the death of one of the owners of a vehicle last titled in common ownership, if the surviving common owner and the Person or persons claiming the deceased's interest in the vehicle sell or otherwise transfer the vehicle, the purchaser or transferee may obtain title by filing the following documents with the Secretary of State:

a. An application for Maine title accompanied by the usual title fee;

b. An affidavit and other applicable documents as described in paragraph 1, subparagraph c, divisions i, ii, iii, iv, above.

c. The prior certificate of title properly released by any lienholder.

4. ISSUANCE OF CERTIFICATES OF TITLE FOR ABANDONED OR UNCLAIMED VEHICLES

In order for a person claiming ownership of an abandoned or unclaimed vehicle to obtain title of the vehicle, the following requirements must be met:

A. Person claiming ownership. The person claiming ownership shall:

1. Comply with 29 M.R.S.A. Section 1111 or 29 M.R.S.A. Section 895-A, whichever is applicable;

2. File an application for Maine title with the applicable fee; and

3. Submit documentation showing proof that he was unsuccessful in his attempt to notify the owner of the vehicle, via certified mail or by publication in a newspaper as required by 29 M.R.S.A. Section 1111 or 29 M.R.S.A. Section 895-A, that the vehicle is in his possession.

4. Submit a certificate, on a form provided by the Secretary of State, that the vehicle identification number of the vehicle was visually inspected by a person authorized by the Secretary of State.

B. Secretary of State. Upon receipt of an application for Maine title, the title feel the documentation described in subsection A, paragraph 3, and the certificate described in subsection A, paragraph 4, the Secretary of State shall:

1. Determine by whatever means he deems sufficient whether the vehicle has been reported stolen, investigate the report if any, and require the applicant to notify the owner or lien-holder by certified mail;

2. Conduct a search of his records for the address or addresses of the vehicle owner or lienholder and require the applicant to notify the owner or lienholder by certified mail; and

3. Issue a certificate of title to the applicant when satisfied that:

a. All reasonable attempts have been made to notify the owner or lienholder; and

b. The owner or lienholder cannot be found, has no interest in the vehicle, or has released his or her interest in the vehicle.

5. WITHDRAWAL OF APPLICATION FOR CERTIFICATE OF TITLE

A. An application for certificate of title may not be withdrawn after the title certificate is issued and mailed.

B. When an application for certificate of title is withdrawn, all fees paid in submission of the application shall be forfeited.

6. DESIGN OF CERTIFICATE OF ORIGIN

A. The Manufacturer's Certificate of Origin shall be on such safety paper as follows:

1. Border design printed by intaglio steel plate process.

2. Border design to contain latent image letters, in positive-negative treatment on upper corners when reviewed at prescribed angle.

3. Two color underlying fine line duplex tint, printed in colors which make photographic and color xerographic reproduction extremely difficult.

4. Inks to be fluorescent, erasure sensitive leach and bleach, which will render evident common types of chemical and mechanical alterations.

7. FACE OF CERTIFICATE

A. Visibly react under natural light to an alcohol or chlorine base eradicator.

B. Clearly show attempts at erasure under ultra-violet light.

C. Fine line prismatic tint will fluoresce under ultra violet light.

D. Numbering front-control number exclusive to the manufacturer printed in red.

8. BACK OF CERTIFICATE

A. Fine line prismatic tint printed in fluorescent erasive sensitive leach and bleach ink which will render evident common types of chemical and mechanical alterations.

B. Text matters printed in permanent fluorescent lithographic ink.

9. WAIVER

The Secretary of State reserves the right to waive these Rules in the public interest.

History

• STATUTORY AUTHORITY: 29 MRSA Chapter 21
• EFFECTIVE DATE: May 7, 1979
• AMENDED: November 22, 1980 Sections 6, 7, 8, 9
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: December 19, 2000 - converted to MS Word, formatting, spelling
• APAO ACCESSIBILITY CHECK (Word): April 6, 2026

Chapter 103 Rules for Vehicle Dealers, Auctions, Transporters, Recyclers, Mobile Crushers, and Loaners

Code Me. R. 29-250 Ch. 103 Rules for All Dealer Licenses Issued Under M.r.s.a. 29-a Chapter 9. {#sec-29-250-ch.-103 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 103}

SUMMARY: This rule establishes the requirements for licensing and for receipt of registration plates for vehicle dealers, persons in the business of conducting vehicle auctions, vehicle recyclers, mobile crushers, loaner license holders, trailer transit, equipment, trailer, wrecker, and transporters. The rule sets forth required facilities, equipment, records, and hours and describes required application procedures. The rule also establishes requirements for annexes and for secondary locations.

Definitions: Unless otherwise defined, terms have the same meaning as in Title 29-A.

1. The term “body shop” means a shop where automotive bodies are made or repaired.
2. The term “garage” means a commercial establishment for repairing and servicing motor vehicles.
3. The term “licensee” means the holder of a business license issued under 29-A M.R.S.A. Chapter 9.
4. The term “unrelated business” means a business that is owned and operated by the same owner that is not directly connected to the license(s) issued to the business.

The term “mover” shall mean any individual, firm, co-partnership, corporation, association or company, or lessees, trustees, or receivers thereof, operating or causing the operation of storage trailers, light trailers, and mobile homes.

The term “highway” shall mean all public ways, roads, including the Maine Turnpike, streets, avenues, alleys, boulevards, parks, squares, ferries, and bridges and approaches here to within the State.

The term “mobile home” shall mean a vehicle owned by a manufacturer, dealer, or consumer being moved from point to point or site to site. Mobile home in this context shall include travel trailers, fifth wheel travel trailers, park trailers, office trailers, portable classroom trailers, but not folding camper trailers.

The term “storage trailer” shall mean an empty trailer or semitrailer which is moved infrequently over the highways to and from its business location and sites for stationary storage use.

The term “purchaser” shall mean any person who has obtained ownership of a new or used vehicle from a dealer by transfer, gift, or purchase.

2. REQUIREMENTS FOR NEW CAR DEALERS AND USED CAR DEALERS

A. Established place of business or annex. The established place of business and any annex locations of a new car dealer or used car dealer shall:

1. Be located in a permanent, enclosed building(s) which:

a. Is in good repair;

b. Is free of obstructions and material not related to the display, repair or sale of vehicles or other related vehicle items;

c. Has a source of heat:

d. Is owned or leased by the dealer;

e. Contains a solid wall separating the established place of business from any other unrelated business in the building;

f. Has an entrance used exclusively to gain access to the established place of business;

g. Is used exclusively by the dealer for the purpose of displaying, repairing, buying, and selling vehicles and other vehicle related items.

2. Have a display area that meets the following requirements:

a. A display area shall be located at each established place of business;

b. A display area shall contain not less than 3,500 square feet used exclusively for the display of vehicles offered for sale. A display area may be divided into separate zones equaling 3,500 square feet on one contiguous piece of property;

c. Any outside surface of the display area shall be paved, graded gravel, crushed rock, or a mowed grassy surface and shall be kept plowed in winter to allow an all-weather and all-season display of vehicles offered for sale;

d. Ground space occupied by gas pumps or junk vehicles, and the normal drive approach to the repair area and customer parking shall not be included when determining the 3,500 square feet of display area;

e. A display area shall be free of debris, hazards and unrelated materials;

f. The location, degree of slope and grade of the display area shall be such that the display of vehicles does not constitute a hazard; and

g. Additional or separate lots must be licensed as annex or secondary locations.

3. Have an office which:

a. Is located at the established place of business and annex location;

b. Is not less than 64 square feet in size, is used exclusively for dealership and related business, and is free of unrelated materials and debris;

c. Is heated during business hours;

d. Is entered through a door which is properly labelled and readily accessible to the public;

e. Contains at least one desk, 2 chairs, and a filing cabinet. The filing cabinet is not required if the desk is equipped with drawers suitable in size and design for storing and filing business records. An annex location may keep books and records at the primary location;

f. Is completely enclosed by floor to ceiling construction. (Tar paper, sheathing paper, or cardboard are not allowed as construction material.); and

g. Is separated from any living quarters by a solid wall without access points.

h. All newly licensed dealers beginning January 1, 2026, shall be required to have a computer with internet access and a printer in the office. Those licensed prior to January 1, 2026, will be grandfathered but are encouraged to comply.

4. Have reasonable business hours which:

a. Are a minimum of 30 hours per week consisting of at least five 6-hour days;

b. Shall be posted and clearly visible on the exterior or through a window of the building identified as the established place of business and annex locations; and

c. Shall be between 6:00 a.m. and 9:00 p.m.

d. A dealer may be exempted from maintaining regular business hours for up to two weeks with written notification to Dealer Licensing.

A sign shall be conspicuously posted that informs consumers of the date the dealer will return to posted business hours.

5. Have a repair facility:

a. Which is located within the building or buildings identified as the established place of business or annex, and is used exclusively by the dealership;

b. Which contains not less than 400 square feet of workable floor space which is free of benches and permanently mounted equipment;

c. Which is heated and reasonably free of debris, hazards, and unrelated materials; and

d. Which has a hard surface, non-dirt floor.

e. Notwithstanding section 1(A)(1)(g), a dealer may lease their repair facility to a licensed inspection mechanic. The dealer shall file a copy of the lease with the Bureau. The dealer must display a sign of at least 2 ft. by 3 ft. stating that any repair work done on site for the dealership will be performed by the technician leasing space. The sign shall include the technician’s address and telephone number.

f. If repairs are contracted out to a third-party mechanic, the purchaser shall be notified in writing of who is performing the repair work and where. The dealer is still responsible for ensuring that the terms of the warranty are met.

6. Be equipped during posted business hours with the following tools and equipment:

a. One vehicle jack or car lift in working order; and

b. At least one set of general mechanic’s tools sufficient to make warranty repairs and any specialty tools necessary to perform repairs.

7. Display the license(s) issued in a public space visible to the general public.

8. Have a sign which meets the following requirements (unless a municipality has established ordinances regulating signs contrary to these rules, whereupon the Secretary of State, upon notification by the dealer of such ordinances, may grant an exception to these rules to the dealer affected):

a. The sign shall be permanently mounted, displayed at each established place of business, and shall not be less than 12 square feet in surface size;

b. The sign shall be visible from the entrance to the lot and the letters of the sign shall be readable from a distance of 200 feet; and

c. The sign shall contain the trade or business name of the dealer and related business. If the business is operating as a DBA (Doing Business As), the DBA name must also be on the sign.

9. Contain records as follows:

a. Records shall be maintained according to 29-A M.R.S. §956 at the office of the established place of business and shall be available during normal business hours for inspection by the Secretary of State, law enforcement officers or representatives of the Office of the Attorney General. If a dealer has no business hours between 8:00 a.m. and 5:00 p.m., the dealer shall make the records available for inspection during these hours upon reasonable demand and advance notice of the Secretary of State, the Office of the Attorney General or a law enforcement officer;

b. At the time of sale, the Dealer shall provide customers with copies of all documents required for titling and registration purposes of the vehicle, including the prior title number and State of Origin; and

c. Records shall be kept for a minimum of five years in accordance with the federal Truth in Mileage Act of 1986 and rules promulgated thereunder. Dealers must submit records for review upon request of the Secretary of State.

B. Application See Section 11.

C. Arbitration/mediation Fees. No new or used car dealer may receive renewal of the dealer’s license and dealer plates until the dealer has submitted arbitration or mediation fees imposed by 10 M.R.S. §1169(11).

D. Temporary Plates May Be Issued to a Dealer. Dealer temporary plates shall be issued in accordance with Section 12 of this rule.

Dealer Plate Use/Requirements. Dealer plates shall be issued in accordance with Section 12 of this rule.

Secondary Locations. See Section 7.

The holder of a business license issued under 29-A M.R.S.A. Chapter 9 may not assign, transfer, sublease, subcontract, or otherwise delegate any rights or obligations of a license, in whole or in part, to any third party.

3. REQUIREMENTS FOR MOTORCYCLE DEALERS, LIGHT TRAILER, HEAVY TRAILER DEALERS, AND EQUIPMENT DEALERS

A. Established Place of Business or Annex. The established place of business and any annex location of a motorcycle dealer, light trailer, heavy trailer, or equipment dealer shall:

1. Be located in a permanent, enclosed building(s) which:

a. Is in good repair;

b. Is free of obstructions or material not related to the display, repair or sale of vehicles or other vehicle related items;

c. Has a source of heat;

d. Is owned or leased by the dealer;

e. Contains a solid wall separating the established place of business from any other unrelated business in the building;

f. Has an entrance used exclusively to gain access to the established place of business.

g. Is used exclusively by the dealer for the purpose of displaying, repairing, buying, and selling vehicles and other vehicle related items.

2. Have a display area which meets the following requirements:

a. A display area shall be located at each established place of business;

b. A display area shall be large enough to permit the display of at least 2 of the largest units of the type of vehicle the applicant will be licensed to sell;

c. Any outside surface of the display area shall be paved, graded gravel, crushed rock, or a mowed grassy surface and shall be kept plowed in winter to allow an all-weather and all-season display of vehicles offered for sale (dealers who are eligible and maintain seasonal hours in compliance with IIA-4F will be exempt from all-season display area standards);

d. Ground space occupied by gas pumps or junk vehicles, and the normal drive approach to the customer parking and repair area shall not be included when determining the size of the display area;

e. The display area shall be free of debris, hazards and unrelated materials;

f. The location, degree of slope and grade of the display area shall be such that the display of vehicles does not constitute a hazard; and

g. Additional or separate lots must be licensed as annex or secondary locations.

3. Have an office which:

a. Is located at the established place of business and annex location(s);

b. Is not less than 64 square feet in size, is used exclusively for dealership and related business, and is free of unrelated materials and debris;

c. Is heated during business hours;

d. Is entered through a door which is properly labelled and readily accessible to the public;

e. Contains at least one desk, 2 chairs, and a filing cabinet. The filing cabinet is not required if the desk is equipped with drawers suitable in size and design for storing and filing business records. An annex location may keep books and records at the primary location;

f. Is completely enclosed by floor to ceiling construction. (Tar paper, sheathing paper, or cardboard are not allowed as construction material.); and

g. Is separated from any living quarters by a solid wall without access points.

h. All newly licensed dealers beginning January 1, 2026, shall be required to have a computer with internet access and a printer in the office. Those licensed prior to January 1, 2026, will be grandfathered but are encouraged to comply.

4. Have reasonable business hours which:

a. Are a minimum of 30 hours per week consisting of at least five 6-hour days;

b. Shall be posted and clearly visible on the exterior or through a window of the building identified as the established place of business or annex;

c. Shall be between 6:00 a.m. and 9:00 p.m.;

d. For motorcycle dealers and light trailer dealers selling only boat trailers the hours shall be maintained at the minimum required during the period from March 1st through October 31st of each year;

e. For light trailer dealers selling only snowmobile trailers the hours shall be maintained at the minimum required during the period from November 1st of each year through March 31st of the following year; and

f. Any dealer operating a business under the seasonal guidelines shall notify the Dealer Licensing when the dealership is closed in the off season.

1. A sign shall be conspicuously posted that informs consumers of the date the dealer will return to posted business hours.

g. A dealer may be exempted from maintaining regular business hours for up to two weeks with written notification to Dealer Licensing.

1. A sign shall be conspicuously posted that informs consumers of the date the dealer will return to posted business hours.

2. Have a repair facility which is:

a. For motorcycles, located within the building or buildings identified as the established place of business or annex, and is used exclusively by the dealership;

b. For trailer, light trailers, and equipment, located within, or in an area outside, the building or buildings identified as the established place of business or annex;

c. Large enough to permit the simultaneous repair of at least two units of the type of vehicle the applicant will be licensed to sell;

d. Heated if within the building or buildings identified as the established place of business or annex; and

e. Reasonably free of debris, hazards, and unrelated materials.

f. Which has a hard surface, non-dirt floor.

6. Be equipped during posted business hours with the following tools and equipment:

a. One vehicle jack or car lift in working order; and

b. At least one set of general mechanic’s tools sufficient to make warranty repairs and any specialty tools necessary to perform repairs.

7. Display the license(s) issued in a space visible to the general public.

8. Have a sign which meets the following requirements (unless a municipality has established ordinances regulating signs contrary to these rules, whereupon the Secretary of State, upon notification by the dealer of such ordinances, may grant an exception to these rules to the dealer affected);

a. The sign shall be permanently mounted, displayed at each established place of business, and shall not be less than 12 square feet in surface size;

b. The sign shall be visible from the entrance to the lot and the letters of the sign shall be readable from a distance of 200 feet; and

c. The sign shall contain the trade or business name of the dealer and related business only. If the business is operating as a DBA (Doing Business As), the DBA name must be on the sign.

9. Contain records as follows:

a. Records shall be maintained according to 29-A MRS §956 at the office of the established place of business and shall be available during normal business hours for inspection by the Secretary of State, law enforcement officers or representatives of the Office of the Attorney General. If a dealer has no business hours between 8:00 a.m. and 5:00 p.m., the dealer shall make the records available for inspection during these hours upon reasonable demand and advance notice of the Secretary of State, the Office of the Attorney General or a law enforcement officer; and

b. At the time of sale, the Dealer shall provide customers with copies of all documents required for titling and registration purposes of the vehicle, including the prior title number and State of Origin; and

c. Records shall be kept for a minimum of five years in accordance with the federal Truth in Mileage Act of 1986 and rules promulgated thereunder. Dealers must submit records for review upon request of the Secretary of State.

B. Application. See Section 11.

C. Temporary Plates May Be Issued to a Dealer. Dealer temporary plates shall be issued in accordance with Section 12 of this rule.

D. Dealer Plate Use/Requirements. Dealer plates shall be issued in accordance with Section 12 of this rule.

E. Secondary Locations. See Section 7.

4. REQUIREMENTS OF RECYCLERS

A. Established Place of Business or Annex. The established place of business of a recycler shall:

1. Be located in a permanent, enclosed building(s) which:

Is in good repair;

b. Is free of obstructions or material not related to the display, repair or sale of vehicles or other related vehicle items;

c. Has a source of heat:

d. Is owned or leased by the recycler;

e. Contains a solid wall separating the established place of business from any other unrelated business in the building;

f. Has an entrance used exclusively to gain access to the established place of business;

g. Is used exclusively by the recycler for the purpose of displaying, repairing, buying, and selling vehicles and other vehicle related items.

2. Have facilities which:

a. Are adequate for the storage and display of vehicles being handled; and

b. Facilities and display areas must be reasonably free of debris, hazards, and unrelated materials.

3. Have an office which:

a. Is located at the established place of business and annex location;

b. Is not less than 64 square feet in size, is used exclusively for recycler and related business, and is free of unrelated materials and debris;

c. Is heated during business hours;

d. Is entered through a door which is properly labelled and readily accessible to the public;

e. Contains at least one desk, 2 chairs, and a filing cabinet. The filing cabinet is not required if the desk is equipped with drawers suitable in size and design for storing and filing business records;

f. Is completely enclosed by floor to ceiling construction. (Tar paper, sheathing paper, or cardboard are not allowed as construction material.); and

g. Is separated from any living quarters by a solid wall without access points.

h. All newly licensed dealers beginning January 1, 2026, shall be required to have a computer with internet access and a printer in the office. Those licensed prior to January 1, 2026, will be grandfathered but are encouraged to comply.

4. Have business hours which are posted and clearly visible to the public;

a. Are a minimum of 30 hours per week consisting of at least five 6-hour days;

b. Shall be posted and clearly visible on the exterior or through a window of the building identified as the established place of business or annex;

c. Shall be between 6:00 a.m. and 9:00 p.m.; and

A recycler may be exempted from maintaining regular business hours for up to two weeks with written notification to Dealer Licensing.

• • 1. A sign shall be conspicuously posted that informs consumers of the date the recycler will return to posted business hours.

5. Display the license(s) in a public space visible to the general public;

6. Have a sign which meets the following requirements (unless a municipality has established ordinances regulating signs contrary to these rules, whereupon the Secretary of State, upon notification by the recycler of such ordinances, may grant an exception to these rules to the recycler affected):

a. The sign shall be permanently mounted, displayed at the established place of business and shall not be less than 12 square feet in surface size;

b. The sign shall be visible from the entrance to the lot and the letters of the sign shall be readable from a distance of 200 feet; and

c. The sign shall contain the trade or business name of the dealer and related businesses. If the business is operating as a DBA (Doing Business As), the DBA name must also be on the sign.

7. Maintain records as follows:

a. Records shall be maintained in accordance with 29-A M.R.S. §1110 and §1113 at the established place of business and shall be available during normal business hours for inspection by the Secretary of State, law enforcement officers or representatives of the Office of the Attorney General. Recyclers which do not have hours between 8:00 a.m. and 5:00 p.m., the dealer shall make the records available for inspection during these hours upon reasonable demand and advance notice of the Secretary of State, the Office of the Attorney General or a law enforcement officer;

b. All records shall be kept for a minimum of 5 years in accordance with 29-A M.R.S. §1110 and §1113;

Records shall be maintained on a form prescribed by the Secretary of

State. Recyclers must submit records for review upon request of the Secretary of State.

d. Recyclers shall provide proof of electronic submission to the National Motor Vehicle Title Information System (NMVTIS) registration for each location to the Secretary of State upon initial application and upon each renewal for recycler license.

Recyclers purchasing detached catalytic converters shall report such transactions through an electronic property and recovery tracking system administered by a regional law enforcement support organization designated by the Secretary of State. New England State Police Information Network (NESPIN) has been designated to facilitate the reporting requirements.

Recyclers must follow all laws and rules, as outlined in Rule, 29-250 CMR Chapter 173, pertaining to catalytic converters.

B. Application. See Section 11.

5. REQUIREMENTS FOR MOBILE CRUSHERS

A. License Requirements.

A mobile crusher must be licensed as a recycler if they engage in any activity that meets the definition of a recycler under 29-A M.R.S., Section 1101.

B . Permit Requirements.

Mobile crushers based inside or outside the State of Maine that do not hold a Maine recycler license may crush vehicles at licensed recycler facilities only. Mobile crushers that are not licensed recyclers must obtain a permit to crush vehicles at a licensed Maine recycler location. The permit will be issued at no fee and must contain the date(s) and location(s) of the activity. A permit application must be submitted to the Dealer Section at least five business days in advance of conducting business. The permit must be carried with the mobile crusher operator.

A Maine based mobile crusher that holds a recycler license may crush vehicles at an unlicensed location. The recycler must file for a permit for each unlicensed location. The permit will be issued at no fee and must contain the date(s) and location(s) of the activity. A permit application must be submitted to the Dealer Section at least five business days in advance of conducting business. The permit must be carried with the mobile crusher operator. The mobile crusher is responsible for complying with 29-A M.R.S. Section 667 while conducting crushing operations at locations that are not licensed recyclers.

Permits shall be valid for 30 days.

A mobile crusher shall provide current contact information to the Dealer Section, including primary or secondary telephone, e-mail address, and mailing address.

The mobile crusher is required to make notification of changes to any of the contact information within 30 days, in writing or by other means approved by the Secretary of State, of the old and new contact information.

C. Records. Mobile crushers shall maintain records as follows:

1. Records shall be maintained at the licensed recycler facility and shall be available for inspection by the Secretary of State, law enforcement officers, or representatives of the Office of the Attorney General. Recyclers or mobile crushers which do not have business hours between 8:00 a.m. and 5:00 p.m. shall make records available upon reasonable demand and advance notice by the Secretary of State, the Office of the Attorney General or a law enforcement officer;

All records shall be kept for a minimum of 5 years in accordance with 29-A M.R.S. §1110(1).

Mobile crushers must maintain an operator log for each location in accordance with 29-A M.R.S., Section 1110. The log must be in a manner prescribed by the Secretary of State.

The operator of a mobile crusher shall make the operator’s records available in this State during normal business hours.

6. REQUIREMENTS FOR VEHICLE AUCTIONS

A. Established Place of Business or Annex. The established place of business or annex of persons in the business of conducting vehicle auctions shall:

1. Be located in a permanent, enclosed building(s) which:

a. Is in good repair;

b. Is free of obstructions or material not related to the display, repair or sale of vehicles or other vehicle related items;

c. Has a heat source;

d. Is owned or leased by the vehicle auction;

e. Has an entrance used exclusively to gain access to the established place of business or annex;

f. Contains a solid wall separating the established place of business or annex from any other unrelated business in the building; and

g. Is used exclusively for the purpose of vehicle auctions and preparing vehicles for auction.

2. Persons in the business of conducting vehicle auctions by sealed bids or outside live auctions shall have a display area which meets the following requirements:

a. A display area shall be located at the established place of business;

b. Any outside surface of the display area shall be paved, graded gravel, crushed rock or a mowed surface and shall be kept plowed in winter to allow an all-weather and all-season display of vehicles being offered for bid;

c. The display area shall be free from debris, hazards and unrelated materials;

d. The location, degree of slope and the grade of the display area shall be such that the display of vehicles does not constitute a hazard; and

e. Additional or separate lots must be licensed as annex or secondary locations.

3. Persons in the business of conducting live indoor vehicle auctions shall have a viewing and bidding facility which:

a. Is located within the building(s) identified as the established place of business or annex;

b. Is heated during normal business hours;

c. Is reasonably free of debris, hazards, and unrelated materials; and

d. Contains viewing and bidding lanes sufficient to allow a view of the vehicles being auctioned from all directions and to allow the safe entry and exit of vehicles into and out of the lane.

4. Have an office which:

a. Is located at the established place of business and annex location(s);

b. Is not less than 64 square feet in size, is used exclusively for auction or related business and is free of unrelated materials and debris;

c. Is heated during business hours;

d. Is entered through a door which is properly labelled and readily accessible to the public;

e. Contains at least one desk, 2 chairs, and a filing cabinet. The filing cabinet is not required if the desk is equipped with drawers suitable in size and design for storing and filing business records. An annex location may keep books and records at the primary location;

Is completely enclosed by floor to ceiling construction. (Tar paper, sheathing paper or cardboard are not allowed as construction material.); and

Is separated from any living quarters by a solid wall without access points.

h. All newly licensed dealers beginning January 1, 2026, shall be required to have a computer with internet access and a printer in the office. Those licensed prior to January 1, 2026, will be grandfathered but are encouraged to comply.

5. Have reasonable business hours which:

6. Shall be posted and clearly visible on the exterior or through a window of the building identified as the established place of business or annex.

7. For regularly scheduled auctions, dates and times shall be provided to BMV Dealer Licensing upon application. Schedule information shall be updated when changed.

8. Online auction schedules and access shall be provided to BMV Dealer Licensing. Complimentary access login information shall be granted to BMV Enforcement personnel.

9. Display the license(s) issued;

10. Have a sign which meets the following requirements (unless a municipality has established ordinances regulating signs contrary to these rules, whereupon the Secretary of State, upon notification by the applicant of such ordinances, may grant an exception to these rules to the person affected):

a. The sign shall be permanently mounted, displayed at the established place of business or annex and shall not be less than 12 square feet in surface size;

b. The sign shall be visible from the entrance to the lot and the letters of the sign shall be readable from a distance of 200 feet; and

c. The sign shall contain the trade or business name of the auction and related businesses. If the business is operating as a DBA (Doing Business As), the DBA name must be on the sign.

8. Contain records as follows:

a. Records shall be maintained according to 29-A M.R.S. §1052 at the office of the established place of business and shall be available during normal business hours for inspection by the Secretary of State, law enforcement officers, or representatives of the Office of the Attorney General. If a dealer has no business hours between 8:00 a.m. and 5:00 p.m., the dealer shall make the records available for inspection during these hours upon reasonable demand and advance notice of the Secretary of State, the Office of the Attorney General or a law enforcement officer; and

b. All records shall be kept for a minimum of 5 years in accordance with the federal Truth in Mileage Act of 1986 and rules promulgated thereunder. Auction license holders must submit records for review upon request of the Secretary of State.

B. Application. See Section 11.

7. REQUIREMENT FOR SECONDARY LOCATIONS

A. Secondary Locations. Dealer license types other than Transporter, Trailer Transit, and Loaner are eligible for a secondary location. A secondary location shall:

1. Have a display area which meets the following requirements:

a. The display area shall be an established commercial location;

b. The display area shall be large enough to permit the display of at least 2 of the largest units of the type of vehicles the applicant will be licensed to sell;

c. Any outside surface of the display area shall be paved, graded gravel, crushed rock or a mowed grassy surface and shall be kept plowed in winter to allow an all-weather and all-season display of vehicles being offered for sale;

d. Ground space occupied by gas pumps, junk vehicles and the normal drive approach to the customer parking or repair areas shall not be included when determining the size of the display area;

e. The display area shall be free from debris, hazards and unrelated materials;

f. The location, degree of slope and the grade of the display area shall be such that the display of vehicles does not constitute a hazard; and

g. Any office at the secondary location shall conform to all rules and regulations set for an office in the rules and regulations of the established place of business, except the records may be maintained exclusively at the established place of business.

Secondary locations for Recyclers must comply with the provisions of

29-A MRS §1103 but may only be used for storage and must be closed to the general public.

3. Display a copy of the secondary location license issued at the secondary location if there is an office; if not, it shall be displayed at the primary location;

4. Have a sign which meets the following requirements (unless a municipality has established ordinances regulating signs contrary to these rules, whereupon the Secretary of State, upon notification by the dealer of such ordinances, may grant an exception to these rules to the dealer affected):

a. The sign shall be permanently mounted, displayed at the secondary location and shall not be less than 12 square feet in surface size;

b. The sign shall be visible from the entrance to the lot and the letters of the sign shall be readable from a distance of 200 feet;

c. The sign shall contain the trade or business name of the dealer and related businesses. If the business is operating as a DBA (Doing Business As), the DBA name must also be on the sign; and

The sign shall make reference to the established place of business.

Signage at a secondary location of a Recycler shall indicate that the

location is not open to the public.

Business hours must be posted and clearly visible.

B. Application. See Section 11.

8. REQUIREMENTS FOR TRANSPORTERS

A. Established place of business or annex. The established place of business and any annex locations of transporters shall:

1. Be located in a permanent, enclosed building(s) which is owned or leased by the applicant;

a. Is in good repair;

b. Is used exclusively for the garage, body shop, finance company, bank, motor vehicle auction business, motor vehicle rental company, recycler, repossession company, towing company, or an authorized public or nonprofit organization that is issued the transporter license or other related business;

c. Has a source of heat;

d. Is owned or leased by the transporter;

e. Contains a solid wall separating the established place of business from any other unrelated business in the building;

f. Has an entrance used exclusively to gain access to the established place of business.

2. Not be required to have a display area;

3. Have an office which:

• • • 1. Is located at the business or annex location; 2. Is not less than 64 square feet in size, is used exclusively for the licensed business and is free of debris and unrelated materials;

c. Is heated during business hours;

• • • 1. Is entered through a door which is properly labelled and readily

accessible to the public;

• • • 1. Is completely enclosed by floor to ceiling construction. (Tar paper,

sheathing paper or cardboard are not allowed as construction material.);

f. Is separated from any living quarters by a solid wall without access

points; and

g. All newly licensed dealers beginning January 1, 2026, shall be required to have a computer with internet access and a printer in the office. Those licensed prior to January 1, 2026, will be grandfathered but are encouraged to comply.

4. Have reasonable business hours which:

Shall be posted and clearly visible on the exterior or through a window of the building identified as the business location or annex; and

Shall be provided to the Dealer Licensing Unit upon initial application and each renewal thereafter. Changes in hours shall be reported to Dealer Licensing within 30 days.

5. Not be required to have a repair facility;

6. Not be required to have tools or equipment;

7. Display the license(s) issued in a public space visible to the general public; and

8. Have a sign which meets the following requirements (unless a municipality has established ordinances regulating signs contrary to these rules, whereupon the Secretary of State, upon notification by the dealer of such ordinances, may grant an exception to these rules to the licensee affected):

a. The sign shall be permanently mounted;

b. The sign shall contain the trade or business name of the transporter and related business. If the business is operating as a DBA (Doing Business As), the DBA name must also be on the sign.

c. The sign shall display the name of the transporter in letters at least 4 inches high;

d. The sign shall be visible from the entrance to the business or annex location; and

e The sign shall be displayed at the business location and any annex or secondary location used by the licensee.

B. Application. See Section 11.

9. REQUIREMENTS FOR A TRAILER TRANSIT LICENSE

Established place of business or annex. Active licenses prior to September 16, 2025, shall be grandfathered and exempt from this requirement.

The established place of business of trailer transit license holders shall:

1. Be located in a permanent, enclosed building(s) which:

a. Is in good repair;

b. Is used exclusively for a business that delivers or services mobile homes or tiny homes, leases or transports storage trailers or transports light trailers, modular homes or frames for transporting modular homes and has been issued a trailer transit license, or other related business;

c. Has a source of heat;

d. Is owned or leased by the dealer;

e. Contains a solid wall separating the established place of business from any other unrelated business in the building;

f. Has an entrance used exclusively to gain access to the established place of business.

2. Not be required to have a display area;

3. Have an office which:

• • • 1. Is located at the business or annex location; 2. Is not less than 64 square feet in size, is used exclusively for the licensed business and is free of debris and unrelated materials;

c. Is heated during business hours;

• • • 1. Is entered through a door which is properly labelled and readily

accessible to the public;

• • • 1. Is completely enclosed by floor to ceiling construction. (Tar paper,

sheathing paper or cardboard are not allowed as construction material.);

f. Is separated from any living quarters by a solid wall without access

points; and

g. All newly licensed dealers beginning January 1, 2026, shall be required to have a computer with internet access and a printer in the office. Those licensed prior to January 1, 2026, will be grandfathered but are encouraged to comply.

4. Have reasonable business hours which:

Shall be posted and clearly visible on the exterior or through a window of the building identified as the business location or annex; and

Shall be provided to the Dealer Licensing Unit upon initial application and each renewal thereafter. Changes in hours shall be reported to Dealer Licensing within 30 days.

5. Not be required to have a repair facility;

6. Not be required to have tools or equipment;

7. Display the license issued in a public space visible to the general public;

8. Have a sign which meets the following requirements (unless a municipality has established ordinances regulating signs contrary to these rules, whereupon the Secretary of State, upon notification by the dealer of such ordinances, may grant an exception to these rules to the licensee affected):

a. The sign shall be permanently mounted;

b. The sign shall contain the trade or business name of the trailer transit license holder and related business. If the business is operating as a DBA (Doing Business As), the DBA name must also be on the sign.

c. The sign shall display the name of the licensed business in letters at least 4 inches high;

d. The sign shall be visible from the entrance to the business location.

Application. See Section 11.

Plates. See section 12.

10. REQUIREMENTS FOR A LOANER LICENSE

A. Established Place of Business or Annex Location. The established place of business or annex of a loaner licensee shall:

1. Be located in a permanent, enclosed building which:

a. Is in good repair;

b. Is used exclusively for the licensed dealer, body shop,

transmission shop, or garage that is issued the loaner license or other

related business;

Is free of obstructions or material not related to the business;

d. Has a source of heat;

e. Is owned or leased by the applicant;

f. Contains a solid wall separating the established place of business from any other unrelated business in the building; and

g. Has an entrance used exclusively to gain access to the established place of business.

2. Not be required to have a display area.

3. Have an office which:

• • • 1. Is located at the business or annex; 2. Is not less than 64 square feet in size, is used exclusively for the licensed business and is free of debris and unrelated materials;

c. Is heated during business hours;

Contains at least one desk, 2 chairs, and a filing cabinet. The filing cabinet is not required if the desk is equipped with drawers suitable in size and design for storing and filing business records. An annex location may keep books and records at the primary location;

• • • 1. Is completely enclosed by floor to ceiling construction. (Tar paper,

sheathing paper or cardboard are not allowed as construction material.);

f. Is separated from any living quarters by a solid wall without access

points; and

g. All newly licensed dealers beginning January 1, 2026, shall be required to have a computer with internet access and a printer in the office. Those licensed prior to January 1, 2026, will be grandfathered but are encouraged to comply.

4. Have reasonable business hours which:

a. Shall be posted and clearly visible on the exterior or through a window of the building identified as the established place of business or annex.

Have a repair facility:

a. Which is located within the building or buildings identified as the established place of business or annex, and is used exclusively by the dealership;

b. Which contains not less than 400 square feet of workable floor space which is free of benches and permanently mounted equipment;

c. Which is heated and reasonably free of debris, hazards, and unrelated materials; and

d. Which has a hard surface, non-dirt floor.

e. Notwithstanding section 1(A)(1)(g), a dealer may lease their repair facility to a licensed inspection mechanic. The dealer shall file a copy of the lease with the Bureau. The dealer must display a sign of at least 2 ft. by 3 ft. stating that any repair work done on site for the dealership will be performed by the technician leasing space. The sign shall include the technician’s address and telephone number.

f. If repairs are contracted out to a third-party mechanic, the purchaser shall be notified in writing of who is performing the repair work and where. The dealer is still responsible for ensuring that the terms of the warranty are met.

g. Which is heated and reasonably free of debris, hazards, and unrelated materials; and

h. Which is equipped with the necessary tools of the business operated.

i. Which has a hard surface, non-dirt floor.

6. Display the license(s) issued in a public place visible to the general public:

Have a sign which meets the following requirements (unless a municipality has established ordinances regulating signs contrary to these rules, whereupon the Secretary of State, upon notification by the dealer of such an ordinance, may grant an exception to these rules to the licensee affected);

a. The sign shall be permanently mounted, displayed at each established place of business, and shall not be less than 12 square feet in surface size;

b. The sign shall be visible from the entrance to the lot and the letters of the sign shall be readable from a distance of 200 feet; and

c The sign shall contain the trade or business name of the licensee and related business. If the business is operating as a DBA (Doing Business As), the DBA name must also be on the sign; and

8. Maintain records as required by 29-A M.R.S. §1003. Records shall be kept for a minimum of five years.

B. Application. See Section11

The holder of a business license issued under 29-A M.R.S. Chapter 9 may not assign, transfer, sublease, subcontract, or otherwise delegate any rights or obligations of a license, in whole or in part, to any third party.

11. APPLICATION. Original applications and renewal applications for licenses shall be made upon forms respectively prescribed and furnished by the Secretary.In addition to filling out the basic application, an applicant for dealer registration and plates shall:

A. Answer, on a form prescribed by the Secretary of State, basic questions relative to the ownership of the applicant and facilities of the established place of business, annex, or secondary location and shall swear before a notary as to the truthfulness of the answers, which information shall include the applicant’s name, type of business organization and place of business;

B. Furnish copies of documents that reflect ownership of the applicant, including properly recorded partnership papers, authority to operate under an assumed name, if applicable, proof of incorporation in the State of Maine, or proof of authority for a foreign corporation to conduct business in the State of Maine;

C. Applicants shall submit to State Bureau of Identification background check upon initial and renewal application. The Bureau of Motor Vehicles will request and receive the background check from the State Bureau of Identification. A fee for the background check will be assessed at time of initial and renewal application pursuant to Title 25 MRSA Sec. 1541(1).

Applicant shall provide to the Bureau of Motor Vehicles the complete legal name of each owner upon application; the middle initial of each is required.

Fees submitted for background checks are non-refundable.

State criminal history record information shall be used for the purpose of screening dealer applicants in order to determine whether issuance of a dealer license is granted or maintained.

Applications may be denied for crimes against persons to include Class D or E convictions within three years and Class C or higher convictions within five years.

Dealers shall provide current contact information to include primary or secondary telephone and mailing address, and an e-mail address if available as frequent statutory updates are disseminated via e-mail;

Dealers shall make notification of changes to any of the contact information within 30 days, in writing or other means approved by the Secretary of State, of the old and new contact information.

Pay the appropriate filing fees at the time of application;

File proof of automobile liability insurance as prescribed in 29-A M.R.S. §1612, and surety bond as required by 29-A M.R.S. §901.

The surety bond shall be for the use and benefit of the Secretary of State, and for any person who may suffer a financial loss because the licensee failed to comply with the requirements of 29-A M.R.S. chapter 7 or chapter 9 related to the buying and selling of vehicles, or any provisions of this rule or of Chapter 104, Rules of the Department of Secretary of State.

The surety bond shall be for at least the minimum amount prescribed in §901(4) and shall be applied against the total amount of claims during the license period.

The surety bond shall become payable upon order of a court of competent jurisdiction; or an administrative ruling by the Bureau of Consumer Credit Protection or the Secretary of State.

The form of the surety bond is prescribed in Appendix B.

Notify the Secretary of State of the sales tax number issued by the Maine Revenue Services by submitting a reseller’s certificate at initial application and upon each renewal;

Furnish copies of a lease, if the facilities are leased;

Furnish copies of compliance with applicable building codes, zoning codes and other land use regulatory ordinances in the Maine municipality where each established place of business, annex, or secondary location is operated. Recyclers must also furnish proof of compliance with 30-A M.R.S. §3753;

Furnish a copy of a plot plan for the premises. Plot plans must be maintained and up to date. Any changes require submission of a new plot plan for review;

Submit to an inspection as follows:

1. Upon receipt of an application for dealer license, the Secretary of State shall conduct an inspection into the ownership and facilities established place of business, annex location, or secondary location. An inspection shall be waived for loaner applicants who are already licensed as dealers; and

2. Prior to approval of an application for dealer license and plates, an inspection report shall be submitted to the Secretary of State affirming that the licensed location conforms to all applicable laws, rules, and regulations. Periodic inspections of the premises and facilities will be conducted thereafter to ensure continued compliance with applicable laws, rules, and regulations.

M. File a new application and fees whenever the ownership/corporate structure changes. An initial or new application applies to all license requests other than renewals or adding a license type;

New applicants must complete the Dealer/Title training offered by the Bureau of Motor Vehicles and submit a signed acknowledgement prior to licensure.

Illegible or incomplete applications will not be accepted. BMV shall issue notice to applicants in the event that their application is illegible or incomplete. In the event that the applicant does not correct their application, illegible or incomplete applications will be withdrawn after 90 days; no refund will be issued.

Licenses that are expired more than 30 days require a completely new application including a filing fee, plot plan, questionnaire, and inspection, as well as all other license requirements.

DEALER PLATE USE/REQUIREMENTS

A Temporary Plates May Be Issued to a Dealer

The 30-day temporary plate expiration date calculation begins on the

date of sale;

No temporary plate shall be renewed or extended except by authority of

the Secretary of State, Bureau of Motor Vehicles, Dealer Licensing

Section;

The dealer license type and number shall be identified on the lower right

hand corner of each temporary plate issued;

The temporary plate must be attached to the rear plate bracket.

Temporary plates remaining in a dealer’s inventory are non-refundable when a dealer ceases to continue business.

1. Dealer business plates are assigned to a vehicle dealer for the conduct of the dealer’s business including vehicles that are owned by the dealer, temporarily in the custody of the dealer, or issued to staff in accordance with 29-A M.R.S Chapter 9.

2. The term “temporarily in the custody of the licensee” shall mean a vehicle which is not owned by the licensee but is entrusted to or controlled by the licensee for movement. In the case of storage trailers, the owner may be deemed to be “temporarily in the custody” if the storage trailer is leased to another party for thirty (30) days or more, and the storage trailer is not generally in the owner’s direct control.

3. Dealer plates shall only be used in conjunction to the license type to which they are assigned unless otherwise authorized in law.

4. Maintain a log that indicates the staff or area (e.g. shop) that has been

assigned plates giving the employees’ names and the plate number(s) and suffix(es) for the plates. The log will be in a manner prescribed by the Secretary of State.

1. Issuance or retention of new car, used car, motorcycle, light trailer, heavy trailer, or equipment business plate(s): - 1. Dealer plates shall be issued based on the quantity of sales reported for the previous licensing period or an average of the two highest years of the last three, whichever is the greater number, and shall be based on the plate chart in Appendix A. 2. Generally, initial issuance of dealer plates will be four plates. Additional business plates shall be issued upon proof of sales in accordance with Appendix A. 3. An applicant for an initial dealer license may request additional plates based on operational need. The Bureau may require additional information and may consider such issues as the number of secondary locations and annexes, or the number of salespeople and support staff. Applicants requesting additional plates may be required to submit to an inspection if requested prior to issuance of supplemental plates. 4. A dealer may request additional plates based on operational need. The Bureau may require additional information and may consider such issues as the number of secondary locations and annexes, or the number of salespeople and support staff. 5. All dealers are subject to a decrease in the plate quantity for which the business is entitled upon renewal if the volume of sales does not meet the eligibility requirements outlined in Appendix A.

2. Issuance and retention of Transporter, Trailer Transit, and Loaner Plates:

3. Newly licensed Transporter, Trailer Transit, or Loaner dealer shall be

issued a maximum of four plates initially unless the business submits a

written justification for additional plates.

The justification is subject to review. If the written justification is determined to be reasonable, the Dealer Licensing Unit may approve additional plates.

Applicants requesting additional plates may be required to submit to an inspection if requested prior to issuance of supplemental plates.

• • • 1. Dealer Wrecker Plates may be issued to new, used, and equipment dealers.
• 1. Dealer wrecker plates shall be issued based on the number of wreckers

to which the dealer intends to attach the plates.

• 1. Applicants for dealer wrecker plates must submit to an inspection of the

vehicle to which the wrecker plate will be attached.

• 1. VIN specific insurance must be provided to the Dealer Licensing unit

prior to issuance of a Dealer Wrecker Plate. If the vehicle to which the

Dealer Wrecker Plate is attached changes, Dealer Licensing must be notified, and new VIN specific insurance must be provided immediately.

If the dealer no longer has the wrecker, the plates must be returned to the

Dealer Licensing Unit.

Dealer Wrecker Plate may not be loaned.

• • • 1. Dealer family plates are assigned to a dealer’s immediate family for personal use only. To obtain or retain a dealer family plate a dealer must: 1. Have been in business for at least one year. 2. Have at least 20% ownership in the business; or the minimum ownership

required by the franchise agreement, whichever is less.

• 1. No more than five family plates may be issued per dealer license. Have no more than one family plate per owner regardless of the number of dealerships owned or licenses held. 2. Submit an application providing the name(s), date(s) of birth and relationship(s) to the owner of the primary driver(s). A primary driver may only be a spouse, or child under the age of nineteen living with the dealer. A new application is required upon each renewal. 3. Only new, used, and motorcycle dealers are eligible for family plates.

Use the plate on a vehicle that is in the dealer’s active inventory

and that is available for resale.

I. Plate Display. While on the highways the plates shall be displayed at the rear

of the vehicle and the registration sticker shall be displayed in the lower right side of theplate. Motorcycle plates shall have the registration sticker displayed in the top right corner of the plate.

13. PROHIBITED CONDUCT. A person may not engage in the following conduct or activities:

• • 1. Dealer Activities. A person may not conduct dealer activities or represent

oneself as providing the same without being licensed by the Secretary of State.

• • 1. A Dealer, including employees and agents, may not engage in any verbal,

physical, or visual harassment of any employee of the Secretary of State.

• • 1. A licensed dealer, including employees or agents, and a salesperson may not intimidate or harass an employee, customer, or other person based on sex, color, race, religion, national origin, age, marital status, physical or mental disability, or sexual orientation. For the purpose of this paragraph harassment includes the following, which may be a series of incidents or a single occurrence: unwelcome sexual advances, gestures, comments, or contacts; threats; offensive jokes subjecting employees, students or other persons frequenting the dealership to ridicule, slurs, or derogatory actions. For the purpose of this paragraph, sexual-harassment includes the following, which may be a series of incidents or a single occurrence: verbal, nonverbal and physical behavior that is sexual in nature such as comments about a person’s looks, personal inquiries, sexual jokes, use of derogatory sexual stereotypes, uttering sexually suggestive sounds, writing sexual notes, use of the computer equipment to send or receive material of a sexual nature, looking someone up-and-down, staring or leering at someone’s body, deliberate blocking of a person’s path, displaying sexual visuals, making sexual gestures, massaging, touching, deliberate brushing up against someone, hugging, pinching, grabbing or other sexual touching, contact or act. 2. The holder of a business license issued under 29-A M.R.S.A. Chapter 9 may not assign, transfer, sublease, subcontract, or otherwise delegate any rights or obligations of a license, in whole or in part, to any third party.

14. DEALER LICENSE DENIAL, SUSPENSION, REVOCATION OR MODIFICATION

The Secretary of State may deny, suspend, revoke or modify the license(s) pursuant to 29-A M.R.S.A. §§ 853, 903(1) and §1108(1), for the reasons stated therein. In the event a license is denied, suspended, revoked or modified, the applicant or licensee shall be provided notice about the bases for the action(s).

2. The suspension shall be for a period of up to six months for the first offense. A

second violation may result in a suspension of up to one year or an indefinite

revocation.

3. A revoked licensee indefinitely may petition for restoration after five years.

4. A violation committed within the past five (5) years constitutes a prior violation.

5. A Bureau of Motor Vehicle Detective may warn a licensee for minor violations

of statute or rule relating to license. Repeated warnings may result in suspension or revocation.

15. RIGHTS TO AN ADMINISTRATIVE HEARING

A licensee may request a hearing, in writing, within 10 days from the effective date of the suspension or revocation. Hearings will follow the notice and hearing procedures outlined in 5 M.R.S.A. §9051-64, Title 29-A, chapter 23, subchapter III, article 3, and the Rules for Hearings of the Secretary of State. The person appealing the Secretary of State’s decision will have the opportunity to show cause why the decision of the Secretary of State should not be upheld. The hearing request must be sent to Secretary of State, Bureau of Motor Vehicles, Dealer Licensing, 29 State House Station, Augusta, Maine 04333.

Appendix A. Dealer Plates by Sales Chart

Sales Business Plates Sales Business Plates Sales Business Plates

Initial Issue

Up to 4

775 to 799

35

1600 to 1624

68

4 to 12

2

800 to 824

36

1625 to 1649

69

13 to 25

4

825 to 849

37

1650 to 1674

70

26 to 50

5

850 to 874

38

1675 to 1699

71

51 to 75

6

875 to 899

39

1700 to 1724

72

76 to 100

7

900 to 924

40

1725 to 1749

73

101 to 124

8

925 to 949

41

1750 to 1774

74

125 to 149

9

950 to 974

42

1775 to 1799

75

150 to 174

10

975 to 999

43

1800 to 1824

76

175 to 199

11

1000 to 1024

44

1825 to 1849

77

200 to 224

12

1025 to 1049

45

1850 to 1874

78

225 to 249

13

1050 to 1074

46

1875 to 1899

79

250 to 274

14

1075 to1099

47

1900 to 1924

80

275 to 299

15

1100 to 1124

48

1925 to 1949

81

300 to 324

16

1125 to 1149

49

1950 to 1974

82

325 to 349

17

1150 to 1174

50

1975 to 1979

83

350 to 374

18

1175 to 1199

51

2000 to 2024

84

375 to 399

19

1200 to 1224

52

2025 to 2049

85

400 to 424

20

1225 to 1249

53

2050 to 2074

86

425 to 449

21

1250 to 1274

54

2075 to 2099

87

450 to 474

22

1275 to 1299

55

2100 to 2124

88

475 to 499

23

1300 to 1324

56

2125 to 2149

89

500 to 524

24

1325 to 1349

57

2150 to 2174

90

525 to 549

25

1350 to 1374

58

2175 to 2200

91

550 to 574

26

1375 to 1399

59

2200 to 2224

92

575 to 599

27

1400 to 1424

60

2225 to 2249

93

600 to 624

28

1425 to 1449

61

2250 to 2274

94

625 to 649

29

1450 to 1474

62

2275 to 2299

95

650 to 674

30

1475 to 1499

63

2300 to 2324

96

675 to 699

31

1500 to 1524

64

2325 to 2349

97

700 to 724

32

1525 to 1549

65

2350 to 2374

98

725 to 749

33

1550 to 1574

66

2375 to 2399

99

750 to 774

34

1575 to 1599

67

2400 or more

100

This chart is a guideline. A dealer may request additional plates based on operational need as described in Section 11. The Bureau may require additional information and may consider such issues as the number of secondary locations and annexes, or the number of salespeople and support staff.

New Bond Below

Appendix B

SURETY BOND FOR MOTOR VEHICLE DEALER

KNOW ALL MEN BY THESE PRESENTS: Bond# ______________________

That we, ______________________________________________________ of ____________________________, State of Maine,

(Legal Name of Dealership) (City/ town)

as Principal, and____________________________________________________, a Corporation organized and existing under the

(Name of Bonding Company)

laws of______________________________________________and authorized to do business in the State of Maine, as Surety, are

(State of Jurisdiction)

held and firmly bound unto the Secretary of State, State of Maine, in the penal sum of_________________________________dollars ($__________________), lawful money of the United States of America, for which payment well and truly be made, we and each of us, bind ourselves, our heirs, executors, administrators, personal representatives and assigns, jointly and severally, firmly by these presents.

Signed, sealed, and dated this ___________________ day of ____________________, 20.

Whereas the above bounden principal has or is about to make application to the Secretary of State, Bureau of Motor Vehicles, for a license authorizing said Principal to engage in the business of a motor vehicle dealer in accordance with Title 29A M.R.S.A., and all the rules promulgated thereunder by the Secretary of State, and if so licensed, said Principal is required to furnish a Surety Bond pursuant to 29A M. R. S. A. §901, SUB- §4. Now, therefore, all conditions of this Obligation is such that if the said Principal shall faithfully observe the provisions of Title 29-A M. R. S. A., and all the rules promulgated thereunder relating to the business of a motor vehicle dealer, then this Obligation shall be null and void, otherwise to remain in full force and effect.

This bond shall be for the use and benefit of the Secretary of State, State of Maine, and for any person, firm or operation who may suffer loss because the Principal fails to comply with the above-mentioned laws and Rules.

Two types of Bonds are accepted by the Secretary of State, State of Maine from the principal and Surety.

This bond shall run concurrently with the period of the motor vehicle dealer’s license granted to the Principal and shall terminate at 11:59 p. m. on the last day of the period of such license. If a continuation certificate is provided reflecting an expiration date, said bond will be valid up to that date. It will be continued in full force only if another continuation certificate is executed by the Surety and received by the Secretary of State, State of Maine.

The surety bond shall be concurrent with the period of the license granted to the Principal, and shall remain in full force and effect for any renewal thereof , and shall remain in full force until cancelled and provide the total liability of the surety herein. The total amount of the surety shall apply to each license year. This bond will be continuous bond and remain in effect until cancelled.

The surety may cancel this bond at any time by giving thirty (30) days written notice by registered or certified mail to the Secretary of State, State of Maine, Motor Vehicle Division.

Principal and Surety agree to be bound by the laws of the State of Maine as to the interpretation of this Instrument.

By: __________________________________________________

(Principal)

By: _______________________________________ __________________________________________________

(Witness)

By: __________________________________________________

(Surety Company)

By: _______________________________________ Attorney-in-fact: ________________________________________

(Witness)

MVD-390 Rev 06/2018

History

• STATUTORY AUTHORITY: 29 M.R.S.A. §§ 51, 362 and 2353(2B); 29-A M.R.S.A. §153; 10 M.R.S. §1169(11)
• EFFECTIVE DATE: May 7, 1979
• AMENDED: November 30, 1987
• AMENDED: April 18, 1989
• AMENDED: April 2, 1990
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• AMENDED: October 31, 1998
• NON-SUBSTANTIVE CORRECTIONS: December 1, 1998 - superfluous “of the” in §I(B)(1)(a);formatting in §III(A)(3).
• NON-SUBSTANTIVE CORRECTIONS: December 19, 2000 -converted to MS Word, formatting, spelling, minor corrections
• AMENDED: December 16, 2000
• AMENDED: January 1, 2009 – filing 2008-453
• AMENDED: September 14, 2009 – filing 2009-449
• AMENDED: July 20, 2010 – filing 2010-309
• AMENDED: August 29, 2012 – filing 2012-237
• AMENDED: March 31, 2014 – filing 2014-052
• AMENDED: July 4, 2020 – filing 2020-156
• AMENDED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025
• APAO ACCESSIBILITY CHECK: September 11, 2025
• AMENDED: September 14, 2025 – filing 2025-174
• AMENDED: AMENDED (nonsubstantive formatting issues resolved by agency of jurisdiction): September 17, 2025
• APAO ACCESSIBILITY CHECK (Word): April 6, 2026

Chapter 104 Rules for the Used Car Information ActAppendix D, Used Vehicle Buyer's Guide Form (PDF) (in Adobe .pdf format)

Code Me. R. 29-250 Ch. 104 Rules for the Used Car Information Act {#sec-29-250-ch.-104 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 104}

SUMMARY: This Chapter outlines the duties and responsibilities of the Used Car Dealer pursuant to the Used Car Information Act, 10 M.R.S.A. §§ 1471 – 1478

MAINE USED CAR INFORMATION ACT STICKER RULE

SECTION 1. GENERAL DUTIES OF A USED CAR DEALER

A. DEFINITIONS

1. “Consumer” means any person who is not a used vehicle dealer, and a person defined as a “purchaser” at 10 M.R.S.A. §1471, sub-§6.

2. “Dealer” means any person or legal entity which meets the Used Car Information Act definition of “dealer” at 10 M.R.S.A. §1471, sub-§2.

3. “Implied warranty” means an implied warranty arising under the Maine Uniform Commercial Code, 11 M.R.S.A. §2-314 (as modified by the Magnuson-Moss Act) in connection with the sale by a dealer of a used vehicle that is still within its useful life.

4. “Mechanical defect” means any defect, failure or malfunction of the mechanical system of a motor vehicle, including but not limited to the motor and transmission, electrical, hydraulic or suspension system, and any defect, damage, failure or malfunction that significantly affects the safety or normal use of a motor vehicle.

5. “Motor vehicle” means any automobile or truck with a gross vehicle weight of not more than 10,000 pounds, and does not include motorcycles.

6. “Service contract” means a contract in writing for any period of time or any specific mileage to refund, repair, replace or maintain a used vehicle, and which is provided at an extra charge beyond the price of the used vehicle.

7. “Substantial damage” means damage by collision, water, fire or other means to the motor vehicle so substantial that if known to the consumer it would affect the consumer’s decision to purchase the car or the price the consumer would be willing to pay.

8. “Used vehicle” means any vehicle driven more than the limited use necessary in moving, road testing or consumer test drives of a new vehicle prior to delivery to a consumer “Used Vehicle” includes “ program ” or “executive” cars,but does not include any vehicle sold only for scrap or parts (title documents surrendered to the state and a salvage certificate issued). Any vehicle which meets the definition of a “reconstructable motor vehicle” at 10 M.R.S.A. §1471, sub-§6-A is considered a “used vehicle.”

9. “Warranty” means any undertaking in writing, in connection with the sale by a dealer of a used vehicle, to refund, repair, replace, maintain or take other action with respect to such used vehicle and provided at no extra charge beyond the price of the used vehicle. Also included in this Used Car Information Act definition is any representation by a dealer which meets the definition of “warranty” at 10 M.R.S.A §1471, sub-§8.

10. “You” means any dealer, or any agent or employee of a dealer, except where the term appears on the window form required by this rule.

11. “Reconstructable motor vehicle” means a used motor vehicle that does not meet inspection standards and does not have an inspection sticker affixed to it.

B. USED CAR INFORMATION ACT VIOLATIONS

1. Misrepresentations. It is a violation of the Maine Used Car Information Act, 10 M.R.S.A. §1475:

(a) To misrepresent in writing the mechanical condition of a used vehicle (verbal misrepresentation may be a violation of common law or statutory law such as the Maine Unfair Trade Practices Act or the Maine Uniform Commercial Code);

(b) To misrepresent in writing the terms of any warranty offered in connection with the sale of a used vehicle; and

(c) To represent in writing that a used vehicle is sold with a warranty when the vehicle is sold without any warranty.

2. Failure to Disclose. It is a violation of the Maine Used Car Information Act, 10 M.R.S.A. §1475:

(a) To fail to disclose in writing, prior to sale, that a used vehicle is sold without any warranty; and

(b) To fail to make available, prior to sale, the terms of any written warranty offered in connection with the sale of a used vehicle.

(c) To fail to disclose in writing, on the window form, that a vehicle has a major mechanical defect, even if that defect has been fixed, if you are aware of it.

(d) To fail to disclose in writing, on the window form, that a vehicle has had substantial damage from collision, fire, water or any other means, if you are aware of it.

C. CONSUMER SALES - BUYER’S GUIDE WINDOW FORM

It is a violation of the Maine Used Car Information Act, 10 M.R.S.A. §1475, for any dealer to fail to comply with the following requirements:

1. General Duty. Before you offer a used vehicle for transfer or sale to a consumer or another dealer, you must prepare, fill in as applicable and display on that vehicle a “Buyer’s Guide” as required by this Rule.

(a) Use a side window to display the form so both sides of the form can be read, with the title “Buyer’s Guide” facing to the outside. You may remove a form temporarily from the window during any test drive, but you must return it as soon as the test drive is over.

(b) The capitalization, punctuation and wording of all items, headings and text on the form must be exactly as required by this Rule. The entire form must be printed in 100% black ink on a white stock no smaller that 12 ½ inches high by 8 ½ inches wide in the type styles, sizes and format indicated in the sample form in Appendix D, with no additions or deletions.

2. Directions for Filling Out Buyer’s Guide. When filling out this Buyer’s Guide form, follow the directions (a) through (m):

(a) Make, Model, Model Year, VIN. Put the vehicle’s name (for example, “Chevrolet”), model (for example, Vega), model year and complete vehicle identification number (VIN) in the spaces provided. You may write the dealer stock number in the space provided or you may leave this space blank.

(b) Prior Use. Enterthe principal manner that the vehicle was usedby the former owner, such as personal transportation, police car, daily rental car, taxi or other descriptive term.

(c) Mechanical Defects. Enter a statement identifying any and all mechanical defects known to you at the time of sale. You must make this disclosure even if the defect has been fully repaired. A reconstructable vehicle must be disclosed as an “unsafe vehicle”.

(d) How Acquired. Enter the type of sale by which you acquired the vehicle, such as trade-in, sheriff’s sale, repossession, dealer auction, out-of-state dealer auction or other descriptive term.

(e) Substantial Damage. Enter a statement identifying any and all substantial damage that the vehicle has sustained that is known to you, including damage to the body or engine from collision, fire, water or other causes. You must make this disclosure even if the damage has been fully repaired.

(f) Warranty of Inspectability. Except for reconstructable motor vehicles, clearly labeled as an “Unsafe Motor Vehicle”, you cannot sell or transfer a vehicle unless it meets the State inspection standards and displays a valid inspection sticker issued to your dealership during the last 60 days prior to the date of sale or transfer. This box must be checked unless the vehicle is a reconstructable motor vehicle. Neither you nor the buyer can reduce or negotiate away this warranty.

(g) No Express Warranty Except That Vehicle Can Pass State Inspection. If you offer the vehicle without any dealer express warranty, except the warranty that it can pass inspection, check this box. If you offer the vehicle with a dealer express warranty or with implied warranties, or with both, then check the appropriate boxes below this section of the Buyer’s Guide.

(h) Dealer Express Warranty. If you offer the vehicle with an express warranty, briefly describe the warranty terms in the space provided. This description must include the following warranty information:

(i) Whether the warranty offered is “Full” or “Limited”. Mark the box next to the appropriate designation.

(ii) Which of the specific systems are covered (for example, “engine, transmission, differential”). You cannot use shorthand, such as “drive train” or “power train” for covered systems.

(iii) The duration (for example, “30 days or 1,000 miles, whichever occurs first”),

(iv) The percentage of the repair cost paid by you (for example, “The dealer will pay 100% of the labor and 100% of the parts.”)

(v) If you charge the consumer a deductible for each repair, enterthe amount in the space provided here or list separate deductibles on the “Duration” line.

(vi) If the vehicle is still under the manufacturer’s original warranty, you must add the following paragraph below the “Full/Limited Warranty” disclosure: “MANUFACTURER’S WARRANTY STILL APPLIES. The manufacturer’s original warranty has not expired on the vehicle. Consult the manufacturer’s warranty booklet for details as to warranty coverage, service location, etc.”

(vii) If, following negotiations, you and the buyer agree to changes in the warranty coverage, mark the changes on the form, as appropriate. If you first offer the vehicle with an express warranty, but then sell it without one, cross out the original warranty offer and mark the “No Express Warranty” box.

If your express warranty requires the consumer to pay a deductible, enter the amount and terms on the line provided.

(i) Service Contracts. If you make a service contract available on the vehicle, you must mark the box provided below the warranty disclosure area.

(j) Implied Warranties. In many cases you may disclaim the protection provided consumers by the Maine implied warranty laws. These laws include the Warranty of Merchantability (i.e., the vehicle is fit for the ordinary purposes for which such vehicles are used) and the Warranty of Fitness (i.e., you know the consumer is relying on your specific advice as to whether the car is fit for a particular purpose). Assuming the car is still within its useful life and has not been abused by its other owners, if you have not disclaimed implied warranties (by checking the “No” box), you may be responsible for:

(i) repairing defects in materials or workmanship that were not apparent when you sold the vehicle; or

(ii) for accepting back the car if it is not fit for the specific purpose you advised it was suitable for.

However, pursuant to the Magnuson-Moss Warranty Act (15 U.S.C. §2301 et seq .), under certain circumstances your right to limit implied warranties is not absolute. For example, if you offer a dealer express warranty then you may only limit implied warranties to the duration of the express warranty and if you wish to so limit them you should check that box. Further, you may not disclaim or limit implied warranties at all if you sell the customer a service contract for the used car within 90 days of the sale of the car. For example, if you sell the purchaser a service contract, you cannot disclaim implied warranties and should not check the Implied Warranty “No” box.

(k) Important Information: Prior Titled Owner’s Name And Address Is Available From The Dealer Upon Request. Maine law requires the dealer to promptly disclose upon request of any person the name and address of the previous owner of the motor vehicle. The prior owner’s name and address as given on the title are public record and disclosure does not violate privacy laws.

(l) Vehicle Returned To Manufacturer. This vehicle has been the subject of a “Lemon Law” complaint.If a used vehicle has been returned to a manufacturer because of warranty defects, you must give consumers any details known to you.

(m) Complaints. In the space provided under “Notice of Breach of Warranty” put the name, title and telephone number of the person who should be contacted if any complaints arise after sale. If warranty repairs are not to be performed at your dealership, you must put the name, address and other identifying information of each facility within a radius of 50 miles of the dealer’s place of business to which the vehicle may be brought for repairs, replacement of parts and other service under the warranty.

D. WINDOW FORM GIVEN TO BUYER

1. Form given to buyer. Give the buyer of a used vehicle sold by you the window form described above containing all of the disclosures required by the Rule and reflecting the warranty coverage agreed upon. If you prefer, you may give the buyer a copy of the original, so long as that copy accurately reflects all of the disclosures required by the Rule and the warranty coverage agreed upon.

2. The white copy of the window form is given to the buyer and the copy with an original signature of the buyer is to be kept in your files.

3. Incorporated into contract. The information on the final version of the window form is incorporated into the contract of sale for each used vehicle you sell to a consumer. Information on the window form overrides any contrary provisions in the contract of sale. To inform the consumer of these facts, include the following language in 10 pt. bold caps in each consumer contract of sale:

“ The information you see on the window form for this vehicle is part of this contract. Information on the window form overrides any contrary provisions in the contract or sale. ”

4 . Contrary statements. You may not make any statements, oral or written, or take other actions which alter or contradict the disclosures required above.

5. Warranty negotiations. You may negotiate over express warranty coverage, as long as the final warranty terms are described in the contract of sale and summarized on the copy of the window form you give to the buyer.

E. CONSUMER SALES -- UNSAFE MOTOR VEHICLE WINDOW FORM

1. The vehicle must be inspected at a licensed state safety inspection station. The “UNSAFE MOTOR VEHICLE” form must be completed and signed by a licensed inspection mechanic at a licensed inspection station.

2. The form must have the following information:

a. The make, model, year and vehicle identification number

b. The signature of the inspection mechanic

c. The inspection station number

d. The date that the inspection was done.

e Disclosure of items that fail the inspection.

3. The form must be affixed to vehicle. The yellow copy of the “UNSAFE MOTOR VEHICLE” window form must be affixed to the vehicle prior to displaying the vehicle for sale.

4. At the time of sale have the buyer sign the white and pink copy of the form. Give the yellow copy of the form to the buyer. Keep the signed pink copy for your records.

5. The car cannot be driven from your dealership lot.

6. You cannot remove the yellow copy of the “UNSAFE MOTOR VEHICLE” form from the vehicle.

F . UNFAIR TRADE PRACTICES

Violations of any of these Rules is prima facie evidence of an unfair trade practice in violation of 5 M.R.S.A. §207 (1979).

History

• STATUTORY AUTHORITY 10 M.R.S.A. §1474 subsection 4F
• EFFECTIVE DATE: May 24, 1988
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• AMENDED: September 26, 1998; also converted to MS Word format
• NON-SUBSTANTIVE CORRECTION: March 6, 2006 – missing Appendix D inserted
• AMENDED: July 5, 2009 – filing 2009-289
• NON-SUBSTANTIVE CORRECTION: July 8, 2010 – Appendix D updated
• NON-SUBSTANTIVE CORRECTION: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025

Chapter 105 Grievance Procedures for the Handicapped

Code Me. R. 29-250 Ch. 105 Grievance Procedures for the Handicapped {#sec-29-250-ch.-105 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 105}

Section 504 GRIEVANCE PROCEDURE

Secretary of State -- Motor Vehicle has adopted the following internal grievance procedure providing for prompt and equitable resolution of complaints alleging any action prohibited by federal regulations implementing Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794).

Section 504 states, in part, that "No otherwise qualified handicapped individual shall, solely by reason of his handicap, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance..."

This 504 grievance procedure is not meant to preclude other avenues of relief for the grievant.

The law and regulations may be examined in the office of:

Paul Potvin

Director - Administrative Services

Bureau of Motor Vehicles

29 State House Station

Augusta, ME 04333

(207) 624-9004

who has been designated to coordinate the efforts of the Bureau of Motor Vehicles to comply with the regulations.

1. A complaint must be filed in writing or verbally within 180 days of the alleged violation with the Agency 504 Coordinator, contain the name and address of the person filing it, and describe the action alleged to be prohibited by the regulations.

2. The Agency 504 Coordinator or his designee shall conduct an investigation to determine the validity of the complaint. The investigation shall include an opportunity for the grievant, by requesting an informal conference within 30 days of filing the complaint, to confront the people responsible for the action complained against. The 504 Coordinator shall, immediately upon receipt of the complaint, inform the grievant in writing of his right to request a conference. If the grievant requests and participates in a conference, he shall have an opportunity to present evidence and arguments on all issues, to cross-examine any person present and testifying, and to be represented at the conference. The 504 Coordinator shall be responsible for creating and maintaining a record or report of the conference. If the grievant does not request a conference, he shall still have the right to present evidence such as documents and written statements to the 504 Coordinator for consideration during the investigation. The Agency 504 Coordinator shall provide the Agency head with a written report of the findings of the investigation, including the record or report of the informal conference, if such a conference occurred.

3. The agency head shall issue a written decision within 60 days of the date the complaint was filed describing what action, if any, she/he will take regarding the complaint.

4. The 504 Coordinator will maintain the 504 complaint files of the agency for two years.

EFFECTIVE DATE:

December 15, 1984

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

NON-SUBSTANTIVE CORRECTIONS:

December 19, 2000 - converted to MS Word, restored missing text, formatting

APAO ACCESSIBILITY CHECK (Word):

April 6, 2026

Chapter 108 Automobile Manufacturer or Distributor License

Code Me. R. 29-250 Ch. 108 Automobile Manufacturer or Distributor License {#sec-29-250-ch.-108 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 108}

SECTION 1. Authority

This rule is promulgated by the Secretary of State pursuant to Title 10 M.R.S.A. § 1171‑B(4) and Title 5 M.R.S.A. § 8071.

SECTION 2. Purpose

The purpose of this rule is to establish the requirements for obtaining a license for a Manufacturer or Distributor of new motor vehicles in the State of Maine.

SECTION 3. Scope

This rule applies to any person or business that engages in the business of or serves in the capacity of or acts as a manufacturer or distributor of new motor vehicles within the State of Maine in accordance with the provisions of Title 10, c. 204, the Regulation of Business Practices Between Motor Vehicle Manufacturers, Distributors and Dealers.

SECTION 4. Definitions

For the purpose of this Rule, the following terms have the following meanings:

1. “Manufacturer” means a person, partnership, firm, association, corporation, or trust, resident or nonresident, who manufactures or assembles new motor vehicles or imports for distribution through distributors of motor vehicles or any partnership, firm, association, joint venture, corporation or trust, resident or nonresident that is controlled by the manufacturer. The term “manufacturer” includes the terms “franchiser”, “distributor”, “distributor branch”, “factory branch” and “factory representative”.

2. “Motor Vehicle” means any motor driven vehicle, except motorcycles and recreational vehicles, required to be registered under Title 29-A §351 et seq .

3. “New Motor Vehicle” means a motor vehicle that has not been previously sold to any person except a distributor, wholesaler or motor vehicle dealer for resale by a franchise.

SECTION 5. License Requirements

1. An application for a manufacturer’s license shall be made on the Application form provided by the Secretary of State (attached as appendix A).

2. A separate application shall be required for each separate franchise. For example, Chevrolet, Pontiac, Oldsmobile, Buick, Cadillac and GMC each issue separate franchises, and each must submit applications in accordance with this rule. Chevrolet and Chevrolet Trucks are distributed to dealers under the same franchise agreement, however, and require only one application.

3. A $1,500 annual license fee shall accompany each application.

4. Each applicant shall appoint a registered agent in the State, and include in the application the name, address and telephone number of the registered agent.

5. Each applicant shall provide the address of its principal place of business.

6. Each applicant shall provide a copy of the annual report that qualifies them to do business in the State of Maine and a list of its franchised new motor vehicle dealers in the State of Maine shall accompany each application.

SECTION 6. Hearing Provisions

As specified in 10 MRSA, Section 1171-B, the Secretary of State may, after a hearing, take action against a license or licensee and impose civil penalties.

SECTION 7. Separability

If any provision of this Rule or any application thereof to any person or circumstance is for any reason held to be invalid, the remainder of the Rule and the application of such provision to other persons or circumstances shall not be affected thereby.

SECTION 8. Effective Date

The provisions of this Rule shall be applicable January 1, 1999.

History

• STATUTORY AUTHORITY: to Title 10 M.R.S.A. § 1171-B(4) and Title 5 M.R.S.A. § 8071
• EFFECTIVE DATE: January 1, 1999
• NON-SUBSTANTIVE CORRECTIONS: December 20, 2000
• APAO ACCESSIBILITY CHECK (Word): April 6, 2026
• APAO ACCESSIBILITY CHECK (Word): Office Use Only#
• APAO ACCESSIBILITY CHECK (Word): Secretary of State, Bureau of Motor Vehicles
• APAO ACCESSIBILITY CHECK (Word): Application for Manufacturer’s License
• APAO ACCESSIBILITY CHECK (Word): Manufacturer or Distributor NameManufacturer or Distributor Principal Place of BusinessMailing Address for Principal Place of BusinessFranchise (use a separate form for each)Registered Agent InformationRegistered Agent’s Name(for State of Maine)Phone NumberMailing AddressPhysical Address
• HAVE YOU INCLUDED: ? A copy of your annual report
• HAVE YOU INCLUDED: ? A list of your franchised new motor vehicles in the State of Maine
• HAVE YOU INCLUDED: ? License fee of $1,500.00
• HAVE YOU INCLUDED: Signature of Applicant Official Title Date
• HAVE YOU INCLUDED: If you have any questions, please call the Bureau of Motor Vehicles, Dealer Section at 207-287-5422. Mail to:
• HAVE YOU INCLUDED: Bureau of Motor Vehicles - 29 State House Station - Augusta, ME 04333-0029
• HAVE YOU INCLUDED: LICENSE FEE SHOULD BE MADE PAYABLE TO THE SECRETARY OF STATE

Chapter 110 Non-Governmental Registration Agent and Resident Agent Requirements

Code Me. R. 29-250 Ch. 110 NON-GOVERNMENTAL REGISTRATION AGENT and RESIDENT AGENT REQUIREMENTS {#sec-29-250-ch.-110 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 110}

SUMMARY: This rule establishes the requirements for Non-governmental Registration Agents and Resident Agents pursuant to 29-A M.R.SA. §204. (Collectively, “registration agents.”) The rule sets forth requirements for training, equipment and software, reporting, inventory control, audit, and suspension and hearings for registration agents. A Non-governmental Registration Agent may be authorized to collect registration, title and related taxes and fees, and to issue registration credentials and indicia. A Non-governmental Registration Agent is authorized and required to transmit registration data to the Bureau of Motor Vehicles. A registration agent may be authorized to process motor vehicle registrations, and annual and long term trailer registrations. A registration agent may be authorized to have plate and validation inventory, and to issue motor vehicle credentials.

A. COMMUNICATIONS

1. All communications shall be directed to: Maine Bureau of Motor Vehicles, Municipal & Agent Services, 29 State House Station, Augusta, ME 04333-0029. E- mail: municipal.bmv@maine.gov. Phone: 207/624-9000 x. 52163. (Hereinafter, the Maine Bureau of Motor Vehicles, Municipal & Agent Services shall be referred to as the “Bureau”).

B. REMITTANCES

1. All remittances shall be in US funds, payable to the Maine Secretary of State.

C. DEFINITIONS

Unless the context clearly states otherwise, terms shall have the same meaning as in Title 29-A.

Non-governmental Registration Agent. Non-governmental Registration Agent means a registration agent approved by the Bureau of Motor Vehicles authorized to issue original and renewal registrations, and to conduct related transactions on the Bureau’s behalf, and to receive, possess, and issue registration plates, validation decals, registration certificates. A Non-governmental Registration Agent must be a Maine resident or resident corporation with a place of business in Maine.

Resident agent. Resident Agent means a registration agent who has successfully completed the Bureau of Motor Vehicle’s agent training program. A Resident Agent must be a Maine resident or resident corporation. A Resident Agent is authorized to receive registration forms and related documents, and to prepare and present, and pay for registration documents on behalf of clients, and to receive validated registrations, registration plates, and validation decals for their clients.

D. APPLICATION

1. An applicant desiring to become a registration agent shall submit an application to the Bureau on the application form (“Application Form”) approved by the Bureau.

2. An applicant must be a Maine resident or Maine Resident Corporation must have a place of business in Maine.

3. Must maintain all records in Maine.

4. The Application Form requires:

• The company name

• Officers’ Federal identification tax number

• Principal physical address where records are kept

• Mailing address, telephone number, email address

• The name of one or more persons to be trained as agents.

• After review of the Application Form, the Bureau may request additional information.

• A corporate, partnership or trust applicant is required to seek authorization for one or more employees to serve as a registration agent. In the event a corporate entity names more than one registration agent, one registration agent shall be designated the principal agent. In addition, in order to serve as a registration agent, a corporate entity must have at least one full time employee who has completed training and has been authorized to be an agent.

E. AUTHORIZATION

1. An applicant must receive written authorization from the Bureau prior to serving as a registration agent.

2. Prior to serving as a registration agent, an applicant must complete all of the Bureau’s limited new, new registration, and truck training modules.

3. Authorization may be granted both to a corporate entity, partnership or trust, and to specific employees who have completed training.

4. The authorization shall state the services for which the registration agent is authorized to provide.

F. NON-GOVERNMENTAL REGISTRATION AGENT COMPUTER SYSTEM

A Non-governmental Registration Agent must use one of the Bureau-approved vendor computer systems for processing all motor vehicle-related transactions.

1. Notwithstanding, the Bureau may authorize a Non-governmental Registration Agent to develop and implement a private computer system to process registration transactions. Any system must conform to the Bureau’s specifications with respect to security, validation of credentials, fee calculations, inventory and financial reporting, data transfer, and audit requirements. The Bureau may approve the physical location of any hardware, or any third-party software or data farm or cloud services vendor. The Bureau may require proof of periodic security audits, the cost of which shall be paid by the agent.

2. The Non-governmental Registration Agent is responsible for all costs associated with their computer system, including training.

3. The system must be able to exchange information with Bureau’s computer system using secure file transfer protocol. The Bureau maintains a list of approved vendors, available upon request.

4. A Non-governmental Registration Agent must transmit all data to the Bureau at least once a week.

5. All data must be accurate and complete.

6. The Bureau may establish a file naming convention to clearly identify the submitter and the file date range.

G. DOCUMENTS AND FUNDS

1. All registrations and related documents and all funds must be delivered to the Bureau at least weekly.

2. Documents and fees must correspond to the electronic data submitted and they must meet the application and fee requirements set forth in Motor Vehicle Code , Title 29-A of the Maine Revised Statutes .

3. All documents issued, fees, cash reports, and electronic data submitted must be tallied and balanced correctly and completely.

4. The Bureau will provide notice to a registration agent when transactions are incomplete or incorrect, and may, after notice, refuse to accept transactions until they are completed correctly.

5. All taxes and fees collected on behalf of the State must be submitted by company check, money order, or by a mutually agreed secure funds transfer process.

6. The failure to submit sufficient funds in a timely manner may result in the registration agent’s authority being suspended or revoked.

H. INVENTORY

1. The Bureau may authorize a registration agent to have plate and validation sticker inventory.

2. The Non-governmental registration agent shall be responsible for accounting for all assigned inventory, and shall submit inventory used/on hand reports at least once a week.

3. The reports shall be in the format the Bureau prescribes.

4. The failure to maintain and submit inventory reports and account for assigned inventory may result in the suspension or revocation of the registration agent’s authority.

I. AUDIT

1. The Bureau may conduct an audit of a registration agent’s records, documents and credentials relating to vehicle registrations and inventory.

2. Generally, the Bureau will schedule an audit for a mutually agreed time. However, the Bureau reserves the right to conduct an unannounced audit during normal business hours.

3. The failure to meet auditing standards may result in the suspension or revocation of the registration agent’s authority.

4. Any loss or theft of motor vehicle inventory must immediately be reported to the Bureau.

J. BONDING REQUIREMENT

1. A Non-governmental Registration Agent shall maintain a bond in a form approved by the Bureau and in the amount of $25,000.

2. The bond shall be payable to the State of Maine, Department of Secretary of State, Bureau of Motor Vehicles, and shall be filed with the Bureau within ten (10) days of receipt of authorization to serve as a registration agent.

3. The Bureau may invoke the bond in the event the registration agent is in breach of the terms and conditions of authorization, or refuses or fails to pay registration-related taxes and fees.

4. A Non-governmental Registration Agent shall maintain the bond for the entire period for which authorization to act as a registered agent is in effect. In the event of cancellation, the bond must be replaced with no lapse of coverage.

5. The Bureau must be notified at least 30 days in advance of any cancellation.

6. Failure to maintain the bond may result in the suspension or revocation of authorization.

7. The authorization to serve as a Non-governmental Registration Agent that has suspended for failure to maintain the required bond may be restored when a bond is acquired.

K. DOCUMENT AND CREDENTIAL SECURITY

A Non-governmental Registration Agent shall maintain all Bureau-issued plates, validation decals, and forms in a secure location at a BMV-approved facility located in Maine. The secure location must be the agent’s principal office or approved annex, and may not be shared or co-located with any other business. The location must have an electronic security system. All motor vehicle inventory must be locked in a secure cabinet, closet, or safe when not being used.

Any security breach or loss or theft of motor vehicle materials must be reported to the Bureau as soon as possible.

Any proposed change in office location must be reported to the Bureau prior to moving.

L. SUSPENSION AND REVOCATION

1. A registration agent may be suspended for up to six months for a violation of this rule, or upon conviction of a relevant crime, including theft, forgery, or similar violations.

2. For a second or subsequent violation within five years, the registration agent may be suspended for up to a year or permanently revoked.

3. A registration agent may be required to re-take training prior to restoration.

4. The Bureau may require a corporation, partnership or trust to remove and/or replace an employee serving as a registration agent when the Bureau, in its sole discretion, determines that removal or replacement is in the State’s best interest.

5. Any replacement must be authorized to serve as a registration agent as provided in this rule.

6. Prior to restoration, a registration agent shall pay a restoration fee as specified in 29-A M.R.S. §2486 (1).

M. HEARINGS

1. A registration agent whose authorization has been suspended or revoked, or any applicant who has been denied authorization, may request a hearing. Hearings shall be held pursuant to the Secretary of State’s rules for the conduct of hearings.

History

• STATUTORY AUTHORITY: 29-A M.R.S. §204
• EFFECTIVE DATE: March 31, 2014 – filing 2014-053
• AMENDED: September 28, 2016 – filing 2016-158
• AMENDED: January 9, 2019 – filing 2019-003
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 7, 2026
• APAO ACCESSIBILITY CHECK (Word): April 7, 2026

Chapter 151 Rules Governing Enforcement of the Federal Heavy Vehicle Use Tax

Code Me. R. 29-250 Ch. 151 Rules Governing Enforcement of the Federal Heavy Vehicle Use Tax {#sec-29-250-ch.-151 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 151}

SUMMARY: This rule sets forth the provisions for complying with the Federal Heavy Vehicle Use Tax in the State of Maine. Every state is required to enforce the provisions of the Federal Heavy Vehicle Use Tax as a part of their commercial vehicle registration program. Failure to do so, subjects a state to potential loss of up to 25 percent of their federal highway funds.

Motor vehicles registered for a gross weight of 55,000 pounds or more are subject to Federal Heavy Vehicle Use Tax. Owners of these vehicles are required to file annual Federal Heavy Vehicle Use Tax reports with the Internal Revenue Service. Registrants are then required to submit proof of Federal Heavy Use Tax payment to their state Motor Vehicle Department as a part of the vehicle registration process.

A. DEFINITION

1. Federal Heavy Vehicle Use Tax - An annual excise tax collected by the IRS on vehicles with a taxable gross weight of 55,000 pounds or more. Taxable gross weight generally means the highest weight authorized for general operation (registered gross weight), and does not generally include special travel permits.

B. EVIDENCE OF COMPLIANCE

Any of the following shall be evidence of compliance with Federal Heavy Vehicle Use Tax requirements. Proof must be made for the correct tax year.

1. A copy of Form 2290, schedule A receipted (stamped) by the Internal Revenue Service. For registrants with fewer than 22 vehicles, each vehicle must be shown by VIN. For registrants with 22 or more vehicles, VIN's are not necessary, however, the registrant's name must match the 2290.

2. A copy of a completed, unreceipted Form 2290, plus both sides of the canceled check showing payment to the IRS.

3. Any other proof that the Secretary of the Treasury may authorize.

C. QUALIFIED VEHICLE

Any motor vehicle registered or base-registered pursuant to the International Registration Plan in the State of Maine for a gross weight of 55,000 pounds or more. For the purposes of this rule, a Temporary Increase in Registered Gross Weight is considered a registration subject to Federal Heavy Vehicle Use Tax enforcement.

TAX YEAR

1. The tax year is the current July to June period for which the vehicle registration is issued.

2. Notwithstanding, for vehicles with registrations that expire in the months of July, August, and September previous tax year receipt will be acceptable.

D. ENFORCEMENT

1. Vehicles registered pursuant to the International Registration Plan

Proof of Federal Heavy Vehicle Use Tax compliance is required at the time of registration. Notwithstanding, the Secretary of State may issue a temporary registration for a period not exceeding 45 days in order to allow the registrant time to comply. Permanent registration credentials may not be issued until the registrant satisfies HVUT requirements.

Newly Acquired Vehicles

Notwithstanding the above, a newly acquired vehicle being placed in the IRP may be registered without proof of HVUT payment. Proof must be received by the Commercial Vehicle Division within four months of registration or the Secretary of State will initiate suspension proceedings.

2. Motor Vehicles not registered pursuant to the International Registration Plan

The Secretary of State may issue any registration for a qualified vehicle not registered in the IRP without evidence of HVUT compliance. Evidence of compliance must be received no later than four months from the month of issuance of the registration. The Secretary of State shall suspend the registration certificate, and registration plates for which evidence of HVUT compliance has not been received within four months.

E. SUSPENSION: RESTORATION; HEARINGS

Any registration suspended pursuant to this rule shall be subject to a reinstatement fee as prescribed in 29-A M.R.S.A. §2486(1). A registrant may request a hearing pursuant to 5 M.R.S.A. §§ 9051 to 9064 and Chapter 2, Rules for Hearings of the Secretary of State . The hearing shall be limited to only the issues of whether or not the registrant is the person liable for the Federal Heavy Vehicle Use Tax, whether the vehicle identified is subject to the tax, and whether the registrant has provided the proof of payment required.

F. MUNICIPAL FISCAL IMPACT

This will have no fiscal impact on municipalities.

EFFECTIVE DATE:

December 21, 1986

AMENDED:

August 9, 1994

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

NON-SUBSTANTIVE CORRECTIONS:

December 19, 2000 - converted to MS Word, formatting

AMENDED:

March 31, 2014 – filing 2014-054

CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD:

April 7, 2026

APAO ACCESSIBILITY CHECK (Word):

April 7, 2026

Chapter 153 Rules Governing the Operation of Motor Intrastate Carriers of Passengers for Hire

Code Me. R. 29-250 Ch. 153 The Operation of Motor Intrastate Carriers of Passengers for-Hire {#sec-29-250-ch.-153 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 153}

SUMMARY: This rule establishes requirements for the operation of motor carriers of passengers for-hire as provided in Title 29-A section 552.

1. DEFINITIONS

In the regulation of motor carriers transporting property for-hire in the State of Maine over the public highways, the following words, terms and phrases shall have the meaning herein defined, unless the term so used is immediately followed by a different definition.

A. The term "Secretary" means the Maine Secretary of State.

B. The term "Bureau" means the Bureau of Motor Vehicles.

C. The term "person" means any individual, firm, co-partnership, corporation, association or company, or lessees, trustees or receivers thereof, operating or causing the operation of motor vehicles over the public highways in the business of transporting passengers for hire.

D. The term "intrastate carrier" means any person engaged in the business of transporting passengers for hire by motor vehicles over the public highways in the business of transporting passengers for hire.

E. The term "interstate carrier" means any person transporting passengers for-hire that originates or terminates in this State from or to another State or Country by motor vehicles upon any public highway.

F. The term "application" means original application, renewal application and transfer application filed by any person for an intrastate permit under the provisions of the statute.

G. The term "Equipment Identification List" means the form prescribed and furnished by the Secretary requiring a complete description of each motor vehicle. The description shall include make, serial numbers, unit numbers (if any), name of the owner and the state in which the vehicle is registered. Copies of the Registration Certificate may be substituted for an actual equipment list for those carriers not covered by a blanket insurance policy.

H. The term "docket number" means the serial number of the bus docket assigned by the Secretary to any application received.

I. The term "insurance certificate" means the certification by insurance companies, surety companies or individual sureties to coverage under the provisions of the law on forms approved by the Secretary.

J. "Primary insurance policy" means a policy of liability insurance providing the first dollars of coverage where multiple policies are used to meet the minimum insurance limits.

K. "Excess insurance policy" means a policy of liability that is used to meet the minimum insurance limits and provides coverage for liability in excess of a primary insurance policy or an underlying insurance policy.

L. The term "permit" means the permit under the seal of the Secretary of State issued to intrastate carriers under the provisions of Title 29-A Section 552.

M. The term "public highway" means all public ways, roads, highways including the Maine Turnpike, streets, avenues, alleys, boulevards, parks, squares, ferries, and bridges and approaches thereto within the State.

N. "Motor Vehicle" means any self-propelled vehicle not operated exclusively on tracks, including motorcycles. "Vehicle" shall include all kinds of conveyances on ways for person or property, including special equipment, except those propelled or drawn by muscular power or used exclusively on tracks.

O. "Bus" means a motor vehicle of any description having a passenger seating capacity, inclusive of driver, of more than 15 passengers.

P. "Limousine/van" means a motor vehicle for hire, with a driver, that is used for the transportation of passengers and that has a seating capacity of at least 5 and no more than 14 persons behind the driver.

Q. "Taxicab" means a sedan, station wagon or minivan used for hire, with a driver, that has a seating capacity of less than 5 persons behind the driver.

R. "Operator" means any person who drives any motor vehicle.

S. The term "authorized representative" in the context of insurance filings, shall mean any person who has on file with the Secretary a signature card displaying: their name, their business address, their business telephone number, their signature, the name of their company and the effective date.

2. COMMUNICATIONS

A. All written communications and documents should be addressed to the Bureau of Motor Vehicles, Motor Carrier Services, Operating Authority Unit, 29 State House Station Augusta, Maine 04333-0029. All communications and documents are deemed to be officially received only when delivered at the Bureau in Augusta, Maine.

B. Every permit holder in addressing communications to the Bureau must use the name shown upon the holder's permit and indicate the Bureau's docket number.

C. Telephone Number is: (207) 624-9000 ext. 52127

D. Fax number is: (207) 622-5332

E. Web site address: http://www.state.me.us/sos/bmv/

3. ADDRESS, CHANGE OF

A change in the address of the principal place of business of any carrier must be reported within 10 days to the Bureau.

4. REMITTANCE

A. Remittance to the Bureau may be by money order or bank draft, payable to the Secretary of State or the Treasurer of the State of Maine. Personal checks will be accepted subject to collection.

B. Remittances in currency or coin are wholly at the risk of the remitter. The Bureau assumes no responsibility for loss currency or coin sent by mail.

C. All remittances must be paid in the United States Currency.

5. APPLICATIONS

A. Original applications. Applications for intrastate carrier permits shall be made upon forms respectively prescribed and furnished by the Secretary.

B. Renewal applications. Renewals of intrastate carrier permits shall be made upon forms respectively prescribed and furnished by the Secretary along with a $15.00 permit renewal fee. Provided the application therefore is made to the Secretary of State before February 1st of the year following the year of issue of such permit, or the last renewal of any such permit. Renewal applications received after the above date require an application fee of $25.00.

C. Applicability. Interstate carriers which participate in the Single State Registration System (SSRS) and operate in intrastate service are required to comply with the provisions of this Section but are exempted from the per vehicle fees.

Rental and emergency vehicle operations are subject to the provisions of Section 8 (insurance).

Those carriers as described in Title 29-A Section 556 sub-section 6 a and b, are subject to the provisions of Section 8 (insurance) and 10 (Transfer and substitution of motor vehicles) in this section.

6. FEES

The following fees provided by Title 29-A Section 552 must be paid in accordance with the provisions thereof:

A. Original Application $25.00

B. Transfer Application $10.00

C. Annual Permit Renewal $15.00

7. VEHICLE IDENTIFICATION DEVICES

A. The permit number issued by the Secretary of State shall be legibly painted preceded by the letter "J" on both sides of each vehicle and displayed in letters and figures in sharp color contrast to the background and be of such size, shape and color as to be readily legible, during daylight hours, from a distance of 50 feet while the vehicle is not in motion, and such display shall be kept and maintained in such a manner as to remain so legible. Nine passenger or less automobiles, as well as vehicles displaying an ICC (FMCSA Federal Motor Carrier Safety Administration) M.C. or DOT number, are exempted from this Section.

B. The Secretary may at any time suspend or revoke the authority issued to any for-hire motor carrier, as heretofore provided for lack of insurance, failure to appear in court, or failure to meet fuel tax requirements.

8. INSURANCE

A. No permit and/or registration will be issued by the Secretary of State until evidence of appropriate insurance has been provided for each motor vehicle to be operated. For intrastate carriers an insurance policy, or policies, or a surety bond shall be written only by an accepted company on forms approved by the Superintendent of Insurance. Evidence of appropriate insurance be filed with the Secretary of State on the State of Maine Form JB revised. The form shall be in duplicate, and signed by an authorized representative of the company certifying that coverage exists in no less amounts than as provided for in Title 29-A Section 1611. Insurance may be filed electronically in place of paper filings.

In filing evidence of insurance with the Secretary, the insuring company agrees to pay any final judgment recovered against the Insured for bodily injury to or death of any person or loss of, or damage to property of others (excluding injury to or death of the Insured's employees while in the course of their employment and loss of or damage or property of the Insured and property transported by the Insured designated as cargo), resulting from the negligent or willful operation, maintenance or use of motor vehicles (including any motor vehicles substituted for or added to those scheduled) under a permit issued to the Insured by the Secretary, or otherwise, within the limits required herein, regardless of whether such motor vehicles are specifically listed in the policy or bond.

It is understood and agreed that upon failure of the Company to pay a final judgment recovered against the Insured, the judgment creditor may maintain an action in court of competent jurisdiction against the Company to compel such payment.

The bankruptcy or insolvency of the Insured shall not relieve the Company of any of its obligations under the policy. Nothing contained in the policy or bond or any endorsement thereon shall relieve the Company from liability or from payment of any such final judgment. The liability of the Company extends to losses, damages, injuries or deaths whether occurring on the route or in the territory authorized to be served by the Insured or elsewhere.

Any cancellation of a policy of bond on file with the Secretary of State shall not take effect until after thirty (30) day notice. This notice shall be completed in writing by the insuring or bonding company on the Uniform Notice of Cancellation of Motor Carrier Insurance Policies (Form K). The thirty (30) day notice shall commence from the date the notice is received by the Secretary of State at Commercial Vehicles Division.

In the event that the carrier has obtained a policy or bond from another insurance company, and such insurance or other security becomes effective prior to the effective date of said 30 days, cancellation shall be effective as of the effective date of such other insurance or receipt of security.

B. In the case of equipment leased to the holder of a permit, insurance coverage must be provided for both the lessor and the lessee, filed with and approved by the Secretary prior to issuance of operating authority.

Where two or more policies affording valid and collectible liability insurance apply to the same motor vehicle, or where the lessor under a trip lease agreement has agreed to hold the lessee harmless from liability, or in all other cases where liability has been assumed by oral or written agreement and insurance policy provisions would exclude such assumption of liability, in an occurrence out of which a liability loss shall arise, the insurance afforded by that policy in which such motor vehicle is described or rated as an owned motor vehicle shall be primary and the insurance afforded by any other policy or policies shall be excess.

C. It shall be the duty of all such persons to arrange for continuity of coverage as provided in the foregoing. In the event of expiration or cancellation of coverage, such persons must arrange prior to the date of such expiration or cancellation, for renewed coverage effective as of the date of said expiration or cancellation and to see that the aforesaid evidence of such coverage is at all times on file at the offices of the Secretary.

In the event of failure on the part of any person to have evidence of appropriate insurance coverage for any motor vehicle or vehicles on file with the Secretary, the permit shall become void and of no effect as of the date of expiration or cancellation of coverage. The person shall immediately surrender such permit, vehicle registration certificate, [license] plate, and stickers to any representative of the Secretary of State holding a pick-up order from the Secretary of State demanding the return thereof or upon receipt of such pick-up order by certified mail.

9. AGENT FOR SERVICE OF PROCESS

The designation of agent under , Title 29-A Section 559 shall be on a form approved by the Secretary of State.

10. TRANSFER OR SUBSTITUTION OF MOTOR VEHICLES

A. In the event of the replacement of an authorized motor vehicle by a new unit of equipment, carriers must first file with the Secretary an Equipment Identification List describing the new motor vehicle to be placed in service, and must apply the permit number to the motor vehicle as set forth in Rule 7A.

B. In the event of accident or breakdown necessitating the discontinuance of operation of an authorized motor vehicle, the operator may immediately procure emergency equipment so that the passengers being, or to be, transported by the disabled vehicle may be carried to its destination with the least possible delay. The facts in connection with the use of emergency equipment shall be reported immediately in writing to the Secretary describing such motor vehicle, and providing evidence of insurance or bond coverage as set forth in Rule 8. Use of emergency equipment as herein described is valid for one trip only.

EFFECTIVE DATE:

December 16, 1989

AMENDED:

December 7, 1993

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

AMENDED:

July 4, 2000

NON-SUBSTANTIVE CORRECTIONS:

December 19, 2000 - converted to MS Word, formatting

APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025

APAO ACCESSIBILITY CHECK (Word):

April 7, 2026

Chapter 155 Permits for Non-Divisible, Oversized, and Overweight Combination Vehicles Engaged in Interstate Commerce

Code Me. R. 29-250 Ch. 155 Rules Governing Permits for Non-Divisible, Oversize and Overweight Combination Vehicles Engaged in Interstate Commerce {#sec-29-250-ch.-155 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 155}

SUMMARY: The purpose of this rule is to set forth the procedures used by the Department of Secretary of State for receiving applications and granting permits for the movement of oversize and/or overweight combination vehicles engaged in interstate travel on highways and bridges under the jurisdiction of the Department of Transportation pursuant to the Interstate Compact adopted by the New England Transportation Consortium.

SECTION 1. DEFINITIONS

AGREEMENT: means the common safety regulations and procedures, adopted by the New England Transportation Consortium, to regulate the issuance of permits for the movement of certain non-divisible overweight and/or oversize loads on state administered highways.

AGREEMENT STATES: means the collective group of states participating in the New England Transportation Consortium.

AASHTO: means the American Association of State Highway and Transportation Officials, a nonprofit association representing highway and transportation departments in the 50 states, the District of Columbia, and Puerto Rico. AASHTO's primary goal is to foster the development, operation, and maintenance of an integrated national transportation system.

COMBINATION VEHICLE: means a truck or truck tractor used in combination with a trailer or semitrailer.

DAYLIGHT TRAVEL: means travel one-half hour before sunrise to one-half hour after sunset.

DESTINATION: means the point where the overlimit load will be required by the applicable overlimit permit to cease movement upon open sections of the public highways within the context of the vehicle's current single move.

ENVELOPE VEHICLE: means for purposes of this rule, any non-divisible oversize/overweight combination vehicle of three or more axles which does not exceed the maximum limits set forth in Section 3 of this rule.

INTERSTATE COMPACT: for purposes of this rule, means the same as AGREEMENT.

MOTOR VEHICLE: means a self-propelled vehicle not operated exclusively on tracks or rail.

MULTI-STATE PERMITS: means those overlimit permits that specify an origin and/or destination located outside the State of Maine. See New England Transportation Consortium (NETC).

NEW ENGLAND TRANSPORTATION CONSORTIUM (NETC): means an agreement among the states of Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont to issue multi-state overlimit permits for vehicles and loads meeting certain conditions and traveling on a designated highway network. The issuing state issues a single permit on behalf of all affected states.

NON-DIVISIBLE LOAD: means a load which, if separated into smaller loads or vehicles, would :

1. make it unable to perform the function for which it was intended, or
2. destroy its value, or
3. require more than eight work hours to dismantle using appropriate equipment.

Sealed oceangoing containers, spent nuclear materials in casks, and government-controlled military vehicles and their loads will be considered non-divisible.

ORIGIN: means the point where the overlimit load will be allowed by the applicable overlimit permit to begin movement upon open sections of the public highways within the context of the vehicle's current single move, and along those routes specified by the applicable overlimit permit.

OVER HEIGHT/OVERHEIGHT: means height that exceeds the legal limit as established by each NETC state.

OVER LENGTH/OVERLENGTH: means length that exceeds the legal limit as established by each NETC state.

OVERLIMIT: means height, length, weight, or width that exceeds the legal limit as established by each NETC state.

OVERSIZE: means height, length, or width that exceeds the legal limit as established by each NETC state.

OVER WIDTH/OVERWIDTH: means width that exceeds the legal limit as established by each NETC state.

OVERWEIGHT: means weight that exceeds the legal limit as established by each NETC state.

PERMIT/OVERLIMIT PERMIT: means a document approved by the Overlimit Permit Unit allowing the legal transport of overlimit loads and/or vehicles upon public highways within a certain time frame, and under certain conditions.

PERMITTEE: means the entity to whom a permit has been granted in accordance with this rule.

TRUCK: means a motor vehicle designed and used primarily to carry property. A truck may be used to tow trailers or semitrailers.

TRUCK TRACTOR: means a motor vehicle designed and used exclusively to draw other vehicles and not constructed to carry a load other than a part of the weight of the vehicle and the load drawn.

VEHICLE: means a device for conveyance of persons or property on a way, excluding devices moved by human power or used exclusively upon rails or tracks.

SECTION 2. SYNOPSIS

Five New England states (Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont) formed the New England Transportation Consortium (NETC) to pool regional resources in the development of substantially improved methods for dealing with common, high-priority transportation problems. The NETC developed a common set of safety standards and procedures to address the need for more uniform and equitable guidelines for issuing permits for the interstate movement of non-divisible overweight/oversize loads in the five consortium states. The purpose of this rule is to implement the common procedures set out in the Interstate Compact of the New England Transportation Consortium that will be used to issue permits for certain non-divisible overweight/oversize vehicles and loads.

This initial agreement has been developed by five New England States, as noted above. However, its provisions have been established in a way that allows for other states, both inside and outside New England, and Canadian Provinces to become signatories to the agreement as well.

SECTION 3. ENVELOPE VEHICLE CONFIGURATIONS FOR NON-DIVISIBLE OVERSIZE AND/OR OVERWEIGHT PERMIT TRIPS

The maximum size limits for an envelope vehicle are:

1. Length: 90 feet
2. Height: 13 feet 6 inches
3. Width: 14 feet, with the following exception: 1. for modular and mobile homes an additional six inches of overhang for eave(s) only will be allowed providing the greater overhang is on the right-hand shoulder of the highway (see the following diagram).

The maximum gross weight limits for an envelope vehicle are:

1. Vehicles with five axles: 108,000 lbs.
2. Vehicles with six or more axles: 120,000 lbs.

The minimum axle spacings for an envelope vehicle are diagramed below:

NOTE: VEHICLES WITH THE TANDEM AND TRIDEM AXLES INTERCHANGED ARE ACCEPTABLE UNDER THE SAME AXLE SPACING AND WEIGHT GUIDELINES.

The maximum axle weights for an envelope vehicle are:

1. Single Axle: 25,000 lbs. except for a steering axle
2. Steering Axle: 12,000 lbs. maximum; 6,000 lbs. minimum
3. Tandem Axle: 25,000 lbs. per axle
4. Tridem Axle: 20,000 lbs. per axle

Other Restrictions

1. Retractable axles shall not be counted as axles nor shall they be considered capable of carrying any load.
2. The maximum weight on tires shall not exceed 600 pounds per inch of nominal tire width.

SECTION 4. ISSUING STATE CONCEPT

Under the Agreement the Issuing State (as described below) is granted the authority to issue multi-state permits which allow envelope vehicles to travel on specified, designated routes (see Section 6) within the Agreement region. Carriers operating vehicles exceeding any limitation of the envelope vehicle must obtain a separate permit for each state in which travel will occur, in accordance with the requirements of the issuing state.

For One Way Trips

1. For specific permit types that include the envelope vehicle, one state, the Issuing State, will issue the permit and collect fees for all states through which a specific envelope vehicle will travel. The following chart and the accompanying explanation illustrate how the concept works.

The Issuing State Concept

Trip Origin

Trip Destination

Issuing State

Case 1

Within Agreement States

Within Agreement States

Destination State

Case 2

Within Agreement States

Outside Agreement States

Origin State

Case 3

Outside Agreement States

Inside Agreement States

Destination State

Case 4

Outside Agreement States

Outside Agreement States

Entry State

Case 1: for trips where the origin and destination are both within the Agreement States, the state of destination will issue the permit.

Case 2: for trips where the origin is in the Agreement States and the destination outside, the state of origin will issue the permit.

Case 3: for trips where the origin is outside the Agreement States and the destination is inside, the state of destination will issue the permit.

Case 4: for trips where both the origin and destination are outside the Agreement States, the entry state will issue the permit.

Special Return Trips

Although multi-state permits are for single trips only, it may be advantageous to the trucking industry and the state permit offices to issue a special return trip permit in one transaction for certain situations.

SECTION 5. REGIONAL HIGHWAY NETWORK

The Agreement States have developed a regional state highway network as the designated state administered routes over which the envelope vehicles are permitted to travel in accordance with this Agreement. When the issuing State issues a multi-state permit, the permit will designate the route(s) within each state over which that specific envelope vehicle and/or load may travel. No other routes may be used in order to make the trip for which a multi-state permit has been issued.

A Regional Highway Network Map showing the designated system is available from the Overlimit Permit Unit.

Each time a temporary restriction must be put into effect, and when the restriction is ready for removal from the map, the individual state will notify the other Agreement States as quickly as possible of that event.

When the Issuing State issues a multi-state permit for an envelope vehicle, there is no need to obtain permission from another state or states when all the conditions of the Agreement are being met and the designated Regional Highway Network is being used.

If a truck operator must gain access to or from a point which is not located on the approved network, the Issuing State may either contact the appropriate State for special instructions to gain that access when issuing the permit or require the carrier to obtain a separate permit from the State in which travel will occur.

SECTION 6. DESIGNATED ROUTES

Each state will designate those routes over which the envelope vehicles may be routed by other participating states (i.e., the green regional routes).

Each state is responsible for amending routes as required by construction, etc., and notifying all other participating states of detours or alternate routes no later than 10 working days prior to the changes taking effect, unless an emergency situation occurs which would not allow for that action.

The state issuing permits for travel will authorize travel only on those routes designated by the participating states. When issuing a permit where the origin state and destination state are both parties to the Agreement, the permit issuing state will coordinate local origin routing with the permit office of the origin state. Coordination is not required for local origin routing in cases where the permit is issued to a major generator of permit loads and the local origin routing has been previously approved for envelope size loads.

The multi-state permit contains a space on which the acceptable routes of travel will be clearly designated for a specific envelope vehicle. No deviation from the designated route is allowed unless an approved alternative route is required as determined by a particular state. When a particular load must use highways under local jurisdiction (off the State Highway System), the carrier operating the vehicle must obtain the local permits required. Section 7 below, provides more details.

SECTION 7. PERMIT REQUIREMENTS FOR ROUTES ENCOMPASSING TURNPIKES AND STREETS OR HIGHWAYS UNDER LOCAL JURISDICTIONS

The procedures described in this document apply to highways under the jurisdiction of the state agencies that are parties to the Agreement. Thus, if a particular trip covered under this multi-state Agreement requires a permitted envelope vehicle to use a turnpike (in Maine, Massachusetts, or New Hampshire) or streets or highways under the jurisdiction of a town, city, or county, the carrier operating the vehicle must obtain those additional necessary permits as the current practice requires.

However, in the case of the Maine and Massachusetts turnpikes, as shown in dotted blue on the Regional Highway Network Map, some important changes have occurred which will further simplify the overall procedures:

1. Maine: In order to travel over the Maine Turnpike, the carrier operating such vehicles must have in their possession a permit issued by the Issuing State. A $10 permit fee will be collected at the entering toll plaza on the Turnpike and the applicable fare in accordance with the regular fare schedule will be collected at the exiting toll plaza.
2. Massachusetts: There is no longer a need to apply for a permit 30 days in advance. The permit will be issued at the toll gate at the time of entry

SECTION 8. COMMON PERMIT FORM

A single permit will be issued by the Issuing State for travel in all the Agreement states required by the envelope vehicle.

A permit issued under the Agreement will be valid for five working days for use by the permitted envelope vehicle.

Based on the experience of the states and an analysis of limited data, it was concluded there is a relatively low frequency of current requests for substituting hauling components after a permit has been issued. Therefore, handwritten substitutions for the truck tractor and/or trailer will be allowed only for such extraordinary circumstances that may be required by mutual agreement upon communication by telephone with the Issuing State permit office. The names of both parties will be exchanged as well as the reason provided for the requested change, and each party will note this modification on their respective copies of the permit. Those extraordinary circumstances will almost always be caused by a mechanical failure.

Similarly, it is not anticipated that there will be a need for extending the time period beyond five working days. However, extensions for very short periods will be granted for extenuating circumstances, normally not exceeding one day or for a specific day, by mutual agreement via telephone and handwritten modifications. The names of both parties will be exchanged as well as the reason provided for the requested change, and each party will note this modification on their respective copies of the permit.

The Common Permit Form will be used only to issue permits in accordance with the Agreement. Individual state permits must be obtained for any required permit travel not covered by this Agreement.

The permit must be carried by the operator of the vehicle at all times and must be available for inspection in each Agreement State.

SECTION 9. FEE COLLECTION AND DISTRIBUTION

Each state will provide a current fee schedule to each of the other Agreement States.

Each state will continue to establish its own fee system, and nothing in this Agreement will affect those individual state actions.

When the Issuing State issues a multi-state permit, the permittee will pay to the Issuing State the total of the fees for each state through which the envelope vehicle will travel.

Periodically, as established in administrative procedures, each of the Agreement States will distribute the fees collected in their states (when they acted as the Issuing State) to each of the other states.

SECTION 10. THE PROCEDURES IN BRIEF

When all of the procedures required to implement this program are in place, the following briefly describes how they will operate.

1. The trucking industry, permit service companies and all interested parties will be given a copy of the Regional Highway Network Map and a summary of the requirements for operating envelope vehicles under this Agreement. Each vehicle operator using these procedures must carry a copy of the map on board the permitted vehicle or be totally familiar with the routes that are assigned and the specific conditions that apply to the move which are listed on the reverse side of the map.
2. An applicant requiring a multi-state permit for all non-divisible overweight or oversize vehicles that falls within the limits of this Agreement will contact the Issuing State and request a permit for a specific trip (with a specific origin and destination) and for a specific envelope vehicle.
3. If the vehicle and the highway route required to make the trip fall entirely within the limits of this Agreement, the Issuing State will: 1. issue the multi-state permit using the common permit form; and 2. collect the fees that are the sum of all the individual fees of each state through which the envelope vehicle will travel; and 3. designate the specific routes that can be used by a specific envelope vehicle.
4. If one (or more) of the requirements of this common procedure are not met for one or more states, then the Issuing State will require the carrier to obtain individual state permits in those states where the requirements cannot be met.
5. After receiving the multi-state permit, the carrier must then comply with all the safety requirements described in Section 11 of this Agreement.
6. Each state will be responsible for the enforcement of the non-divisible oversize and overweight laws within its own boundaries. The multi-state permit will be valid in each state for which it has been issued. However, if the requirements of the permit have been violated in a particular state, the individual requirements of that state will be enforced. Any fines collected within that state will continue to be retained in that state and no reimbursement will be made to any other state (including the Issuing State).

SECTION 11. COMMON SAFETY REGULATIONS

This section establishes a single set of safety requirements for envelope vehicles engaged in interstate travel within the Agreement States' area. They are basically the same as those recommended by AASHTO. The purpose of establishing these common procedures is to provide for ease in operation for the trucking industry and enforcement by the states.

Notwithstanding the additional safety requirements of this section, the Federal Motor Carrier Safety Regulations will apply to all vehicles permitted under this Rule.

Flags

1. All warning flags will be either red or orange fluorescent and at least 18 inches square. Flags will be clean enough to distinguish the color of the flag from a reasonable distance.
2. All warning flags will be secured by at least one corner or mounted on a staff.
3. There are two circumstances requiring the use of flags. 1. Overwidth loads must display at least two and up to six flags, depending upon the load configuration, mounted at the widest extremity of the load. 2. Overlength loads or loads with rear-end overhang in excess of four feet will display one flag at the end of the overhang if less than two feet wide, and two flags if the overhang is over two feet wide.

Signs for Oversize Loads

The sign shall read: “OVERSIZE LOAD”.

Sign Requirements

1. For Load Vehicles 1. Size: not less than 7 feet long and 18 inches high; 2. Color: black letters on a yellow background; 3. Lettering: not less than 10 inches high with approximately a 1.4 inch brush stroke; 4. Location: front of vehicle and rear of load.
2. For Pilot Vehicles 1. Size: not less than 5 feet long and 10 inches high; 2. Color: black letters on a yellow background; 3. Lettering: not less than 10 inches high with approximately a 1.4 inch brush stroke; 4. Location: front or rear of pilot vehicle as appropriate.

Upon delivery of the oversize load, all signs on the load vehicle(s) and pilot vehicle(s) shall be removed or covered, so that they are no longer visible.

Lights

For Load Vehicles

1. No special lighting is required on load vehicles, except in Maine where flashing yellow lights shall be in operation above the highest forward point of the vehicle and visible from the front and rear.
2. Headlights must be on low beam at all times unless weight is the only overlimit condition of the permit.

For Pilot Vehicles

Flashing yellow lights shall be in operation above the highest point of the vehicle and visible from the front and rear.

Pilot vehicles must travel with low beam headlights on at all times.

Pilot Vehicles

Pilot vehicles are required to accompany permitted vehicles under the guidelines in this paragraph.

Pilot vehicles are required to be the size of a compact size car or larger.

The drivers of pilot vehicles must maintain visual contact and mobile communication with the permitted vehicle at all times.

When one pilot vehicle is required, it shall precede a load on undivided highways and follow the load on divided highways.

The following is a description of pilot vehicle requirements which will be generally the same on both four-or-more lane divided highways and on two-lane roads on the designated system:

1. Overwidth 1. No pilot vehicle is required for an overall width less than 12 feet. One pilot vehicle is required for an overall width of 12 feet or more.
2. Overlength 1. No pilot vehicle is required for an overall length of less than 80 feet. One pilot vehicle is required for an overall length of 80 feet or more.
3. Overhang 1. No pilot vehicle is required if overhang is less than 15 feet with proper flags displayed. One pilot vehicle is required if the overhang is 15 feet or more.

There may be some special circumstances where a second pilot vehicle will be required for safety reasons, but such occurrences are anticipated to be infrequent. As an example, on a two-lane, undivided highway, two pilot vehicles will be required when the overhang is 15 feet or more to the rear and the width is 12 feet or more.

Spacing Between Permitted Vehicles

There shall be a minimum spacing of 1,000 feet between any oversize permitted vehicles traveling in the same direction.

Speed

Permitted vehicles must travel at a safe speed and obey any special speed restrictions for permitted vehicles established by the state in which they are traveling. (See Section 12 for Special Conditions.)

Days of Travel

Permitted travel is authorized during approved hours on Monday through Friday. No permitted travel on Saturday or Sunday is authorized under the Agreement. (Weekend travel in states which allow it must be coordinated individually between the carrier and that respective state.) Permitted travel is not allowed on specified holidays.

A list of individual state holiday periods on which permitted travel is restricted will be published annually by each state and will be sent to all state permit issuing offices well in advance of January 1 of the year in which the holidays occur. (See Section 12 for Special Conditions.)

Hours of Travel

Permitted vehicles may travel on designated routes from one-half hour before sunrise to one-half hour after sunset. No night-time travel is authorized except for envelope vehicles which are overweight only, capable of traveling with the traffic flow, and not restricted to daylight travel. (See Section 12 for Special Conditions.)

Inclement Weather

No travel is allowed when road conditions, weather conditions, or visibility make traveling hazardous to the operator or to the driving public. Vehicles which are underway when inclement weather occurs must exit the road at the first available location and park in a safe place until the weather clears or until the road conditions improve.

Use of Travel Lanes

When two or more lanes are available in one direction, vehicles in excess of 12 feet wide shall travel in the right lane, except in an emergency or to comply with any other restriction established by the state in which they are traveling.

SECTION 12. SPECIAL CONDITIONS

The following special conditions apply to the procedures described above.

1. Holiday Restrictions 1. Each of the Agreement States share certain holiday dates, but there are some differences. Prior to January 1 of each year, each state will make available a list of observed holidays. That information will include those dates on which no travel is permitted, and certain Holidays on which the State Permit Offices are closed.
2. Hours of Travel 1. The exceptions to the hours of travel described in Section 11 are as follows: 1. Maine 1. Movement of loads exceeding the legal limits will not be permitted on weekends during the months of July and August only. (Note: Saturday or Sunday travel is not permitted under these Common Permit Procedures, but may be permitted by individual state permit procedures.) 2. Massachusetts 1. On that portion of Route 1-93 between Route I-95 in Canton and the intersection of Routes I-93 and State Route 3 in Quincy, travel daylight hours only except between 7:00 a.m. to 9:00 a.m. and after 3:30 p.m. 2. On that portion of Route I-95 between Canton and the intersection of State Route 1 in Peabody, travel daylight hours only except between 7:00 a.m. to 9:00 a.m. and after 3:30 p.m. 3. An NETC permit does not authorize travel on Route I-93 north of Exit 15 in the City of Boston and only authorizes travel south of Exit 15 on Route I-93 (Southeast Expressway) during daylight hours only except between 7:00 a.m. to 9:00 a.m. and after 3:30 p.m. 4. In the area within State Route 128 (shown as shaded on the Regional Highway Network Map), there will be no travel with loads in excess of 12 feet wide between 7:00 a.m. and 9:00 a.m. and after 3:30 p.m. 3. New Hampshire 1. Permitted moves will not be made if vision is obscured by fog or inclement weather, or when pavement is unsafe for travel due to slippery winter conditions. 4. Rhode Island 1. For mobile or modular homes over 12 feet wide, for construction equipment over 13 feet wide, and for cranes the allowable time periods will be between sunrise and 7:00 a.m., and between 9:00 a.m. and 3:30 p.m. on all of I-195 and I-95 from the MA/RI State Line to Route 37. 5. Vermont 1. Permits will not be issued for movements in excess of 108,000 lbs., or over 10 feet 6 inches wide, or over 100 feet long on Saturdays, Sundays, and Friday afternoons between July 1st and Labor Day or legal holidays. (Note: Saturday or Sunday travel is not permitted under these Common Permit Procedures, but may be permitted by individual state permit procedures.)
3. Detours 1. A major operational detail is the need for each state to notify all other Agreement States of construction or other detours well in advance. Emergency detours will also be made known to all Agreement States as quickly as possible. This is necessary in order to indicate allowable routings on the common permit form. 2. All construction detours will be well signed in advance of the detour site and the routing off the major route (i.e., usually an Interstate or Primary) will also be clearly marked.
4. Vermont Fuel and Insurance Requirements 1. Vermont statutes and regulations require that each registered truck using Vermont highways must display a Vermont fuel decal or plate; the vehicle must have on file an insurance certificate number for oversize and/or overweight vehicles only. 2. The Issuing State may include those numbers on the Common Permit Form. 3. It is the responsibility of the permit applicant to provide the numbers for that purpose.

Registered Vehicle Weight For Massachusetts Registered Vehicles Only

In some instances, the registered vehicle weight for a truck that will have an oversize or overweight load is less than the weight of the load being carried. Therefore, the permit applicant must be certain that the necessary approvals are obtained in advance of the trip.

In consideration of the fee paid, the registered weight of the permitted vehicle is deemed to be increased to the weight and conditions shown on the Common Permit Form except in Massachusetts. For permitted vehicles traveling in Massachusetts, the Massachusetts registered vehicle must be registered for its total gross weight.

SECTION 13. INFORMATION REQUESTS

For further information on any of the items contained in this regulation, please contact the following offices:

1. Maine Overlimit Permit Unit - (207) 624-9000 ext. 52134
2. Massachusetts Department of Transportation - (508) 473-4755
3. New Hampshire Department of Transportation - (603) 271-2693
4. Rhode Island Division of Motor Vehicles - (401) 462-5745
5. Vermont Commercial Vehicle Operations Unit - (802) 828-2064

EFFECTIVE DATE:

December 16, 1989

AMENDED:

August 3, 1992

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

NON-SUBSTANTIVE CORRECTIONS:

December 19, 2000 - converted to MS Word, inserted graphics, spelling, formatting

REPEAL AND REPLACE:

November 3, 2008 – filing 2008-522

AMENDED:

July 11, 2010 – filing 2010-280

CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD:

April 7, 2026

APAO ACCESSIBILITY CHECK (Word):

April 7, 2026

Chapter 156 Fee Structure for Over Dimensional and Overweight Loads, along with State Police Escort Fee

Code Me. R. 29-250 Ch. 156 Fee Structure for Over Dimensional and Overweight Loads, Along with State Police Escort Fee {#sec-29-250-ch.-156 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 156}

SUMMARY: This rule establishes permit fees for overdimensional and overweight non-divisible loads as provided in Title 29-A M.R.S.A. §2382.

SECTION 1. DEFINITIONS

COMBINATION OF VEHICLES (VEHICLE COMBINATION): means a truck or truck tractor used in combination with a trailer(s) and/or semitrailer(s).

GENERAL LAW HIGHWAYS: means all non-Interstate highways in Maine and Interstate 95 from the New Hampshire State line to Exit 113 (Augusta Cushnoc Bridge) which includes the Maine Turnpike.

INSTANT OVERLIMIT PERMIT: means a serialized document approved by the Overlimit Permit Unit via telephone that authorizes a single trip to legally transport an overlimit vehicle, or vehicle combination, and/or load upon public highways within seven days, along certain approved routes, and from a single origin to a single destination within the state of Maine. Instant permits typically are for a single move, but may be issued for one round trip.

INTERSTATE SYSTEM: means the Interstate Highway System as defined in the United States Highway Act of 1956, with the exception that it does not include the portions of the Interstate System subject to Maine’s General Law gross weight limits (See GENERAL LAW HIGHWAYS).

LEGAL (as in LEGAL HEIGHT, LEGAL WIDTH, or LEGAL LENGTH): means a dimension or weight that does not require an overlimit permit.

LOAD: means any object(s) that may be carried by a vehicle or combination of vehicles.

LONG TERM (MONTHLY) PERMIT: means a document that allows a single vehicle to move for up to 12 consecutive months when that vehicle, in combination with its load exceeds normal legal limits, but also meets certain other conditions.

OVER HEIGHT: means height that exceeds the legal limit as established in Title 29-A M.R.S.A. §2380.

OVER LENGTH: means length that exceeds the legal limit as established in Title 29-A M.R.S.A. §2390.

OVERLIMIT: means height, length, width, or weight that exceeds the legal limit.

OVERLIMIT PERMIT UNIT: means the unit within the Bureau of Motor Vehicles, Office of Motor Carrier Services with the authority and responsibility to routinely process overlimit permits.

OVERSIZE/OVERDIMENSIONAL: means height, length, or width that exceeds the legal limit.

OVERWEIGHT: means weight that exceeds the legal limit as established in Title 29-A M.R.S.A. Chapter 21.

OVER WIDTH: means width that exceeds the legal limit as established in Title 29-A M.R.S.A. §2380.

PERMIT/OVERLIMIT PERMIT: means a document approved by the Overlimit Permit Unit allowing the legal transport of overlimit loads and/or vehicles upon public highways within a certain time frame, and under certain conditions.

PERMITTEE: means the entity granted an overlimit permit in accordance with Title 29-A M.R.S.A. §2382.

SEMITRAILER: means a vehicle without motive power, designed to be drawn by a motor vehicle, and constructed so that some part of its weight and its load rests upon or is carried by the motor vehicle.

STRUCTURAL PARTS: means any object or protrusion that is part of, connected to, joined, fastened or otherwise attached to a motor vehicle with the exception of an antenna.

TITLE 29-A: any reference to Title 29-A means Title 29-A of the Maine Revised Statutes Annotated (M.R.S.A.).

TRAILER: means a vehicle without motive power, designed to carry persons or property and to be drawn by a motor vehicle, not operated on tracks, and so constructed that no part of its weight and its load rests upon or is carried by the towing vehicle.

TRUCK: means a motor vehicle designed and used primarily to carry property. A truck may be used to tow trailers or semitrailers.

TRUCK TRACTOR: means a motor vehicle designed and used exclusively to draw other vehicles and not constructed to carry a load other than part of the weight of the vehicle and load drawn.

VEHICLE: means a device for conveyance of persons or property on a public or private way, excepting devices moved by human power or used exclusively upon rails or tracks.

SECTION 2. FEE STRUCTURE

FEES FOR EXCESS WEIGHT

The fees listed in TABLE 1 below are for the portion of the total vehicle or combination vehicle weight, including the load and all structural parts thereof, that exceeds:

1. 34,000 lbs. for a two axle vehicle, or
2. 54,000 lbs. for a three axle vehicle or combination of vehicles, or
3. 69,000 lbs. for a four axle vehicle or combination of vehicles and for a single unit vehicle of five or more axles, or
4. 80,000 lbs. for a five or more axle combination of vehicles, except as provided in subparagraphs (5) or (6) below, or
5. 100,000 lbs. for a six or more axle vehicle combination consisting of at least a three axle truck tractor and a tri-axle semitrailer registered for 100,000 lbs. not operated on the Interstate System, or
6. 100,000 lbs. for a six axle vehicle combination consisting of a three axle truck tractor and a tri-axle semitrailer registered for 100,000 lbs. operated on the Interstate System.

TABLE 1

Overweight Fee For a Single Trip

Excess Weight Range (in lbs.)

Fee

Greater than 0

to

5,000

$6.00

Greater than 5,000

to

10,000

$8.00

Greater than 10,000

to

15,000

$10.00

Greater than 15,000

to

20,000

$12.50

Greater than 20,000

to

25,000

$15.00

Greater than 25,000

to

30,000

$18.00

Greater than 30,000

to

35,000

$21.00

Greater than 35,000

to

40,000

$25.00

Greater than 40,000

$27.50

FEES FOR EXCESS LENGTH

The fees listed in TABLE 2 below are for the portion of the total vehicle or combination vehicle length, including the load and all structural parts thereof, that exceeds the maximum legal length limit.

The maximum legal length limit as established in Title 29-A §2390 is:

1. 45 feet for single vehicles
2. 65 feet* for combination vehicles
3. 74 feet for vehicle combinations transporting tree-length logs provided the load does not extend rearward by more than 8 ½ feet beyond the body of the vehicle, and no more than 25% of the length of the logs extends beyond the body of the vehicle combination

TABLE 2

Over Length Fee For a Single Trip

Excess Length Range (in feet)

Fee

Greater than 0

to

10

$6.00

Greater than 10

to

15

$8.00

Greater than 15

to

20

$10.00

Greater than 20

to

25

$12.50

Greater than 25

to

30

$15.00

Greater than 30

to

35

$18.00

Greater than 35

to

40

$21.00

Greater than 40

to

45

$25.00

Greater than 45

$27.50

• 69 feet for a combination of vehicles consisting of a truck tractor and a trailer or semitrailer whose length exceeds 45 feet but does not exceed 48 feet

• 74 feet for a combination of vehicles consisting of a truck tractor and a single semitrailer whose length exceeds 48 feet but does not exceed 53 feet

FEES FOR EXCESS WIDTH

The fees listed in TABLE 3 below are for the portion of the total vehicle or combination vehicle width, including the load and all structural parts thereof, that exceeds the maximum legal width limit.

The maximum legal width limit as established in Title 29-A §2380 is 102 inches (8 ½ feet).

TABLE 3

Over Width Fee For a Single Trip

Excess Width Range (in feet)

Fee

Greater than 0

to

2

$6.00

Greater than 2

to

3

$8.00

Greater than 3

to

4

$10.00

Greater than 4

to

5

$12.50

Greater than 5

to

6

$15.00

Greater than 6

to

7

$18.00

Greater than 7

to

8

$21.00

Greater than 8

to

9

$25.00

Greater than 9

$27.50

FEES FOR EXCESS HEIGHT

1. The fees listed in TABLE 4 below are for the portion of the total vehicle or combination vehicle height, including the load and all structural parts thereof, that exceeds the maximum legal height limit.
2. The maximum legal height limit as established in Title 29-A §2380 is 14 feet.

TABLE 4

Over Height Fee For a Single Trip

Excess Height Range (in feet)

Fee

Greater than 0

to

5

$6.00

Greater than 5

to

6

$8.00

Greater than 6

to

7

$10.00

Greater than 7

to

8

$12.50

Greater than 8

to

9

$15.00

Greater than 9

to

10

$18.00

Greater than 10

to

11

$21.00

Greater than 11

to

12

$25.00

Greater than 12

$27.50

FEE FOR AN INSTANT OVERLIMIT PERMIT BOOK

1. In order to obtain Instant Overlimit Permits the applicant must first establish a billing account with the Bureau of Motor Vehicles and then purchase an instant permit book.
2. The fee for an instant permit book is $75.00 which is charged to the applicant’s account. Each instant permit book contains 25 Instant Overlimit Permits.

FEES FOR LONG TERM OVERDIMENSIONAL PERMITS

Long term overdimensional permits can be issued for a minimum period of one month up to a maximum period of twelve months.

The fee is $25.00 per month.

FEES FOR LONG TERM OVERWEIGHT PERMITS

Long term overweight permits can be issued for a minimum period of one month up to a maximum period of twelve months.

Load Carrying Vehicles

1. The fees listed in TABLE 5 and TABLE 6 below are for the total vehicle or combination vehicle weight, including the load and all structural parts thereof:

TABLE 5

LT Overweight Permit Fee For a Single Month

(6 axle minimum combination)

Total Weight Range

Fee

Greater than 100,000

to

110,000 lbs.

$90.00

Greater than 110,000

to

120,000 lbs.

$150.00

TABLE 6

LT Overweight Permit Fee For a Single Month

(7 or more axle combination)

Total Weight Range

Fee

Greater than 100,000

to

110,000 lbs.

$65.00

Greater than 110,000

to

120,000 lbs.

$115.00

Class A Special Mobile Equipment

The fee is $25.00 per month.

Overweight and Overdimensional Loads

If the vehicle and load are within the long term overdimensional envelope the standard $25.00 monthly fee would apply in addition to the overweight fee.

SECTION 3. POLICE ESCORT ARRANGEMENTS

STATE POLICE ESCORTS

Overdimensional loads requiring a State Police Escort(s) will be assessed at the actual cost of services including a two (2) hour minimum hourly vehicle cost.

The minimum charge for the escort will be for four (4) hours which will be billed by the Department of Public Safety. The billable time will start at the agreed upon posted time and end at the conclusion of the escort.

To procure State Police Escorts, the permittee must make arrangements with the Maine State Police directly at least three working days prior to the date the move is to be made.

Permits requiring State Police Escorts generally will not be issued for Saturdays.

OTHER POLICE ESCORTS

The Permittee may make arrangements with local police or county sheriffs for police escorts when State Police escorts are not required.

SECTION 4. SUPPLEMENTAL FEE INFORMATION

Except for Long Term Permits, the fee charged when more than one limit is exceeded is based on the limit requiring the higher fee.

When a permit covers two or more loaded moves, a fee is charged for each loaded move.

There is no fee charged for permits issued to a municipality or government agency.

EFFECTIVE DATE:

December 16, 1989

AMENDED:

August 3, 1992

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

NON-SUBSTANTIVE CORRECTIONS:

December 20, 2000 - converted to MS Word, formatting

AMENDED:

January 2, 2001

August 3, 2002

REPEALED AND REPLACED:

July 11, 2010 – filing 2010-281

CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD:

April 7, 2026

APAO ACCESSIBILITY CHECK (Word):

April 7, 2026

Chapter 157 The Administration of Over Dimension and Overweight Permits

Code Me. R. 29-250 Ch. 157 The Administration of Over Dimension and Overweight Permits {#sec-29-250-ch.-157 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 157}

SUMMARY: This rule establishes requirements and standards for the permitting of non-divisible overdimensional and overweight vehicles and loads (collectively overlimit loads) which are loads exceeding the size and weight limits established in Title 29-A. The Secretary of State is authorized to issue overlimit permits pursuant to Title 29-A M.R.S.A. §2382. This rule also establishes requirements and standards for Pilot and Police Escort vehicles.

SECTION 1. DEFINITIONS

Generally, unless the context clearly indicates otherwise, undefined terms used in this rule have the same meaning as in Title 29-A.

Application: means the original or renewal application for the privilege of moving overlimit loads or overlimit vehicles on the public highways.

Apportioned or Prorated for the State of Maine: means registration based on a proportional payment of registration fees determined through the IRP which includes a fair allotment for Maine.

BUREAU: any reference to Bureau in this rule means the Maine Bureau of Motor Vehicles (BMV).

CANADIAN WEIGHT LIMIT PERMIT: means, consistent with 29-A M.R.S. § 2354-C and 29-250 CMR chapter 170, a permit authorizing travel at the approved weights and configurations for either Baileyville, Madawaska, or Van Buren. Each route requires a separate permit, per the applicable statute and rules.

Clearance: refers to the vertical distance between the highest point of the vehicle or load, and an overhead structure. The distance from the chassis to the ground is referred to as underclearance.

Combination (of) Vehicle(s): means a truck or truck tractor used in combination with a trailer(s) and/or a semitrailer(s).

Crane: “Crane” means a type of special mobile equipment designed primarily to lift heavy objects, and which does not carry any property except for necessary tools and equipment.

COMMISSIONER: means the Commissioner of the Maine Department of Transportation, or any Deputy Commissioner of the Maine Department of Transportation.

CONVOY: Two or more vehicles traveling together under permit, accompanied by law enforcement.

DAYLIGHT TRAVEL: means travel one-half hour before sunrise to one-half hour after sunset.

Destination: means the point where the overlimit load will be required by the applicable overlimit permit to cease movement upon open sections of the public highways within the context of the vehicle’s current single move.

Divided Highway: means a highway with a physical barrier or a clearly indicated dividing space dividing opposing traffic, and constructed to impede vehicular traffic over the barrier.

Divisible: means a load which can be reduced to legal limits without destroying its value (See NON-DIVISIBLE LOAD).

Emergency Off-Hour Moves: means those moves of overlimit vehicles and/or loads that are made in order to create a degree of remedy to, or contribute to a degree of remedy to a sudden and immediate condition that threatens the health and safety of the public during hours in which the Overlimit Permit Unit is not staffed, or is otherwise unable to process permit applications.

Engineering Review/Special And Detailed Review/Detailed Engineering Review: means the detailed review of an overlimit permit application by an engineer under the Maine Department of Transportation’s direction. An engineering review may be required on extreme loads, or when the Issuing Authority deems it necessary.

Envelope Vehicle: means a vehicle and load of a weight and dimensions pre-approved for expedited permitting.

Extreme (when in reference to weight, height, length, width): means dimensions or weight deemed to be in excess of the legal limits to such a degree that additional measures are determined to be necessary in order to ensure public safety, to minimize disruption to the public, or to protect highway and bridge infrastructure. The determination of an “extreme” load will depend on various conditions taken together such as the requested route, pavement and shoulder widths, highway geometrics, expected traffic volume, the presence of public utilities or railroad crossings, and the weight and dimensions of the object to be moved. A vehicle or load that is 125 feet or more in length, or exceeds 15 feet in height, or 16 feet in width, or 160,000 pounds generally will be presumed to be an extreme load and may be required to comply with additional safety measures. Every 5-axle crane exceeding 130,000 pounds is presumed to be non-routine, extreme vehicle. Vehicles or loads of lesser dimensions or weight may be determined to be extreme loads based on local conditions.

FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION (FMCSA): means an agency of the United States Department of Transportation whose primary mission is to reduce crashes, injuries, and fatalities involving large trucks and buses.

GENERAL LAW HIGHWAYS: means all non-Interstate highways in Maine and Interstate 95 from the New Hampshire State line to Exit 113 (Augusta Cushnoc Bridge) which includes the Maine Turnpike.

Gross Vehicle Weight Rating (GVWR): means the weight rating of the vehicle and maximum load as determined by the final stage manufacturer.

HEAVY DUTY RECOVERY VEHICLE: means a wrecker that is designed for the specific purpose of recovering vehicles that have a gross, combined or actual weight of more than 80,000 pounds; has either 4 or 5 axles; has a manufacturer’s gross vehicle weight of 70,000 pounds or more; is equipped with a recovery boom that is rated for 70,000 pounds or more; is equipped with an air brake system capable of providing compressed air to the braking or suspension system of a vehicle being towed; and is capable of towing a combination vehicle with a gross weight of more than 99,000 pounds.

Highway: means all public ways and roads, including the Maine Turnpike, streets, avenues, alleys, boulevards, parks, squares, ferries, bridges and approaches there to within the State.

INTERNATIONAL REGISTRATION PLAN (IRP): means the uniform reciprocal agreement for the registration of commercial motor vehicles used in interstate commerce. The IRP provides for the proportional collection and distribution of jurisdictional registration fees based on the percentage of miles traveled in each member jurisdiction.

Interstate System: means “The Interstate Highway System” as defined in the United States Highway Act of 1956, with the exception that it does not include the portions of the Interstate System subject to Maine’s General Law gross weight limits (See GENERAL LAW HIGHWAYS).

Issuing Authority: means the Department of the Secretary of State, Office of Motor Carrier Services, Overlimit Permit Unit acting under the guidelines and advice of the Maine Department of Transportation, pursuant to Title 29-A M.R.S.A. §2382, or any entity authorized to issue an overlimit permit pursuant to Title 29-A.

Legal (as in Legal Height, Legal Limits, and Normal Legal Limit): means a dimension or weight that does not require an overlimit permit.

Load: means any object(s) that may be carried by a vehicle or combination of vehicles.

Long Term (Monthly) Permit: means a document that allows a single vehicle to move for up to 12 consecutive months when that vehicle, in combination with its load exceeds normal legal limits, but also meets certain other conditions.

Mobile Home: means a structure, transportable in one or more sections, built on a permanent chassis, and designed to be used as a dwelling, with or without a foundation, when connected to the required utilities including the plumbing, heating, and electrical systems within the unit. The term mobile home includes office trailers, display or sales models, portable classrooms, and similar structures.

Modular Home: means a structure, transportable in one or more sections, not built on a permanent chassis and moved on a semitrailer, and designed to be used as a dwelling, with or without a foundation, when connected to the required utilities including the plumbing, heating, and electrical systems within the unit.

Motor Vehicle Laws: means those laws concerning motor vehicles as found in Title 29‑A and related rules.

MULTIPLE: means completing multiple trips from the point of origin to the point of destination with the same vehicle and load information.

Multi-State Permits: means those overlimit permits that specify an origin and/or destination located outside the State of Maine. [See NEW ENGLAND TRANSPORTATION CONSORTIUM (NETC) and NASTO OVERSIZE AND OVERWEIGHT PERMIT AGREEMENT (NOOPA)].

NASTO Oversize and Overweight Permit Agreement (NOOPA): means a multi-state agreement among the jurisdictions belonging to the Northeast Association of State Transportation Officials (NASTO) to issueoverlimit permits to move loads meeting certain criteria. The permittee is issued a single permit via a permit service.

New England Transportation Consortium (NETC):^[1] means an agreement among the states of Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont to issue multi-state overlimit permits to vehicles meeting certain conditions and traveling on a designated highway network. The issuing state issues a single permit on behalf of all affected states.

Night Moves: means those moves that will take place between one-half hour after sunset, and one-half hour before sunrise as defined in Title 29-A M.R.S.A. §101(78).

NON-CONFORMING SEMITRAILER: means a semitrailer whose total structural length exceeds 48 feet but does not exceed 53 feet and the semitrailer does not meet the conditions defined in Title 29-A M.R.S.A. §2390(J).

Non-Divisible Load: means a load which, if separated into smaller loads or vehicles, would:

make it unable to perform the function for which it was intended; or

destroy its value; or

requires more than eight work hours to dismantle using appropriate equipment.

Sealed oceangoing containers, spent nuclear materials in casks, and government controlled military vehicles and their loads will be considered non-divisible.

OCEANGOING CONTAINER PERMIT: means, consistent with 29-A M.R.S. § 2382 and 29-250 CMR Chapter 164, a permit allowing freight carrying containers designed to travel on a two (2) or more axle semi-trailer chassis. For the purposes of this rule, ocean going containers are deemed to be non-divisible. The term applies to both exported and imported oceangoing containers which meet the following conditions:

1. Exported oceangoing containers 1. are loaded and sealed at a shipping point within the State of Maine for shipment outside the United States; 2. are accompanied by the appropriate permit carried in the vehicle; 3. remain sealed throughout the route of travel to the oceangoing vessel; and 4. are removed from the vehicle chassis only at either 1. a dock facility for direct loading on board a ship; or 2. a railhead for rail shipment directly to the dock facility of the oceangoing vessel.
2. Imported oceangoing containers 1. originate outside the United States; 2. are delivered to a manufacturing facility within the State of Maine; 3. contain only raw materials or components to be used to produce final products in the State of Maine at least 60% of which are exported outside the United States; 4. are accompanied by the appropriate carried in the vehicle; and 5. remain sealed during the entire route of travel from the point of unloading at the vessel to the final destination in the State of Maine.

Official Holidays, Holidays, Legal Holidays: means the official list of state holidays published by the Department of Administrative & Financial Services, Bureau of Human Resources. The Overlimit Permit Unit generally will be closed on these days. The list will be further divided into major holidays when the movement of overlimit loads is prohibited and minor holidays when the movement of overlimit loads is allowed. Please note that NETC states each have their own designated holidays, which may affect multi-state travel.

A list of holidays can be found at:

• 1. http://www.maine.gov/sos/bmv/commercial/olpermits.html

Origin, Starting Point: means the point where the overlimit load will be allowed by the applicable overlimit permit to begin movement upon open sections of the public highways within the context of the vehicle’s current single move, and along those routes specified by the applicable overlimit permit.

Over Height/OVERHEIGHT: means height that exceeds the legal limit as established in Title 29-A M.R.S.A. §2380.

Over Length/OVERLENGTH: means length that exceeds the legal limit as established in Title 29-A M.R.S.A. §2390.

OVERLIMIT: means height, length, width, or weight that exceeds the legal limit.

Overlimit Permit Unit: means the unit within the Bureau’s Office of Motor Carrier Services with the authority and responsibility to routinely process overlimit permits.

Oversize/Overdimensional: means height, length, or width that exceeds the legal limit.

Overweight:means weight that exceeds the legal limit as established in Title 29-A, Chapter 21.

Overweight-Only: means weight that exceeds the legal weight limit, must be of legal height, width, and length.

Over Width/OVERWIDTH: means width that exceeds the legal limit as established in Title 29-A M.R.S.A. §2380.

Permit/Overlimit Permit: means a document approved by the Overlimit Permit Unit allowing the legal transport of overlimit loads and/or vehicles upon public highways within a certain time frame, and under certain conditions.

Permit Number: means the computer-assigned number used to validate, activate, and track permits.

Permit Office: means the same as the Overlimit Permit Unit.

Permittee: means the entity to whom a permit has been granted in accordance with this rule.

Police Escort: means a uniformed police officer(s) with a police vehicle(s) assigned to escort an overlimit load(s), to control traffic, and to protect public safety. A police escort must have jurisdiction over the entire route to be traveled. That is, a move within one county may use an escort from the county sheriff’s office. A move across county lines must use a state police escort.

Posted Road/Bridge: means a road or bridge that has been restricted as to weight or dimensions in order to preserve the life of the infrastructure, to protect public safety, or due to physical limitations.

Proper Authority: means the same as “Issuing Authority”.

RAILROAD EMERGENCY An unexpected event where a main corridor railroad track is blocked, damaged, or impassable, to include but not limited to, a derailed train car, a water event that has caused a track to become unusable, or on any railroad track, where a train car containing materials deemed hazardous by the Pipeline and Hazardous Material Safety Administration (PHMSA), becomes derailed or otherwise is an immediate danger to health and safety.

Return: means completing a single move, and returning to the point of origin with the same vehicle and load information. This constitutes two moves.

Route: means part or all of a set of highways linking the intended origin to the intended destination of an overlimit move creating a single path.

Routing: means the designation of routes for the movement of overlimit loads. The objective in permit routing is to designate the most direct, practical route available that ensures public safety, minimizes disruption to the public, and avoids highway restrictions such as construction projects, posted roads, and height and weight restricted bridges, etc. Financial impact is not a consideration when evaluating the safest, most direct and practical route. A permittee may not deviate from assigned routing without permission unless directed by a police officer; except that a permittee may follow a signed detour. The Issuing Authority has the right to modify requested routes when issuing an overlimit permit.

SECRETARY: means the Maine Secretary of State, or any designee duly authorized to act on behalf of the Secretary of State to administer this rule.

SEMITRAILER: means a vehicle without motive power, designed to be drawn by a motor vehicle, and constructed so that some part of its weight and its load rests upon or is carried by the motor vehicle.

SPECIAL HAUL ROUTE PERMIT: means, consistent with Title 29‑A M.R.S.A. §2354-D and 17-229 CMR chapter 310, a permit allowing travel on a specifically and delimited segment or portion of the State’s public highway system over which the Department has granted an allowance to operate commercial motor vehicles of a specified configuration that exceed established commercial motor vehicle weight limits or vehicle dimension standards.

SPECIAL MOBILE EQUIPMENT (SME): means a motor vehicle with permanently mounted equipment not designed or used primarily for the transportation of persons or property. “Special Mobile Equipment” includes, but is not limited to, road construction or maintenance machinery, ditch-digging apparatus, stone crushers, air compressors, power shovels, cranes, graders, rollers, trucked used only to plow snow and for other duties pertaining to winter maintenance, including sanding and salting, well drillers and wood-sawing equipment or similar types of equipment.

STATE Police-Only Moves: means those moves, authorized by a Maine State Police Troop Commander, that do not require notification to the Bureau’s Motor Carrier Services Overlimit Permit Unit.

Structural Parts: means any object or protrusion that is part of, connected to, joined, fastened or otherwise attached to a motor vehicle with the exception of an antenna.

SUPER LOAD: means the same as “Extreme”.

TITLE 29-A: any reference to Title 29-A means Title 29-A of the Maine Revised Statutes Annotated (M.R.S.A.).

TRAILER: means a vehicle without motive power, designed to carry persons or property and to be drawn by a motor vehicle, not operated on tracks, and so constructed that no part of its weight and its load rests upon or is carried by the towing vehicle.

Truck: means a motor vehicle designed and used primarily to carry property. A truck may be used to tow trailers and semitrailers.

Truck Tractor: means a motor vehicle designed and used exclusively to draw other vehicles and not constructed to carry a load other than a part of the weight of the vehicle and the load drawn.

Tree Length Logs: means a load of logs with an overall length over 74 feet but not more than 80 feet. The weight, width, and height must be within legal limits.

Trip Permit: means permission to move a load from a predetermined origin to a predetermined destination in a single direction over the course of a single trip along designated, pre-approved routes, within a designated period of time.

Underclearance: means the vertical distance between the ground and the lowest point of the vehicle or load.

USDOT Number: also known as a census number, means a motor carrier identification number issued by FMCSA, provided for under 49 C.F.R. §390.19(h)(1).

SECTION 2. SYNOPSIS

The Secretary, acting under guidelines and advice of the Commissioner, may issue permits to move non-divisible vehicles and/or loads which exceed the legal length, width, height, or weight limits established in Title 29-A, Chapter 21, over roads, highways and bridges maintained by the Maine Department of Transportation.

The Secretary, through joint action with the New England Transportation Consortium, may also issue permits to move non-divisible overlimit vehicles and/or loads which fall within length, height, width, and weight limits as outlined in this rule over specific, designated routes within the five consortium states.

An overlimit permit is required to transport a non-divisible overdimensional and/or overweight vehicle and/or load upon public highways, using certain routes, from a single origin to a single destination. This rule establishes the requirements, standards, and administrative procedures for issuing overlimit permits as well as the requirements and standards for pilot and police escorts.

SECTION 3. COMMUNICATION AND CONTACT INFORMATION

Overlimit Permit Unit

1. All written communication should be addressed to:

Bureau of Motor Vehicles

Motor Carrier Services – Overlimit Permit Unit

29 State House Station

Augusta, ME 04333-0029

1. All communications and documents are deemed to be officially received when delivered to the Overlimit Permit Unit at the Bureau’s Administrative Office in Augusta, Maine.
2. The contact information for the Overlimit Permit Unit is as follows:

Telephone: (207) 624-9000 ext. 52134

Fax: (207) 622-5332

Email: overpermits@maine.gov

Online information: http://www.maine.gov/sos/bmv/commercial/olpermits.html .

1. Walk in location

Bureau of Motor Vehicles

Motor Carrier Services

101 Hospital Street

Augusta, Maine

Bureau of Motor Vehicles Accounting Section

All payments for invoiced amounts should be sent to:

Bureau of Motor Vehicles

Accounting - Overlimit Accounts Receivable

29 State House Station

Augusta, ME 04333-0029

Road and Traffic Conditions

Internet: www.newengland511.org .

Maine Turnpike Authority

Mailing Address:

Maine Turnpike Authority

2360 Congress Street

Portland, ME 04102

Telephone: (207) 871-7771 or (800) 698-7747

Internet: www.maineturnpike.com/ .

Maine Department of Transportation

Telephone: (207) 624-3600

Maine State Police

Field Troops: https://www.maine.gov/dps/msp/about/find-local-troop .

SECTION 4. PAYMENTS AND REMITTANCES

General Information

1. Overlimit permits are issued either upon payment or on a credit basis for existing overlimit permit account holders.
2. Remittances must be in the form of a money order, bank draft, or credit card authorization (See restrictions below). Money orders and checks should be made payable to the Maine Secretary of State.
3. Personal checks will be accepted subject to collection.
4. Cash payments will be accepted from walk-in customers. Remittances in currency are wholly at the risk of the remitter. The Bureau assumes no responsibility for any loss of currency sent by mail.
5. The Bureau accepts major credit cards.
6. All payments must be in U.S. currency.
7. All permit applications with check or money order payments must be mailed or hand delivered to the Overlimit Permit Unit. Only applications with credit card payments can be processed by fax. (See Section 3 – Communication and Contact Information).

Permits Issued on a Credit Basis

All account applications or credit requests should be mailed or faxed to the Overlimit Permit Unit. (See Section 3 – Communication and Contact Information).

When permits are issued on a credit basis, all account charges for a month will be invoiced on the first business day of the following month. Payment for any invoiced amount is due in full on or before the last day of the month in which the charges were billed.

Remittances for invoiced amounts must include the account number and be sent to the Bureau’s Accounting Office. (See Section 3 – Communication and Contact Information).

If payment for any invoiced amount is not received in full by the payment due date, the Overlimit Permit Unit will not process any additional permit applications for the account holder until the account balance is paid in full.

When a permit fee required to be collected by the Secretary is not paid when due, the Secretary may, after complying with the notice requirements of Title 29-A §154-A, suspend all licenses, permits, certificates and registrations of any persons liable for the permit fee.

The Office of Motor Carrier Services will not issue any credentials to an account holder whose account is delinquent.

Non-Sufficient Funds (Returned Checks)

In the event a permittee’s check is returned for insufficient funds, or for any other reason, the Secretary may, after complying with statutory requirements for a notice of dishonor, suspend the permittee’s license and registration. The Overlimit Permit Unit will not process any additional permit applications or requests until the permittee has completely satisfied the delinquency and associated reinstatement fee.

A permittee who has had a check returned for any reason will be required to pay for subsequent permits with certified funds.

Refunds

A refund will be issued only if it can be determined by the Issuing Authority that the permitted move has not been made.

SECTION 5. LEGAL NAME AND ADDRESS

The legal name recorded on an account or permit application must be consistent with the legal name on other applications for motor carrier credentials as well as with any applicable state and federal filings (for example: a state corporate filing or FMCSA census information). The applicant may be required to rectify any legal name discrepancies before an overlimit permit will be processed or an overlimit permit account will be opened.

Applicants must provide a contact name, phone number and business address. If the address is a rural route, the applicant must include a box number.

An application for an account or permit without sufficient name, address, or contact information may be returned to the applicant for completion prior to processing the application.

SECTION 6. NAME AND ADDRESS CHANGES

Name Change

1. Any change in name will require written notification of the change within 30 days of the change.
2. An account holder or applicant may report a name change by written notice to the Overlimit Permit Unit.
3. An account holder or applicant may change their name from an individual to a newly formed corporation provided there is no change in ownership or control of the company.
4. When an account holder or applicant is a motor carrier required to file census information with the FMCSA, the name change notification mustfirst be processed by the FMCSA.

Address Change

1. A carrier must report any changes to its principal place of business or mailing address within 30 days of the change.
2. A carrier may report an address change by written notice to the Overlimit Permit Unit.
3. When an account holder or applicant is a motor carrier required to file census information with the FMCSA, the address change notification must first be processed by the FMCSA.

SECTION 7. SIGNATURES

Except as otherwise provided, all overlimit permit and account applications must be signed.

Anyone signing an overlimit permit or account application must also disclose their position title in which is vested the authority to sign the application.

If an applicant is an individual, the application must be signed by that individual.

If the applicant is a corporation, the application must be signed by a corporate officer or an employee duly authorized to act in an administrative capacity on behalf of the corporation.

Notwithstanding the above, an authorized agent exercising power of attorney may sign on behalf of an applicant. The copy of the document authorizing the power of attorney must be on file with the Overlimit Permit Unit.

SECTION 8. LIMITATIONS AND RESTRICTIONS

Permits are not issued for divisible loads. All requests to move divisible loads will be denied as such loads can be reduced to legal dimensions and/or weight.

Permits are granted only for roads and bridges maintained by the Maine Department of Transportation and the NETC network. Municipalities may have their own restrictions and permitting systems in place and would have to be checked individually. The Maine Turnpike Authority also issues permits at the toll booth upon entry for movement over their road. (See Section 19 - Maine Turnpike Authority).

A permit request may be denied or modified if the Issuing Authority, acting with the advice of the Commissioner or the Chief of the Maine State Police, determines that the move cannot be completed safely, or imposes an unacceptable impact on traffic or highway and bridge infrastructure.

The permittee is responsible for adequately planning the move in order to minimize impacts on public safety and traffic, and to protect the public infrastructure. The Issuing Authority may require the applicant to notify state and local law enforcement, municipal officials, Maine Department of Transportation Traffic Engineering and/or Bridge Maintenance, railroad companies, or public utilities. For extreme loads, the Issuing Authority may require the applicant to make public notification adequate to forewarn the public.

Violation of any statute, ordinance, rule, or regulation of the State, any State agency or political subdivision of the State, or operation beyond the scope of the permit is unlawful. The permittee must comply with all statutory provisions and regulations as to permits, vehicle registrations, fuel tax, vehicle equipment, and operation. Failure to comply with all motor vehicle related laws and rules may result in the denial of future permit requests.

A permit is invalidated by the violation of any condition specified by the terms of the permit or by false information given on the application. On evidence of such violation or falsification, the permittee may be denied additional permits. If at any time, before or after an overlimit move has commenced, a dimension or restriction within the permit has not been adhered to, the move shall immediately cease and not proceed until the discrepancy has been rectified.

A permit may be denied to a motor carrier with an unsatisfactory safety rating, as determined by the Federal Motor Carrier Safety Administration’s motor carrier rating system.

Whenever possible, vehicles exceeding legal limits should be moved during periods when traffic is lightest. Section 21 lists days-of-travel restrictions for mobile and modular homes. Overdimensional permits requested for travel on Sundays in July and August, and on holidays throughout the year require pre-clearance by the Maine Department of Transportation’s Traffic Engineering Division.^[2] Travel in areas when fairs and festivals are occurring may preclude the issuance of overdimensional permits. An applicant requesting such permits must allow at least two working days notice to obtain necessary clearances.

A. From April 22 to November 18, overdimensional permits may travel on designated routes from:

(1) 30 minutes prior to sunrise until 30 minutes after sunset Monday through Friday; and

(2) From 30 minutes prior to sunrise until 12 PM on Saturdays.

B. From June 3 to August 26, Saturday travel is limited to:

(1) 30 minutes prior to sunrise until 9 AM on I-95; and

(2) From 30 minutes prior to sunrise until 12 PM on other roads.

C. From January 1 to December 31 overdimensional travel is not authorized on holidays and holiday weekends, unless permission is obtained pursuant to Section 15: Emergency Off-Hour Moves.

Permit processing time will be impacted if an engineering review is needed, and adequate time should be allowed for the completion of any review. An applicant should allow a minimum of two to five business days for the Maine Department of Transportation and/or the Maine Turnpike Authority to complete any required engineering review.

A list of official holidays is published annually and available from the Overlimit Permit Unit or on the Internet at: https://www.maine.gov/sos/bmv/commercial/olpermits.html .

The Issuing Authority, with the advice and under the guidelines of the Commissioner, may allow moves at additional times and days when deemed necessary, and when it is determined that public safety will not be adversely impacted.

Permits do not exempt vehicles from posted road or bridge restrictions. The permittee is responsible for complying with road and bridge postings regardless of routing.

More than one object may be transported in a single move as long as the object configuration does not create a divisible load that exceeds legal size and/or weight limits. If the object configuration cannot be reduced to legal limits then a permit is required to cover any dimension(s) and/or weight that exceed such limits.

A permittee is restricted to a single trip, unless authorized for a return trip or multiple trips, in one direction from the permitted origin to the permitted destination traveling only on the designated highways recorded on the permit. The authorized movement must be made within the allotted time as stated on the permit, unless extended by the Issuing Authority.

Except as otherwise provided in this rule, a permittee is limited to daylight travel only, unless the move is an emergency off-hour move or an overweight-only move.

An applicant may be denied the issuance of permits based on their failure to appear in court to answer any motor vehicle summons, or for any other motor vehicle related infractions.

Most permits cannot be obtained more than 10 days in advance, with the exception of Long Term Permits, Canadian Weight Limit Permits (governed by Rule 29-250 CMR chapter 170), Oceangoing Container Permits (governed by Rule Chapter 164), and Special Haul Route Permits governed by Rule 17-229 CMR chapter 310).

Vehicles or combination of vehicles 20 feet and wider and/or 150 feet and longer require:

utility and town department notifications, and

movement only during clear visibility, and

movement during hours other than commuter or school bus hours, and

when 150 feet or longer, the permittee is responsible for public outreach (including press release, municipal notification).

For extreme loads, as determined by the Department of Transportation, the permittee is responsible for public outreach (including press release, municipal notification).

Permits will not be issued to move a vehicle combination consisting of a truck tractor and a non-conforming semitrailer unless:

the load carried by the vehicle combination causes the move to exceed legal limits; or

the vehicle combination is returning empty after transporting a nondivisible load under the provisions of an overlimit permit which authorizes a return trip. All safety provisions shall apply to the return trip including the display of signs.

SECTION 9. DOCUMENTATION AND REGISTRATION

The permit must accompany the described move and must be in the legal name of the permittee. Alterations may be made only with express permission of the Issuing Authority. Unauthorized alteration of a permit will invalidate the permit, and subject the permittee to legal action under the statutes governing fraud or falsification on applications and documents.

Permits may be verified by law enforcement personnel at any time.

An overlimit permit does not relieve a vehicle registrant from their obligation to properly register in accordance with Motor Vehicle Laws. The registration plate number(s) must be provided to obtain a permit.

An applicant may be required to show proof of liability insurance at time of permit issuance.

An applicant must provide their USDOT number, if required to have one.

Previously used mobile homes require a current tax release (MV-47 or MV-47E) from the town of origin prior to moving a mobile home from a private lot. (See Section 21 – Mobile and Modular Home Movement Special Requirements)

SECTION 10. METHODS OF OBTAINING OVERLIMIT PERMITS

In Person (Walk-in)

1. An applicant may apply in person to the Bureau’s Administrative Office or any Motor Vehicle Branch Office to request a permit by completing and then submitting the appropriate permit application.
2. All forms of payment described in Section 4 are acceptable.

By Mail

1. An applicant may mail a completed permit application directly to the Overlimit Permit Unit.
2. All forms of payment described in Section 4 with the exception of cash are acceptable.
3. .

By Fax

1. An applicant may fax a completed permit application directly to the Overlimit Permit Unit. Upon approval of the application the Overlimit Permit Unit will issue and then fax the permit back to the applicant.

2. The fee for a permit issued by fax must be either charged to the applicant’s existing overlimit permit account or paid by credit card.

Through a Permit Service

1. Permit (wire) services are available to all applicants.
2. Payment must be made directly to the permit service in the form required by the permit service.

Online

1. Requests for all permit types can be submitted online at www.MoveMEMaine.com .

SECTION 11. FORMS

State of Maine Non-Divisible Oversize/Overweight Permit Application (MV-226)

1. This application must be used when requesting a permit directly from the Overlimit Permit Unit by fax, mail, email, or in person at the Bureau’s Administrative Office in Augusta.

Overlimit Permit Account Application (BMVOLP-APP2)

This application must be used when requesting an Overlimit Permit charge account directly to the Overlimit Permit Unit by fax, mail, email, or in person at the Bureau’s Administrative Office in Augusta.

State of Maine Non-Divisible Oversize/Overweight Permit Application (MV-226-B)

This application is used only to request a permit at a Motor Vehicle Branch Office.

State of Maine Certificate of Taxes/Sewer Fees Paid On Mobile Home Form (MV‑47)/Electronic State of Maine Certificate of Taxes/Sewer Fees Paid On Mobile Home Form (MV-47E)

A Tax Release Form, issued by the municipality in which the move is to originate, must be obtained before moving a mobile home from a private lot. A municipality may elect to use an Electronic Tax Release Form (MV-47E) in lieu of an MV-47 form. The Tax Release Form (MV-47) must be endorsed with the signature of the municipal tax collector and validated with the official municipal stamp.

Bureau of Motor Vehicles, Motor Carrier Services, Credit Card Facsimile Cover Sheet (MV-210)

1. This form must be used when credit card information is needed.

All information requested and gathered on these forms is required by the Bureau to obtain the applicable credential.

All forms are occasionally updated when necessary by the Bureau.

SECTION 12. TYPES OF PERMITS

Long Term (Monthly) Permits

General Conditions

Long term permits are issued on a monthly basis for a period not to exceed 12 months.

The fee schedule for long term permits can be found in the 29-250 CMR chapter 156.

Long term permits may be obtained using the methods described in Section 10.

The permit may be issued for a single unit vehicle, or on either the power unit or trailer of a combination of vehicles.

The towing vehicle used must be registered, apportioned, or prorated for the State of Maine.

Dimension Restrictions

1. Height must be legal. No structural part of the vehicle shall exceed a height of 13 feet 6 inches. The load may extend 6 inches beyond the maximum vehicle structural height, making the legal height with load 14 feet on all highways except for the Maine Turnpike (There is no additional 6 inch load provision for any part of the Maine Turnpike) .
2. Width must not exceed 11 feet 6 inches.
3. Length must not exceed 45 feet for a single unit vehicle, or 75 feet for a combination of vehicles, with the exception of a vehicle combination hauling tree length logs which have a maximum length limit of 80 feet under the following conditions: 1. the logs are transported by a truck tractor/semitrailer combination, and 2. the rear overhang may not exceed 40% of the length of the logs, and 3. the width, height, and weight of the vehicle combination and load must be legal.

Weight Restrictions

• • 1. All long term permit limits are subject to 600 pounds per inch of tire width. 2. Class A Special Mobile Equipment 1. The width, height, and length must be legal. 2. The vehicle must be registered for the actual gross weight in accordance with Title 29-A §513. 3. Total Gross Weight Limit

Configuration

Maximum Total Gross Weight

2-Axles

39,100 lbs.

3-Axles

62,100 lbs.

4-Axles

79,350 lbs.

5 or more Axles

92,000 lbs.

• • • 1. Individual axle unit limits

Single Steering Axle

18,900 lbs.

Single Axle

25,410 lbs.

Tandem Axles

48,300 lbs.

Tri-Axle

56,700 lbs.

• • 1. Load Carrying Vehicles

Must be a combination vehicle consisting of a tri-axle semitrailer, and a tandem-drive, or tridem-drive truck tractor.

The maximum total gross weight limit is 120,000 lbs.

Individual axle unit limits

Steering Axle

12,000 lbs. max. (6,000 lbs. min.)

Tandem Axles

50,000 lbs. max.

Tridem Axles

60,000 lbs. max.

The power unit must be registered or apportioned for the maximum weight as provided for by law.

Single Steering Axle 18,900 lbs.

Single Axle 25,410 lbs.

Tandem Axles 48,300 lbs.

Tri-Axle 56,700 lbs.

• • 1. Special Conditions

1. A long term permit does not constitute permission to travel on city or town roads.
2. All bridge postings must be observed. Note - some bridges are posted at 90,000 lbs.

(5) 5-Axle Cranes

1. A 5-axle crane, weighing between 110,001 to 130,000 pounds, and

crossing bridges with a 5 M.P.H. travel restriction requires:

a pilot vehicle traveling at the rear of the permitted crane; or

the crane or follow-vehicle must be equipped with an impact attenuator; or

a sign with the text “VEHICLE STOPS WHEN FLASHING” shall be mounted to the rear of the permitted crane. The sign, with minimum dimensions of 2 feet in height by 5 feet in width, shall have a minimum of 8 flashing yellow LED lights around the border. The sign sheeting shall be yellow prismatic or greater. The sign text shall be 6 inch letters. The sign shall be wired into the vehicle’s brake system and flash when the brake pedal is depressed.

2. Overweight Permits

A permit is required when the gross vehicle weight of a single vehicle or a combination of vehicles exceeds the following legal weight limit established for the vehicle type and axle configuration:

Configuration

Legal Weight Limit

2-Axle Vehicle

34,000 lbs.

3-Axle Vehicle

54,000 lbs.

4-Axle Vehicle

69,000 lbs.

5 or More Axle Vehicle

69,000 lbs.^[3]

3-Axle Combination of Vehicles

54,000 lbs.

4-Axle Combination of Vehicles

69,000 lbs.

5-Axle Combination of Vehicles

80,000 lbs.

6-Axle Combination of Vehicles

100,000 lbs. ^[4]

The permitted vehicle must be registered for a gross vehicle weight equal to the maximum operational gross weight limit for its configuration as described in Title 29-A Chapter 21. Notwithstanding, Class A Special Mobile Equipment must be registered for its actual weight.

Permits are not granted for posted roads .

Permits are not issued generally for loads that exceed the legal allowable axle weight when the gross weight does not exceed the legal limits. Class A Special Mobile Equipment may exceed axle weight limits even if the gross weight is within legal limits. When operational needs dictate, overweight permits may be issued if a vehicle exceeds axle weight limits, but is within gross weight limits. The Issuing Authority will issue these permits only after obtaining advice from the Maine Department of Transportation. “Operational need” means that a larger vehicle could not be practically or safely operated due to tight geometrics, rough terrain, or other operational characteristics that necessitate the use of a smaller vehicle. The financial impact of obtaining an adequate vehicle will not be considered an operational need.

A permit will be denied if the Issuing Authority determines that the vehicle to be used is not adequate to complete the move safely. In cases where a larger vehicle could be used to make the move within legal limits, the applicant may be required to use a larger vehicle.

The maximum weights for which a permit may be granted, without a special and detailed review by the Maine Department of Transportation, are as follows:

CONFIGURATION

WEIGHT LIMIT

2-Axle Vehicle

39,100 lbs.

3-Axle Vehicle

62,100 lbs.

4-Axle Truck

73,000 lbs.

4-Axle or more Special Mobile

Equipment

110,000 lbs.

4-Axle Truck Tractor-Semitrailer

120,000 lbs.

5-Axle Truck Tractor-Semitrailer

130,000 lbs.

6-Axle Truck Tractor-Semitrailer

140,000 lbs.

7-Axle Truck Tractor-Semitrailer

159,000 lbs. to 167,000 lbs. **

8-Axle Truck Tractor-Semitrailer

177,000 lbs.

** Axle Group Limits

1^st Axle

12,000 lbs. (20,000 lbs. for 167,000 lbs.)

2^nd, 3^rd, and 4^th Axles

26,000 lbs. (Combined Weight Max. 72,000 lbs.)

5^th, 6^th, and 7^th Axles

27,000 lbs. (Combined Weight Max. 75,000 lbs.)

There is an additional 3% tolerance on any axle or group of axles.

Weights in excess of the above are considered extreme loads and may require detailed engineering reviews. An applicant should allow a minimum of two to five business days for the Maine Department of Transportation and/or the Maine Turnpike Authority to complete a required review. The applicant may be required to supply additional information not on the application (such as an axle weight and spacing diagram).

Vehicles permitted for overweight-only that are capable of moving with the flow of traffic may move at any time of day.

Pilot vehicles or police escorts may be required when the Issuing Authority deems it necessary on extreme weights.

3. Over Width Permits

A permit is required when the overall width of the vehicle or load, including all structural parts, exceeds eight feet six inches.

Permits will not be granted for over width when the load can be reduced to the legal limit. For example, if two tanks are being moved side by side and exceed the legal width, one tank must be removed.

Vehicles 14 feet or more in width operating on highways with four or more traffic lanes must maintain a minimum following distance of five seconds with respect to those vehicles in front of them which are large enough to block the driver’s view of the road ahead.

Pilot vehicles are required for a vehicle or combination of vehicles exceeding certain widths (See Section 16 – Pilot Vehicles).

Police escorts are required for permits issued for widths of 16 feet or more.

Additional pilot or police escorts may be required on extreme widths when the Issuing Authority deems it necessary.

4. Over Length Permits

A permit is required when the overall length, including all structural parts and the load exceeds the limits established in Title 29-A §2390. Generally, the maximum length, which does not require an over length permit is 45 feet for a single unit vehicle and 65 feet for a combination of vehicles. There are exceptions in §2390 for longer combinations vehicles (LCV’s) to allow an overall length in excess of 65 feet under some conditions.

Over length permits are not required for:

fire department vehicles,

utility companies or their contractors transporting distribution utility poles from a staging area to the final point of installation, or transmission utility poles of any length in emergency situations, or

(3) disabled vehicles being towed to a repair facility.

For purposes of paragraph (B)(2), an emergency situation is an unforeseen need to replace poles to include but not limited to, a car crash, a tree falling onto lines, or a weather event, that a utility company could not have reasonably expected. A distribution utility pole is generally a secondary pole not exceeding 55’ in length, often used for transmitting power directly to home or businesses along roads or property. A transmission utility pole is often up to 125’ in length generally utilized for transmitting power between substations or power sources and is longer in length and width.

Tree Length Logs

1. Pursuant to Title 29-A §2390(D), a combination vehicle consisting of a truck tractor and a semitrailer may carry tree length logs without a permit provided the overall length of the truck tractor, semitrailer, and load does not exceed 74 feet. Logs may extend rearward beyond the body of the vehicle by up to 8 ½ feet, provided not more that 25% of the length of the logs extends beyond the body of the vehicles.

A combination consisting of a truck tractor and a semitrailer transporting tree length logs may be operated with an overlimit permit provided that the total length of the vehicle and load does not exceed 80 feet, and not more than 40 percent of the length of the logs extends beyond the body of the vehicle.

The following conditions apply to all vehicles carrying tree length logs when the load extends beyond the body:

1. Any overhang beyond 4 feet of the body must be flagged by a clean 12 inch by 12 inch fluorescent cloth, and during nighttime display a red light.
2. When lights are required, a red reflector or reflectorized paint must be displayed on the end on the log projecting farthest to the rear. The reflector or reflectorized paint must be able to reflect, at night on an unlighted highway, the undimmed lights of a vehicle approaching from the rear for at least 200 feet.

Permitted over length vehicles may not follow nearer than 200 feet to another vehicle except when passing.

Pilot vehicles are required for a vehicle or combination of vehicles exceeding certain lengths. (See Section 16 – Pilot Vehicles).

Police escorts are required for permits issued for lengths of 125 feet or more.

Additional pilot vehicles or police escorts may be required when the Issuing Authority deems it necessary on extreme lengths.

5. Over Height Permits

A permit is required when any structural part of the vehicle exceeds 13 feet 6 inches; however, the load may extend 6 inches beyond this, making the legal height with load 14 feet. The height limit on the Maine Turnpike is 13 feet 6 inches.

A permit will not be granted for over height when the load can be reduced to the legal limit (for example, a load of lumber).

The permit applicant is responsible for contacting the appropriate public utility companies for any movement or alteration of overhead wires.

Bridge and overpass clearances are posted when clearances are less than 14 feet 6 inches in height. Note: many bridges on the Maine Turnpike are at 13 feet 6 inches.

A pole car is required when overall height exceeds 15 feet.

A pilot vehicle(s) or police escort(s) may be required when the Issuing Authority deems it necessary on extreme heights.

SECTION 13. PERMIT CORRECTIONS AND TRANSFERS

Permit Corrections and/or Changes

A permittee may request a permit correction and/or change to a previously issued permit by calling the Overlimit Permit Unit directly or if the permit was obtained online, the correction or change may be requested online.

Once a permit change is approved, the permittee must carry the amended permit in the vehicle during the move. Corrected permit information is available to law enforcement at roadside.

No changes will be allowed during or after a move unless authorized by a law enforcement agency due to unforeseen circumstances or an emergency. The permittee is required to document which law enforcement agency authorized the change to the permit.

Transfer Policy

Trip permits

1. A vehicle may be substituted for another with proper notice to the Overlimit Permit Unit at no extra charge.
2. Once the vehicle substitution is approved, the permit should be modified as described in sub-paragraph 1.B. above.

Long term permits

1. If a permittee removes a vehicle from service, it is permissible to amend the permit after proper notice to and approval by the Overlimit Permit Unit to reflect a new vehicle for the remainder of the term of the permit.

SECTION 14. SAFETY STANDARDS

Traffic and vehicle movement control is a police function. A State Police officer may order an overlimit permitted vehicle off the highway when, in the officer’s judgment, the continued movement poses an unacceptable risk to public safety, or an unacceptable impact on traffic or highway and bridge infrastructure. The Issuing Authority may place additional conditions and/or review on a permit in order to protect public safety, public infrastructure, or to mitigate the impact on traffic.

While in transit, the driver of a slowly-moving, permitted vehicle shall, at the first suitable opportunity, pull off the highway or as far to the right as is reasonably safe if more than seven vehicles are following.

Except for emergency off-hour moves, no movement shall be made when visibility is poor or the highway is considered dangerous due to rain, snow, slush, ice, or any other condition deemed unsafe by the Issuing Authority or a State Police officer.

Adverse weather or road conditions posted to the Maine Department of Transportation’s 511ME system (www.newengland511.org) or telephone number 511) shall constitute one form of notice of dangerous road conditions.

If the speed on the Interstate Highway System is reduced to 45 miles per hour, the movement of a permitted vehicle must, at the first opportunity (ramp, rest area, weigh station, etc.), proceed to safely exit the traveled way, including shoulders.

If movement has started and such conditions develop, movement must be stopped at the first suitable opportunity.

Load Vehicle Safety Equipment

Signs

The sign shall read: “OVERSIZE LOAD” or “OVERWIDTH LOAD” (if applicable)

Sign Requirements

1. Size: not less than 7 feet wide by 18 inches high;
2. Lettering: 10 inches high with a 1.4 inch brush stroke;
3. Color: black letters on a yellow background;
4. Location: front bumper, at rear (unless tree length logs which shall be marked as provided for in Section 12, paragraph 5C(3) of this rule).

Movement when not oversize requires that load signs be removed or covered and that amber beacon lights be extinguished.

Flags

Color: red or fluorescent orange

Size: 18 inches by 18 inches

Location

1. on the extreme ends of the front bumper; and
2. on the extreme ends of the load.

Headlights

Headlights shall be on low beams at all times unless weight is the only overlimit condition of the permit.

Amber Lighting (No other colored lights authorized.)

Design

1. a single six inch diameter amber intermittent flashing light; or
2. a single four inch diameter amber rotary type light; or
3. a light bar with four amber flashing or strobe lights or combination thereof.

Position

The amber lighting shall be centered on top of the cab unless the load protrudes out over the cab.

If the load protrudes out over the cab then the amber lighting shall be placed at the highest forward point of the load.

Overdimensional vehicles within the New England Transportation Consortium (NETC) or the Northeast Overlimit Operating Permit Agreement (NOOPA) envelope operating on either highway system or access highway system would be subject to the same lighting requirements for overdimensional vehicles as found in 29-250 CMR chapter 155, The Rules Governing Permits for Non-divisible, Oversized, and Overweight Vehicles Engaged in Interstate Commerce Section 11.

Mobile Communication

Two-way mobile communication which has a minimum of one-half mile transmitting radius is required if a pilot or police escort is required.

Communication must be maintained between the overlimit vehicle(s) and the pilot(s) and/or police escort vehicle(s) at all times during the move.

Railroad Crossings

1. If a permitted vehicle is to cross a railroad at-grade crossing, the permittee may be required to contact the appropriate railroad(s) in order to coordinate the move. The permittee must contact the affected railroad(s) if: 1. the vehicle or load underclearance is 10 inches or less; or 2. a police escort is required; or 3. the permitted vehicle is unable to maintain a steady speed of at least 10 miles per hour through any crossing.

The permittee may be required to conduct a route review prior to making the move.

Further review of any dimension of a permitted load may be required by Maine State Police Commercial Vehicle Enforcement Unit when the Issuing Authority deems it necessary.

SECTION 15. EMERGENCY OFF-HOUR MOVES SAFETY STANDARDS

Emergency off-hour moves require pre-move authorization from a Maine State Police Troop Commander or the Maine Emergency Management Agency (MEMA) duty officer during times of a declared statewide emergency.

Flashing amber lighting which is visible from all directions is required on the oversize combined unit (See Section 14, paragraph 2.D for the specifications).

Signage is required at the same specifications as detailed in Section 14, paragraph 2.A with the additional requirement of reflectorization.

The maximum permissible dimensions for the oversize vehicle(s) and load are as follows:

a length of no more than 75 feet;

a width of no more than 12 feet; and

height that is legal.

One pilot vehicle is required for emergency off-hour moves. (See Section 16 - Pilot Vehicles)

1. Utility bucket trucks up to 50 feet in length are exempt from pilot vehicles as long as the bucket is reflectorized or lighted.

A police escort may be required for non-daylight moves at the discretion of the Maine State Police Troop Commander.

(See Section 10 for specific instructions on how to obtain permits)

SECTION 16. PILOT VEHICLES

Pilot Vehicle Thresholds

1. TABLE 1 details the pilot vehicle and police escort requirements for a single vehicle and load or a vehicle combination and load where the object moved is not a mobile or modular home:

TABLE 1

Number of Pilots/Escorts

Permit Type

Width

Length

Rear Overhang

Height

1 Pilot Vehicle

Maine Only

Greater than 12 feet and less than 16 feet

Greater than 80 feet and less than 125 feet

Multi-State

Greater than or equal to 12 feet

Greater than or equal to 80 feet

2 Pilot Vehicles

Maine Only

Night time moves of timber harvesting equipment not exceeding 11 feet 6 inches (See Section 18)

Night time moves of timber harvesting equipment not exceeding 75 feet (See Section 18)

Greater than 5 feet and less than 15 feet 1 inch

1 Police Escort and 1 pilot vehicle

Greater than 15 feet

1 Pilot Vehicle + 1 Police Escort or 2 police escorts when the Maine State Police, MaineDOT or BMV deems necessary

Maine Only

Greater than or equal to 16 feet and less than 20 feet

Greater than or equal to 125 feet and less than 150 feet

2 Police Escorts + 1 Pilot Vehicle

Maine Only

Greater than or equal to 20 feet

Greater than or equal to 150 feet (See Section 8)

1 Pole Car

Maine Only

Greater than 15 feet

1. TABLE 2 details the pilot vehicle and police escort requirements for a vehicle combination and load where the object moved is a manufactured, modular, mobile or pre-fabricated home:

TABLE 2

Number of Pilots/Escorts

Permit Type

Width

(At the Base)

Length

Height

1 Pilot Vehicle

Maine Only

Greater than 12 feet and less than or equal to 14 feet 6 inches

Greater than 80 feet and less than 125 feet

Multi-State

Greater than or equal to 12 feet

Greater than or equal to 80 feet

2 Pilot Vehicles

Maine Only

Greater than 14 feet 6 inches and less than 16 feet

1 Pilot Vehicle + 1 Police Escort

Maine Only

(1) Base greater than or equal to 16 feet and less than 20 feet, or (2) Eaves greater than or equal to 16 feet 9 inches

Greater than or equal to 125 feet and less than 150 feet

2 Police Escorts plus 1 pilot vehicle

Maine Only

Greater than or equal to 20 feet

Greater than or equal to 150 feet

1 Pole Car

Maine Only

Greater than 15 feet

(See Section 21 for special conditions for mobile and modular homes)

1. The Secretary, acting upon the advice of the Commissioner, may require pilot vehicles for lesser dimensions as well as require additional pilots, or may waive or modify the necessity of requiring pilot vehicles.
2. The Chief of the Maine State Police, a member of the department holding the rank of Lieutenant or higher or their designee, may at their discretion, waive the requirement for a second police escort or require additional police escorts to safely complete the move. The Maine State Police may not reduce the police escort requirements below the requirements of Title 29-A section 2382 subsection 9-A.

Operation

1. Pilot vehicles must travel in front of the overdimensional vehicle(s), unless traveling on a divided highway in which case, the pilot vehicle must follow the overdimensional vehicle. If two pilot vehicles are required, one will precede the overdimensional vehicle(s) and one will follow.
2. Movement must be made in such a way that other vehicles will not come between the pilot vehicle and the overdimensional vehicle(s).
3. The pilot vehicle must direct, by a predetermined signal, the overdimensional vehicle(s) off the highway at the first suitable opportunity, when: 1. a properly signaling emergency vehicle is approaching from the rear; or 2. seven or more vehicles are following as the result of slow movement.

Pilot Vehicle Specifications and Requirements

The pilot vehicle must be an automobile or light truck with a gross vehicle weight rating (GVWR) of less than 8,500 pounds, equipped with:

a conventional interior rear view mirror;

right and left exterior side view mirrors; and

amber lighting to include:

1. two intermittent flashing amber lights at least 6 inches in diameter; or
2. two rotary type amber lights at least 4 inches in diameter; or
3. a light bar of sufficient length and width to accommodate a minimum of four amber flashing or strobe lights or combination thereof; and
4. the lights under option (a) and (b) must be attached to the roof of the pilot vehicle, one on the extreme left and the other on the extreme right, or the light bar under option (c) must be located horizontally on the roof perpendicular to the length of the pilot vehicle.

Headlights shall be on low beam at all times during the move.

Special Signage

The sign shall read: “OVERSIZE LOAD”.

Sign Requirements

1. Size: not less than 5 feet wide by 12 inches high;
2. Lettering: not less than 8 inches high with a 1.4 inch brush stroke and a border width of 1 inch around the letters;
3. Color: black lettering on a yellow background;
4. Location: on the roof perpendicular to the length of the vehicle and legible on both sides; or on the front bumper when the pilot vehicle is required to precede the over dimension load, or on the rear bumper when the pilot vehicle is required to follow the load.

Pilot vehicles not engaged in escorting overdimensional loads must have signs removed or covered and amber warning lights extinguished.

Mobile Communications

Two-way mobile communication which has a minimum radius range of one-half mile is required.

Communication must be maintained with the overlimit vehicle(s) at all times during the move.

The driver requirements for a pilot vehicle are as follows:

the driver must be at least 18 years of age;

the driver must have held a motor vehicle operator’s license for two consecutive years immediately prior to operating a pilot vehicle; and

the driver must be familiar with the rules regarding the outfitting and use of pilot vehicles.

SECTION 17. POLICE ESCORTS

Police escorts are required when a vehicle or combination of vehicles and load exceeds:

1. 125 feet or more in length, or
2. 16 feet or more in width, or
3. when the rear overhang is greater than 15 feet.

The Secretary, with the advice of the Commissioner, may require a police escort for an entire move or portions thereof, even when the threshold for requiring a police escort has not been exceeded (See Section 21 for special conditions for mobile and modular homes).

The Chief of the Maine State Police or any troop commander may authorize and designate the total number of police escorts required for permitted loads. The total number of police escorts may be fewer or greater than the number of permitted vehicles when traveling in convoy.

Special Signage

If, in the escorting officer’s judgment, it would be unsafe for another vehicle to overtake and pass the load while moving, then a sign shall be required to be displayed at the rear of the vehicle.

1. The sign shall read: “DO NOT PASS MOVING LOAD”.
2. Sign Requirements 1. Size: not less than 5 feet wide by 18 inches high; 2. Color: black lettering on a yellow background; 3. Lettering: 1 5/8 inch (Series “C”) brush stroke.

Mobile Communication

Two-way mobile communication with a minimum radius of one-half mile between the police escort(s) and the load vehicle must be in operation during the move.

The permittee is responsible for ensuring that the required two-way mobile communication is in place.

Appointment Arrangements

The permittee must make escorting appointments directly with the police agency providing the service (See Section 3 – Communication and Contact Information).

A three working day notice must be given to the State Police when their services are required or desired.

SECTION 18. Night Moves And STATE POLICE ONLY MOVES

On the Interstate System

1. Only the Maine State Police may provide police escorts on the Interstate Highway System.

Night Moves

Night moves (moves between sunset to sunrise as defined in Title 29-A §101(78)) may be authorized by any Maine State Police Troop Commander for travel at such times and places where public safety will not be adversely affected.

One or more Maine State Police officers must be present to escort overdimensional vehicles moving at night. The troop commander may waive or modify police escort requirements when in the troop commander’s opinion public safety will not be adversely affected.

Additional lighting

1. Flashing amber beacons must be displayed in place of or in addition to flags as described in Section 14, paragraph 2.B.

Maine Turnpike

Contact the Maine Turnpike Authority for specific information regarding night moves on the Turnpike (See Section 3 – Communication and Contact Information).

Timber Harvesting Equipment

Timber harvesting equipment may be transported between sunset and sunrise during the months of March and April if:

1. the air temperature is 32 degrees Fahrenheit or lower and the ground is solidly frozen with no standing water;
2. the width of the load does not exceed 11 feet 6 inches and the length does not exceed 75 feet;
3. two qualified pilot vehicles accompany the oversize load with one preceding the oversize load and the other following;
4. two-way mobile communication is maintained between the pilot vehicles and the overdimensional load vehicle; and
5. the oversize load displays flashing amber beacons at the extremes of the load in the place of or in addition to flags.

The Commissioner, acting on the advice of the Chief of the Maine State Police, may prohibit the nighttime movement of timber harvesting equipment on particular sections of highway if such movement would create an unacceptable risk to public safety.

Applicants must notify the Issuing Authority of their intent to move at night when applying for an overlimit permit. The permit must clearly indicate the move is to take place at night.

SECTION 19. MAINE TURNPIKE AUTHORITY

Travel on the Maine Turnpike is governed by Rules and Regulations adopted by the Maine Turnpike Authority, including but not limited to rules with respect to size and weight limitations. There also are restrictions on time of travel and some overlimit vehicles may be allowed to move at night. The Maine Turnpike Authority may require pilot vehicles and State Police escorts at lesser dimensions and weights than required by this rule.

Overlimit loads are not allowed on the Maine Turnpike when speeds are reduced to 45 miles per hour. If an overlimit load is on the Turnpike when speeds are reduced, the vehicle must exit the Turnpike at the earliest possible point, and await the return to normal posted speeds.

Many bridge clearances on the Maine Turnpike are at 13 feet 6 inches.

The Secretary’s issuance of a permit listing the Maine Turnpike as a route does not relieve the permittee of the obligation to also obtain a Turnpike-issued permit. The Turnpike requires a permit fee in addition to the fare normally charged for the class of vehicle involved.

SECTION 20. REGIONAL AGREEMENTS: Interstate / International moves

New England Transportation Consortium (NETC)

1. Maine, New Hampshire, Massachusetts, Vermont, and Rhode Island have formed the New England Transportation Consortium (NETC). One of the efforts of the NETC was to develop procedures for issuing multi-state permits for non-divisible overdimensional and non-divisible overweight combination vehicles engaged in interstate travel within the five states..
2. Under these procedures, multi-state permits may be obtained only for combination vehicles and loads not exceeding the following limits: 1. 108,000 lbs. on five axles; 2. 120,000 lbs. on six or more axles; 3. 90 feet overall length; 4. 13 feet 6 inches overall height; and 5. 14 feet in width with an additional 6 inches of eave width on mobile or modular home components only providing the greater overhang is on the right hand shoulder of the highway.

(See 29-250 CMR chapter 155 for more information)

Northeast Oversize Overweight Permit Agreement (NOOPA)

1. The Northeast Association of State Transportation Officials (NASTO) has organized a regional permitting agreement among all States and Provinces in the Northeast region. The envelope vehicle size is the same as the NETC. Each state or province in the agreement approves its portion of the route. Each affected jurisdiction returns their approved permit to the managing permit service. The permit service generates a single document for the permittee.

SECTION 21. MOBILE AND MODULAR HOME MOVEMENT SPECIAL REQUIREMENTS

Mobile homes and semitrailers used to haul modular homes must be registered before a permit is granted. Mobile homes must have a dealer or transit plate affixed to the back of the home.

Before a permit is granted to transport a mobile home the applicant must provide the Overlimit Permit Unit with:

the registration information for the mobile home (dealer or transit plate number); and

the required mobile home identification information which is the year, make, color, and serial number.

Before a permit is granted to transport a modular home the applicant must provide the Overlimit Permit Unit with:

the registration information for the semitrailer (plate number); and

the serial number of the home to be transported.

Previously used mobile homes require a current tax release (MV-47 or MV-47E) from the town of origin, prior to being moved. The tax release must be complete and include an official town stamp. Homes coming from a sales lot or from out-of-state do not require this form.

Additional dimensional requirements are imposed for mobile and modular homes.

1. If the home is 11 feet six 6 inches or wider, when measured at the base 1. Towing Vehicle 1. The towing vehicle must have dual wheels on the drive axle, and a gross vehicle weight rating of 26,001 lbs. or more. 2. Vehicles of at least 20,000 lbs. gross vehicle weight rating in use as of July 1, 1995 by the permittee may continue to be used until permanently taken out of the mobile home moving service by that permittee. 2. Warning Flags

A red or fluorescent orange warning flag must be displayed on each of the four corners of the vehicle combination.

• 1. Lighting

The unit to be moved must be equipped with clearance lights and reflectors.

• 1. Safety Chains

Safety chains must be attached so as to prevent breakaway from the towing vehicle.

1. If the home is greater than 11 feet 6 inches to and including 13 feet 6 inches in width, when measured at the base,

No permitted travel is allowed:

1. one-half hour after sunset to one-half hour before sunrise;
2. Saturdays between April 22 and November 18 after 12 PM;
3. Saturdays between June 3 and August 26 on I-95 after 9 AM;
4. Sunday;
5. legal holidays; or
6. additional days as the Secretary, with the advice of the Commissioner, may designate.
7. If the home is greater than 13 feet six 6 inches to and including 14 feet six 6 inches in width, when measured at the base:

No permitted travel is allowed:

1. one-half hour after sunset to one-half hour before sunrise; or on
2. Friday after 12 o’clock noon;
3. Saturday after 12 PM from April 22 to November 18; or on I-95 after 9 AM or on other roads after 12 PM from June 3 to August 26;
4. Sunday;
5. legal holidays; or
6. additional days as the Secretary, with the advice of the Commissioner, may designate.

Police escorts

The Secretary, with the advice of the Commissioner, may require a police escort for the entire move or portions thereof.

Extra lighting

The configuration shall be equipped with two additional amber lights. The lights shall be at least six inches in diameter for intermittent flashing lights or four inches in diameter for rotary type lights. The lights shall be located at the rear and above the sign at the extreme edges or width of the mobile or modular home.

1. If the home is greater than 14 feet 6 inches in width, when measured at the base:

No permitted travel is allowed:

1. one-half hour after sunset to one-half hour before sunrise; or on
2. Thursdays followed by a Friday legal holiday;
3. Friday;
4. Saturday after 12 PM from April 22 to November 18; or on I-95 after 9 AM or on other roads after 12 PM from June 3 to August 26;
5. Sunday;
6. legal holidays; or
7. additional days as the Secretary, with the advice of the Commissioner, may designate

Pilot vehicles

Divided highways

1. One pilot vehicle is required to follow the load on divided highways.

All highways except for divided highways

1. Two pilot vehicles are required. One pilot vehicle must precede the load and one pilot vehicle must follow the load.

Police escorts

The Secretary, with the advice of the Commissioner, may require a police escort for the entire move or portions thereof.

SECTION 22. UNLADEN OVER-WIDTH LOWBED EQUIPMENT TRAILERS IN AROOSTOOK COUNTY

Unladen over-width lowbed trailers may be operated on state highways in Aroostook County between November 1 and May 1 under the following conditions:

The over-width trailer does not exceed l0 feet;

The over-width trailer travels empty and is either:

traveling to pick up equipment, or

returning to the places of business, or the driver’s home, from delivering timber harvesting equipment as identified on the permit;

The over-width trailer displays flashing beacons at the extreme corners in place of or in addition to flags;

The over-width trailer may not travel when visibility is poor or the highway is considered

dangerous due to rain, slush, ice, or other conditions deemed unsafe under Section 14. Safety Standards;

The applicant notifies the Bureau of Motor Vehicle of their intent to move at night when applying for the over-limit permit;

The permittee follows all other requirements and standards established in this rule for the administration of over dimension and overweight permits;

MaineDOT and the Maine State Police may prohibit nighttime moves on particular sections of state highways if such movements would create unacceptable risks to public safety; and,

MaineDOT and the Maine State Police may suspend the provisions of this section at any time if the risk to public safety becomes unacceptable.

EFFECTIVE DATE:

December 16, 1989

AMENDED:

August 21, 1990

August 3, 1992

August 9, 1994

May 27, 1995

ELECTRONIC CONVERSION:

May 4, 1996

AMENDED:

May 28, 1996 - A (23); C (last sentence): "changed" corrected to "charged"; I (1), (2)(C, D); J (4, 5).

NON-SUBSTANTIVE CORRECTIONS:

August 26, 1996 - page 1, paragraph 6, third line, added "s" on the word "vehicle";

page 5, Section D, paragraph 2, "and" inserted between "permit" and "electronically";

page 6, paragraph 6, comma inserted between "Com-Check and "a CCIS Check"; and "Vital Check" made into one word;

page 11, Section F, paragraph 1, "A" inserted at beginning of paragraph;

page 11, Section F, paragraph 3, changed "wave" to "waive".

AMENDED:

August 3, 1997 - A(15,23); D(6) and (7)(F,G); insertion of “At smaller dimensions” in I(1); insertion of “their” in I(C); I(E); removal of “State” from “State police” in E(7), F(3. 5), H(5), I(6); J(3)(B), (4)(C), (5).

NON-SUBSTANTIVE CORRECTION:

August 15, 1997 - corrected parentheses problem in D(8)(D).

AMENDED:

November 11, 1997 - A(23), I(2)(C and D), J(4)(A).

REPEALED AND REPLACED:

January 2, 2001

AMENDED:

March 29, 2004 - filing 2004-101

August 12, 2006 - filing 2006-359

REPEALED AND REPLACED:

July 11, 2010 – filing 2010-282

AMENDED:

January 8, 2017 - filing 2017-002

AMENDED:

February 27, 2018 - filing 2018-029

AMENDED:

February 16, 2025 – filing 2025-033

APAO ACCESSIBILITY CHECK (Word):

April 7, 2026

The NETC multistate permit process currently is suspended. ↑

The Maine Department of Transportation has granted a blanket exemption for oversized equipment (such as logging, construction, or agricultural machinery) being moved on Saturdays and Sundays in July and August for Aroostook, Franklin, Oxford, Penobscot, Piscataquis, Somerset, and Washington counties. Moves must be completed by 9 o’clock a.m., and should avoid congested areas. ↑

Except as provided by Title 29-A M.R.S.A. §2364. ↑

100,000 lbs. is legal on 6 or more axles consisting of a minimum of a 3-axle truck tractor in combination with a tri-axle semitrailer on General Law Highways. The Maine Interstate System is restricted to 80,000 lbs. except that a combination vehicle consisting of a 3-axle truck tractor and a tri-axle semitrailer may operate up to 100,000 lbs. for as long as a federal law exempting Maine from the 80,000 lbs. interstate limit is in effect. ↑

Chapter 159 Rules Governing the Administration of the Permanent, Semipermanent Semitrailer Registration Programs

Code Me. R. 29-250 Ch. 159 Rules Governing the Administration of the Permanent, Semipermanent Semitrailer Registration Programs {#sec-29-250-ch.-159 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 159}

SUMMARY: The purpose of this rule is to establish procedures for the implementation of permanent, and semipermanent trailer registration programs.

In general, terms have the same meaning as set forth in Title 29-A of the Maine Revised Statutes , except as otherwise set forth in this rule.

A. DEFINITIONS

1. The term “registrant” means any person, firm, corporation, partnership, company, trustee, lessee or receivers owning or controlling a semitrailer being registered pursuant to 29-A MRSA §512.

2. The term “semitrailer” means any vehicle without motive power designed for being drawn by a motor vehicle, where some part of the weight of the vehicle and its load rests upon or is carried by the vehicle.

3. The term “Secretary” shall mean the Maine Secretary of State or any Deputy Secretary of State.

4. The term “certificate” means a registration document issued by the Secretary of State identifying the vehicle and the registrant.

5. The term “plate” means a unique external identification device assigned to a specific vehicle.

6. The term "Agent” means any Maine resident acting on behalf of any person, firm, corporation, partnership, company, trustee, lessee or receivers owning or controlling a semitrailer being registered pursuant to 29-A MRSA §512.

7. The term “Non-Governmental Agent” means any person appointed by the Secretary of State to issue original registrations, to renew registrations, and to transfer registrations from one vehicle to another.

8. The term “permanent registration” means a long-term trailer registration certificate and plate with an expiration date of December 31st, 25 years from the year of issue. The fee for each registration shall be eighty dollars ($80.00) payable at time of issue.

B. GENERAL INFORMATION

Pursuant to 29-A MRSA §512 the Secretary of State, Bureau of Motor Vehicles has a semipermanent semitrailer registration program. It is a requirement that the person, partnership, or corporation participating in this program be a Maine resident, have a place of business in Maine, or have a designated agent or representative residing in Maine.

The Secretary of State offers three types of semipermanent trailer registration programs: a five to 12 year long term program; a 20 year semi-permanent program and a 25 year permanent plate program.

Initial registration. Semitrailers must be registered for at least five years. Exceptions are made only to allow registrants to maintain a common expiration date for an existing fleet. In no case shall a semipermanent semitrailer registration be issued for fewer than three (3) years.

Renewals: Registrations which have expired may be renewed for three to twelve years at the long term rate of $12/year. Generally, when a registration is renewed a new registration number will be issued. However, the Secretary of State may authorize a registrant to continue to use the same plate number.

Pursuant to 29-A MRSA §512 Sub-section 2 the Secretary of State, Bureau of Motor Vehicles will issue semipermanent semitrailer registrations valid for periods up to 20 years to qualified applicants. The fee for each registration is twelve dollars ($12.00) per year. A registration certificate and registration plate will be issued to each semitrailer registered.

Title fee for 25-year permanent plate is 18 dollars ($18.00).

All trailer applications may be processed by a non-governmental agent.

C. COMMUNICATIONS

All written communications and documents should be addressed to the Secretary of State, Bureau of Motor Vehicles, Trailer Unit, #29 State House Station, Augusta, Maine 04333. All communications and documents are deemed to be officially received when delivered at the offices of the Secretary of State in Augusta, Maine. Telephone number is: (207) 624-9000 Ext. 52151. Fax number is (207) 624-9312. E-mail: trailerunit.bmv@maine.gov .

D. CHANGE OF ADDRESS

A registrant must report any change of address of a principal place of business to the Secretary of State within 30 days.

E. REMITTANCES

Remittances to the Secretary of State may be made by money order, bank draft, or credit card payable to the Secretary of State or the Treasurer of the State of Maine. Personal checks are accepted subject to collection.

Remittances in currency are wholly at the risk of the remitter. The Secretary assumes no responsibility for loss of currency sent by mail.

All remittances must be in United States funds.

F. REGISTRATION YEAR

The registration year is March 1 to the last day of February. The expiration date for the 25-year permanent plate program will be December 31, 25 years from the year of issue.

G. MINIMUM FLEET SIZE

1. In the 5 to 12year program there is no minimum fleet size.

2. In the twenty year program each registrant must register at least 1000 semitrailers in at least one registration year. Failure to maintain at least 1000 active registrations may result in the cancellation of the registrant’s registrations.

3. To be eligible for the 25year permanent registration program, a registrant must maintain a total of at least 30,000 registrations in any program under 29-A MRSA §512. The 30,000 registration total is additive among the programs.

Title fee for 25-year permanent plate is eighteen dollars ($18.00).

H. ISSUANCE/DISPLAY

For each semitrailer to be registered pursuant to 29-A MRSA §512 , the registrant must complete an application prescribed by the Secretary of State. All applications must be typed. Documents with strikeovers or corrections which materially effect the integrity of the registration document will be rejected.

When a registration is a re-registration, the expiring plate number must be indicated on the renewal registration. Alternatively, the registrant may provide a listing of all registrations being renewed. For each record the listing must include the expiring plate number, the new plate number, and the vehicle identification number. The Secretary of State may authorize a registrant to use the same registration plate and number on a renewal.

Certificates and plates may be displayed upon issuance. Upon display, the white and yellow copies of the registration must be forwarded to the Bureau of Motor Vehicles within 10 days. The Bureau may accept the exchange of information and may prepare documents from electronic media provided by the registrant.

The Secretary of State may require documentation submitted to support the issuance of more than 100 registrations of the 25-year permanent registration program be submitted via electronic media. Certificates and plates may be displayed upon issuance.

1. Unless a registrant has been approved for time payments, full payment must be received at the time of registration. The fee is $12.00 per registration per year. A portion of a year is a full year.

2. Semitrailers with a gross vehicle weight of 2,000 pounds or less are at a rate of five dollars ($5.00) per year.

3. Time Payments

8 to 12 Year Billing Program

Upon approval of the Secretary of State, owners of fleets of 500 or more semitrailers may make installment payments as outlined in the following schedules. Upon written request, the Secretary of State may waive the 500 unit requirement. Registrations issued pursuant to the time payment program must be registered for at least eight years. The only exception is for units being placed in an existing fleet in order to maintain a common expiration date.

INITIAL REGISTRATION 1ST YEAR 2ND YEAR 3RD YEAR 4TH YEAR

12 year plan: $48.00 $24.00 $24.00 $24.00 $24.00

11 year plan: $48.00 $24.00 $24.00 $24.00 $12.00

10 year plan: $48.00 $24.00 $24.00 $24.00

9 year plan: $48.00 $24.00 $24.00 $12.00

8 year plan: $48.00 $24.00 $24.00

Time Payment Up to 20 Year Plan

Each application for a 20 year semipermanent registration must be accompanied by a payment of thirty-six dollars ($36.00) for the first three years’ fee. Once paid, no portion of the initial fee may be refunded.

Annual payments must be made prior to March 1. The first annual payment must be made prior to the start of the second registration year. The Secretary will prepare a detailed billing in January for each registrant. Registrants are required to pay the entire bill, and may not make any adjustments except for document cancellation.

If the registrant fails to make a required payment by March 15, all registrations issued pursuant to 29-A MRSA, Section 512 Sub-section 2 may be suspended.

J. REFUNDS

The first three years’ fees may not be refunded. A refund will be issued for the unused portion of a registration (full year increments only). All requests for refunds must be submitted in writing. Both plate and certificate must be returned. If the plate is not returned a lost plate statement must be submitted and a fee of five dollars ($5.00) per plate will be deducted. If a registration certificate is not returned a two dollar ($2.00) per registration certificate is charged. If both the plate and certificate are not returned, a refund will be issued only if the registrant pays the lost plate and lost certificate fee, and submits a statement that the credentials have been lost.

All requests for refunds and accompanying documentation must be submitted in numerical sequence by plate number within expiration year, e.g. all 2018 registrations listed, then 2019 registrations, etc. No portion of the fee paid for the 25-year permanent registration may be refunded.

A registrant may not reregister a vehicle in the permanent registration program if any portion of the previous registration was refunded.

K. TRANSFERS

The same documentation required for an application for new registration is required for a transfer, and the old registration certificate must be returned. If no certificate is returned the two dollar $2.00 duplicate certificate fee must be charged.

The file will be checked to determine that the original registration is valid. Once it has been determined that the registration is valid, the application will be processed as a new registration. Once the registration has been validated the plates may be transferred to the new unit.

Active registrations may be transferred for a fee of eight ($8.00) dollars. Registrations may not be transferred between registrants. For the 25 year program a registrant may transfer an unexpired registration to a semitrailer not previously registered to the registrant in this state. The fee is twenty dollars ($20.00).

L. DOCUMENTATION TO ACCOMPANY NEW REGISTRATION APPLICATION

1. For semitrailers required to be titled the application for registration must be accompanied by an application for title, a Manufacturers Statement of Origin (MSO) or a valid title from another state showing the name of the registrant. If the title does not show the registrant’s name then a Maine application for title must be filed. If a title from another state is presented the number on the registration application must be listed. Each agent must keep a copy of each title on file. The Bureau may verify the copy of the title during normal business hours.

NOTE: Photocopy of title or title number is acceptable.

If title is not required because of the age of the semitrailer the registrant must provide the Bureau with the current or previous registration, or a copy of the bill of sale showing the transfer to the applicant.

NOTE: Semitrailers with a model year of 1995 or newer must be titled.

A completed Sales/Use Tax form must also accompany the application. Even if no sales tax is due, a completed form must be filed. If sales tax is due it will be collected at time of registration.

2. NEW REGISTRATION APPLICATION

The application for registration accompanied by proper fee checked for the following information:

Semitrailer Information

a. Make

b. Year

c. Style

d. Vehicle Identification Number

e. Name and address (Agent address if applicable)

f. Signature (As applicable)

If all required information is provided a clerk in the Trailer Unit will assign a plate number and validate the application. The white application must be retained for the files and the validated certificate will be issued. Plates will be provided according to Bureau of Motor Vehicles procedures.

Applications with missing information will be returned to the applicant or agent.

The signature requirement may be waived on the 25-year permanent plate.

3. RE-REGISTRATION APPLICATION

Reregistration process for next year, may begin on October 1st. The plates for the next year may be displayed beginning December 1st.The application for re-registration, accompanied by proper fee is checked for the following information:

Semitrailer Information

a. Make

b. Year

c. Style

d. Vehicle Identification Number

e. Expiring Plate Number ( Provide a listing)

f. Name and address (Agent address if applicable)

g. Signature (As applicable)

The signature requirement may be waived on the 25-year permanent plate.

If all required information is provided a clerk in the Long Term Trailer Unit will validate the application. The validated white application is retained for the files and validated certificate and plate are issued.

The Secretary of State may allow a registrant to use the same plate and number upon renewal.

NO SALES/USE TAX FORM OR TITLE APPLICATION IS REQUIRED AT TIME OF RE-REGISTRATION.

M. CANCELLATION OF REGISTRATION

A registration may be canceled at any time by returning the registration plate and certificate to the Secretary of State. The registrant remains responsible for all uncanceled registrations. When a registration is canceled, no fees may be refunded. In order to cancel registration listed on the annual bill, the registrant must submit a list of registrations to be canceled with the annual payment. The canceled registration plates and certificates must be returned or the registrant must file a statement that such were lost and must pay the lost document fees. The registrant may deduct canceled registrations from their bill. (Note: this does not apply to registrants for which a refund is being requested.)

N. DUPLICATES

A registrant may request a duplicate registration certificate. The fee for a duplicate is two dollars ($2.00).

O. LOST PLATES

A registrant may request a replacement plate. The fee for a replacement plate is five dollars ($5.00). A registration plate may be reported as lost or stolen by executing a notarized lost plate statement. The statement and registration certificate must be returned to the Secretary of State. If not available, the two dollar ($2.00) duplicate fee must be charged on the same unit. The plate number is checked to verify that it is still valid and active if valid, a new plate number will be assigned. The registrant may request a replacement registration certificate and registration plate. The fee for a replacement plate will be five dollars ($5.00) which will be in addition to any other fees. Plates reported as lost will no longer be valid.

The registrant must request replacement plates for lost 25-year permanent plates. A cardboard plate will be used until lost plate is replaced.

P. RESIDENT AGENTS

Non-resident registrants must designate a resident agent to serve as the registrant’s legal representative. A resident agent must be a resident of Maine, and maintain a physical Maine address and telephone number.

The non-resident registrant must file the above information on the resident agent with the Secretary of State. The filing will remain valid unless superseded by another filing, or canceled by the agent. Resident agents must provide at least 30 days notice of cancellation to the Secretary of State.

A resident agent may act on behalf of a registrant with respect to semipermanent and 25 year permanent trailer registration.

Failure to maintain a resident agent as required may result in all registrations issued being suspended.

Resident registrants may designate a resident agent. Resident registrants using a resident agent must also file the required agent information.

An entity licensed by the Bureau of Corporations, Elections and Commissions to do business in this state is a resident of this state for the purpose of this rule.

Q. CONSIGNMENT PLATES

Consignment plates are semipermanent trailer or semitrailer plates, temporarily in the possession of an agent, that have not been assigned to a trailer or semitrailer. An agent may be issued consignment plates to use to replace lost plates, or to issue as new registrations. Agents are responsible for the proper use and accountability of consignments plates assigned to them.

1. Twenty-five year Permanent Plate Consignment Program. Consignment plates for the permanent registration program will be made available. A registrant may receive consignment plates equal to one percent of the number of units registered in the program. The fee for each consignment plate is eighty dollars ($80.00). Registration certificates must contain the following: Plate number, registrant’s name, and address. The vehicle description information will be added by the registrant or their agent when the consignment plate is assigned to a vehicle.

An agent initially may be assigned up to ten semipermanent plates for each registration year to be used only as replacement plates for previously assigned plates reported as lost. The fee for each consignment plate used to replace a lost plate is five dollars ($5.00). The five dollar fee is non-refundable.

The agent will verify with the Bureau that the plate being replaced is an active registration. The agent will complete the green copy of the consignment plate registration and return it to the Bureau within five business days. The plate being replaced must be noted on the green copy. The Bureau will match the green copy to the Bureau’s copy, and will make the revisions to the Bureau’s database.

Consignment plates used as replacements for lost plates may be replenished on a one-for-one basis. Upon turning in the documents on a used consignment plate, the agent may receive an additional plate for the same year. The agent must pay the five dollar ($5.00) consignment plate fee at the time the consignment plate is issued.

2. Consignment plates used for new eight to twelve and twenty year registrations. An agent may be issued consignment plates to be used to issue new registrations for their clients’ newly acquired trailers or semitrailers. For eight to twelve year plates, the agent must pay an initial fee of forty-eight dollars ($48.00) per consignment plate representing the fee for the first four years of the registration, for the 20 year program the fee would be thirty-six ($36.00) dollars. Each consignment plate will remain the responsibility of the agent until assigned to a registrant's unit. The agent will be billed annually under the regular billing program for any consignment plates that remain assigned to the agent under this paragraph. The annual incremental payment will be due by March 1 of each year.

Upon assignment of the plate to a new trailer or semitrailer, within five business days the agent shall return the green copy of the registration to the Bureau along with required supporting documentation. The agent shall fill out the green copy of the registration including the vehicle and registrant information. The Bureau will update its database, and will reassign the registration to the registrant’s fleet. The registrant will become responsible for subsequent registration fees.

3. Full fee consignment plates. An agent may obtain consignment plates by paying the annual fee multiplied by the term of the plate. These plates remain the responsibility of the agent until assigned to a registrant’s trailer or semitrailer as a new registration. Upon assignment, the agent must turn in a completed green copy of the registration and any supporting documentation within five business days.

Refunds. The first three years’ fees are non-refundable. For the fourth and subsequent years an agent may return consignment plates for a refund of any unused portion of the registration that has been paid for. Any portion of a year is a full year. In order to receive any refund, the agent must return both the plate and all copies of the registration documents. No portion of the fee for the 25-year permanent plate may be refunded.

Cancellation. An agent may request that a consignment plate be canceled without refund. The Bureau will enter the registration on the database with the status “canceled”. The agent will not be billed for subsequent registration years. For lost plate consignments, the agent may not receive an additional plate to replenish the canceled plate. A canceled plate may be reactivated within the same license year at the request of the agent, and with the approval of the Secretary of State.

Misuse of consignment plates. Any agent who fails to meet the requirements for the use of consignment plates may have their privileges suspended or revoked. Any agent whose privileges have been suspended or revoked may request a hearing from the Secretary of State.

R. EXPIRATION

While registrations issued pursuant to 29-A MRSA §512 sub-section 2 will generally be for twenty year periods, registrants may request registrations for a shorter period only to consolidate fleet registrations. In no case will a registration be issued for fewer than three years.

S. TRANSITION/RENEWAL

The Secretary of State may prepare preprinted registration certificates for any qualified registrant renewing registrations previously issued pursuant to 29-A MRSA §512.

The Secretary of State may issue unassigned registration plates equal to up to twenty percent of the registrant’s expiring registrations. The registrant will assign registration plates to a specific unit. The registrant must enter the new registration plate number on the registration certificate within 10 days of display in order to receive any additional unassigned plates.

T. EXTENSIONS

Extensions may be allowed to extend an Active registration for at least three (3) years, but not more than the current twelve (12) year plate.

Extensions are restricted to full payment 12 year registration program.

Annual Trailer registrations may not be extended into the Long Term Trailer registration program.

U. MUNICIPAL FISCAL IMPACT

This rule will have no fiscal impact on municipalities.

EFFECTIVE DATE:

June 18, 1991 (EMERGENCY)

EFFECTIVE DATE OF PERMANENT RULE:

February 9, 1992

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

AMENDED:

December 22, 1997

NON-SUBSTANTIVE CORRECTION (table format error):

January 28, 1998 - moved 4th year 3rd row item to 3rd year (§I sub-§3).

AMENDED:

August 22, 1998

September 8, 1998 - missing language in Q(2) added

March 30, 1999 - section G (EMERGENCY - expires June 28, 1999)

June 27, 1999 - section G

NON-SUBSTANTIVE CORRECTIONS:

December 20, 2000 - converted to MS Word, spelling, formatting

AMENDED:

January 10, 2004 - filing 2004-2

NON-SUBSTANTIVE CORRECTIONS:

February 18, 2004 - eliminated stray underline on page 5

AMENDED:

July 13, 2014 – filing 2014-145

January 17, 2018 – filing 2018-005

June 4, 2018 – filing 2018-091

CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD:

April 7, 2026

APAO ACCESSIBILITY CHECK (Word):

April 7, 2026

Chapter 162 The Administration of the International Registration Plan

Code Me. R. 29-250 Ch. 162 The Administration of the International Registration Plan {#sec-29-250-ch.-162 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 162}

SUMMARY: This chapter outlines the procedures and standards governing Maine's participation in the International Registration Plan pursuant to Title 29-A §531-3.

SECTION 1. DEFINITIONS

ADDITIONAL FLEET VEHICLES: vehicles acquired by the registrant after the commencement of the registration year and added to the proportionally registered fleet.

AGREEMENT: the International Registration Plan (“the Plan”), or other reciprocal arrangements, or understandings between or among jurisdictions.

ALLOCATION: a system of registering a fleet that operates in more than one member jurisdiction under which the vehicles are fully registered in individual member jurisdictions in proportion to a measure of the presence of travel of the fleet in each one, and under which the vehicles so registered are granted reciprocity in all the member jurisdictions in which any of the vehicles of the fleet is registered.

ALLOCATED VEHICLE: a fleet of rental cars or rental trucks not otherwise required to be in the IRP in which a portion of the fleet registrations are assigned to each jurisdiction based on the percentage of revenue earned in the jurisdiction.

APM: the IRP Audit Procedures Manual.

APPLICANT: a person in whose name an application is filed for registration under the Plan.

APPLICATION: see Uniform Application.

APPORTIONABLE FEE: any periodic recurring fee or tax required for registering vehicles, such as registration, license, or weight fees.

APPORTIONABLE VEHICLE: any power unit that is used or intended for use in two or more member jurisdictions and that is used for the transportation of persons for hire or designed, used, or maintained primarily for the transportation of property, and:

1. has two axles and a gross vehicle weight (GVW) or registered gross vehicle weight in excess of 26,000 pounds (11,793.401 kilograms), or
2. has three or more axles, regardless of weight, or
3. is used in combination, when the gross vehicle weight of such a combination exceeds 26,000 pounds (11,793.401 kilograms).

A recreational vehicle, a vehicle displaying restricted plates, or a government-owned vehicle, are not apportionable vehicles; except that a truck or truck tractor, or the power unit in a combination of vehicles having a GVW of 26,000 pounds (11,793.401 kilograms) or less, nevertheless, may be registered under the Plan at the option of the registrant.

APPORTIONED VEHICLE: an apportionable vehicle that has been registered under the Plan.

APPORTIONMENT: registration based on a proportional payment of registration fees, whether determined by a quotient of miles traveled, revenue received, average presence, or any other similar method.

APPORTIONMENT PERCENTAGE: the ratio of the distance traveled in the Member Jurisdiction by the Fleet during the Reporting Period to the distance traveled in all Member Jurisdictions by the Fleet during the Reporting Period, calculated to six decimal places, rounded to five decimal places, and multiplied by one hundred.

AUDIT: the physical examination of a registrant’s operational records, including source documents, to verify the distances reported in the registrant’s application for apportioned registration and the accuracy of the registrant’s record-keeping system for its fleet.

AUXILIARY AXLE: an auxiliary undercarriage assembly with a fifth wheel and tow-bar used to convert a semi-trailer to a trailer.

AVERAGE PER-VEHICLE DISTANCE: the total distance for each member jurisdiction reported by all Maine fleets divided by the number of Maine apportioned vehicles apportioned for each member jurisdiction.

AXLE: an assembly of a vehicle consisting of two or more wheels whose centers are in one horizontal plane, by means of which a portion of the weight of a vehicle and its load, if any, is continually transmitted to the roadway. For purposes of registration under the Plan, an “axle” is any such assembly whether or not it is load-bearing only part of the time.

BASE JURISDICTION: the member jurisdiction, selected in accordance with Plan procedures, to which an applicant applies for apportioned registration under the Plan or the member jurisdiction that issues apportioned registration to a registrant under the Plan.

BOB-TAIL INSURANCE: liability insurance that covers the operation of an unladen truck-tractor not in combination with a trailer or semi-trailer.

BUREAU: any reference to Bureau in this Rule will mean the Maine Bureau of Motor Vehicles.

BUS: every motor vehicle designed for carrying more than 15 passengers, including the driver.

CAB CARD: an evidence of registration, other than a plate, issued for an apportioned vehicle registered under the Plan by the base jurisdiction and carried in or on the identified vehicle. The cab card identifies the vehicle, base plate, registered weight by jurisdiction, and all member jurisdictions where the vehicle is properly registered.

CANADIAN PROVINCIAL AUTHORITY NUMBER: a unique identification number assigned to a motor carrier authorized to conduct highway transportation operations within the boundary of the Canadian province issuing the number.

CARRIER: see Common Carrier, Contract Carrier, Motor Carrier, Motor Private Carrier.

CHARTER BUSES: buses which do not operate on a fixed route or on a regular schedule. Also known as Tour Buses.

CHARTERED PARTY: a group of persons who, pursuant to a common purpose and under a single contract, have acquired the exclusive use of a passenger-carrying motor vehicle to travel together as a group to a specified destination or for a particular itinerary, either agreed upon in advance or modified by the group after leaving the place of origin. This term includes services rendered to a number of passengers that a passenger carrier or its agent has assembled into a travel group through sales of a ticket to each individual passenger covering a round trip from one or more points of origin to a single advertised destination.

COMBINATION OF VEHICLES: a power unit used in combination with one or more trailers, semi-trailers, or auxiliary axles.

COMBINED GROSS VEHICLE WEIGHT: the total unladen weight for a combination of vehicles plus the weight of the load carried on that combination of vehicles.

COMMON CARRIER: any motor carrier which holds itself out to the general public to engage in the transportation by motor vehicle of passengers or property for compensation.

CONSUMER RENTAL VEHICLE: an automobile or truck registered for 26,000 pounds or less offered to the public for rent or short-term lease.

CONTRACT CARRIER: any motor carrier transporting passengers or property for compensation or hire under contract to a person.

CONVERTER GEAR: a set of axles with a fifth wheel designed to be towed by a power unit, and which is used to convert a semi-trailer to a full trailer. Converter gear may be used to connect two trailers in a twin trailer combination.

CREDENTIALS: the cab card and plate issued in accordance with the Plan.

DECLARED COMBINATION GROSS VEHICLE WEIGHT: the total unladen weight of any combination of vehicles plus the maximum load to be carried on that combination of vehicles for which registration fees have been paid.

DISTANCE: means miles or kilometers operated by a licensee’s qualified motor vehicles.

DECLARED GROSS VEHICLE WEIGHT: the total unladen weight of any vehicle plus the maximum load to be carried on the vehicle for which registration fees have been paid.

EMERGENCY VEHICLES: any vehicle authorized to display red, blue, or amber lights in the performance of duties as defined in M.R.S.A. 29-A §2054.

EMPTY WEIGHT: see Unladen Weight.

ENFORCEMENT DATE: the date the base jurisdiction requires a registrant to display the new registration year’s credentials.

ESTABLISHED PLACE OF BUSINESS: a physical structure located within the base jurisdiction that is owned or leased by the applicant or registrant and whose street address shall be specified by the applicant or registrant. This physical structure shall be open for business and shall be staffed during regular business hours by one or more persons employed by the applicant or registrant on a permanent basis (i.e., not an independent contractor) for the purpose of the general management of the applicant’s or registrant’s trucking-related business (i.e., not limited to credentialing, distance and fuel reporting, and answering telephone inquiries). Operational records concerning the fleet shall be maintained at the physical structure (unless such records are to be made available in accordance with the provisions of the Plan for records housed outside the base jurisdiction). The base jurisdiction may accept information it deems pertinent to verify that an applicant or registrant has an established place of business within the base jurisdiction.

EXCISE TAX: a tax which is required pursuant to 36 MRSA Chapter 111 as a prerequisite to motor vehicle registration in Maine. The tax is determined by multiplying the manufacturer’s list price by a mil rate determined by the age of the motor vehicle.

EXTENSION: a period of time from the expiration or end of a grace period during which registrants may operate on expired credentials by reason of the inability of the base jurisdiction to provide current credentials.

FEDERAL HEAVY VEHICLE USE TAX (HVUT): a federal excise tax paid annually to the Internal Revenue Service on each motor vehicle with a GVW of 55,000 pounds or more. Proof of payment is a prerequisite to Maine IRP Registration.

FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION (FMCSA): an agency of the United States Department of Transportation whose primary mission is to reduce crashes, injuries, and fatalities involving large trucks and buses.

FLEET: one or more apportionable vehicles designated by a registrant for distance reporting under the Plan. Such vehicles share the same jurisdiction profile, common mileage, and a common expiration date.

FLEET DISTANCE: see Total Distance.

FOR-HIRE CARRIER: any person who engages in transportation by motor vehicle of passengers or property for compensation.

FULL TRAILER: every vehicle without motive power, designed for carrying property and for being drawn by a motor vehicle and so constructed that no part of its weight rests upon the towing vehicle.

FULL RECIPROCITY PLAN: the process by which an IRP registrant is able to travel in all member jurisdictions. For first-time registrants, all jurisdictions’ fees are calculated based on the Maine average vehicle distance for each jurisdiction. For renewal fleets, fees are based on the registrant’s actual jurisdictional distance, but the registrant will have all member jurisdictions on the cab card.

48-A. GPS: a global positioning system that is used to identify a geographic location, sometimes referred to as a vehicle-tracking system.

GRACE PERIOD: the period of time from the expiration of apportioned registration until the enforcement date for new credentials.

GROSS VEHICLE WEIGHT (GVW): the unladen weight of a vehicle plus the maximum weight of the load carried on that vehicle.

HOUSEHOLD GOODS CARRIER: a carrier handling

1. personal effects and property used or to be used in a dwelling, or
2. furniture, fixtures, equipment, and the property of stores, offices, museums, institutions, hospitals, or other establishments, when a part of the stock, equipment, or supply of such stores, offices, museums, institutions, including objects of art, displays, and exhibits, which, because of their unusual nature or value, requires the specialized handling and equipment commonly employed in moving household goods.

HUNTER’S PERMIT: see Unladen Weight Permit.

IN-JURISDICTION DISTANCE: all of the distance operated during the reporting period or the distance estimated to be operated by a fleet in a particular member jurisdiction for the registration year.

INTER-JURISDICTION MOVEMENT: vehicle movement between or through two or more jurisdictions.

INTRA-JURISDICTION MOVEMENT: vehicle movement of property or persons from one point within a jurisdiction to another point within the same jurisdiction.

IRP: the abbreviation for the reciprocal agreement known as the International Registration Plan (“the Plan”).

IRP ADMINISTRATOR: the Bureau official charged with the administration of the International Registration Plan in the State of Maine.

IVDR: Individual Vehicle Distance Record. It is an original record generated in the course of vehicle operations to account for all distance traveled that may be used as a source document to support the registrant’s reported distance. An IVDR must contain the information set forth in the IRP Agreement.

JURISDICTION: a country or a state, province, territory, possession, or federal district of a country.

LEASE: a transaction evidenced by a written document in which a lessor vests exclusive possession, control, and responsibility for the operation of a vehicle in a lessee for a specific term.

1. A long-term lease is for a period of 30 calendar days of more.
2. A short-term lease is for a period of less than 30 calendar days.

LESSEE: a person who is authorized to have exclusive possession and control of a vehicle owned by another under terms of a lease agreement.

LESSOR: a person who, under the terms of a lease agreement, authorizes another person to have exclusive possession, control of, and responsibility for the operation of a vehicle.

MCS-150: the Federal Motor Carrier Safety Administration’s Motor Carrier Identification Report.

MSO: Manufacturer’s Statement of Origin – original documentation from the vehicle manufacturer that precisely describes a particular vehicle. MSO’s must contain a Vehicle Identification Number (VIN).

MEMBER JURISDICTION: a jurisdiction that has applied for and has been approved for membership in the International Registration Plan in accordance with the Plan.

MILEAGE: for purposes of this Rule, unless the context clearly indicates otherwise, “mileage” means the same as “distance”.

MOTOR CARRIER: a person required to be registered with the Federal Motor Carrier Safety Administration as an entity responsible for the safety and operation of their vehicles, and who has been assigned a U.S. DOT census number.

MOTOR VEHICLE: a vehicle which is self-propelled by power other than muscular power and which does not move on rail.

ONE-WAY RENTAL VEHICLE: a truck having a declared gross vehicle weight of 26,000 pounds or less and is rented, or offered for rental by a rental company, for a specified period of time.

OPERATING AUTHORITY: authority granted by either the Federal Motor Carrier Safety Administration or a jurisdiction’s Regulatory Commission to a carrier to operate for-hire in interstate and/or intrastate commerce.

OWNER: any person, other than a lien holder, holding legal title or legal possession to a vehicle.

OWNER-OPERATOR: someone who owns and leases a motor vehicle with a driver to a motor carrier. The carrier generally is responsible for some or all of the legal and business requirements for the vehicle. In the IRP, a motor vehicle may be registered by either the motor carrier or the owner-operator.

OPERATIONAL RECORDS: source documents that support distance traveled by a fleet in each member jurisdiction, such as trip sheets or IVDR’s, information that is generated through a vehicle tracking system, and distance summaries, as required by the IRP Agreement.

PERSON: a natural person or business entity such as a corporation, partnership, or limited liability company.

PLATE: the license plate, including renewal decals, if any, issued for a vehicle registered under the Plan by the base jurisdiction.

POOL: with respect to motor bus operations, an agreement or combination among motor carriers of passengers, with the approval of the U.S. Department of Transportation or relevant Provincial authority, to combine or divide traffic, services, or any part of their earnings.

POWER UNIT: a motor vehicle (but not including an automobile or motorcycle), as distinguished from a trailer, semi-trailer, or an auxiliary axle.

PRISM: the Performance and Registration Information Systems Management (PRISM) program is a federal-state cooperative motor carrier safety program that ties a motor carrier’s safety rating to their ability to register their vehicles.

PRIVATE CARRIER: a person providing transportation of its own property in furtherance of its commercial enterprise.

PROPERLY REGISTERED VEHICLE: a vehicle which has been registered in full compliance with the laws of all jurisdictions in which it is intended to operate.

PROPORTIONAL REGISTRATION: the registration of a fleet of apportionable vehicles “in proportion to” the percentage of miles traveled by the fleet in the reporting period. See Apportionment.

PRORATION: the proportional payment of fees on a monthly or other basis according to the laws of each jurisdiction.

PURCHASE PRICE: the actual price paid by the current owner for a vehicle at the time of sale, excluding trade-in allowance and sales tax, but including any additional cost for accessories or modifications attached to the vehicle.

RECIPROCITY: the reciprocal grant by one jurisdiction of operating rights or privileges to properly registered vehicles registered by another jurisdiction, especially but not exclusively including privileges generally conferred by vehicle registration.

RECIPROCITY AGREEMENT: an agreement, arrangement, or understanding between two or more jurisdictions under which each of the participating jurisdictions grants reciprocal rights or privileges to properly registered vehicles that are registered under the laws of other participating jurisdictions.

RECIPROCITY DISTANCE: the distance traveled by apportionable vehicles in jurisdictions which are not member jurisdictions and which grant reciprocity without charge.

RECREATIONAL VEHICLE: a vehicle used for personal pleasure or personal travel and not in connection with any commercial endeavor. Recreational vehicles include such vehicles as campers and motor homes.

REGISTERED WEIGHT (REGISTERED GROSS VEHICLE WEIGHT): the gross weight for which a vehicle is licensed or registered within a jurisdiction. See Declared Combined Gross Vehicle Weight and Declared Gross Vehicle Weight.

REGISTRANT: a person in whose name a properly registered vehicle is registered.

REGISTRATION: the process by which a vehicle is qualified for operation by describing the vehicle, by establishing operational control of the vehicle, and by payment of fees for the privilege to use the public highway system.

REGISTRATION CARD: see Cab Card.

REGISTRATION FEE: for apportioned vehicles, the total apportioned fee required under the laws of each member jurisdiction for full registration of a fleet vehicle for the registration year or the unexpired portion of the registration year, as the case may be.

REGISTRATION YEAR: the twelve-month period during which, under the laws of the base jurisdiction, the registration issued to a registrant by the base jurisdiction is valid.

RENTAL FLEET: means vehicles the rental owner designates as a rental fleet and which are offered for rent with or without drivers.

RENTAL OWNER: someone who rents vehicles to others with or without drivers.

RENTAL VEHICLE: a vehicle of a rental fleet.

RENTAL PASSENGER VEHICLE: for purposes of this Rule, rental passenger vehicles are those vehicles rented for a thirty-day (30) day period or less.

REPORTING PERIOD: means, except as provided below, the period of twelve consecutive months immediately prior to July 1 of the calendar year immediately preceding the beginning of the registration year for which apportioned registration is sought. If the registration year begins on any date in July, August, September, the reporting period shall be the previous such twelve-month period. See Section 14.

RESIDENCE: the status of an applicant or a registrant as a resident of a member jurisdiction.

RESTRICTED PLATE: a plate that has a time, geographic area, distance, or commodity restriction or a mass transit or other special plate issued for a bus leased or owned by a municipal government, a state or provincial transportation authority, or a private party, and operated as part of an urban mass transit system, as defined by the jurisdiction that issues the plate.

SCHEDULE A, SCHEDULE B, SCHEDULE C, SCHEDULE A/E: see Uniform Application.

SEMI-TRAILER: a vehicle without motor power that is designed to be drawn by a motor vehicle and is constructed so that a part of its weight rests upon or is carried by a towing vehicle.

SERVICE REPRESENTATIVE: a person who furnishes and provides services, including sales, warehousing, motorized equipment, and drivers under contract or other arrangement to a motor carrier for the transportation of household goods.

STAGGERED REGISTRATION: when an annual motor vehicle registration may expire in any month, generally twelve months from the month of issuance. Maine maintains a system of staggered registrations.

STATE: for the purposes of this Rule, unless the context clearly indicates otherwise “state” has the same meaning as “jurisdiction”.

TEMPORARY AUTHORITY (T/A): see Temporary Vehicle Registration.

TEMPORARY VEHICLE REGISTRATION (TVR): a temporary evidence of apportioned registration. The Maine TVR is valid for up to forty-five (45) days and allows a vehicle to be operated pending the issuance of the permanent registration credentials. The TVR is valid in all member jurisdictions.

TOTAL DISTANCE: all distance operated by a fleet of apportioned vehicles in all member jurisdictions during the reporting period.

TRACTOR:a motor vehicle designed and used primarily for drawing other vehicles, but not so constructed as to carry a load other than part of the weight of the vehicle and load so drawn.

TRAILER: a vehicle without motor power, designed to be drawn by a motor vehicle and so constructed that no part of its weight or that of its load rests upon or is carried by the towing vehicle.

TRIP PERMIT: a temporary permit issued by a member jurisdiction in lieu of apportioned or full registration or reciprocity.

TRUCK: a motor vehicle designed, used, or maintained primarily for the transportation of property.

TRUCK TRACTOR: a motor vehicle designed and used primarily for drawing other vehicles, but so constructed as to carry a load other than part of the weight of the vehicle and load so drawn.

UNIFORM APPLICATION: the official IRP application forms provided for making application for apportioned registration.

UNIFORM APPLICATION FOR A NEW ACCOUNT (SCHEDULE A): the official IRP form provided to and used by an applicant to establish a new IRP Account.

UNIFORM MILEAGE SCHEDULE (SCHEDULE B): the official IRP form, provided to report distance by jurisdiction and total distance for a fleet as derived from operational records.

UNIFORM APPLICATION FOR CHANGES (SCHEDULE C): the official IRP form provided to make changes in all areas of operation.

UNIFORM COMPUTER GENERATED FORM FOR RENEWAL (SCHEDULE A/E): the official computer generated IRP form provided by the Bureau to allow for an efficient renewal process.

UNLADEN VEHICLE WEIGHT (UNLADEN WEIGHT):the weight of a vehicle fully equipped for service excluding the weight of any load.

UNLADEN WEIGHT PERMIT: a temporary registration permit issued to a vehicle owner of an unladen apportionable vehicle to allow movement of the vehicle from one fleet to another when the vehicle does not have a current registration. (Also called a Hunter’s Permit or Unladen Vehicle Registration)

USDOT NUMBER: a motor carrier identification number issued by FMCSA, also known as a census number, provided for under CFR 49 Subpart B Section 390.21 Subsection (B).

VEHICLE: a device used to transport persons or property on a highway, excepting devices moved by human power or used exclusively upon rails or tracks.

VEHICLE IDENTIFICATION NUMBER (VIN): the numbers and letters generally assigned to a vehicle by the manufacturer for the purposes of titling and registration.

SECTION 2. SYNOPSIS

This rule establishes and defines Maine’s participation in the International Registration Plan (IRP). The IRP is a registration prorate agreement that provides for the proportional registration of commercial motor vehicles used in interstate operation.

The IRP is an agreement among member states and provinces. The agreement is administered by IRP Inc., and is governed by a Board of Directors consisting of representatives from member jurisdictions.

The IRP provides for base jurisdiction registration; a single registration plate and registration cab card for each vehicle; and the payment of proportional registration fees based on the percentage of miles the registrant operated in each member jurisdiction. The registrant is permitted to operate in intrastate as well as in interstate commerce in each member jurisdiction.

Since each registrant pays a proportional share of each member jurisdiction’s registration fee, registration bills will be different for each registrant. Each member jurisdiction transmits the appropriate revenue to the other member jurisdictions.

Mileage reporting and fee calculations are done on a fleet basis. A fleet is one or more apportionable vehicles sharing a common operational profile.

SECTION 3. COMMUNICATIONS

All written communications and documents should be addressed to the “Bureau of Motor Vehicles, Motor Carrier Services – IRP Unit, 29 State House Station, Augusta, Maine, 04333-0029.”

All communications and documents are deemed to be officially received when delivered to the IRP Unit at the Bureau of Motor Vehicles’ Main Office in Augusta, Maine.

The contact information for the IRP Unit is as follows:

1. Telephone: (207) 624-9000 ext. 52135
2. Fax: (207) 624-9086 or (207) 624-9062
3. E-mail: meirp@maine.gov
4. Online information: https://www.maine.gov/sos/bmv/commercial/index.html

SECTION 4. REMITTANCES

Remittances must be in the form of a money order, bank draft, or credit card authorization (please see restrictions below). Money orders and checks should be made payable to the Maine Secretary of State.

Personal checks will be accepted subject to collection.

Credit card payments:

Base jurisdiction fees (apportioned fees due to the State of Maine):

• 1. the Bureau accepts payment by American Express, Discover, MasterCard, or VISA.

Apportioned fees collected by Maine on behalf of other member jurisdictions:

credit card payments can only be accepted if processed through a third party vendor. Such payments will incur an incremental processing fee based on the amount due.

All remittances must be in U.S. currency.

Remittances in currency are wholly at the risk of the remitter. The Bureau assumes no responsibility for any loss of currency sent by mail.

In the event that a registrant’s check is returned for insufficient funds or for any other reason, the registrant’s right to register and operate commercial vehicles will be suspended. The IRP Unit will not accept any additional applications until the registrant has completely satisfied the delinquency and associated reinstatement fees.

A registrant who has had a check returned for any reason may be required to pay subsequent IRP bills with certified funds.

SECTION 5. LEGAL NAME AND ADDRESS

Identification Numbers will be used to identify and track all applicants and registrants. Such numbers may include an applicant’s or registrant’s Social Security Number (SSN), Federal Employer Identification Number (FEIN), USDOT Number (see Section 6), or Motor Carrier Number (MC Number). The Social Security Number may be used for an individual applicant or registrant.

Applicants must provide their full legal name as filed with the United States Department of Transportation’s Federal Motor Carrier Safety Administration (FMCSA). If the applicant is an individual, the applicant must provide their full name and date of birth. The legal name of the applicant as provided on the Schedule A will appear on the registration cab card.

The legal name as listed on the Uniform Application must be consistent with the legal name provided on other applications for motor carrier credentials as well as with any applicable corporate filing. The applicant may be required to rectify any legal name discrepancies before an apportioned registration will be issued.

Applicants must provide a phone number and a full address including a street and street number if applicable. If the address is a rural route, the applicant must include a box number.

An application without sufficient name, address, or contact information may be returned to the applicant.

Registrants must report any change of address to the IRP Unit within 30 days (see Section 6).

SECTION 6. NAME AND ADDRESS CHANGES

Name Change

Any name change will require a written signed statement requesting the change and submission of proof of insurance and an updated MCS-150 reflecting the registrant’s new name. New cab cards will be issued for all the registrant’s vehicles at a fee of five dollars ($5.00) per cab card.

A registrant may change their name from an individual to a newly formed corporation provided the individual is the sole owner of the new corporation.

If the name change is from a corporation to an individual or another corporation, a sale is deemed to have occurred and a new registration is required on each vehicle. A registrant may submit documentation to show that a name change did not involve a sale.

Address Change

A registrant may request an address change by submitting a Schedule C and an updated MCS-150 to reflect the new address. A change in physical address also requires submitting three (3) forms of documentation listing the physical address.

SECTION 7. PREREQUISITES TO APPORTIONED REGISTRATION

USDOT Number

1. Motor carrier applicants for an IRP registration are required to submit their USDOT Number as part of their original application.
2. If the applicant is not a motor carrier then the applicant must submit the USDOT Number(s) for all motor carriers assuming responsibility for the safety of any of the vehicles in the applicant’s fleet.
3. Owner-operators registering as a part of a motor carrier fleet must use their motor carrier’s USDOT Number.
4. If a motor carrier is providing liability insurance coverage for the owner-operator (i.e. the motor carrier is the carrier responsible for safety), that carrier’s USDOT Number must be provided.
5. The IRP Unit must be notified anytime an owner-operator changes carriers. The owner-operator must provide the IRP Unit with the USDOT Number of that new carrier and a lease indicating that the new carrier is taking responsibility for safety. A new registration cab card will be issued.
6. The USDOT Number of the carrier responsible for safety, with some exceptions, will be printed and bar-coded on each IRP cab card.
7. A FMCSA Motor Carrier Identification Report (MCS-150) must be updated as required by FMCSA for all USDOT Numbers on an original, renewal, or supplement application. In general, MCS-150’s must be updated biennially.

Evidence of Insurance

Evidence of insurance must be provided annually by presenting or having on file with the Bureau:

1. a valid and current insurance card as defined in 29-A M.R.S.A. §1601; or
2. a letter from an insurance company or agent showing that the vehicle is covered by a liability insurance policy; or
3. an insurance binder or insurance policy that has:

a summary document describing the vehicle insured; and

the name of the insured; and

the amount of the insurance; and

the type of insurance coverage; and

the period the vehicle is covered; or

1. an active insurance filing with the Federal Motor Carrier Safety Administration.

The registrant’s and/or carrier’s name must be substantially the same on both the registration and on the insurance document.

Municipal Excise Tax

• 1. Maine law mandates that an annual municipal excise tax be paid prior to registering or reregistering a motor vehicle in the State. 2. Excise tax must be paid to the Maine municipality where the vehicle is routinely based. 3. A vehicle base-registered in another jurisdiction but garaged or maintained in the State of Maine is subject to excise tax, and to State sales tax requirements as appropriate.

Title (Initial Registration Only)

• 1. Maine title law requires an apportionable vehicle to be titled in Maine at the time of first registration or when a change of registration is required by reason of a sale, with certain exceptions. 2. The applicant must provide:

proof that the vehicle is titled in Maine or another jurisdiction, or

proof of application for a Maine title and payment of any applicable fees, or

proof that the vehicle is exempt from Maine title law. Apportionable vehicles manufactured prior to 1995 are exempt from Maine title law.

Sales Or Use Tax (Initial Registration Only)

• 1. A Maine Dealer’s Certificate (STMV 6) or a Maine Use Tax Certificate (STMV 6U) along with supporting documents and payment where applicable must be provided to the IRP Office before an applicant can register any newly acquired apportionable vehicle. 2. A commercial motor vehicle placed in use by the purchaser as an instrumentality of interstate or foreign commerce within thirty (30) days of acquisition and that is used by the purchaser for not fewer than eighty percent (80%) of the days in interstate or foreign commerce during the next 2 years is exempt from sales and use tax. The exemption is claimed on the Use Tax Certificate and the Interstate Commerce Affidavit (STA-111 or STA-110). See Title 36 Section 1760, sub-section 41-A.

Federal Heavy Vehicle Use Tax (HVUT)

• • 1. Registrants whose vehicles are registered for 55,000 pounds or more are required to provide evidence annually that the Federal Heavy Vehicle Use Tax (HVUT) has been paid to the Internal Revenue Service (IRS) for the July 1 to June 30 tax year in which the registration year begins. The IRP Unit will not issue renewal credentials until the tax has been paid. 2. Acceptable proof of HVUT payment must be either a copy of the IRS Form 2290 Schedule 1 that bears an IRS receipt stamp or special electronic watermark, or a copy of the taxpayer’s Form 2290 Schedule 1 without the stamp or watermark and the front and back of the cancelled check made payable to the IRS.

Lease Agreements

• • 1. A copy of a lease agreement must be provided whenever: 1. a vehicle is being registered in a name other than that of the vehicle’s titled owner, or 2. the registrant is an owner-operator leased to a carrier providing the liability insurance coverage for the vehicle. The lease must clearly state that the carrier is providing continuous liability insurance. Absent such a statement the owner-operator is required to provide evidence of insurance coverage (bob-tail insurance). 2. The registrant must notify the IRP Office any time a leasing situation changes. An owner-operator must provide evidence of insurance or a new leasing agreement whenever an existing lease is cancelled.

SECTION 8. RECIPROCITY

Registrants properly based in a jurisdiction not a member of the IRP, and operating vehicles that do not meet the definition of an apportionable vehicle may operate in the State of Maine in interstate commerce only without registering their vehicle in the State. The registrant’s base jurisdiction must grant similar registration reciprocity rights to the operation of vehicles registered in this state.

Reciprocity for Trailing Equipment (IRP Plan §515)

1. A trailer, semi-trailer, or auxiliary axle that is properly registered in any jurisdiction is granted full and free reciprocity for both inter-jurisdictional movement and intra-jurisdictional movement in Maine.
2. When registration fees are paid for the registration of an apportionable vehicle, full and free reciprocity is granted to all trailers, semi-trailers, and auxiliary axles used in combination with that apportionable vehicle.

SECTION 9. APPORTIONABLE VEHICLES (see Section 1 - Definitions)

Apportionable vehicles must be registered in the IRP.

A vehicle is determined to be apportionable according to the use and characteristics of the power unit or the power unit used in combination.

The intent of the applicant or registrant to operate a vehicle in two or more member jurisdictions is to be considered as an objective fact, determined from all the circumstances of the particular case.

The fact that a vehicle is not used in more than one jurisdiction for an entire registration year and for six additional months gives rise to the presumption that the registrant did not intend to operate in more than one member jurisdiction. The registrant may present information to overcome such presumption.

SECTION 10. NON-APPORTIONABLE VEHICLES (EXEMPT VEHICLES)

The following vehicles are not within the definition of apportionable vehicle and as such, are not required to register in the IRP in Maine and are subject to bilateral reciprocity agreements. Certain non-apportionable vehicles as noted below may be registered under the Plan at the option of the registrant.

1. Vehicles traveling only in Maine, or Maine and non-IRP jurisdictions;
2. Vehicles properly registered in jurisdictions not a member of the IRP;
3. Single vehicles or combination of vehicles having a gross weight of 26,000 pounds or less, and two (2) axles on the power unit

Trucks, truck-tractors, and power units in a combination of vehicles may still be registered in the IRP;

1. Recreational vehicles;
2. Vehicles displaying restricted plates: 1. Farm Plates 2. Antique Plates 3. Wrecker Plates (Wreckers with commercial plates are not exempt) 4. Dealer Plates (no load may be carried) 5. Transit Plates (no load may be carried) 6. Special Mobile Equipment (Tractor Plates) 7. Special Equipment Plates 8. Hire Plates;
3. Government-owned vehicles;
4. Trailing equipment is not registered under the Plan in Maine.

SECTION 11. APPLICATIONS FOR APPORTIONED REGISTRATION (IRP Plan, Article III)

Determining the Applicant’s Base Jurisdiction (Article III §305, §310)

An applicant may elect Maine as its base jurisdiction when:

the applicant has an established place of business (see Section 1 – Definitions) in Maine as evidenced by the fact that:

the applicant owns or leases a physical structure in Maine and specifies the actual street address of the structure , and

the physical structure is open for business and staffed during regular business hours by one or more permanent employees, under the employ of the applicant, who are charged with the general management of the applicant’s truck-related business, and

the fleet the applicant seeks to register under the Plan accrues distance in Maine, and

the operational records of the fleet are maintained or can be made available in Maine.

An applicant that does not have an established place of business in Maine may designate Maine as its base jurisdiction when:

1. the applicant can demonstrate residence in Maine, and
2. the fleet the applicant seeks to register under the Plan accrues distance in Maine, and
3. the operational records of the fleet are maintained or can be made available in Maine.

To establish residence in Maine, an applicant must demonstrate to the satisfaction of the IRP Administrator at least three of the following:

if the applicant is an individual, that his or her driver’s license is issued by Maine,

if the applicant is a corporation, that it is incorporated or registered to conduct business as a foreign corporation in Maine,

if the applicant is a corporation, that the principal owner is a resident of Maine,

that the applicant’s federal income tax returns have been filed from an address in Maine,

that the applicant has paid personal income taxes to Maine,

that the applicant has paid real estate or personal property taxes to Maine,

that the applicant receives utility bills in Maine in its name,

that the applicant has a vehicle titled in Maine in its name, or

that other factors clearly evidence the applicant’s legal residence in Maine.

The Bureau may refuse to register any applicant that does not have an established place of business in Maine and cannot demonstrate residence in Maine.

If more than one member jurisdiction could qualify as a base jurisdiction for an applicant, the applicant may choose which member jurisdiction(s) it will apply to for apportioned registration under the Plan.

All three criteria for electing a base jurisdiction must be met in order for a member jurisdiction to qualify as a base jurisdiction.

The Plan offers residence as an alternative criterion to established place of business only for those applicants who cannot demonstrate that they meet the established place of business requirement.

Each individual vehicle of a fleet need not enter Maine so long as the fleet as a whole accrues distance in Maine.

An applicant whose established place of business is in a jurisdiction that is not a member jurisdiction may base in Maine if the applicant expects to accrue more distance in Maine than any other member jurisdiction.

The registrant may continue to base in Maine until such time as the jurisdiction in which the registrant has an established place of business becomes a member jurisdiction.

Maine may reject any such application for cause.

IRP Forms

The official IRP application forms (uniform application) are designed and occasionally updated to comply with IRP and PRISM requirements.

Information gathered on the forms is required by the State of Maine and other member jurisdictions to properly register vehicles in the IRP.

The applicant must complete a Maine IRP Schedule A (New Account Application) when first applying for an apportioned registration. Upon renewal, the applicant also must complete a Maine IRP Schedule B (Mileage Schedule).

The Maine IRP Schedule C (Application For Changes) is required when vehicles are added or deleted subsequent to the initial registration.

Status changes for multiple vehicles from different fleets require separate Maine IRP Schedule C forms for each fleet.

Signatures

Except as otherwise provided, all IRP schedules must be signed.

Anyone signing an IRP application must also disclose their position title in which is vested the authority to sign the application.

If an applicant is an individual, the application must be signed by the applicant.

If the applicant is a corporation, the application must be signed by a corporate officer or an employee duly authorized to act in an administrative capacity on behalf of the corporation.

Notwithstanding, the above, an authorized agent exercising power of attorney may sign on behalf of an applicant. The copy of the document authorizing the power of attorney must be on file with the Bureau.

SECTION 12. FEES (IRP Plan, Article IV)

Calculation of Apportionable Fees (Article IV §400)

1. The apportionable fee for a fleet in a member jurisdiction is calculated by multiplying the apportionment percentage (see below) calculated for the member jurisdiction times the total apportionable fees required under the law of the member jurisdiction for registration of the fleet vehicles for the registration year.
2. The total apportionable fees for any member jurisdiction is dependent on the requested gross weight and any other information the member jurisdiction uses to calculate its registration fees. The applicant may request different gross weights for different member jurisdictions.
3. Each member jurisdiction’s apportionment percentage is multiplied by the apportionable fees required for full registration of the fleet vehicles. The resulting fees will then be prorated for the number of months remaining in the registration year based on each member jurisdiction’s prorate requirements.
4. Maine and several other member jurisdictions have a continuous registration requirement. When a renewal application is submitted after the registration for the previous year has expired, the term of the renewal begins on the month of the issuance of the previous registration. Applicants submitting late renewal applications pay Maine apportionable fees for a full registration year.

Calculation of Apportionment Percentage

1. The following method is used to calculate the fleet apportionment percentage for each member jurisdiction in which apportioned registration is sought:

For member jurisdictions where the fleet accrued distance during the reporting period :

Determine the total actual distance operated during the reporting period in all member jurisdiction where the fleet vehicles were apportioned, then:

Calculate the apportionment percentage for each member jurisdiction by dividing the distance attributed to the member jurisdiction by the sum of the total actual distance (calculated to six (6) decimal places and rounded to five (5) decimal places), times one hundred (100).

For a fleet which did not accrue any distance during the reporting period:

The average per vehicle mileage multiplied by the number of vehicles in the fleet will be used to determine each member jurisdiction’s distance percentage. The applicant will be apportioned and pay fees for all member jurisdictions.

A fleet will be considered never to have been apportioned in a member jurisdiction if the registrant has neither owned or leased apportionable vehicles during the eighteen (18) months prior to the date of its application for apportioned registration nor accrued actual distance by operating in any member jurisdiction during the reporting period.

Additional Fleet Vehicles (IRP Plan Article IV §425)

A registrant may add vehicles to its fleet after the beginning of the registration year.

The apportioned fees for any added vehicles are calculated using the apportionment percentage calculated for the registrant’s initial application for fleet registration for the year subject to any adjustments since the fleet was first registered.

The apportioned fees for any vehicle added to the fleet during the registration year are calculated according to each member jurisdiction’s requirements. Apportionable fees are calculated from the first day of the month in which the vehicles are added to the fleet unless a member jurisdiction imposes a different requirement.

Miscellaneous Fees

Reinstatement Fee $50.00

72-Hour IRP Trip Permit $25.00

Hunter’s Permit $25.00

Maine’s Transfer Fee $ 8.00

Replacement Plate Fee $ 5.00

Replacement Plate Decal Fee $ 0.50 (month and year)

Cab Card Fee $ 5.00

Fax Fee $ 3.00

Replacement Decal $ 0.25 (month or year)

Proration of Registration Fees and Excise Taxes

Except as provided for in this section, motor vehicles registered in the IRP will be registered and reregistered on an annual basis. Registrations will expire on the last day of the month one year from the month of issuance.

Registrants adding additional fleet vehicles not involving a transfer of registration must add those vehicles to an existing fleet. When a registration is added to an existing fleet the Maine portion of the registration fee and excise tax must be prorated for the number of months remaining in the fleet’s registration year. Any portion of a month must be counted as a full month.

The prorated Maine registration fee and excise tax must be calculated by dividing the full year’s registration fee and excise tax by twelve (12) and multiplying by the number of months remaining in the fleet’s registration year. The proration of a member jurisdiction’s apportioned fees will be accomplished based on each member jurisdiction’s requirements.

Registrants must consolidate two (2) or more apportioned registrations into a single expiration month (fleet) except when a request for multiple fleets has been approved by the IRP Administrator. The registrant may elect any month; however registration fees and excise taxes may be prorated only for twelve (12) or fewer months.

A registrant may request to have more than one fleet. In order to request multiple fleets, each fleet must have a unique jurisdictional or weight profile. If a registrant maintains multiple fleets, then distance must be reported separately for each fleet.

A registrant may request to consolidate registrations from multiple fleets into a single fleet. In such cases, each registration and excise tax must be prorated at the time of renewal from its existing registration month to the desired month.

A registrant may convert from a regular commercial registration to an apportioned registration. The registrant will be billed for the remainder of the registration year in the IRP. The unused portion of the Maine commercial registration will be refunded or credited to the registrant’s account.

SECTION 13. TEMPORARY INCREASES IN REGISTERED GROSS WEIGHT

Pursuant to 29-A M.R.S.A. section 507 a registrant whose motor vehicle is properly base registered in the State of Maine may increase the registered gross weight of the vehicle for a period of one (1) to eight (8) months.

A temporary gross weight increase may not extend beyond the expiration of the apportioned registration.

The fee for the temporary permit is not apportionable, and the increase in registered gross weight is valid only in the State of Maine and in jurisdictions not a member of the International Registration Plan.

The registration fee for a temporary registered gross weight increase is the difference between the annual fee for the desired temporary registered gross weight and the annual fee for the original registration multiplied by the calculation percentage in the following table:

Permit Period:

Calculation Percentage:

1 Month

20%

2 Months

30%

3 Months

40%

4 Months

50%

5 Months

60%

6 Months

70%

7 Months

75%

8 Months

80%

SECTION 14. DISTANCE REPORTING

Reporting Period (Mileage Year)

The reporting period [see Section 1 - Definitions] is the last complete July 1^st to June 30^th period immediately preceding the beginning of the registration year except when the registration year begins on any date in July, August, or September, then the reporting period is the previous July 1^st to June 30^th period.

For example:

If the first month of the Registration Year is:

The reporting period is:

January, 2019

July 1, 2017 to June 30, 2018

February, 2019

July 1, 2017 to June 30, 2018

March, 2019

July 1, 2017 to June 30, 2018

April, 2019

July 1, 2017 to June 30, 2018

May, 2019

July 1, 2017 to June 30, 2018

June, 2019

July 1, 2017 to June 30, 2018

July, 2019

July 1, 2017 to June 30, 2018

August, 2019

July 1, 2017 to June 30, 2018

September, 2019

July 1, 2017 to June 30, 2018

October, 2019

July 1, 2018 to June 30, 2019

November, 2019

July 1, 2018 to June 30, 2019

December, 2019

July 1, 2018 to June 30, 2019

Fleet distance must be submitted once annually. If the registrant has multiple fleets, distance must be reported separately for each fleet. The distance reported must be for the entire operation in all jurisdictions for the reporting period.

Distance Records for Less than One (1) Year

1. A registrant must still report actual distance, even when the registrant only operated for a portion of the reporting period and accrued mileage for less than a full year. The registrant must also report the applicable time period it operated during the reporting period.
2. New Fleets (IRP Plan Article IV §420)

When a new fleet is composed entirely or primarily of vehicles which the applicant operated or controlled during the reporting period and these vehicles accrued actual distance in member jurisdictions in which the applicant seeks apportioned registration, the registrant must use the actual distance to apportion registrations.

1. An owner-operator who submits an application to register a single vehicle which was previously operated under a long-term lease that included the vehicle driver must report the actual distance accrued by the vehicle during the reporting period if the intended operation of the new fleet will reflect the previous operation under the long term lease.

Distance Records (IRP Plan §1010)

1. Registrants are required to maintain accurate distance records (operational records) that support the distance traveled in each jurisdiction and total distance traveled everywhere. The distance records must contain sufficient detail so that all vehicle movement may be traced. Distance records must be maintained by vehicle and by trip.
2. For distance records produced by a means other than a vehicle-tracking system, registrants must maintain the following information by vehicle:

Starting and ending trip dates;

Starting and ending trip locations (trip origin and destination);

Major highway routing for each trip (route of travel);

Beginning and ending odometer, hubometer, engine control module (ECM), or any similar device for each trip;

Total distance (all miles must be accounted for, including miles traveled in non-IRP jurisdictions);

In-jurisdiction distance (distance traveled in all jurisdictions including non-IRP jurisdictions);

Vehicle unit number (owner’s equipment number) or VIN;

Registrant’s name; and

Any trip permits purchased from any jurisdiction.

1. For distance records produced wholly or partly by a vehicle-tracking system, including a system based on a global positioning system (GPS):
2. The original GPS or other location data for the vehicle to which the record pertain;
3. The date and time of each GPS or other system reading;
4. The location of each GPS or other system reading:
5. The beginning and ending reading from the odometer, hubometer, engine control module (ECM), or any similar device for the period to which the record pertain;
6. The calculated distance between each GPS or other system reading;
7. The route of the vehicle’s travel;
8. The total distance traveled by the vehicle;
9. The distance traveled in each jurisdiction;
10. Registrant’s name, and
11. Vehicle unit number (owner’s equipment number) or VIN.
12. The registrant must prepare the following summaries from the information recorded on the distance records:

A monthly summary that recaps in-jurisdiction and total distance traveled by each power unit operated during the calendar month;

A quarterly summary that recaps in-jurisdiction and total distance traveled by the fleet during each calendar quarter;

A summary of the quarterly recaps used in preparing the application for apportionment.

Distance Record Retention (IRP Plan §1000)

A registrant must retain all operational records supporting the registrant’s application for apportioned registration for a period of three (3) years following the close of the registration year to which the application pertains.

The registrant must make such operational records available for examination upon the request of the Bureau.

The Bureau may impose an assessment on a registrant failing to maintain operational records in accordance with the Plan, or if the registrant fails to provide such records within thirty (30) calendar days of the issuance of a written request to produce the records.

Any assessment will be based on the Auditor’s estimate of the registrant’s true liability as determined from any operational records supplied by the registrant or available from the IRP Office or other sources. Pursuant to section 1015 of the Agreement, the Bureau may assess an inadequate records assessment for records deemed to be inadequate.

SECTION 15. VARIANCE OF REGISTERED WEIGHT

The IRP Office may require any applicant to provide documentation concerning the actual operation of any vehicle whenever the applicant requests vehicle registration weights in member jurisdictions that differ by more than ten percent (10%) between such member jurisdictions.

The IRP Administrator may deny registration for any vehicle if it is determined that the requested variance does not reflect actual operations.

SECTION 16. CREDENTIALS AND PERMITS (IRP Plan Article VI)

Permanent Credentials

1. Upon the payment of all apportioned and administrative fees due the State of Maine and the submission of all required supporting documentation, the IRP Office will issue permanent credentials for an apportioned vehicle. The cab card, plate(s), and year and month decals are the sole registration credentials issued for an apportioned vehicle.
2. After the initial registration a new cab card and year decal are issued upon renewing an apportioned vehicle registration.
3. Maine requires the original cab card or legible electronic copy of the cab card issued for the current registration year be kept with the apportioned vehicle for which the cab card was issued.

Temporary Vehicle Registration (TVR)

The IRP Office will issue a TVR, also known as a temporary authority (T/A), as evidence of temporary apportioned registration. A temporary authority is valid for up to forty-five (45) days.

The T/A allows a vehicle to be legally operated in all member jurisdictions pending the issuance of the permanent registration credentials.

T/A’s generally are issued at the time of invoicing registrants for apportioned registration fees that are expected to be paid at a later date. The T/A may be faxed or mailed to the registrant and the registrant must keep the document with the apportioned vehicle for which the temporary authority was issued.

Trip Permits

A member jurisdiction may issue a trip permit for a vehicle or combination of vehicles in lieu of apportioned or full registration. A trip permit issued by the IRP Office is valid for a period of seventy-two (72) hours.

Out-of-state registrants whose motor vehicles are required to be registered in the IRP and are not apportioned must obtain a registration trip permit, in lieu of apportioned registration, prior to operating in Maine.

Registrants whose motor vehicles are not required to be registered in the IRP may obtain a trip permit, in lieu of apportioned or full registration, for intrastate operations in Maine in the same manner as for vehicles required to be in the IRP.

Registration trip permits allow the registrant to operate a specific vehicle in intrastate or in interstate commerce.

Trip permits are not required for vehicles operating in interstate commerce under any bilateral registration reciprocity agreement.

Unladen Weight Permits (Hunter’s Permits)

Maine owner-operators, not registering in their own name, and not under contract to a lessee motor carrier may obtain a thirty (30) day unladen weight permit. The permit allows for the operation of an unloaded power unit and trailer in any member jurisdiction. Proof of insurance must be provided before a permit will be issued.

Electronic Applications

Notwithstanding any other provision of this rule, the IRP Administrator may authorize a registrant to make electronic submissions of any IRP schedules.

Approved registrants may transmit IRP vehicle information, jurisdictional profile information, or distance information by any means approved by the IRP Administrator.

The IRP Administrator may, at the IRP Administrator’s discretion, issue temporary IRP credentials electronically to any IRP registrant.

Registrants who are issued electronic credentials are required to submit appropriate supplemental documentation within five working days, unless otherwise specified.

The billing procedure for electronic credentials is the same as for IRP credentials issued by mail or fax.

Credential Validation

IRP Registrations (cab cards) will be validated or embossed with the State Seal in accordance with the Bureau’s procedures.

Credentials issued electronically may have additional characteristics to validate authenticity such as watermarks and document control numbers in accordance with the Bureau’s procedures.

A registrant may display their IRP cab card electronically. The image may be in the form of an electronic image or data connection. The image must be readable, and must contain all the required fields. Electronic images are subject to verification. The State of Maine assumes no responsibility for the accidental damage of any electronic device.

SECTION 17. HOUSEHOLD GOODS CARRIERS (IRP Plan Article VII)

Base Jurisdiction

1. A household goods carrier operating an apportionable vehicle that is leased from a service representative may elect to base the vehicle in either the base jurisdiction of the service representative or of the household goods carrier.
2. Registration in Base of Service Representative 1. The vehicle will be registered in the name of the service representative with the name of the household goods carrier listed as the lessee. 2. The fees for the vehicle will be apportioned according to the combined records of the service representative and the household goods carrier. 3. All operational records pertaining to the vehicle must be made available in the base jurisdiction of the service representative. 4. The vehicle will be considered fully registered for operation under the authority of the service representative as well as the household goods carrier.
3. Registration in Base of Household Goods Carrier

The vehicle will be registered in the name of the household goods carrier with the name of the service representative listed as the lessor.

The fees for the vehicle will be apportioned according to the combined records of the household goods carrier and the service representative.

All operational records pertaining to the vehicle must be made available in the base jurisdiction of the household goods carrier.

The vehicle will be considered fully registered for operation under the authority of the service representative as well as the household goods carrier.

SECTION 18. BUSES (IRP Plan Article VIII)

A series of apportioned plates will be available for motor bus apportionment.

The application procedures and process are the same as any other IRP application with a few exceptions.

The application of a passenger carrier for apportioned registration must indicate which, if any, of its vehicles are assigned to a pool.

Applicants for motor bus apportionment may report distance in one of two ways:

1. the applicant may submit actual distance for the fleet for the reporting period; or
2. the applicant may submit:

the scheduled route distance operated in each member jurisdiction by the vehicles in the pool, and

the sum of the scheduled route distance operated in all member jurisdictions by vehicles in the pool. Scheduled route distances shall be determined from the furthest point of origination to the furthest point of destination covered by the pool.

SECTION 19. RENTAL VEHICLE REGISTRATION (IRP Plan Article IX)

Base Jurisdiction (IRP Plan §900)

1. A rental company applying to register a rental fleet may select Maine as the base jurisdiction for the fleet according to the basing requirements of the Plan, except that when the term of the lease of the vehicles in the fleet is greater than sixty (60) days, the lessee (rental customer) must:

have an established place of business in Maine; and

the fleet must accrue distance in Maine.

Rental Passenger Cars (IRP Plan §905)

A rental company may allocate its rental passenger car registrations pursuant to Section 905 of the IRP Plan.

The number of vehicles to be registered in the State of Maine must be determined by:

dividing the gross revenue earned in the State of Maine in the preceding year for the use of all rental passenger cars by the gross rental revenue earned in all jurisdictions; and then

multiplying the number of vehicles in the rental fleet by the percentage determined in (1) above. The number of vehicles must be the greatest number of vehicles in the fleet during the preceding year.

The rental company must file an annual report with the IRP Administrator by January 31^st following the close of the registration year. The annual report must list the company’s revenue by jurisdiction and the total number of vehicle registrations in each jurisdiction for the registration year.

The rental company must register a portion of its rental fleet in the State of Maine which is at least equal to the percentage of revenue earned in the State of Maine.

Consumer rental companies in compliance with this section may assign vehicles registered in any jurisdiction to its vehicle fleet in Maine.

One-Way Vehicle (IRP Plan §915)

A rental company that owns trucks registered for 26,000 pounds or less that are identified as a part of a one-way rental fleet may:

allocate all such vehicles to the respective member jurisdictions in proportion to the mileage operated in each member jurisdiction by the rental fleet; or

register all such vehicles as apportioned vehicles under the Plan.

A one-way rental vehicle so registered may be used in both intra-jurisdictional and inter-jurisdictional operations.

Rental or Leased Truck, Truck Tractor, and Tractor Vehicle Fleets

The following options are available to those companies controlling rental or leased fleets:

The rental or leasing company (lessor) may register all of its vehicles in a single fleet and be responsible for all distance reporting; or

The rental or leasing company (lessor) may register all of its vehicles but may maintain separate Fleets and submit separate distance reports for each fleet; or

The rental or leasing company (lessor) may allow the carrier (lessee) to register the leased vehicles thereby requiring the lessee to report distance; or

The rental or leasing company (lessor) may use all or a combination of the above methods of registration.

SECTION 20. FLEET TO FLEET TRANSFER

Subject to each member jurisdiction’s requirements, a registrant may transfer a vehicle from one of its fleets to another. Both fleets must belong to the same registrant as determined by the registrant’s Federal Identification Number. If the transfer results in a change in expiration month, the registration fee and excise tax must be prorated subject to each member jurisdiction’s requirements.

Maine allows a registrant to transfer a vehicle from one of its fleets to another only at renewal time.

The transfer of a vehicle from one registrant to another will be considered a sale of the vehicle. The registration cab card and plate will remain in the custody of the original registrant.

SECTION 21. BILLING

Each applicant will be billed (invoiced) for their IRP registration(s) as determined by the information provided in the uniform application for apportioned registration.

The submission of an IRP application and generation of an IRP invoice based on the information contained in the application constitutes an agreement that the applicant will pay the resulting registration fees.

Unless other provisions are made, IRP invoices will be mailed to established registrants along with a temporary authority for each renewal, newly added vehicle, or any account change that requires the issuance of a new cab card. Only the IRP invoice will be mailed to applicants submitting their initial IRP application in Maine (i.e. new account requests).

Maine IRP invoices are due and payable upon receipt.

New registrants must pay their bill in full before receiving a temporary authority or any registration credentials; existing registrants are allowed up to 45 days to pay their invoice in full.

Registrants must pay their IRP invoice in full. Payment plans (partial payments) will only be allowed for audit assessments, and then, only by approval of the IRP Administrator.

Permanent credentials will be issued and mailed only after payment is received in full and all required documentation has been submitted to the Bureau.

An applicant may cancel their IRP invoice by notifying the IRP Unit in writing within seven (7) days after receipt of the invoice provided:

the applicant has not operated on a temporary authority, and

the applicant submits a notarized statement to the Bureau attesting to the fact that it did not operate on a temporary authority.

Any use of a temporary authority constitutes an agreement to pay the associated IRP bill without exception.

Maine will suspend any apportioned registration if the registrant fails to pay any Apportionable Fees within sixty (60) calendar days of the issuance of an apportioned registration, temporary authority, or billing invoice.

SECTION 22. TRANSFER PROCEDURES (IRP Plan § 435, § 440)

When an apportioned vehicle is withdrawn from a fleet during a registration year, the amount of the apportionable fee paid for the vehicle for the remaining portion of the registration year may be transferred to the registration of a replacement vehicle in the same fleet. A vehicle must be sold, destroyed, junked, stolen, or otherwise completely removed from the fleet to be considered withdrawn.

The registrant will be required to pay any assessed excise tax on the replacement vehicle prior to the issuance of any credential for the replacement vehicle.

The transfer fee is eight dollars ($8.00), and any weight increases will be charged according to the fee schedules.

Some member jurisdictions may require additional registration fees based on the age and value of the replacement vehicle.

If the plate from the withdrawn vehicle is still in displayable condition and in the registrant’s possession, the plate will be reassigned to the replacement vehicle.

If the plate from the withdrawn vehicle is not in displayable condition or not in the registrant’s possession, the registrant must either return the plate or certify that the plate has been destroyed, lost, or stolen. The registrant will be issued a new plate.

A new cab card will be issued for a five dollar ($5.00) fee.

SECTION 23. ADMINISTRATIVE PROCEDURES

Credits and Refunds (IRP Plan §435)

1. Credits 1. If an apportioned vehicle is withdrawn from a fleet during a registration year, the amount of the apportionable fee for the vehicle for the remainder of the registration year: 1. is available for transfer to the registration of the replacement vehicle in the fleet; or 2. subject to the law of each member jurisdiction, may be credited to the registrant. 2. A vehicle is only considered withdrawn from a fleet if it has been sold, junked, stolen, or destroyed. 3. The vehicle to which the credit is being applied must retain the same expiration year.
2. Refunds 1. Refunds for apportioned registration fees paid to the State of Maine are available only for the following reasons: 1. if the IRP Unit makes a billing error; or 2. if the registrant was charged duplicate registration fees; or 3. if an audit of an IRP account identifies a net overpayment; or 4. if a registration is canceled prior to the start of the registration year (all credentials must be returned); or 5. if the Registration is unused but only as provided in 29-A M.R.S.A. section 464.
3. The registration plate(s) and cab card or temporary authority must be returned within 120 days of issuance with a notarized statement that the registered vehicle was not operated at all during the registration year.
4. The Secretary of State must be satisfied that the registration plates have never been used.
5. In no case will a refund be issued on a renewal registration if the validation sticker has been attached to the registration plate(s). 1. Any registrant who believes they are entitled to a refund may make a request in writing to the IRP Administrator.

Hearings

In the administration of the laws relative to vehicles and operators and the operation thereof, the Secretary of State or any Deputy Secretary of State may conduct hearings, subpoena witnesses, administer oaths, take testimony and order the production of books and papers.

The Deputy Secretary of State may issue all processes necessary for the performance of these duties.

The fees for travel and attendance of witnesses shall be the same as for witnesses before the Superior Court and shall be paid by the State out of vehicle registration fees upon certificates of the Secretary of State filed with the State Controller.

Hearings conducted by the Secretary of State shall be as provided by Title 5, chapter 375, subchapter IV.

Suspended, Canceled, or Transferred Registrations (IRP Plan §615)

Whenever a registration is suspended the registration cab card and plate(s) must be returned to the IRP Unit.

If a vehicle is withdrawn from a fleet during the registration year because the vehicle has been sold, destroyed, or otherwise removed from the service of the registrant:

1. The registrant may elect to transfer any registration credit and the plate(s) to a replacement vehicle (see Section 22); or
2. The registrant must return the plate(s) to the IRP Office, or certify that the plate(s) has been destroyed, lost, stolen, or held for re-use.

SECTION 24. AUDIT PROCEDURES (IRP Plan Article X)

The Uniform Operational Audit Procedures as amended and adopted by the IRP Jurisdictions in 1988 or subsequent amendments are hereby incorporated by reference.

Registrant records relative to distance operated in each jurisdiction and other information required for the registration of vehicles in the IRP are subject to audit.

Audits will be scheduled in accordance with the rules and procedures of the IRP Agreement and the Audit Procedures Manual. The registrant and the IRP Administrator will be notified of the results of any audit.

Upon the completion of an Audit, the IRP staff will provide notice of the audit findings to the registrant and all member jurisdictions in which the registrant was apportioned to operate. The findings will include a determination of any apportionable fees owed by the registrant, net of any apportionable fees due the registrant.

Audit netting: IRP staff will refund or collect the net amount of the finalized audit on behalf of all affected member jurisdictions. The net result of an audit will be “no change”, positive (net due audit), or negative (net refund audit).

Net refund audit: refunds for approved, finalized audits will be processed automatically and mailed to the registrant.

Net due audit: IRP staff will invoice the registrant. The registrant will have thirty (30) days from the invoice (billing) notification date to pay the audit bill. Failure to pay the final audit assessment will result in the suspension of the registrant’s active IRP Registrations.

A member jurisdiction shall have forty-five (45) days from the date it is notified of Audit findings to provide written notification to the IRP Administrator and the registrant that it intends to conduct a reexamination of the records of the registrant. A 45-day notification also is sent to the registrant prior to the invoice (billing) notification.

A registrant may request a hearing to appeal an audit finding. All appeals must be in writing. An appeal made within thirty (30) days of the 45-day notification date will halt the suspension proceeding until the appeal is resolved. Hearings will be held pursuant to the Bureau’s hearing process.

SECTION 25. PRISM

The State of Maine is a participant in the PRISM program. PRISM links the FMCSA’s motor carrier safety information with the State’s motor vehicle registration process to achieve two purposes:

To determine the carrier’s safety fitness prior to issuing a registration plate, and

To cause the unsafe carrier to improve its safety performance through an improvement process, and, where necessary, the application of registration sanctions.

A carrier’s record of poor safety performance may result in the denial or suspension of its privilege to register. The authorization for such action is under the Statutory Authority of 29-A M.R.S.A. §2458.

The rules governing the PRISM program are in the Secretary of State’s Rule Chapter 169.

SECTION 26. ADOPT BY REFERENCE

The Bureau adopts by reference IRP Inc.’s International Registration Plan with Official Commentary and the Audit Procedures Manual (APM).

SECTION 27. SAVINGS CLAUSE

Any procedure or requirement related to the registration of vehicles in the IRP not covered in these rules shall be governed by the general rules and procedures of the Bureau of Motor Vehicles.

SECTION 28. MUNICIPAL FISCAL IMPACT

This rule will have no fiscal impact on Municipalities.

EFFECTIVE DATE:

September 7, 1993

AMENDED:

August 9, 1994

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

AMENDED:

July 6, 1997

July 4, 2000

January 27, 2002

REPEALED AND REPLACED:

July 13, 2008 – filing 2008-284

AMENDED:

March 17, 2015 – filing 2015-032

November 13, 2018 – filing 2018-239

APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025

APAO ACCESSIBILITY CHECK (Word):

April 7, 2026

Chapter 164 The Administration of Overweight Oceangoing Container (OGC) Permits

Code Me. R. 29-250 Ch. 164 The Administration of Overweight Oceangoing Containers (ogc) Permits {#sec-29-250-ch.-164 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 164}

SUMMARY: This rule outlines the procedures and standards allowing for the discretionary permitting of overweight oceangoing containers. This rule is experimental and permits are issued on a case by case basis. Permits are issued pursuant to 29-A MRSA section 2382.

SECTION 1. DEFINITIONS

COMBINATION OF VEHICLES: means a power unit used in combination with one or more trailers, semitrailers, or auxiliary axles.

COMMISSIONER: means the Commissioner of the Maine Department of Transportation, or any Deputy Commissioner of the Maine Department of Transportation.

DIVISIBLE: means a load which can be reduced to legal limits without destroying its value.

FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION (FMCSA): means the agency of the United States Department of Transportation whose primary mission is to reduce crashes, injuries, and fatalities involving large trucks and buses.

GROSS VEHICLE WEIGHT (GVW): means the actual weight of the vehicle and load.

HIGHWAY: means all public ways, roads, including the Maine Turnpike, streets, avenues, alleys, boulevards, parks, squares, ferries, bridges, and approaches here to within the state.

LEGAL (as in LEGAL HEIGHT, LEGAL LIMIT): means a dimension or weight that does not require an overlimit permit.

MCS-150: means the Federal Motor Carrier Safety Administration's Motor Carrier Identification Report.

OCEANGOING CONTAINERS (OGC’s): means freight carrying containers designed to travel on a two (2) or more axle semi-trailer chassis. For purposes of this rule, OGC’s are deemed to be non-divisible. The term applies to both exported and imported oceangoing containers which meet the following conditions:

1. Exported oceangoing containers 1. are loaded and sealed at a shipping point within the State of Maine for shipment outside of the United States; 2. are accompanied by the appropriate permit carried in the vehicle (see Section 9); 3. remain sealed throughout the route of travel to the oceangoing vessel; and 4. are removed from the vehicle chassis only at either - 1. a dock facility for direct loading on board a ship; or 2. a railhead for rail shipment directly to the dock facility of the oceangoing vessel.
2. Imported oceangoing containers 1. originate outside the United States; 2. are delivered to a manufacturing facility within the State of Maine;

contain only raw materials or components to be used to produce final products in the State of Maine at least 60% of which are exported outside the United States;

are accompanied by the appropriate permit carried in the vehicle (see Section 9); and,

remain sealed during the entire route of travel from the point of unloading at the vessel to the final destination in the State of Maine.

OVERLIMIT PERMIT: means a document approved by the Overlimit Permit Unit allowing the legal transport of overlimit loads and/or vehicles upon public highways within a certain time frame, and under certain conditions.

OVERLIMIT PERMIT UNIT: means the unit within the Bureau of Motor Vehicles, Office of Motor Carrier Services with the authority and responsibility to process overlimit and overweight permits.

OVERSIZE/OVERDIMENSIONAL/OVERLIMIT: means height, length, or width that exceeds the legal limit.

OVERWEIGHT: means weight that exceeds the legal limits established in 29-A M.R.S.A. Chapter 21.

OVERWEIGHT PERMIT: means a document approved by the Overlimit Permit Unit allowing the legal transport of overweight loads and/or vehicles upon public highways within a certain time frame, and under certain conditions. OGC Permits are overweight permits.

SECRETARY: means the Maine Secretary of State, or any Deputy Secretary of State.

SEMITRAILER: means a vehicle without motive power that is designed to be drawn by a motor vehicle and is constructed so that a part of its weight rests upon or is carried by a towing vehicle.

TRACTOR: means a motor vehicle designed and used primarily for drawing other vehicles, but not so constructed as to carry a load other than part of the weight of the vehicle and load so drawn.

USDOT NUMBER: means the motor carrier identification number issued by FMCSA, also known as a census number, provided for under CFR 49 Subpart B Section 390.21 Subsection (B)(3).

VEHICLE: means a device used to transport persons or property on a highway, excepting devices moved by human power or used exclusively upon rails or tracks.

SECTION 2. SYNOPSIS

Through joint action of the Maine Department of Transportation and the Secretary of State, carriers transporting sealed oceangoing containers on roads or bridges maintained by the Maine Department of Transportation may, under certain predefined conditions, be issued Oceangoing Container Permits authorizing operation at weights in excess of the legal weight allowed for the transporting vehicle configuration. OGC Permits are vehicle and route specific; issued for a predetermined number of trips; and expire one year from the date of issue. An annual administrative fee is charged along with a highway system impact fee based on the road mile distance within the State of Maine between the container’s port of entry/exit or railhead removal point and its destination or origin point. This rule does not preclude the necessity to obtain additional permits for the use of other roads, including the Maine Turnpike, as many municipalities also have their own restrictions in place.

SECTION 3. COMMUNICATIONS

All written communications and documents should be addressed to:

Bureau of Motor Vehicles

Motor Carrier Services – Overlimit Permit Unit

29 State House Station

Augusta, ME 04333-0029

Every permit holder in addressing communications to the Secretary must use the name shown on the holder’s permit.

The contact information for the Overlimit Permit Unit is as follows:

1. Telephone number: (207) 624-9000 ext. 52134
2. Fax: (207) 622-5332
3. Email: overpermits@maine.gov
4. Online: http://www.maine.gov/sos/bmv/commercial/index.shtml

SECTION 4. LEGAL NAME AND ADDRESS

Applicants must provide their full legal name, address, and telephone number as filed with the United States Department of Transportation's Federal Motor Carrier Safety Administration (FMCSA).

The legal name as listed on the application must be consistent with the legal name as provided on other applications for motor carrier credentials as well as with any applicable corporate filing. The applicant may be required to rectify any legal name discrepancies before an OGC permit will be issued.

Federal Identification Numbers (FID's), such as the USDOT Number or the Motor Carrier Number (MC Number), will be used to identify and track all applicants.

An application without sufficient name, address, or contact information may be returned to the applicant.

Any change in name or either the principal place of business address or the mailing address must be reported to the Overlimit Permit Unit within ten (10) days.

Any name or address change will require a written signed statement requesting the change and the submission of an updated MCS-150 reflecting the permit holder's new name or address information.

SECTION 5. APPLICATIONS

Applications for the multi-trip OGC permit shall be made on company letterhead and must include the following information:

1. the applicant's legal name, address, and telephone number;
2. the applicant's USDOT Number;
3. the route(s) to be taken;
4. the road miles within the State of Maine from the container’s port of entry/exit or railhead removal point to the point of origin or destination;

E. the number of trips to be taken on each proposed route;

F. the make, year, and vehicle identification number of the power units to be used in moving the OGC’s; and

G. the combination type, gross vehicle weight, axle weights and axle distances of the vehicle(s) to be permitted.

SECTION 6. PERMIT CONDITIONS

The Commissioner reserves the right to deny, modify, or revoke the OGC permit, once granted. Overweight container moves exceeding the requirements of this rule may be made only with the advice and consent of the Commissioner.

OGC permits will only be issued to the carrier transporting the OGC's.

The permit is granted only for travel on roads or bridges maintained by the Maine Department of Transportation. It is the responsibility of the motor carrier to obtain any necessary permits or permissions for the use of other roads from the appropriate jurisdiction. A separate permit must be obtained for overweight movements on the Maine Turnpike. Municipalities also may have their own restrictions and permit systems in place.

Oceangoing containers may be carried only on a combination of vehicles consisting of a three (3) axle tractor towing a tandem axle or tri-axle chassis semitrailer under the following conditions:

Five Axle Vehicle Combination

1. The maximum gross vehicle weight of the combination is 93,000 pounds;
2. The maximum tandem axle weight is 46,000 pounds;
3. The power unit must be registered for at least 80,000 pounds;
4. The vehicle combination and load is not oversize.

Six Axle Vehicle Combination

1. The maximum gross vehicle weight of the combination is 100,000 pounds;
2. The maximum tandem axle weight is 46,000 pounds;
3. The maximum tri-axle weight is 54,000 pounds;
4. The power unit must be registered for 100,000 pounds;
5. The distance between the extreme axles of the vehicle combination, excluding the steering axle, must be at least 32 feet;
6. The vehicle combination and load is not oversize.

Posted highway and bridge regulations must be observed at all times.

SECTION 7. FEES

There shall be a $15.00 annual administrative charge along with a per trip highway system impact fee for each permit issued.

The impact fee shall be based upon the shortest road mile distance within the State of Maine between the container’s port of entry/exit or railhead removal point and its destination or origin point, as appropriate.

The distance used for the purpose of the impact fee determination shall not include miles traveled on the Maine Turnpike or on roads under local jurisdiction.

The impact fees are as follows:

Shortest Road Mile Distance

Impact Fee

Greater than 0 miles up to 100 miles

$ 5.00

Greater than 100 miles up to 200 miles

$ 7.50

Greater than 200 miles

$10.00

Payment of the permit fees will be due at the beginning of the permit year and reconciliation will take place after the permit expiration date.

SECTION 8. REMITTANCES

Remittances to the Secretary must be in the form of a money order, bank draft, or credit card authorization (see restrictions below). Money orders and checks should be made payable to the Secretary of State.

Personal checks will be accepted subject to collection.

The Secretary will accept a VISA or MasterCard payment. Credit cards issued by other vendors can only be accepted if processed through a third party vendor (VitalChek Network). Payment transactions processed through a third party vendor will include an incremental processing fee based on the amount due.

All remittances must be in United States funds.

Remittances in currency or coin are wholly at the risk of the remitter. The Secretary assumes no responsibility for the loss of currency or coin sent by mail.

In the event that an applicant's check is returned for insufficient funds or for any other reason, the applicant's permit and right to operate commercial vehicles in the State of Maine will be suspended if, after proper notice, the applicant has not remitted all fees associated with the returned check to the Secretary. The Overlimit Permit Unit will not accept any additional applications until the applicant has completely satisfied the delinquency and associated reinstatement fees by credit card or bank/cashiers check.

An applicant who has had a check returned for any reason will be required to pay subsequent OGC permit fees with certified funds.

SECTION 9. PERMIT

The permit carried in the vehicle will be the standard MV-225 (standard application and permit form) completed as is appropriate for these movements.

All OGC permits expire one (1) year from the issue date.

SECTION 10. MISUSE

Any violation of 29-A M.R.S.A. Section 2382, or of these rules, or of the permit conditions may result in the cancellation of permits issued, or of the right to obtain additional or renewal permits.

The Secretary reserves the right to deny or revoke any overweight OGC permit if the Secretary determines that there is inadequate record keeping for audit purposes.

SECTION 11. AUDITING

Audits or verifications will be performed at the discretion of the Commissioner by persons of the Commissioner’s choosing. The permittee shall pay the costs of the audit or verification.

Under charges or over charges will be reconciled at the end of the permit year.

Only those documents pertaining to OGC movement will be audited for the program.

Auditors may have access to the shipper, motor carrier, and dock handler records.

SECTION 12. APPEAL

The motor carrier has the right to appeal the fee-assessment to the Secretary and the basis behind the fee to the Commissioner.

All appeal requests must be in writing.

SECTION 13. MUNICIPAL FISCAL IMPACT

This Rule will have no fiscal impact on Municipalities.

EFFECTIVE DATE:

April 5, 1994 (EMERGENCY) - filing 94-153

August 9, 1994 - filing 94-329

AMENDED:

May 19, 1995 (EMERGENCY) - filing 95-205

August 19, 1995 - filing 95-316

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

NON-SUBSTANTIVE CORRECTIONS:

December 20, 2000 - converted to MS Word, formatting

AMENDED:

January 27, 2002 - filing 2002-29

REPEALED AND REPLACED:

November 3, 2008 – filing 2008-523

APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025

APAO ACCESSIBILITY CHECK (Word):

April 7, 2026

Chapter 165 The Administration of the International Fuel Tax Agreement and the Intrastate Fuel Tax Program

Code Me. R. 29-250 Ch. 165 The Administration of the International Fuel Tax Agreement and the Intrastate Fuel Tax Program {#sec-29-250-ch.-165 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 165}

SUMMARY: This chapter outlines the procedures and standards for participation in the International Fuel Tax Agreement pursuant to 29-A Section 525.

A. DEFINITIONS

1. ACCOUNT: Means anyone who establishes an account with the Bureau for fuel tax licensing and reporting purposes. See Licensee; Application.

2. AGREEMENT: Refers to the International Fuel Tax Agreement.

3. APPLICANT: A person, firm or corporation in whose name the uniform application is filed with a base jurisdiction to participate in the Agreement.

4. APPLICATION: See Uniform Application.

5. AUDIT: The official examination of a licensee’s records to determine if the correct information and taxes were reported.

6. BASE JURISDICTION: The member jurisdiction where qualified motor vehicles are based for vehicle registration purposes; and where operational records are maintained or can be made available; and where some mileage is accrued by qualified vehicles.

7. BASING POINT: Refers to a system of vehicle registration and associated reciprocity where the basing point is the registrant's place of business from which the vehicle is most frequently dispatched, garaged, serviced, or otherwise controlled.

8. BUREAU: The reference to Bureau in this Rule means the Maine Bureau of Motor Vehicles.

9. BUS: Means every motor vehicle designed for carrying more than 15 Passengers, including the driver.

10. CANCELLATION: Means the voluntary termination of a license by a licensee who is in good standing.

11. CARRIER: See Motor Carrier.

12. CHARTER BUSES: Also known as Tour Buses. Buses which do not operate on a fixed route or on a regular schedule.

13. COMBINATION OF VEHICLES: A power unit used in combination with trailers and/or semi-trailers.

14. COMBINED GROSS The total unladen weight of a combination

VEHICLE WEIGHT: of vehicles plus the weight of the load carried on that combination of vehicles.

15. COMMON CARRIER: Any motor carrier which holds itself out to the general public to engage in the transportation by motor vehicle of passengers or property for compensation.

16. CONTRACT CARRIER: Any motor carrier transporting persons or property for compensation or hire under contract to a particular person, firm or corporation.

17. DECLARED COMBINED The total unladen weight of any combination of

GROSS VEHICLE WEIGHT: vehicles plus the maximum load to be carried on that combination of vehicles for which registration fees have been paid.

18. DECLARED GROSS The total unladen weight of any vehicle plus

VEHICLE WEIGHT: the maximum load to be carried on the vehicle for which registration fees have been paid.

19. DISTANCE Means miles or kilometers operated by a licensee’s qualified motor vehicles.

For purposes of this rule, "distance" means the same as "mileage".

20. EMERGENCY VEHICLES: Any vehicle authorized to display red, blue or amber lights in the performance of duties as defined in M.R.S.A. 29-A 2054.

21. EMPTY WEIGHT: See Unladen Weight

22. EXCEPTION: A deviation from a provision of the agreement by a member jurisdiction which has been approved by all member jurisdictions.

23. EXTENSION: A period of time from the expiration date or grace period date that carriers may operate on expired credentials because the base jurisdiction is unable to provide current credentials.

24. FEDERAL MOTOR CARRIER An agency of the United States Department of

SAFETY ADMINISTRATION Transportation whose primary mission is to

(FMCSA) reduce crashes, injuries, and fatalities involving large trucks and buses.

25. FLEET: One or more vehicles with the same jurisdiction profile, common mileage, and controlled by the same licensee for fuel tax purposes.

26. FLEET MILES: See Total Miles; also IVDR.

27. FOR-HIRE CARRIER: Any person who engages in transportation by motor vehicle of passengers or property for compensation.

28. FULL TRAILER: Every vehicle without motive power, designed for carrying property and for being drawn by a motor vehicle and so constructed that no part of its weight rests upon the towing vehicle.

29. GPS: A global positioning system that is used to identify a geographic location, sometimes referred to as a vehicle-tracking system.

30. GRACE PERIOD: A period of time from the expiration of the current year's credentials until the date that new credentials are required to be displayed or when enforcement action could be taken. Maine will honor a grace period only if the grace period is printed on the annual license or if approved by the Bureau.

31. GROSS VEHICLE WEIGHT: The unladen weight of a vehicle plus the weight of the load carried of that vehicle.

32. HOUSEHOLD GOODS Carriers handling (1) personal effects and

CARRIERS: property used or to be used in a dwelling; 2) furniture, fixtures, equipment, and the property of stores, offices, museums, institutions, hospitals or other establishments, when a part of the stock, equipment, or supply of such stores, offices, museums, institutions, including objects of art, displays and exhibits which because of their unusual nature or value require the specialized handling and equipment commonly employed in moving household goods; and shall include owned or leased equipment and their entire service representative family.

33. IVDR: Individual Vehicle Distance Record is an original mileage record generated in the course of vehicle operations to account for all distance traveled that may be used as a source document to support the accuracy of a licensee’s tax return. See the IFTA Procedures Manual.

34. IFTA: International Fuel Tax Agreement. A base state fuel tax compact headquartered in the State of Arizona. IFTA participation was required for all states by the Intermodal Surface Transportation Efficiency Act of 1992.

35. INTER-JURISDICTION Vehicle movement between or through two

MOVEMENT: or more jurisdictions.

36. INTRA-JURISDICTION Vehicle movement of property or persons

MOVEMENT: from one point to another within the same jurisdiction or operations within that jurisdiction.

37. JURISDICTION: A country or a state, province, territory, possession, or federal district of a country.

38. LEASE: A written document vesting exclusive possession, control and responsibility for the operation of a vehicle to the lessee for a specific period of time.

39. LESSEE: A person, firm, or corporation which has the legal possession and control of a vehicle owned by another under terms of a lease agreement.

40. LESSOR: A person, firm or corporation which, under the terms of a lease, grants the legal right of possession, control and responsibility for the operation of the vehicle to another person, firm, or corporation.

41. LICENSEE: An applicant who has been granted an IFTA or Fuel User license. The licensee is responsible for fuel tax reporting and record keeping.

42. MCS-150 The Federal Motor Carrier Safety Administration’s Motor Carrier Identification Report.

43. MEMBER JURISDICTION: A jurisdiction which has applied for membership and has been accepted by all members of the International Fuel Tax Agreement.

44. MILEAGE: For the purposes of this Rule, “mileage” means the same as “distance”.

45. MOTOR CARRIER: An individual, partnership, or corporation engaged in the transportation of goods or persons. See Common Carrier, Contract Carrier, or Private Carrier.

46. MOTOR FUEL: Means all fuels used for the generation of power for propulsion of qualified motor vehicles.

47. MOTOR VEHICLE: Every vehicle which is self-propelled by power other than muscular power. See Power Unit.

48. ONE-WAY RENTAL A truck having a Declared Gross Vehicle

VEHICLE: Weight of 26,000 pounds or less and rented or offered for rent by a Rental Company, for a specified period of time.

49. OWNER: Any person, firm, or corporation, other than a lienholder, holding legal title or legal possession to a vehicle.

50. OWNER-OPERATOR: Someone who owns a truck but who leases the motor vehicle with driver to a motor carrier. The carrier generally is responsible for some or all of the legal and business requirements for the vehicle. Fuel tax licensing may be in the name of either the owner/operator or the carrier.

51. OPERATIONAL RECORDS: Source documents that support fuel purchased and miles traveled in each jurisdiction including fuel reports, trip sheets, logs, receipts, information from vehicle-tracking systems, fuel and mileage summaries, and Individual Vehicle Distance Records. See IVDR.

52. POWER UNIT: See Bus, Truck, Truck-Tractor, or Tractor.

53. PRIVATE CARRIER: A person, firm, or corporation which utilizes its own trucks to transport its own freight.

54. PROPERLY REGISTERED: A vehicle which has been registered in full compliance with the laws of all jurisdictions in which it is intended to operate.

55. QUALIFIED INTRASTATE A motor vehicle that otherwise meets the

VEHICLE: definition of a qualified motor vehicle, but does not travel in at least two IFTA jurisdictions.

56. QUALIFIED MOTOR VEHICLE: A motor vehicle that travels in two or more IFTA jurisdictions and which meets any of the following conditions:

a. the registered gross weight; actual weight or combined gross weight is in excess of 26,000 pounds; or

b. the power unit has three or more axles regardless of weight.

57. QUARTERLY FUEL TAX The tax return required four times each year

RETURN: from every licensed fuel tax account. Tax returns are due by the last day of April, July, October, and January for the previous three months.

58. RECREATIONAL VEHICLE: Vehicles used exclusively for personal pleasure and not in connection with any commercial or business enterprise. Recreational vehicles include such vehicles as campers and motor homes.

59. REGISTERED WEIGHT: The weight for which a vehicle is licensed or registered within a particular jurisdiction. See Declared Combined Gross Vehicle Weight and Declared Gross Vehicle Weight.

60. REVOCATION: Means the permanent withdrawal of license privileges by a jurisdiction for cause.

61. SEMITRAILER: A vehicle without motive power designed to be pulled or towed by a motor vehicle in which part of the trailer’s load is supported by the power unit. See Trailer.

62. SPECIAL MOBILE EQUIPMENT: A self-propelled device operated over the highways that is not designed or used primarily for the transportation of persons or property.

63. STATE: For the purpose of this rule, unless the context clearly indicates otherwise, "State" has the same meaning as “Jurisdiction”.

64. SUSPENSION: Means the temporary removal of privileges by the licensing jurisdiction for cause.

65. TAXABLE MILES: Means all miles operated by qualified vehicles subject to a jurisdiction’s fuel tax requirements. Miles operated under trip permits generally are exempt from fuel tax requirements.

66. TOTAL MILES: The total number of miles operated by a carrier's qualified vehicles in all jurisdictions during a reporting period.

67. TRACTOR: Every motor vehicle designed and used primarily for drawing other vehicles, but not so constructed as to carry a load other than part of the weight of the vehicle and load so drawn.

68. TRAILER: A vehicle without motor power designed to be pulled or towed by a motor vehicle in which no part of the vehicle's load is supported by the power unit. See Semitrailer.

69. TRIP PERMIT: A temporary permit issued by a jurisdiction in lieu of fuel tax licensing and reporting.

70. TRUCK: Every motor vehicle designed, used or maintained primarily for the transportation of property. For purposes of this rule “Truck” includes Class A Special Mobile Equipment, as defined in Title 29-A, Section 101, Sub 70.

71. TRUCK-TRACTOR: Every motor vehicle designed and used primarily for drawing other vehicles, but so constructed as to carry a load other than a part of the weight of the vehicle and load so drawn.

72. UNIFORM APPLICATION: The official IFTA application form provided for making an application for IFTA fuel tax licensing and reporting.

73. UNLADEN VEHICLE The weight of a vehicle fully equipped for

WEIGHT: service excluding the weight of any load.

74. UNLADEN WEIGHT A permit issued to owner-operators to allow

PERMIT: the movement of an unloaded vehicle that does not have a current registration. (Also called Hunter's Permit)

75. USDOT NUMBER: A motor carrier identification number issued by FMCSA, also known as a census number, provided for under CFR 49 Subpart B Section 390.21 Subsection (B).

76. VEHICLE: Every device in, upon, or by which any person or property is or may be transported or drawn upon a highway, excepting devices moved by human power or used exclusively upon rails or tracks.

77. VEHICLE IDENTIFICATION The numbers and letters generally

NUMBER: assigned to a vehicle by the manufacturer for the purpose of titling and registration.

78. WIRE SERVICES: Any of several entities that specialize in obtaining various credentials for carriers from jurisdictions. Also called Permit Services. Maine will issue various temporary IRP, Fuel Tax, Overlimit or Operating Authority credentials through several different wire services. (See Motor Carrier Manual for listing.)

79. YEAR: For fuel tax purposes, a year is January to December.

B. SYNOPSIS

IFTA

This rule establishes and defines the State of Maine’s participation in the International Fuel Tax Agreement (IFTA). IFTA is a base state fuel tax agreement requiring that a licensee license with its home (base) jurisdiction for fuel tax licensing and reporting for all member jurisdictions. The licensee makes one annual application; is issued one set of fuel decals per truck; and makes one quarterly fuel tax return covering travel in all IFTA jurisdictions. The base jurisdiction collects the licensee’s taxes and transmits them to the appropriate member jurisdictions. The base state is responsible for all accounting and auditing. Licensee tax reporting is done on a fleet basis.

Intrastate

Anyone with qualified vehicles, but not operating in at least two IFTA jurisdictions is subject to intrastate fuel use requirements. Intrastate carriers must complete an annual application.

Each licensee must display a fuel use decal on the driver’s side door of each qualified motor vehicle operating in Maine. Intrastate licensees are subject to the same record keeping requirements as IFTA licensees; however intrastate licensees may be exempted from fuel tax reporting requirements.

Licensees with IFTA qualified and intrastate vehicles.

Licensees with both IFTA qualified and intrastate vehicles are subject to IFTA record keeping and reporting requirements unless arrangements are made to establish completely separate fleets for fuel tax licensing.

Dual Registration

Licensees may have both an intrastate account and an interstate IFTA account.

Licensees with both interstate and intrastate qualified vehicles may establish separate interstate and intrastate accounts. Licensees opting to maintain separate interstate and intrastate fleets must separate records accordingly.

C. COMMUNICATIONS

All written communication and documents should be addressed to the Fuel Unit, Bureau of Motor Vehicles, Motor Carrier Services, #29 State House Station, Augusta, Maine 04333. All communications and documents are deemed to be officially received when delivered to the Fuel Unit of the Bureau of Motor Vehicles in Augusta, Maine. For tax return verification purposes, the post mark will serve as the official date stamp. Telephone Number is 624-9000 ext. 52136; Fax Number is (207) 624-9086 or (207) 624-9062. The website address is https://www.state.me.us/sos/bmv/. Routine communications and tax returns will be accepted by mail, fax, in person, or by email.

D. REMITTANCES

Remittances to the Secretary of State may be made by money order or bank draft payable to the Maine Secretary of State. Personal checks will be accepted subject to collection. All remittances must be in U.S. funds.

Remittances in currency are wholly at the risk of the remittee. The Secretary of State assumes no responsibility for loss of currency sent by mail.

In the event that a licensee’s check is returned for insufficient funds or for any other reason, the licensee’s fuel account, and privilege to register and operate commercial vehicles will be suspended. The Fuel Unit will not accept any additional applications until the licensee has completely satisfied the delinquency and has paid reinstatement fees.

A licensee who has had a check returned for any reason will be required to make subsequent payments with certified funds. Any licensee who has a check returned, or who fails to file tax returns or pay taxes due may be required to post a bond.

E. LEGAL NAME AND ADDRESS

Federal Identification (FID) Numbers will be used to identify and track licensees. If the applicant is an individual, their Social Security Number may be provided in lieu of a federal identification number.

Licensees must provide their full legal name as filed with the Federal Motor Carrier Safety Administration. The legal name of the licensee as provided on the application will appear on the annual license. Licensees must provide a phone number and full address including a street and street number if applicable. If the address is a rural route, the licensee must include a box number.

An application without a sufficient name, address, or phone number may be returned to the applicant.

Licensees must report any change of address to the Secretary of State within 30 days. Changes of address may be provided in writing, by telephone, fax or email.

F. NAME AND NAME CHANGES

A name change may be submitted in writing, by telephone, fax or email. However, the Bureau reserves the right to require supplemental supporting documentation on any name change. If a licensee is changing their name on their Maine IRP account, the licensee may ask to change their name on their fuel account by making a notation on their IRP Schedule A/C.

G. QUALIFIED VEHICLES

Anyone based in an IFTA jurisdiction and operating in two or more IFTA jurisdictions must be licensed in IFTA if:

1. their vehicle is registered for a gross weight or has an actual weight or combined gross weight in excess of 26,000 pounds; or

2. their vehicle has three (3) or more axles on the power unit regardless of weight.

H. EXEMPT VEHICLES

The following types of vehicles are exempt from fuel tax reporting in Maine, but may be subject to tax reporting in other jurisdictions. The operation of exempt vehicles subjects the licensee to all applicable recordkeeping requirements.

a. motor vehicles owned and operated by government agencies

b. motor vehicles being legally operated on dealer, wrecker or transporter plates. Wreckers with commercial plates are not exempt.

c. recreational vehicles

d. authorized emergency vehicles registered in another jurisdiction and responding to a declared emergency

e. gasoline-powered vehicles

f. trailers and semitrailers

g. motor vehicles registered as farm vehicles, subject to partial inspections, and limited to a radius of 20 miles.

I. DETERMINING THE APPLICANT’S BASE JURISDICTION FOR IFTA

In order to license for IFTA through the State of Maine an applicant must:

a. register qualified motor vehicles in this state; and

b. accrue mileage in this state; and

c. keep operational records in this state, or be able to make those records available, or pay the necessary expenses for out-of-state travel for audit.

The vehicle registrant is responsible for filing quarterly tax returns. Notwithstanding, for leases of 30 days or more, fuel tax licensing and reporting may be in the name of either the lessor or the lessee.

For leases of fewer than 30 days, fuel tax licensing must be in the name of the vehicle registrant.

The Bureau may require copies of lease agreements to verify responsibility for fuel tax reporting.

Subject to approval of the affected jurisdictions, a carrier who meets the qualifications to base in more than one jurisdiction may choose to consolidate their account in a single jurisdiction, or base a portion of their fleet in any qualifying jurisdiction.

J. LICENSING/DISPLAY OF DECALS

IFTA Licenses: The Fuel Unit will review each application for an IFTA license. A license will be issued so long as the applicant meets the IFTA basing requirements, and so long as the applicant is not under suspension or revocation in an IFTA jurisdiction. The license will have the form specified in the IFTA administrative procedures manual.

The licensee must place a copy of the license in each qualified vehicle. A licensee may display their license electronically. The image may be in the form of an electronic image or data connection. The image must be readable, and must contain all required fields. Electronic images are subject to verification. The State of Maine assumes no responsibility for the accidental damage of any electronic device.

Intrastate Licenses: Intrastate carriers must be in good standing in the State of Maine. Intrastate licensees must place a copy of the intrastate license in each qualified vehicle. Intrastate carriers will be issued one decal to be displayed on the driver’s side of the cab near the door. Intrastate decals expire on June 30.

IFTA carriers will be issued a set of two decals for each qualified vehicle. A decal must be conspicuously displayed on each side of the cab near the door. The next year’s decals may be displayed starting December 1.

Replacement decals may be obtained at full fee. Fees may be waived if the licensee provides a notarized statement that the decals were never received, or if the decals were defective.

Decals must be fixed to the vehicle by the adhesive backing in such a way that the removal of a decal will cause its destruction.

Upon the transfer of ownership of the vehicle, any decal is void and must be removed and returned to the Fuel Unit or destroyed. Decalsmay not be transferred from one vehicle to another. Upon closure of an account, all decals must be returned to the Fuel Unit.

In the event that one decal of an IFTA set is damaged or destroyed, both decals of the set must be replaced.

K. RECORD RETENTION

A licensee must maintain mileage records including individual vehicle distance records, GPS records, fuel receipts, and all documentation supporting information filed on IFTA returns for a period of four (4) years after the due date of the tax return or from the date the return actually was filed, whichever is later.

L. CONVERSION FACTORS

The following conversion factors will be used to convert between standard and metric measures:

Volume:

1 liter = 0.2642 gallons

1 gallon = 3.785 liters

Distance:

1 kilometer = 0.62137 miles

1 mile = 1.6093 kilometers

M. EMERGENCY FUEL TAX LICENSE AND AUTHORIZATION

Carriers may obtain an emergency fuel tax license from the Bureau by making out an application in person, in writing, by email attachment, or by fax. Upon approval by the Fuel Unit, the applicant will be issued temporary authorization for a specific vehicle and an IFTA license. That authorization will be valid for all IFTA jurisdictions. Temporary authorization is valid for 30 days.

An application for an emergency tax license serves as an application for an annual license. Within 30 days, the carrier will receive annual decals. An emergency license subjects the carrier to all fuel tax requirements.

N. TAX RETURN FILING

IFTA. Each IFTA licensee is required to file quarterly tax returns. The reporting periods and due dates are:

Reporting Quarters Due Date

January - March April 30

April - June July 31

July - September October 31

October - December January 31

Each licensee filing a paper return will receive a quarterly tax return at least 30 days prior to the due date. Licensees may apply to the Bureau and file IFTA returns on-line. Failure to receive a quarterly return does not relieve the licensee’s reporting obligations. A quarterly return must be filed even if a licensee does not operate or purchase any fuel during the quarter.

The tax return will list the jurisdictions the licensee indicated on their application. Tax rates for these jurisdictions will be preprinted. If a licensee operates in additional jurisdictions during the reporting period, the licensee must add these jurisdictions to their tax report.

The licensee must verify the tax rates for any jurisdiction being added.

O. TAX RETURNS

A licensee’s tax return will consist of two parts. The first part is a miles per gallon (MPG) calculation determined bydividing total miles traveled in all jurisdictions by total gallons of fuel consumed in all jurisdictions . The MPG calculation must be carried to two decimal places. MPG must be calculated for each fuel type. Licensees will be provided separate tax returns for each fuel type.

The second part consists of the tax and refund calculation by jurisdiction. The licensee must report the following information by jurisdiction.

a. total miles

b. taxable miles

c. taxable gallons (taxable miles divided by MPG)

d. tax paid gallons purchased and consumed in qualified vehicles

e. tax rate

f. net taxable gallons (c - d)

g. tax due or refund

h. interest

i. total due or refund

The taxes or refunds due to each jurisdiction must be summed. If the net amount is positive, this is the amount the licensee owes. If the net amount is negative, this is the amount to be refunded or credited to the licensee. If the licensee owes additional taxes, the licensee must make a single payment. Checks should be made payable to the Maine Secretary of State.

If a licensee paid more tax for the quarter than their tax liability, any resulting credit will be carried forward to the next reporting period unless the licensee specifically requests a refund.

P. EXEMPTIONS

Intrastate Licensee: An intrastate licensee who certifies that all their fuel is bought tax-paid in Maine may request to be exempt from fuel tax reporting.

Q. PARTIAL PAYMENT

If a licensee makes a partial payment, the payment will be applied in the following order:

1. taxes

2. interest

3. penalty

4. reinstatement

Within the priority order, payment will be applied to the oldest liability first.

When a licensee files a return and fails to remit full payment with the return, full payment of the reported tax and interest, if any, will be made to the affected jurisdictions. The Bureau will assume the liabilities for the amount owed other jurisdictions. The Bureau will take all steps to enforce the collection of any unpaid taxes, interest, and penalties. If a licensee fails to pay any taxes, interest, penalties, or auditassessment, the Bureau may suspend the licensee’s IFTA license, privilege to operate commercial motor vehicles and any truck registrations.

R. CREDITS/REFUNDS

Tax Paid Purchases. Licensees will receive credit for any fuel taxes paid to a member jurisdiction. A credit from one jurisdiction shall be applied to an IFTA tax liability in another jurisdiction.

In order to receive credit for tax on purchases the licensee must have a receipt, invoice, or credit card receipt documenting the fuel purchase. Receipts must contain at least the following information:

a. date of purchase

b. seller’s name and address

c. number of gallons or liters purchased

d. fuel type

e. price per gallon or liter, or total amount for the fuel purchase

f. truck unit number or registration plate number

g. purchaser’s name. In the event of a lease agreement, the purchase may be either the lessor or the lessee. Documentation may be required.

In the case of withdrawals from licensee owned tax-paid bulk storage, credit may be obtained if the following detailed records are maintained.

a. date of withdrawal

b. number of gallons or liters withdrawn

c. fuel type

d. truck unit number or registration plate number

e. purchase and inventory records to substantiate that the tax was paid on bulk purchases

Refunds will not be made for an overpayment for which records no longer are required. A request for a refund stays the record keeping requirement until the refund is made or denied.

Unless a licensee is closing their account or has expiring credits, the Bureau will refund only amounts of one hundred ($100) dollars or more. Only amounts of five dollars or more will be refunded or collected.

S. HEARINGS

In the administration of the laws relative to vehicles and operators and the operation thereof, the Secretary of State or any Deputy Secretary of State may conduct hearings, subpoena witnesses, administer oaths, take testimony and order the production of books and papers.

The Deputy Secretary of State may issue all processes necessary for the performance of these duties.

The fees for travel and attendance of witnesses shall be the same as for witnesses before the Superior Court and shall be paid by the State out of vehicle registration fees upon certificates of the Secretary of State filed with the State Controller.

Hearings conducted by the Secretary of State shall be as provided by Title 5, chapter 375, subchapter IV.

T. SUSPENDED OR CANCELED FUEL TAX LICENSE

A licensee who fails to submit required tax returns or to pay any required taxes, audit assessments, interest, or penalties will be suspended. Licensees will be notified by U.S . mail of any pending suspension. The suspension will take affect 15 days from the date of the notice. A suspended account may be restored only after submitting the required tax return and payment, interest, penalty, and paying a reinstatement fee.

A suspension or revocation from any IFTA jurisdiction shall be honored and enforced by all IFTA jurisdictions. A suspended licensee may not operate any qualified motor vehicles in any IFTA jurisdiction. A suspended licensee may not receive any additional fuel decals.

A licensee in good standing may request that their IFTA or intrastatefuel license be canceled. In order to cancel their license, the licensee must have filed all tax returns due, and have paid all taxes, interest, penalties and reinstatement fees.

Any licensee who is suspended or revoked shall be prohibited from conducting an IRP, Operating Authority or overlimit permit transaction.

In order to cancel an account, a licensee must make a request in writing to the Bureau.

U. BEST INFORMATION AVAILABLE TAX FINDING

If a licensee fails to file any tax return due or fails to make records available upon request, or if any licensee fails to maintain records from which the licensee’s true liability may be determined, the Secretary of State may determine a tax finding for each jurisdiction based upon the Secretary’s determination of the tax liability of the licensee. The Secretary may make a determination from information previously furnished by the licensee, if available, and any other pertinent information that may be available to the Secretary.

V. AUDIT PROCEDURES

The IFTA Audit Procedures are hereby incorporated by reference.

Licensee records relative to mileage operated in each jurisdiction and other information required for the payment of fuel taxes are subject to audit. Audits will be conducted by the Bureau of Motor Vehicles.

Audits will be scheduled in accordance with the Bureau’s rules and procedures. The Bureau will notify the licensee of the results of any audit.

If the Bureau determines that the licensee overpaid fuel taxes, the licensee shall be entitled to a credit or refund. The Fuel Unit will carry the credit forward unless the licensee requests a refund.

If the Bureau determines that a registrant owes additional fuel taxes, the Fuel Unit will bill the licensee for the amount due. The licensee must pay the full amount due within thirty (30) days of the billing date. If the licensee fails to remit the full amount due within the thirty (30) days the licensee will be suspended.

A licensee may appeal an audit finding in writing to the Bureau. An appeal made within thirty (30) days of the billing date will stay the suspension proceeding until the Bureau rules on the appeal.

W. MISCELLANEOUS FEES

Failure to file/pay tax penalty $50.00 or 10% of tax or whichever is greater

Reinstatement Fee $50.00

72-Hour Fuel Tax Trip Permits $50.00

Fuel Decal Fee (1 vehicle) $ 5.00

Fax Fee $ 3.00

Interest at the rate prescribed by IFTA

X. SIGNATURES

All fuel tax applications and tax returns must be signed. Anyone signing must state their position and authority to sign. For corporations, the fuel tax application or tax return must be signed by a corporate officer or an employee in an administrative capacity.

If the licensee is an individual, the licensee or spouse must sign the document.

Notwithstanding the above, an authorized agent exercising power-of-attorney may sign on behalf of a corporation or individual.

The Bureau may waive signature requirements for established accounts making faxed or electronic applications or tax returns

Y. MILEAGE RECORDS

Licensees are required to maintain accurate mileage records by vehicle and by trip. Trip records should be compiled into monthly summary reports by vehicle, date, and by the registrant's fleet.

For distance records produced by a means other than a vehicle-tracking system, licensees must maintain the following information by vehicle:

1. starting and ending trip dates;

2. starting and ending trip locations;

3. major highway routing for each trip;

4. beginning and ending odometer, hubometer, engine control module (ECM), or any similar device for the trip;

5. total trip distance (all miles must be accounted for including miles traveled in non-IFTA jurisdictions);

6. in-jurisdiction distance (distance traveled in each jurisdiction including non-IFTA jurisdictions);

7. vehicle unit number (owner’s equipment number) or VIN;

8. licensee’s name; and

9. any trip permits purchased from any jurisdiction.

For distance records produced wholly or partly by a vehicle-tracking system, including a system based on a global positioning system (GPS):

original GPS or other location data for the vehicle to which the records pertain;

date and time of each GPS or other system readings, at intervals sufficient to validate the total distance traveled in each jurisdiction;

location of each GPS or other system reading;

beginning and ending reading from the odometer, hubometer, engine control module (ECM), or any similar device for the period to which the records pertain;

calculated distance between each GPS or other system reading;

route of the vehicle’s travel;

total distance traveled by the vehicle;

distance traveled in each jurisdiction;

licensee’s name; and

vehicle unit number (owner’s equipment number) or VIN.

NOTE: Records must be maintained for four (4) years after the close of the tax quarter, or after the tax return is filed, whichever is later.

Z. INSTRUCTIONS ON FORMS

The forms will be designed and updated to comply with IFTA and Maine requirements. Information gathered on the forms is required by this State and other jurisdictions to properly license for fuel tax reporting and to file quarterly tax returns.

AA. TRIP PERMITS

Out-of-State carriers subject to Maine fuel tax licensing requirements who are not licensed for Maine fuel tax reporting may obtain fuel trip permits. Trip permits satisfy all Maine fuel tax licensing and reporting requirements.

AB. ADOPT BY REFERENCE

The Bureau adopts by reference the International Fuel Tax Agreement with official commentary, the IFTA Administrative Procedures Manual, and the IFTA Audit Manual.

AC. MUNICIPAL FISCAL IMPACT

This rule will have no fiscal impact on Municipalities.

History

• STATUTORY AUTHORITY: 29-A M.R.S. §525
• EFFECTIVE DATE: November 2, 1996
• AMENDED: January 20, 1998
• NON-SUBSTANTIVE CORRECTIONS: February 12, 1998 - minor punctuation.
• AMENDED: July 4, 2000
• AMENDED: January 27, 2002
• NON-SUBSTANTIVE CORRECTION: June 10, 2002 - underline/strikeout problem corrected in Section S, 5th paragraph
• AMENDED: November 13, 2018 – filing 2018-240
• AMENDED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025
• APAO ACCESSIBILITY CHECK (Word): April 7, 2026

Chapter 168 Administration of USDOT Numbers for Certain Intrastate Motor Carriers

Code Me. R. 29-250 Ch. 168 The Administration of Usdot Numbers for Certain Intrastate Motor Carriers {#sec-29-250-ch.-168 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 168}

SUMMARY: This chapter outlines the procedures and standards for the administration of United States Department of Transportation (USDOT) numbers to those intrastate motor carriers qualifying under 29-A M.R.S.A. §555-A.

SECTION 1. DEFINITIONS

For the purpose of this chapter, the following terms are defined as follows:

1. APPLICATION: means the document prescribed by the United States Department of Transportation (USDOT) and the State of Maine to capture the census information required to obtain a USDOT number or update an existing USDOT number. See MOTOR CARRIER IDENTIFICATION REPORT MCSA-1.

2. BUREAU: means the Maine Bureau of Motor Vehicles.

3. COMMERCIAL MOTOR VEHICLE: means any self-propelled or towed motor vehicle used on a highway in interstate or intrastate commerce to transport passengers or property when the vehicle

A. Has a gross vehicle weight (GVW), gross vehicle weight rating (GVWR), or registered gross vehicle weight exceeding 26,000 pounds, whichever is greater; or

B. Is used in combination with another vehicle or vehicles and the combined gross weight or gross vehicle weight rating exceeds 26,000 pounds; or

C. Is designed or used to transport more than 8 passengers, including the driver, for compensation; or

D. Is designed or used to transport more than 15 passengers, including the driver, and is not used to transport passengers for compensation; or

E. Is used in transporting material found by the Secretary of the United States Department of Transportation (USDOT) to be hazardous under 49 U.S.C. §5103 and transported in a quantity requiring placarding under regulations prescribed by the Secretary of Transportation.

4. FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION (FMCSA): means the agency of the United States Department of Transportation whose primary mission is to reduce crashes, injuries, and fatalities involving large trucks and buses. FMCSA is responsible for developing, compiling, and enforcing interstate motor carrier safety regulations, monitoring a motor carrier’s operating record and compliance with motor carrier safety regulations, and addressing operating and compliance deficiencies using various intervention methods up to and including fines and out-of-service orders.

5. FOR-HIRE MOTOR CARRIER: means a person engaged in the transportation of goods or passengers for compensation.

6. GROSS VEHICLE WEIGHT (GVW): means the actual total weight of the vehicle and load.

7. GROSS VEHICLE WEIGHT RATING (GVWR): means the weight rating of the vehicle and maximum load as determined by the final stage manufacturer.

8. INTRASTATE MOTOR CARRIER: means any person engaged in the business of transporting goods, property, or passengers by commercial motor vehicle upon any public highway between points within the State of Maine when the vehicle does not cross the state boundary line and the business is not part of commerce originating or terminating outside the State or the United States.

9. MOTOR CARRIER: means a for-hire motor carrier or private motor carrier. A motor carrier is responsible for the safety fitness of a commercial motor vehicle engaged in commerce on roads and highways.

10. MOTOR CARRIER IDENTIFICATION REPORT (Online Form MCSA-1, formally the MCS-150): means the online form used to gather the required information for the issuance of USDOT numbers or the update of existing USDOT census information.

11. PERSON: means an individual, corporation, firm, partnership, joint venture, association, fiduciary, trust, estate, or any other legal entity.

12. PRIVATE MOTOR CARRIER: means a person who provides transportation of property or passengers, by commercial motor vehicle, and is not a for-hire motor carrier.

13. REGISTERED WEIGHT: means the weight for which a vehicle is licensed or registered with the Maine Bureau of Motor Vehicles.

14. SECRETARY: means the Maine Secretary of State.

15. TRUCK: means a motor vehicle designed and used primarily to carry property. A truck may draw trailers and semitrailers.

16. TRUCK TRACTOR: means a motor vehicle designed and used exclusively to draw other vehicles and not constructed to carry a load other than a part of the weight of the vehicle and the load drawn.

17. UNITED STATES DEPARTMENT OF TRANSPORTATION (USDOT): means the federal cabinet department of the United States government concerned with transportation whose mission is to ensure a fast, safe, efficient, accessible, and convenient transportation system to meet national interests.

18. USDOT NUMBER: also known as a census number, means a motor carrier identification number issued by the Federal Motor Carrier Safety Administration, as provided for under 49 C.F.R. §390.19(h)(1).

SECTION 2. SYNOPSIS

1. The purpose of this rule is to provide for accurate, consistent motor carrier identification for law enforcement, safety enforcement, and statistical purposes and to establish and maintain legal identity for Maine intrastate carriers subject to the USDOT number provisions of 29-A M.R.S.A. §555-A and other Bureau requirements such as fuel tax licensing and reporting under 29-A M.R.S.A. §525 and for-hire insurance coverage under 29-A M.R.S.A. §1611.

SECTION 3. COMMUNICATIONS

1. All written communications and documents should be addressed to the Bureau of Motor Vehicles, Motor Carrier Services, 29 State House Station, Augusta, Maine 04333-0029.

2. All communications and documents are deemed to be officially received when delivered to the Motor Carrier Services Unit at the Bureau of Motor Vehicles’ Main Office, 101 Hospital Street, Augusta, Maine.

3. Every holder of a USDOT number must use the name shown upon the holder’s Motor Carrier Identification Report when addressing communications to the Secretary.

4. The contact information for the Motor Carrier Services Unit is as follows:

A. Telephone: (207) 624-9000 ext. 52131 or TTY: (877) 456-8195;

B. Fax: (207) 622-5332;

C. Email: USDOT.BMV@maine.gov; and

D. Online Information: http://www.maine.gov/sos/bmv/commercial/.

SECTION 4. LEGAL NAME AND ADDRESS

1. The system requires the use of legal names and such names will be identified in part by the use of the Federal Employer Identification Number (FEIN) and in the case of individuals, the Social Security Number (SSN).

2. The legal name listed on the application must be consistent with the legal name provided on other applications for motor carrier credentials as well as with any applicable state and/or federal filings (for example: a state corporate filing).

3. An applicant may be required to rectify any legal name discrepancies before an application will be processed by the Bureau.

SECTION 5. CHANGE OF NAME AND/OR ADDRESS

1. A change of name, principal place of business address, or mailing address of any motor carrier must be reported to the Secretary in writing, or by facsimile or E-mail within 30 days of the change. The Secretary reserves the right to require supplemental supporting documentation on any name change. Carriers must also update their census information with the Federal Motor Carrier Safety Administration through the online form MCSA-1 within 30 days of any change to that information. This can be done at FMCSA’s registration web site.

2 . Any notification of a name or address change must be submitted in conjunction with a statement that the federal census information has been updated online.

SECTION 6. APPLICABILITY

1. This rule applies to all intrastate motor carriers operating commercial motor vehicles.

2. Intrastate motor carriers operating commercial motor vehicles entirely within the state are required to obtain a USDOT number.

SECTION 7. EXEMPT VEHICLES - EXCEPTIONS

1. A person operating a commercial motor vehicle on a public way shall obtain a USDOT number to be displayed on the registration certificate for the vehicle. For purposes of this rule, the following vehicles are not considered commercial motor vehicles:

A. A vehicle owned and operated by a government agency;

B. A vehicle legally operated with dealer registration plates;

C. A recreational vehicle, not used in a commercial endeavor; or

D. A school bus as defined in 29-A M.R.S.A. §2301.

EXCEPTION – 1. Intrastate vehicles to which this rule applies that have a gross vehicle weight rating of 10,001 lbs. to 26,000 lbs., and that neither meet the definition of a “bus” nor transport hazardous materials, are exempt from obtaining a USDOT number.

SECTION 8. APPLICATION FORM

1. The form used to initially apply for a USDOT number or update existing USDOT census information is the Federal Motor Carrier Safety Administration’s Form MCSA-1“Motor Carrier Identification Report” as revised. This form can be found on the FMCSA’s registration web site and is an online form. No paper form exists for these purposes.

2. Information gathered on the Form MCSA-1is required by this State and other jurisdictions to properly account for all non-exempt motor carriers operating over the highways.

3. The Bureau cannot process USDOT number applications for intrastate carriers operating commercial motor vehicles subject to this rule. This process must be completed online at FMCSA’s registration web site.

4. The USDOT number can be requested or updated online using the Federal Motor Carrier Safety Administration’s website at http://www.fmcsa.dot.gov/registration-licensing/registration-licensing.htm.

5. The USDOT census information for intrastate motor carriers must be updated at least every two years.

SECTION 9. DISPLAY

1. The USDOT number issued to a motor carrier will be displayed on the registration certificate for all commercial motor vehicles operated by the motor carrier and subject to this rule.

2. Intrastate, non-hazmat motor carriers are required to display the USDOT number on the commercial motor vehicle, The marking requirements can be found under 49 C.F.R. §390.21.

3. Intrastate hazmat motor carriers are required to display the USDOT number on the commercial motor vehicle as specified in 49 C.F.R. §390.21.

SECTION 10. HEARINGS

1. In the administration of the laws relative to vehicles and operators and the operation thereof, the Secretary may conduct hearings, subpoena witnesses, administer oaths, take testimony, and order the production of books and papers. The Secretary may issue all processes necessary for the performance of these duties.

2. The fees for travel and attendance of witnesses shall be the same as for witnesses before the Superior Court and shall be paid by the State out of vehicle registration fees upon certificates of the Secretary filed with the State Controller.

3. Hearings conducted by the Secretary shall be as provided by Title 5, chapter 375, subchapter 4.

SECTION 11. MISUSE

1. Any violation of 29-A M.R.S.A. §555-A, or of these rules, or of any procedures may result in court action.

SECTION 12. MUNICIPAL FISCAL IMPACT

1. This rule will have no fiscal impact on Municipalities.

History

• STATUTORY AUTHORITY: 29-A MRSA §555-A.
• EFFECTIVE DATE: November 9, 1997
• NON-SUBSTANTIVE CORRECTION: December 11, 1997 - grammatical correction in F
• AMENDED: November 2, 2011 – filing 2011-378
• AMENDED: September 14, 2016 – filing 2016-150
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 7, 2026
• APAO ACCESSIBILITY CHECK (Word): April 7, 2026

Chapter 169 The Administration of the Performance and Registration Information System Management (PRISM) Program (5.2 megabytes)

Code Me. R. 29-250 Ch. 169 The Administration of the Performance and Registration Information Systems Management (prism) Program {#sec-29-250-ch.-169 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 169}

History

• STATUTORY AUTHORITY: 29-A M.R.S.A. § 2458
• PURPOSE: This rule is necessary as the state enters a cooperative agreement with the Federal Government to link motor carrier safety fitness to vehicle registration.
• PURPOSE: Summary: This chapter implements the registration-related requirements of the Performance Registration Information System and Management (PRISM) program.
• PURPOSE: PRISM is a federal-state motor carrier safety program authorized under § 4003, of the Intermodal Surface Transportation Efficiency Act of 1991.
• PURPOSE: A. DEFINITIONS
• PURPOSE: 1. Bureau – “Bureau” means the Maine Bureau of Motor Vehicles.
• PURPOSE: 2. Bus – Bus means any vehicle designed and used primarily for the transportation of fifteen or more passengers, including the driver.
• PURPOSE: 3. Carrier – See motor carrier.
• PURPOSE: 4. Carrier Safety Fitness Rating – The safety rating is based on the degree of compliance with the safety fitness standard for motor carriers as determined by the Federal Motor Carrier Safety Administration. To meet the safety fitness standard, the motor carrier shall demonstrate that is has adequate safety management controls in place, which function effectively to ensure acceptable compliance.
• PURPOSE: 5. Compliance Order – A written directive to a motor carrier requiring the performance of certain acts which, based upon the findings in the proceedings, are considered necessary to bring the motor carrier into compliance with regulations found to have been violated.
• PURPOSE: 6. Compliance Review (CR) - The official on‑site examination of a carrier’s operations, such as drivers’ hours of service, maintenance and inspections, driver qualifications, commercial drivers license requirements, financial responsibility, accidents, hazardous materials, and other safety and transportation records to determine whether a motor carrier meets the safety fitness standard.
• PURPOSE: 7. Default Motor Carrier – In the event that a safety event cannot be attributed to a motor carrier, the vehicle registrant will be designated the default motor carrier. The default motor carrier will be assigned the safety event. The default motor carrier may be relieved of responsibility for the safety event by providing evidence of the true motor carrier.
• PURPOSE: 8. Federal Motor Carrier Safety Administration (FMCSA) – The Federal Agency responsible for developing, compiling, and enforcing interstate motor carrier safety regulations. FMCSA establishes each motor carrier’s safety rating, and advises each PRISM state of those carriers with unsatisfactory safety ratings.
• PURPOSE: 9. Imminent Hazard – Any condition of vehicle, employee, or commercial vehicle operation likely to result in serious injury or death if not immediately discontinued.
• PURPOSE: 10. International Registration Plan (IRP) – The uniform reciprocal agreement for the registration of commercial motor vehicles used in interstate commerce. The IRP provides for the proportional collection and distribution of jurisdictional registration fees based on the percentage of miles traveled in each jurisdiction. See chapter 162, Rules of the Secretary of State.
• PURPOSE: 11. Interstate Commerce – means trade, traffic, or transportation in the United States
• PURPOSE: (1) Between a place in a state and a place outside a state (including outside the United States);
• PURPOSE: (2) Between two places in a state through another state or a place outside the United States; or
• PURPOSE: (3) Between two places in a state as part of trade, traffic, or transportation originating or terminating outside the state or the United States.
• PURPOSE: 12. Jurisdiction – A state, territory, or possession of the United States, the District of Columbia, a province or territory of the Dominion of Canada, or a state, province or territory of any other country.
• PURPOSE: 13. Lease. – A written document vesting exclusive possession, control of and responsibility for the operation of the vehicle to the lessee for a specified period of time.
• PURPOSE: 14. Lessee – A person, firm, or corporation which has the legal possession, responsibility and control of a vehicle owned by another under terms of a lease agreement.
• PURPOSE: 15. Lessor – A person, firm, or corporation which, under terms of a lease, grant the legal right of possession, control, and responsibility for the operation of the vehicle to another person, firm, or corporation.
• PURPOSE: 16. Long Term Lease – A lease with a term of more than thirty (30) days.
• PURPOSE: 17. MCS-150 – All motor carriers currently conducting operations in interstate or foreign commerce shall file an MCS‑150 ( Motor Carrier Identification Report). It is used by motor carriers when applying for a U.S. DOT identification number. The Federal Motor Carrier Safety Administration form used to update the motor carrier census file.
• PURPOSE: 18. Motor Carrier – An individual, partnership, or corporation engaged in the transportation of goods or persons. The motor carrier is responsible for the safe operation of all motor vehicles under their control.
• PURPOSE: 19. Motor Carrier Census – A carrier’s demographic and profile information maintained by Federal Motor Carrier Safety Administration. In PRISM, a carrier must verify their census data at least annually.
• PURPOSE: 20. Motor Carrier Management Information System (MCMIS) –The Federal Motor Carrier Safety Administration’s (FMCSA) computerized systems whereby the FMCSA maintains a comprehensive record of the safety performance of the motor carriers (trucks and buses) and hazardous materials shippers who are subject to the Federal Motor Carrier Safety Regulations or Hazardous Materials Regulations. This database is used in the PRISM Program to evaluate interstate motor carriers.
• PURPOSE: 21. Motor Carrier Safety Assistance Program (MCSAP) –A motor carrier and roadside inspection program established to remove potentially unsafe drivers, imminently hazardous vehicles, and unsafe motor carriers practices from the road by increasing the level of safety enforcement activity.
• PURPOSE: 22. Motor Carrier Safety Improvement Program (MCSIP) – MCSIP is a repetitive process to improve safety of high-risk motor carriers through the accurate identification, sanction, and performance assessment. Progressively harsher sanctions may be applied to carriers that do not improve their safety. MCSIP is managed by the Federal Motor Carrier Safety Administration, and may result in a carrier being declared unfit. Unfit carriers may be subject to state vehicle registration and Operating Authority suspension and revocation.
• PURPOSE: 23. MCSIP Target File – A database of carriers or vehicles subject to the MCSIP Program. The Bureau will maintain the main MCSIP target file, and provide this information to FMCSA.
• PURPOSE: 24. Motor Vehicle – Every vehicle which is self-propelled by power other than muscular power.
• PURPOSE: 25. Notice of Investigation (NOI) – The official notice to a motor carrier by FMCSA that FMCSA has discovered safety regulatory violations that may require a compliance order and/or a monetary penalty.
• PURPOSE: 26. Operating Authority – Permission granted by the Bureau of Motor Vehicles whether explicit or implicit, to operate as a motor carrier in Maine. Operating Authority may be denied or suspended for cause. Operating Authority includes permission to operate in Maine granted by another state on behalf of the State of Maine through any cooperative agreement among states.
• PURPOSE: 27. Out-Of-Service Order - An order issued by FCMSA placing a motor carrier out-of-service due to unsafe operation.
• PURPOSE: 28. Owner – A person, firm, corporation, or other legal entity, other than a lien holder, holding legal title or legal possession to a vehicle.
• PURPOSE: 29. Owner/Operator – Someone who owns a truck, but who leases the motor vehicle with driver to a motor carrier.
• PURPOSE: 30. Performance Registration Information System Management (PRISM) – A federal-state motor carrier safety program that ties a motor carrier’s safety rating to their ability to register and operate commercial vehicles.
• PURPOSE: 31. Registrant – A person, firm, or corporation in whose name a vehicle is properly registered in compliance with all laws, rules, and policies relating to vehicle registration.
• PURPOSE: 32. Registration – The granting by a jurisdiction of the privilege to operate a vehicle on the public highways. Registration identifies a specific vehicle, and determines operational control of the vehicle.
• PURPOSE: 33. Safety Status Measurement System (SafeStat) – SafeStat is an automated, data driven analytical system designed to measure the relative safety fitness of interstate carriers using safety, enforcement, crash, and compliance review data. SafeStat is used to identify high-risk carriers for entry into the MCSIP Program; and to monitor individual carrier improvement within MCSIP.
• PURPOSE: 34. State – State means a state, district, or territory of the United States.
• PURPOSE: 35. Truck – Truck means a motor vehicle designed, used and maintained primarily for the transportation of property.
• PURPOSE: 36. Truck-Tractor – Truck-Tractor means every motor vehicle designed and used primarily for the drawing of other vehicles, but not so constructed as to carry a load other than part of the weight of a vehicle being drawn.
• PURPOSE: 37. USDOT Number – The USDOT Number is the census number issued by MCMIS to a motor carrier, registrant, or owner. Safety events are accumulated under the carrier’s or registrant’s USDOT Number.
• PURPOSE: 38. Vehicle – Every device in, upon, or by which a person or property is or may be drawn upon a highway, not including devices moved by human power or used exclusively on rails or tracks.
• PURPOSE: 39. Vehicle Identification Number – The unique set of numbers and letters assigned to a vehicle by the manufacturer for purposes of titling and registration.
• PURPOSE: B. DESCRIPTION
• PURPOSE: This rule establishes and defines the State of Maine’s participation in the Performance Registration Information and Systems Management (PRISM) Program.
• PURPOSE: PRISM is a federal-state partnership to identify motor carriers with poor safety records, and to target these carriers for improvement in their safety records. PRISM uses quantifiable data to determine a motor carrier’s safety status.
• PURPOSE: PRISM links the Federal Motor Carrier Safety Administration (FMCSA) motor carrier safety information with the states’ motor vehicle registration systems for two purposes:
• PURPOSE: 1. To determine the motor carrier’s safety fitness prior to issuing a registration plate.
• PURPOSE: 2. To cause an unfit carrier to improve its safety performance through an improvement process, and where necessary, the application of sanctions.
• PURPOSE: The PRISM program includes two major processes:
• PURPOSE: The commercial vehicle registration process (IRP registration), and the Motor Carrier Safety Improvement Process (MCSIP). These programs work together to identify motor carriers and to hold them responsible for their motor carrier safety. The performance of unsafe motor carriers is improved through a comprehensive system of identification, education, awareness, safety monitoring, and treatment.
• PURPOSE: Motor carriers determined to be unfit by the Federal Motor Carrier Safety Administration may be denied the ability to register trucks in Maine, or may have their registrations suspended. In addition, a motor carrier deemed to be unfit may have their privilege to operate motor vehicles suspended or denied. Appendix A is a flowchart of the PRISM MCSIP improvement process.
• PURPOSE: C. REGISTRATION APPLICABILITY
• PURPOSE: Motor vehicles base registered in Maine pursuant to the International Registration Plan (29-A MRSA §§ 531 and 532; Chapter 162, Rules of the Secretary of State) are subject to this rule. The motor carrier safety review requirements will be incorporated into the IRP administrative process for the registration and re registration of commercial motor vehicles used in interstate commerce.
• PURPOSE: The registrant's name on their IRP application must match the name associated with the registrant’s USDOT number. Failure to match will result in registration denial.
• PURPOSE: D. MCS-150 UPDATES
• PURPOSE: Every IRP registrant must update their Motor Carrier Census information as a part of the IRP renewal process. The Maine IRP Unit will print and mail each registrant’s most recent MCS-150 form as part of the IRP renewal process. The registrant must review, correct if necessary, and sign the form and return it to the IRP Unit. Failure to verify the MCS-150 may result in denial of registration privileges.
• PURPOSE: E. USDOT NUMBER
• PURPOSE: The USDOT number will be the principal identification for the PRISM program. Each vehicle registrant must provide the USDOT number of the vehicle owner, the vehicle registrant, and the motor carrier. It is understood that in many cases, the vehicle owner, vehicle registrant, and motor carrier are the same entity. In those cases where these entities are different, each entity’s USDOT number must be provided.
• PURPOSE: Prior to issuing an IRP registration, the carrier’s, registrant’s, and owner’s USDOT numbers will be verified against the FMCSA MCMIS database. Failure to provide an accurate USDOT number at any level will result in registration denial.
• PURPOSE: F. DEFAULT MOTOR CARRIER
• PURPOSE: In the event that the motor carrier cannot be determined, the vehicle registrant will be designated the default motor carrier.
• PURPOSE: G. LEASES
• PURPOSE: Long term lease:
• PURPOSE: Motor vehicles that operate under the terms of a long-term lease are the responsibility of the motor carrier. The registrant must indicate whether a vehicle is to be operated under a long-term lease. If the lease status of the vehicle changes, the registrant must notify the IRP Unit within ten (10) days.
• PURPOSE: Short term lease:
• PURPOSE: Motor vehicles operating under the terms of a short-term lease are the responsibility of the registrant.
• PURPOSE: H. VERIFICATION OF SAFETY STATUS
• PURPOSE: Prior to issuing an IRP registration, the motor carrier’s MCSIP status must be verified. A carrier who under is under registration sanctions, by Maine or any other State, may not register its vehicles.
• PURPOSE: I. REGISTRATION SUSPENSION, DENIAL
• PURPOSE: Pursuant to 29-A MRSA § 2458, the Secretary of State may suspend the vehicle registration or privilege to operate of any motor carrier or registrant determined by the Federal Motor Carrier Safety Administration to be unfit as determined by the issuance of an out-of-service order. The suspension shall remain in effect until the carrier or registrant is found by Federal Motor Carrier Safety Administration to no longer be unfit. The suspension applies to all commercial vehicles under the carrier’s or registrant's control. The suspension applies to all related entities as defined in 29-A M.R.S.A. §2458 (6).
• PURPOSE: A carrier or registrant whose privilege to operate commercial vehicles has been suspended pursuant to this rule, or who has been denied a registration, may request a hearing. Hearings shall be held pursuant to 5 MRSA Chapter 5 sub chapter 4, Rules for the Hearings of the Secretary of State. Hearings shall be limited to whether the carrier under suspension has been correctly identified, and whether or not the carrier has been found by Federal Motor Carrier Safety Administration to be unfit, and whether the FMCSA has subsequently determined that the carrier no longer is unfit.
• PURPOSE: Appeals of a motor carrier’s actual safety fitness must be made to the Federal Motor Carrier Safety Administration.
• PURPOSE: Restoration: A motor carrier’s or registrant’s privilege to operate commercial vehicles, may be restored upon the carrier’s or registrant’s removal from the Federal Motor Carrier Safety Administration’s MCSIP program. The Bureau must receive formal notification from FMCSA that the carrier is no longer rated as unfit.
• PURPOSE: Restoration requires the payment of a thirty-dollar ($30.00) restoration fee.
• PURPOSE: J. Notification Process
• PURPOSE: Upon notice by Federal Motor Carrier Safety Administration that a carrier has been rated as unfit, the bureau shall notify any registrants and owner operators leased to the carrier of the carrier’s safety rating.
• EFFECTIVE DATE: November 14, 2000
• NON-SUBSTANTIVE CORRECTION: February 19, 2001 - added effective date
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 7, 2026
• APAO ACCESSIBILITY CHECK (Word): April 7, 2026

Chapter 170 Permitting Commercial Vehicles at Canadian Weight Limits to Travel from Designated Points at the Canadian Border to Baileyville, Madawaska, and Van Buren

Code Me. R. 29-250 Ch. 170 Permitting Commercial Vehicles at Canadian Weight Limits to Travel from Designated Points at the Canadian Border to Baileyville, Madawaska, and Van Buren {#sec-29-250-ch.-170 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 170}

SUMMARY: This rule implements the Canadian Weight Limits (CWL) program authorized by Title 29‑A M.R.S.A. §2354-C which provides for the operation of three vehicle configurations at certain Canadian weight limits between the Canadian border at Calais to a mill in Baileyville; from the Canadian border at Madawaska to a paper mill in Madawaska; and from the Canadian border at Van Buren to a rail yard in Van Buren.

SECTION 1. DEFINITIONS

Generally, unless the context clearly indicates otherwise, undefined terms used in this rule have the same meaning as in Title 29-A M.R.S.A.

1. APPLICATION: means the original or renewal application for the privilege of moving permitted vehicles on the public highways.

2. APPORTIONED OR PRORATED FOR THE STATE OF MAINE: means registration based on a proportional payment of registration fees determined through the IRP which includes a fair allotment for Maine.

3. B-TRAIN DOUBLE: means a truck tractor semitrailer-semitrailer combination vehicle in which the two trailing units are connected with a B-train assembly. The B-train assembly is a rigid frame extension attached to the rear frame of a first semitrailer that allows for a 5th wheel connection point for a second semitrailer. The configuration has eight total axles arranged as follows: steering axle; tandem axle; tri-axle; tandem.

4. BEHAVIOR ANALYSIS AND SAFETY IMPROVEMENT CATEGORIES (BASICs): means the seven carrier and driver behavior categories used by the Federal Motor Carrier Safety Administration’s Safety Measurement System (SMS) to quantify the on-road safety performance of carriers and drivers to identify candidates for interventions, discover and target specific safety problems unique to a carrier or driver, and monitor safety problems throughout the intervention process. The seven BASICs are as follows:

A. Unsafe Driving - operation of commercial motor vehicles by drivers in a dangerous or careless manner.

B. Fatigued Driving - operation of commercial motor vehicles by drivers who are ill, fatigued, or in non-compliance with the Hours of Service regulations.

C. Driver Fitness - operation of commercial motor vehicles by drivers who are unfit to operate a commercial motor vehicle due to lack of training, experience, or medical qualifications.

D. Controlled Substances/Alcohol - operation of commercial motor vehicles by drivers who are impaired due to alcohol, illegal drugs, and misuse of prescription or over-the-counter medications.

E. Vehicle Maintenance - failure to properly maintain a commercial motor vehicle.

F. Cargo-Related - failure to properly prevent shifting loads, spilled or dropped cargo, overloading, and unsafe handling of hazardous materials on a commercial motor vehicle.

G. Crash Indicator – commercial motor vehicle operation with a history or pattern of high crash involvement, including frequency and severity.

5. BUREAU: means the Maine Bureau of Motor Vehicles.

6. CARRIER: See MOTOR CARRIER.

7. COMBINATION (OF) VEHICLE(S): means a truck or truck tractor used in combination with a trailer(s) and/or a semitrailer(s).

8. COMMISSIONER: means the Commissioner of the Maine Department of Transportation, or any Deputy Commissioner of the Maine Department of Transportation.

9. COMPLIANCE, SAFETY, ACCOUNTABILITY (CSA): means the Federal Motor Carrier Safety Administration (FMCSA) initiative to improve large truck and bus safety in order to reduce crashes, injuries, and fatalities that are related to commercial motor vehicles. CSA uses inspection and crash results to measure safety performance and identify carriers whose behaviors could reasonably lead to crashes. The Safety Measurement System (SMS) quantifies the on-road safety performance of carriers and drivers and allows FMCSA to more effectively evaluate safety performance and address high-risk behavior with interventions specifically tailored to a carrier’s safety problems.

10. FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION (FMCSA): means the Federal Agency responsible for developing, compiling, and enforcing interstate motor carrier safety regulations. FMCSA establishes each motor carrier’s safety rating, and advises each state of those carriers with unsatisfactory safety ratings.

11. FIFTH WHEEL: means the device mounted on a truck tractor or similar towing vehicle that interfaces with and couples to the upper coupler assembly of a semitrailer.

11a. FOUR-AXLE SEMITRAILER: means a semitrailer with a quad axle configuration. The distance between axle one and axle four of the quad group must be at least twelve (12) feet, but not more than sixteen (16) feet.

12. GROSS WEIGHT (GW): means the weight in pounds of an empty vehicle or axle plus the weight of the maximum load to be carried by the vehicle or axle.

13. GROSS VEHICLE WEIGHT (GVW): means the actual total weight of the vehicle and load.

14. GROSS VEHICLE WEIGHT RATING (GVWR): means the weight rating of the vehicle and maximum load as determined by the final stage manufacturer.

15. INTERNATIONAL FUEL TAX AGREEMENT (IFTA): means the base state fuel tax compact headquartered in the State of Arizona. See Chapter 165, Rules of the Secretary of State.

16. INTERNATIONAL REGISTRATION PLAN (IRP): means the uniform reciprocal agreement for the registration of commercial motor vehicles used in interstate commerce. The IRP provides for the proportional collection and distribution of jurisdictional registration fees based on the percentage of miles traveled in each member jurisdiction. See Chapter 162, Rules of the Secretary of State.

17. INTERSTATE COMMERCE: means trade, traffic, or transportation in the United States between:

A. a place in a State and a place outside of such State (including a place outside of the United States); or

B. places in a State through another State or a place outside of the United States.

18. MOTOR CARRIER SAFETY IMPROVEMENT PROCESS (MCSIP): means the data-driven process that uses current safety event information such as crashes, inspections, driver violations, compliance review data and other data to assess and monitor motor carrier safety performance. Safety events are assigned to the motor carrier responsible for the safety of the motor vehicle and are weighed according to severity, frequency and time since the occurrence. This FMCSA program is designed to improve the safety performance of carriers with demonstrated poor safety performance through accurate identification, performance monitoring and treatment.

19. MOTOR CARRIER: means a person (an individual, partnership, association, corporation, business trust, or any other organized group of individuals) who is responsible for the safety fitness of a commercial motor vehicle engaged in commerce on roads and highways.

20. MOTOR CARRIER MANAGEMENT INFORMATION SYSTEM (MCMIS): means the Federal Motor Carrier Safety Administration’s (FMCSA) computerized systems whereby the FMCSA maintains a comprehensive record of the safety performance of the motor carriers and hazardous materials shippers who are subject to the Federal Motor Carrier Safety Regulations or Hazardous Materials Regulations.

21. MOTOR VEHICLE LAWS: means those laws concerning motor vehicles as found in Title 29‑A M.R.S.A. and related rules.

22. OVERLIMIT PERMIT UNIT: means the unit within the Bureau of Motor Vehicles, Office of Motor Carrier Services with the authority and responsibility to routinely process CWL permits.

23. OWNER: means a person, firm, corporation, or other legal entity, other than a lien holder, holding legal title or legal possession to a vehicle.

24. OWNER/OPERATOR: means someone who owns a truck or truck tractor, but who leases the motor vehicle with driver to a motor carrier.

25. PERMIT OR CANADIAN WEIGHT LIMITS (CWL) PERMIT: means a credential authorizing travel at the approved weights and configurations for either Baileyville, Madawaska, or Van Buren. Each route requires a separate permit.

26. PERMIT VIOLATION: means any performance of an act outside the scope of the permit that is prohibited by federal or state statute, rule, regulation, or ordinance; or the failure to perform an act required by statute, rule, regulation, or ordinance, including traffic infractions.

27. PERMITTEE: means the entity to which a permit has been granted in accordance with this rule.

28. POWER UNIT: means the control and pulling vehicle for trailers and/or semitrailers.

29. REGISTERED WEIGHT (RW): means the weight for which a vehicle is licensed or registered within a particular jurisdiction.

30. REGISTRANT: means a person, firm, or corporation in whose name a vehicle is properly registered in compliance with all laws, rules, and policies relating to vehicle registration.

31. REGISTRATION: means the granting by a jurisdiction of the privilege to operate a vehicle on the public highways. Registration identifies a specific vehicle, and determines operational control of the vehicle.

32. REVOCATION: means the permanent termination of permit privileges for cause.

33. SAFETY MEASUREMENT SYSTEM (SMS): means the automated, data driven analytical system designed to quantify a motor carrier’s relative performance in any of seven Behavior Analysis and Safety Improvement Categories (BASICs) using data from roadside inspections, including all safety-based violations, State-reported crashes, and the Federal motor carrier census. A carrier’s measurement for each BASIC depends on the number of adverse safety events, the severity of violations or crashes, and when the adverse safety event occurred. More recent events are weighted more heavily. After a measurement is determined the carrier is placed in a peer group consisting of carriers with a similar number of safety events. The SMS computes a percentile ranking based on a 0-100 scale for each BASIC by comparing the carrier’s measurement to the measurements of all other carriers in the peer group. A percentile rank of 100 indicates the worst performance. Carriers with percentiles above a certain threshold and meeting minimum data sufficiency requirements in a BASIC are targeted for specific safety interventions designed to reduce the at-risk behavior(s) that are frequently associated with commercial motor vehicle crashes.

34. SECRETARY: means the Maine Secretary of State, or any designee duly authorized to act on behalf of the Secretary of State to administer this rule.

35. SEMITRAILER: means a vehicle without motive power, designed to be drawn by a motor vehicle, and constructed so that some part of its weight and its load rests upon or is carried by the motor vehicle.

36. SERIOUS VIOLATION: means a violation where non-compliance is so severe that it requires immediate corrective action by a motor carrier (e.g., failing to implement an alcohol and/or controlled substance testing program) or a violation which relates directly to the carrier's management and/or operational controls and is indicative of breakdowns in a carrier's management controls (e.g., false report of records of duty status).

37. THREE AXLE SEMITRAILER: means a semitrailer with a rear tri-axle unit.

38. TITLE 29-A: any reference to Title 29-A means Title 29-A of the Maine Revised Statutes Annotated (M.R.S.A.).

39. TRAILER: means a vehicle without motive power, designed to carry persons or property and to be drawn by a motor vehicle, not operated on tracks, and so constructed that no part of its weight and its load rests upon the towing vehicle.

40. TRUCK: means a motor vehicle designed and used primarily to carry property. A truck may be used to tow trailers and/or semitrailers.

41. TRUCK TRACTOR: means a motor vehicle designed and used exclusively to draw other vehicles and not constructed to carry a load other than a part of the weight of the vehicle and the load drawn.

42. UNIFIED CARRIER REGISTRATION AGREEMENT (UCR AGREEMENT OR UCRA): means the interstate agreement developed under the UCR Plan governing the collection and distribution of registration information and UCR fees paid by motor carriers, motor private carriers, brokers, freight forwarders and leasing companies pursuant to 49 U.S.C. Section 14504a.

43. USDOT NUMBER: also known as a census number, means a motor carrier identification number issued by FMCSA, provided for under 49 CFR §390.19(h)(1). Safety events are accumulated under the carrier’s or registrant’s USDOT Number.

44. VEHICLE: means a device for conveyance of persons or property on a public or private way, excepting devices moved by human power or used exclusively upon rails or tracks.

45. VEHICLE IDENTIFICATION NUMBER (VIN): means the unique set of numbers and letters assigned to a vehicle by the manufacturer.

SECTION 2. SYNOPSIS

1. This rule establishes and defines Maine’s regulation of the Canadian Weight Limits (CWL) Program. The purpose of this program is to allow motor carriers with specific vehicle configurations to cross at certain United States-Canada borders, over pre-determined routes, to specified destinations within Maine.

SECTION 3. COMMUNICATIONS

1. All written communications and documents should be addressed to the “Bureau of Motor Vehicles, Motor Carrier Services – Overlimit Permit Unit, 29 State House Station, Augusta, Maine, 04333-0029.”

2. All communications and documents are deemed to be officially received when delivered to the Overlimit Permit Unit at the Bureau of Motor Vehicles’ Main Office, 101 Hospital Street, Augusta, Maine.

3. The contact information for the Overlimit Permit Unit is as follows:

A. Telephone: (207) 624-9000 ext. 52134 or TTY: 877-456-8195

B. Fax: (207) 622-5332

C. Email: overpermits@maine.gov .

D. Online information: http://www.maine.gov/sos/bmv/commercial/ .

SECTION 4. PAYMENTS AND REMITTANCES

1. Remittances must be in the form of a money order, bank draft, or credit card authorization (please see restrictions below). Money orders and checks should be made payable to the Maine Secretary of State.

2. Personal checks will be accepted subject to collection.

3. The Bureau will accept a VISA or MasterCard payment. Credit cards issued by other vendors can be accepted only if processed through a third party vendor (ComChek). Transactions processed through the third party vendor will incur a processing fee.

4. All remittances must be in U.S. currency.

5. Cash payments will be accepted from walk-in customers. Remittances in currency are wholly at the risk of the remitter. The Bureau assumes no responsibility for any loss of currency sent by mail.

6. In the event that a check is returned for insufficient funds or for any reason, the registrant’s right to operate commercial vehicles in the State of Maine will be suspended. The Overlimit Permit Unit will not accept any additional applications until the permittee has completely satisfied the delinquency and associated reinstatement fees.

A permittee who has had a check returned for any reason will be required to pay all subsequent fees with certified funds.

SECTION 5. LEGAL NAME AND ADDRESS

1. The legal name listed on the application must be consistent with the legal name provided on other applications for motor carrier credentials as well as with any applicable state and federal filings (for example: a state corporate filing). The applicant may be required to rectify any legal name discrepancies before a CWL permit will be processed.

2. Applicants must provide a contact name, phone number, and business address. If the address is a rural route, the applicant must include a box number.

An application for a permit without sufficient name, address, or contact information may be returned to the applicant for completion prior to processing the application.

SECTION 6. NAME AND ADDRESS CHANGES

1. Name Change

A. Any change in name will require written notification of the change within 30 days of the change.

B. Notification must be made in writing or by other means approved by the Secretary of State, to the Overlimit Permit Unit.

C. A permittee may change their name from an individual to a newly formed corporation provided there is no change in ownership or control of the company.

D. When a permittee is a motor carrier required to file census information with the FMCSA, the name change notification must be submitted in conjunction with an updated Form MCS-150 reporting the name change.

2. Address Change

A. A carrier must report any changes to its principal place of business or mailing address within 30 days of the change.

B. Notification must be made in writing or by other means approved by the Secretary of State, to the Overlimit Permit Unit.

C. When a permittee is a motor carrier required to file census information with the FMCSA, the address change notification must be submitted in conjunction with an updated Form MCS-150 reporting the address change.

SECTION 7. LIMITATIONS AND RESTRICTIONS

1. Violation of any statute, ordinance, rule, or regulation of the State, any State agency or political subdivision of the State, or operation beyond the scope of the permit is unlawful. The motor carrier must comply with all statutory provisions and regulations as to permits, vehicle registrations, fuel tax, vehicle equipment, and operation. Failure to comply with all motor vehicle-related laws and rules may result in the denial of future permit requests.

2. A permit is invalidated by the violation of any condition specified by the terms of the permit or by false information given on the application. On evidence of such violation or falsification, the motor carrier may be denied additional permits.

3. A permit will be denied to a motor carrier with an unsatisfactory safety rating, as determined by the FMCSA.

4. An applicant may be denied the issuance of permits based on their failure to appear in court to answer any motor vehicle summons or failure to pay a fine, or for any other motor vehicle-related infractions.

SECTION 8. CANADIAN WEIGHT LIMITS (CWL) PERMIT APPLICATION

1. The applicant shall make a vehicle-specific and route-specific application consisting of five parts: permit information; motor carrier information; vehicle information; fee calculation; and the applicant’s name and signature. The Secretary may accept applications by mail, fax, e-mail, or in person at the BMV Main Office, 101 Hospital Street, Augusta, Maine.

A. Permit Information

(1) Permit type (new, renewal, or transfer).

(2) Location (Baileyville, Madawaska, or Van Buren).

(3) Permit Effective Date.

(4) Permit Expiration Date. (See Section 13)

B. Motor Carrier Information

(1) Legal name.

(a) The applicant must be a motor carrier.

(2) Principal street and mailing addresses.

(3) USDOT Number.

(a) The applicant must provide the USDOT Number issued by FMCSA to the legal name on the application. The USDOT Number must be an active, interstate number in good standing with FMCSA as reported on MCMIS.

(4) IRP Account Number.

(5) IFTA Account Number.

(6) Contact name of an officer, owner, or person duly authorized to conduct business on behalf of the applicant.

(7) Principal telephone number where the applicant can be reached.

(8) Fax number to receive a permit if paying a fax fee.

C. Vehicle Information

(1) Registrant’s name, if different from the applicant.

(2) Estimated number of trips. The applicant must estimate the anticipated number of trips by vehicle over the permit’s term. This estimate will be used for statistical purposes only.

(3) Power unit registration plate number and jurisdiction; make; year; and VIN.

(a) Maine registered weight or Maine apportioned weight must be 100,000 pounds.

(4) Vehicle configuration. (See Sections 10 and 13; Appendix A)

D. Fee Calculation

(1) The applicant must indicate the total fee they are intending to pay based on permit type, vehicle configuration, and permit term. (See Section 13)

(2) If paying with a credit card, this section must include a credit card number; credit card expiration date; card holder’s printed name; and card holder’s signature.

E. Signature

(1) Except as otherwise provided, all permit applications must be signed.

(2) Anyone signing an application must also disclose their position title in which is vested the authority to sign the application.

(3) If the motor carrier is an individual, the application must be signed by that individual.

(4) If the motor carrier is a corporation, the application must be signed by a corporate officer or an employee duly authorized to act in an administration capacity on behalf of the corporation.

(5) Notwithstanding the above, an authorized agent exercising power of attorney may sign on behalf of the motor carrier. A copy of the document authorizing the power of attorney must be on file with the Overlimit Permit Unit.

SECTION 9. AUTHORIZED ROUTES

1. The only allowable routes of travel are:

A. Baileyville: from the United States-Canada border in Calais north on U.S. Route 1 to Access Road in Baileyville, east on Access Road to Woodland Pulp LLC mill or its successor on Main Street and north on Main Street to the former Oriented Strand Board facility in Baileyville.

B. Madawaska: from the United States-Canada border in Madawaska then directly north or south into the Twin Rivers facility or its successor in Madawaska or up Bridge Street to Mill Street in Madawaska in order to reverse direction.

C. Van Buren: from the United States-Canada border in Van Buren on Acadia Way, west to Main Street, also designated as Route 1, then north on Main Street approximately 2 miles from the border.

SECTION 10. AUTHORIZED CONFIGURATIONS

1. Allowable vehicle configurations are limited to:

A. a three-axle truck tractor with a tri-axle semitrailer at a gross vehicle weight of 108,900 pounds; or

B. a three-axle truck tractor with a semitrailer-semitrailer combination, configured as a B-train double with eight axles total, at a gross vehicle weight of 137,700 pounds. The weight of the second semitrailer may not exceed the weight of the first semitrailer; or

C. a three-axle truck tractor with a four-axle semitrailer at a maximum gross vehicle weight of 113,800 pounds. This configuration is authorized only for the Calais to Baileyville route.

See Appendix A for specific vehicle dimensions and axle weight limits.

SECTION 11. SAFETY

1. Except as provided in Appendix A, Maine axle weight limits, axle group limits, commodity allowances, maximum dimensions and all other commercial vehicle limits and requirements established in Title 29-A M.R.S.A. apply, except that the B-train double overall length limit may not exceed 82.02 feet (25 meters); and the 7-axle truck tractor and four axle-semitrailer may not exceed 53.15 feet (16.2 meters). The gross weight limits established in Section 10 are the absolute limits, and may not be exceeded.

2. The manufacturer's ratings for gross vehicle weight, axle capacity, brake systems and other components for which a manufacturer's rating is available may not be exceeded.

3. In order to be eligible for permits, the motor carrier must not be prioritized for an FMCSA safety intervention or have an unsatisfactory FMCSA safety rating, in that they must not have:

A. a CSA Behavior Analysis and Safety Improvement Category (BASIC) that exceeds the FMCSA intervention threshold based upon roadside data; or

B. one or more citations for a serious violation within the past 12 months during an investigation; or

C. a “Marginal” or “Unfit” Safety Fitness Determination.

SECTION 12. CREDENTIALS

1. The Secretary shall issue a vehicle-specific and route-specific credential that must be carried in the power unit during the move.

2. State of Maine Standard Permit Form for Intra/Interstate Travel for Non-Divisible Oversize and/or Overweight Loads (MV225)

A. This is the official credential issued for all approved CWL permit requests.

SECTION 13. FEES

1. 6-axle combination: $10/month up to a maximum of twelve months. The annual fee is $120.

2. 8-axle, B-train double: $40/month up to a maximum of twelve months. The annual fee is $480.

3. 3-axle truck tractor, 4-axle semitrailer combination: $40/month up to a maximum of twelve months. The annual fee is $480.

4. Multiconfiguration permit: $40/month up to a maximum of twelve months. The annual fee is $480.

5. Fees are calculated from the permit effective date to the last day of the expiration month. A partial month is treated as a full month.

6. Miscellaneous fees

A. Transfer fee - a permit may be transferred from a vehicle being disposed of to another vehicle controlled by the motor carrier for a fee of $10.

B. Fax fee - the fee to fax a permit is $3.

C. Reinstatement fee - the fee to reinstate a revoked permit is $50.

6. An applicant requesting a permit for multiple locations and/or multiple vehicles must submit separate applications for each location and/or vehicle and pay the fee for each permit.

SECTION 14. REFUNDS

1. No portion of the permit fee is refundable.

SECTION 15. REVOCATION

1. A motor carrier with three or more permit violations in a 12-month period shall have their permit(s) revoked.

2. The violation date shall be used to determine if the motor carrier committed three or more violations in a 12-month period.

3. Revocation voids all permits issued to the motor carrier.

4. The motor carrier may petition the Commissioner to have their privilege to obtain permits restored.

5. The Commissioner may accept a recommendation from the Secretary regarding whether to restore a carrier’s privilege to obtain permits. The Secretary may hold an administrative hearing to determine if a permittee’s privilege to obtain permits should be restored.

A. Motor Carrier hearing requests should be submitted in writing and sent to the “Bureau of Motor Vehicles, Motor Carrier Services, 29 State House Station, Augusta, ME 04333-0029.” Request should include name, date of birth, daytime telephone number, current mailing address, USDOT Number, and a brief statement regarding the basis for the hearing request.

SECTION 16. MUNICIPAL FISCAL IMPACT

1. This rule will have no fiscal impact on Municipalities.

SECTION 17. EFFECTIVE DATE

1. The effective date for this rule will be October 9, 2011.

Appendix A

Approved configurations

(All axle spacing dimensions are axle center to axle center unless otherwise indicated.)

6-AXLE TRACTOR-SEMITRAILER VEHICLE

AT 108,900 LBS. GVW

DIMENSION LIMITS

Overall Vehicle Length:

If the semitrailer is less than 48 feet long – maximum 69 feet

If the semitrailer is 48 feet or longer – maximum 74 feet

Vehicle Width: 8 feet 6 inches maximum

Vehicle Height: 13 feet 6 inches maximum

(load may extend an additional 6 inches)

Tandem Axle Spread: 4 feet minimum to 8 feet maximum between axle centers

Triaxle Spread: More than 8 feet but less than 12 feet between centers of the extreme axles in the triaxle group

Semitrailer Length Limits:

Overall Length Including Load – 53 feet maximum

Wheelbase (Kingpin to center of rearmost axle)* – 43 feet maximum

Kingpin Setback* - 3 feet 6 inches maximum

Rear Overhang (Center of 5th axle to rear of semitrailer)* - maximum of 35% of wheelbase length

Center of rearmost axle of tandem to center of rearmost axle of triaxle**- 38 feet maximum

• Applies if semitrailer length exceeds 48 feet

** Applies if semitrailer length is 48 feet or less

WEIGHT LIMITS

Gross Vehicle Weight: 108,900 pounds

Steering Axle: 600 lbs. per tire inch; maximum 12,375 pounds.

Tandem Axle limit: 40,500 pounds

Single Axle in Tandem: Maximum of 60% of tandem weight

Semitrailer Tri-axle limit: 58,500 pounds

Single Axle in Triaxle: Maximum of 40% of triaxle weight

8-AXLE B-TRAIN DOUBLE VEHICLE

AT 137,700 LBS. GVW

DIMENSION LIMITS (Canadian limits in italics – not defined in ME law.)

Overall Vehicle Length: 82.02 feet

Vehicle Width: 8 feet 6 inches maximum

Vehicle Height: 13 feet 6 inches maximum (load may extend an additional 6 inches)

Box Length: 65 feet 7 inches maximum

Tandem Axle Spread: 4 feet minimum to 8 feet maximum between axle centers

Triaxle Spread: More than 8 feet but less than 12 feet between centers of the extreme axles in the triaxle group

Lead Semitrailer Length Limits:

Wheelbase (Kingpin to center of triaxle group) – 20 feet 6 inches minimum

Kingpin Setback – 6 feet 7 inches maximum

Fifth Wheel Position – No more than 1 foot behind the center of the rearmost axle on the semitrailer.

Second Semitrailer Length Limits:

Wheelbase (center of rear axle of triaxle to center of rear tandem) – 20 feet 6 inches minimum

Interaxle Spacings Betweeen Axle Centers:

Steering Axle to First Axle Front Tandem: 20 feet 4 inches minimum

Rear Axle of Front Tandem to Front Axle of Triaxle and Rear Axle of Triaxle to Front Axle of Rear Tandem: 18 feet minimum

WEIGHT LIMITS

Gross Vehicle Weight: 137,700 pounds

Semitrailer Weight: The weight of the second semitrailer may not exceed the weight of the lead semitrailer.

Steering Axle: 600 lbs. per tire inch. Maximum weight 12,375 lbs.

Single Axle in Tandem: Maximum of 60% of tandem weight

Single Axle in Triaxle: Maximum of 40% of triaxle weight

Axle Group Limits:

Tandem Axle – 40,500 lbs.

Triaxle – 58,500 lbs.

7-AXLE TRACTOR-SEMITRAILER VEHICLE

AT 113,800 LBS. GVW

DIMENSION LIMITS

Overall Vehicle Length:

If the semitrailer is less than 48 feet long – maximum 69 feet

If the semitrailer is 48 feet or longer – maximum 74 feet

Vehicle Width: 8 feet 6 inches maximum

Vehicle Height: 13 feet 6 inches maximum

(load may extend an additional 6 inches)

Tandem Axle Spread: 4 feet minimum to 8 feet maximum between axle centers

Quad-axle Spread: More than12 feet but less than 16 feet between centers of the extreme axles in the quad-axle group

Semitrailer Length Limits:

Overall Length Including Load – 53.15 feet (16.2 meters) maximum

Wheelbase (Kingpin to center of rearmost axle)* – 43 feet maximum

Kingpin Setback* - 3 feet 6 inches maximum

Rear Overhang (Center of 5th axle to rear of semitrailer)* - maximum of 35% of wheelbase length

Center of rearmost axle of tandem to center of rearmost axle of quad-axle**- 38 feet maximum

• Applies if semitrailer length exceeds 48 feet

** Applies if semitrailer length is 48 feet or less

WEIGHT LIMITS

Gross Vehicle Weight: 113,800 lbs.

Steering Axle: 600 lbs. per tire inch; maximum 12,375 lbs.

Tandem Axle limit: 40,500 lbs.

Single Axle in Tandem: Maximum of 60% of tandem weight

Semitrailer quad axle limit: 72,000 pounds

Single Axle in quadaxle: Maximum of 30% of quadaxle weight

History

• STATUTORY AUTHORITY: 29-A M.R.S.A. §2354-C
• EFFECTIVE DATE: October 9, 2005 – filing 2005-400
• AMENDED: August 12, 2006 – filing 2006-360
• AMENDED: July 1, 2009 – filing 2009-254 (EMERGENCY)
• AMENDED: October 26, 2009 – filing 2009-552
• AMENDED: July 11, 2010 – filing 2010-283
• AMENDED: October 9, 2011 – filing 2011-359
• AMENDED: September 6, 2015 – filing 2015-164
• AMENDED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025
• APAO ACCESSIBILITY CHECK (Word): April 7, 2026

Chapter 171 The Administration of the Unified Carrier Registration Agreement

Code Me. R. 29-250 Ch. 171 The Administration of the Unified Carrier Registration Agreement {#sec-29-250-ch.-171 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 171}

SUMMARY: This chapter outlines the procedures and standards governing Maine's participation in the Unified Carrier Registration Agreement pursuant to Title 29-A M.R.S.A. §551.

SECTION 1. DEFINITIONS

1. BASE STATE: means the state where the registrant is required or elects, according to a hierarchical set of rules adopted by the UCR Board, to register and pay UCR fees.

2. BOARD: means the Board of Directors of the UCR Plan.

3. BROKER: means a person, other than a motor carrier or an employee or agent of a motor carrier, that as a principal or agent sells, offers for sale, negotiates for, or holds itself out by solicitation, advertisement, or otherwise as selling, providing, or arranging for, transportation by motor carrier for compensation.

4. BUREAU: means the Bureau of Motor Vehicles.

5. COMMERCIAL MOTOR VEHICLE (see 49 U.S.C. §31101): means a self-propelled vehicle used on the highways in commerce principally to transport passengers or cargo, if the vehicle:

A. Has a gross vehicle weight rating (GVWR) or gross vehicle weight (GVW) of at least 10,001 pounds, whichever is greater;

B. Iis designed to transport more than 10 passengers including the driver; or

C. Iis used in transporting material found by the Secretary of Transportation to be hazardous under 49 U.S.C. §5103 and transported in a quantity requiring placarding under regulations prescribed by the Secretary.

6. FMCSA: means the Federal Motor Carrier Safety Administration, an agency within the USDOT.

7. FREIGHT FORWARDER: means a person holding itself out to the general public (other than as a pipeline, rail, motor, or water carrier) to provide transportation of property for compensation and in the ordinary course of its business:

A. Assembles and consolidates, or provides for assembling and consolidating, shipments and performs or provides for break-bulk and distribution operations of the shipments;

B. Assumes responsibility for the transportation from the place of receipt to the place of destination; and

C. Uses for any part of the transportation a carrier subject to 49 U.S.C. Subtitle IV.

8. GROSS WEIGHT (GW): means the weight in pounds of an empty vehicle or axle plus the weight of the maximum load to be carried by the vehicle or axle.

9. GROSS VEHICLE WEIGHT (GVW): means the actual total weight of the vehicle and load.

10. GROSS VEHICLE WEIGHT RATING (GVWR): means the weight of the vehicle and load as determined by the final-stage manufacturer, as the rating appears on the vehicle.

11. INTERSTATE COMMERCE: means trade, traffic, or transportation in the United States between:

A. A place in a state and a place outside of such state (including a place outside of the United States);

B. Two places in a state through another state or a place outside of the United States; or

C. Two places in a state as part of trade, traffic, or transportation originating or terminating outside the state or the United States.

12. INTRASTATE COMMERCE: means any trade, traffic, or transportation in any state that is not described in the term "interstate commerce" and is conducted wholly within a state.

13. LEASING COMPANY: means a lessor engaged in the business of leasing or renting for compensation motor vehicles they own without drivers to a motor carrier, motor private carrier, or freight forwarder.

14. LONG-TERM LEASE: means a lease agreement with a lease term greater than 30 days.

15. MOTOR CARRIER: means a person providing motor vehicle transportation of property or passengers for compensation (for-hire).

16. MOTOR PRIVATE CARRIER: means a person, other than a motor carrier, transporting property by motor vehicle when:

A. The transportation is as provided in 49 U.S.C. §13501;

B. The person is the owner, lessee, or bailee of the property being transported; and

C. The property is being transported for sale, lease, rent, or bailment or to further a commercial enterprise.

17. MOTOR VEHICLE: means any vehicle, machine, tractor, trailer, or semi trailer propelled or drawn by mechanical power and used upon the highways in the transportation of passengers or property, or any combination thereof determined by the FMCSA, but does not include any vehicle, locomotive, or car operated exclusively on a rail or rails, or a trolley bus operated by electric power derived from a fixed overhead wire, furnishing local passenger transportation similar to street-railway service.

18. PARTICIPATING STATE: means a state that has complied with the requirements of Subsection (e) of 49 U.S.C. §14504a filing with the USDOT Secretary its plan for UCRA administration and that has not withdrawn from the UCR Plan. An active list of participating states may be found at http://www.maine.gov/sos/bmv/commercial/UCR.htm .

19. PERSON: means a natural person or business entity such as an individual, firm, corporation, partnership, or limited liability company or any other legal or commercial entity.

20. PRINCIPAL PLACE OF BUSINESS: means a single office or terminal designated by the company to serve as the motor carrier’s, motor private carrier’s, broker’s, leasing company’s, or freight forwarder’s principal place of business. The principal place of business must be a location where the company is engaged in business operations and where it maintains or can make available its business and safety records. A company may not designate as its principal place of business any location where the company is not engaged in business operations related to the transportation of persons or property. The following may not be designated a principal place of business:

A. Post office box centers or commercial courier service establishments that receive and hold mail or packages for third party pickup;

B. Offices of a consultant, service agent, or attorney when the registrant is not engaged in operations related to the transportation of persons or property at that location.

21. REGISTRANT: means a motor carrier, motor private carrier, broker, leasing company, or freight forwarder.

22. REGISTRATION YEAR: means a calendar year.

23. REGISTRATION PERIOD: means, with respect to a registration year, the period of time that registrations can be submitted for the upcoming registration year. This registration period is August 1 through December 31 of the immediately preceding year, or the date the UCR Board authorizes the participating states to begin sending their UCR renewal notices, whichever is later.

24. SAFER: means FMCSA's Safety and Fitness Electronic Records System database.

25. SECRETARY: means the Secretary of the USDOT.

26. STATE: means a state of the United States or the District of Columbia.

27. UNIFIED CARRIER REGISTRATION (UCR): means the act of filing and paying required fees to be in compliance with the Unified Carrier Registration Agreement.

28. UNIFIED CARRIER REGISTRATION AGREEMENT (UCR AGREEMENT OR UCRA): means the interstate agreement developed under the UCR Plan governing the collection and distribution of registration information and UCR fees paid by motor carriers, motor private carriers, brokers, freight forwarders, and leasing companies pursuant to 49 U.S.C. §14504a.

29. UNIFIED CARRIER REGISTRATION FORM (UCR FORM): means the application form approved by the UCR Board for the submission of required UCR registration information as modified by the state of Maine for the specific use of registrants basing in Maine.

30. UNIFIED CARRIER REGISTRATION FEES: means the fees determined by the Secretary based upon recommendation by the Board.

31. UNIFIED CARRIER REGISTRATION PLAN (UCR PLAN): means the organization of state, federal, and industry representatives responsible for developing, implementing, and administering the UCR Agreement.

32. UNIFIED CARRIER REGISTRATION SYSTEM (URS): means the federal registration system established by 49 U.S.C. §13908.

33. U.S.C.: means the United States Code.

34. USDOT: means the United States Department of Transportation.

35. VEHICLE REGISTRATION: means the registration of any commercial motor vehicle under the International Registration Plan (IRP) as defined in 49 U.S.C. §31701 or any other registration law or regulation of a state or foreign country.

SECTION 2. SYNOPSIS

1. This rule establishes and defines Maine’s participation in the Unified Carrier Registration Agreement (UCRA). The UCRA was established by federal law in the UCR Act, which is part of the federal highway reauthorization bill known as the Safe, Accountable, Flexible, Efficient Transportation Equity Act, A Legacy for Users ("SAFETEA-LU"), Public Law 109-59, enacted August 10, 2005. The purpose of the Act is to provide uniform national standards for registration and identification for motor carriers, motor private carriers, freight forwarders, leasing companies, and brokers and to make safety related information on all carriers, etc. available to the states, the motor carrier industry, and the public. The provisions of the UCRA are set forth in section 4305 of the UCR Act, which enacted section14504a as a new section in 49 U.S.C. The UCRA is the interstate agreement developed under the UCR Plan; it is a base-state system administered by federal and state governments and by the motor carrier industry for the collection and distribution of registration information and fees ("UCR fees") levied on motor carriers and related entities.

SECTION 3. COMMUNICATIONS

1. All written communications and documents should be addressed to the “Bureau of Motor Vehicles, Motor Carrier Services – UCR, 29 State House Station, Augusta, Maine, 04333-0029.”

2. All communications and documents are deemed to be officially received when delivered to the Operating Authority Unit at the Bureau of Motor Vehicles’ Main Office in Augusta, Maine.

3. The contact information for the Operating Authority Unit regarding UCR is as follows:

A. Telephone: (207) 624-9000 ext. 52131

B. Fax: (207) 622-5332

C. Email: ucr@maine.gov

D. Online information: http://www.maine.gov/sos/bmv/commercial/UCR.htm

SECTION 4. REMITTANCES

1. Remittances must be in the form of a personal check, money order, bank draft, or credit card (please see restrictions below). Money orders and checks should be made payable to the Maine Secretary of State.

2. Personal checks will be accepted subject to collection.

3. The Bureau will accept a VISA or MasterCard payment. Credit cards issued by other vendors can only be accepted if processed through a third party vendor (ComChek). Transactions processed through the third party vendor will incur a processing fee.

4. All remittances must be in U.S. currency.

5. Remittances in currency are wholly at the risk of the remitter. The Bureau assumes no responsibility for any loss of currency sent by mail.

6. In the event that a UCR registrant’s check is returned for insufficient funds or for any other reason, the registrant’s right to operate commercial vehicles in the state of Maine will be suspended. The Operating Authority Unit will not accept any additional applications until the registrant has completely satisfied the delinquency and associated reinstatement fees, treasury fees and other applicable service fees by credit card or bank/cashiers check.

7. A UCR registrant who has had a check returned for any reason will be required to pay all subsequent UCR fees with certified funds.

SECTION 5. LEGAL NAME AND ADDRESS

1. Federal Identification Numbers (FID’s) will be used to identify and track all UCR registrants. Such numbers may include a registrant’s Social Security Number (SSN), Federal Employer Identification Number (FEIN), USDOT Number, Motor Carrier Number (MC Number), or Freight Forwarder Number (FF Number). The Social Security Number may be used for an individual applicant or registrant.

2. UCR registrants must provide their full legal name as filed with the United States Department of Transportation’s Federal Motor Carrier Safety Administration (FMCSA).

3. The legal name as listed on the UCR Registration Form must be consistent with the legal name provided on other applications for motor carrier credentials as well as with any applicable corporate filing. The applicant may be required to rectify any legal name discrepancies before the UCR registration will be processed.

4. UCR registrants must provide a phone number and both a principal place of business address and a mailing address. If the address is a rural route, the applicant must include a box number.

5. All address and contact information must be consistent with the applicant's current information on FMCSA's Motor Carrier Management Information System (MCMIS), Licensing and Insurance (L&I), or other federal databases. The applicant may be required to correct or update FMCSA data before the UCR registration will be processed.

6. A UCR Registration Form without sufficient name, address, or contact information may be returned to the applicant for completion prior to processing the application.

SECTION 6. NAME AND ADDRESS CHANGES

1. Name Change

A. Any name change will require a written notification within 30 days of the change.

B. A registrant that is not a Motor Carrier or a Motor Private Carrier may report a name change by submitting a Motor Carrier Services Account Change Form or written notice to the Operating Authority Unit. Motor carriers and motor private carriers must either submit an updated Form MCS-150 to reflect the new address or update the federal census information online in lieu of submitting the Form MCS-150.

C. A registrant may change their name from an individual to a newly formed corporation provided there is no change in ownership or control of the company.

D. A supplemental UCR filing is not required for any name change after the beginning of the registration year.

E. A registrant must notify the Operating Authority Unit of any change in ownership that requires a new USDOT Number to be issued. The new entity must register and pay UCR fees as a new operation.

2. Address Change

A. A registrant must report any changes to its principal place of business or mailing address within 30 days of the change.

B. A registrant that is not a Motor Carrier or a Motor Private Carrier may report an address change by submitting a Motor Carrier Services Account Change Form or written notice to the Operating Authority Unit. Motor carriers and motor private carriers must either submit an updated Form MCS-150 to reflect the new address or update the federal census information online in lieu of submitting the Form MCS-150.

C. A supplemental UCR filing is not required for any address change after the beginning of the registration year.

SECTION 7. ENTITIES SUBJECT TO THE UCRA (UCR REGISTRANTS)

1. The UCRA requires all motor carriers of property and passengers and motor private carriers transporting property that are required to register with the United States Department of Transportation (USDOT) as well as brokers, freight forwarders, and leasing companies to pay UCR fees.

A. A motor carrier or motor private carrier is required to register with the USDOT if it operates a self-propelled vehicle in interstate commerce when the vehicle:

(1) Has a gross vehicle weight rating (GVWR) or gross vehicle weight (GVW) of at least 10,001 pounds, whichever is greater;

(2) Is designed or used to transport more than eight passengers (including the driver) for compensation; or

(3) Is used to transport hazardous material as defined in 49 U.S.C. §5103 in a quantity requiring placarding under regulations prescribed by the Secretary of Transportation.

2. There are two entities that are not subject to UCR registration and fee requirements:

A. Purely intrastate carriers, that is, those carriers that do not handle interstate freight or make interstate movements; and

B. Motor private carriers transporting only passengers.

SECTION 8. REGISTRANT'S BASE STATE

1. The UCRA is a base-state system, under which a UCR registrant pays UCR fees through its base state on behalf of all participating states. A UCR registrant shall determine whether or not it may select Maine as its base state using the following hierarchy:

A. If a registrant's principal place of business is located in Maine, then the registrant must elect to base in Maine; else

B. If a registrant's principal place of business is located in another participating state, then the registrant must elect to base in that state; else

C. If a registrant's principal place of business is not located in a participating state, but the registrant has an office or operating facility in one or more participating states, then the registrant must elect to base in one of those states as follows:

(1) If the registrant has an office or operating facility only in Maine, then the registrant must elect to base in Maine;

(2) If the registrant has an office or operating facility in only one participating state other than Maine, then the registrant must elect to base in that state;

(3) If the registrant has an office or operating facility in Maine and one or more other participating states, then the registrant must elect to base either in Maine or one of the other states;

(4) If the registrant has an office or operating facility in multiple participating states, none of which are Maine, then the registrant must elect to base in one of those states; else

D. If a registrant cannot select Maine or any other participating state as its base state under A through C above, then the registrant may elect to base in Maine if:

(1) Maine is the closest participating state to its principle place of business; or

(2) The registrant's principal place of business is located in the District of Columbia, Maryland, New Jersey, Vermont, or the Canadian Provinces of Ontario, New Brunswick, Newfoundland, Nova Scotia, Prince Edward Island, or Quebec; else

E. The registrant cannot base in Maine.

2. The state of Maine will not accept any UCR application or fees from a registrant that is not qualified to base in Maine as determined by the hierarchical criteria above.

3. UCR registrants that are not qualified to base in Maine should consult the UCR Instruction Sheet at http://www.maine.gov/sos/bmv/commercial/UCR.htmfor guidance in selecting a base state.

SECTION 9. CHANGE IN BASE STATE

1. Once a registrant has selected Maine as its base state the registrant may only change its base state under one of the following conditions:

A. If a registrant relocates its principal place of business from Maine to another participating state, the registrant must select the new participating state as its base state effective with the next registration year following the change in location;

B. If the state in which the registrant's principle place of business is located becomes a participating state, the registrant must select that state as its base state effective with the first registration year in which the state becomes a participating state;

C. When a Maine based registrant with an office or operating facility in Maine, but not its principal place of business, establishes an office or operating facility in a participating state other than Maine, the registrant may elect to base in the participating state in which the new office or operating facility is located effective with the next registration year; or

D. When a Maine based registrant without a principal place of business, office, or operating facility in Maine establishes a principal place of business, office, or operating facility in a participating state other than Maine, the registrant must select the participating state as its base state effective with the next registration year.

SECTION 10. ANNUAL FILING

1. All entities subject to the UCRA must submit an annual filing of information required under the UCRA and pay all UCR fees.

2. A person subject to the UCRA must register with its base state prior to operating a commercial motor vehicle in interstate commerce.

3. The registration period for a registration year begins on August 1 of the calendar year immediately proceeding the registration year or on the date the UCR Board authorizes the participating states to begin sending their UCR renewal notices, whichever is later.

4. The submission of a completed Unified Carrier Registration Form (UCR Form) and the payment of UCR fees will be considered timely if both are submitted to the state of Maine on or before December 31 of the calendar year immediately prior to the UCRA registration year for which registration is sought. The Bureau cannot guarantee that submissions, except for those transacted online, received after December 20 will be processed in time to submit compliance data to SAFER by midnight, December 31.

5. For registrants based in Maine an electronic submission is considered timely filed if the registration and fee payment is successfully transacted through a national, regional, or state of Maine electronic system on or before December 31 of the calendar year immediately prior to the UCR registration year for which registration is sought. Maine must be identified as the base state in the electronic filing.

6. Only one annual filing is required of the registrant. The registrant is not required to make any additional or supplemental filings during the registration year for the addition or deletion of any commercial motor vehicles in the registrant's fleet.

7. An annual filing shall be considered complete if:

A. The Operating Authority Unit, after review of the information submitted on the UCR Form, determines the registrant has complied with the requirements of the UCRA; and

B. The registrant has paid the required UCR fee and if applicable any restoration fees due to the Maine Secretary of State.

SECTION 11. UCR FORM

1. The UCR Form and instructions for the current and renewal registration years can be found at http://www.maine.gov/sos/bmv/commercial/UCR.htm.The Operating Authority Unit will mail a UCR renewal notice to all UCR registrants based in Maine 90 days immediately proceeding the renewal registration year.

2. Information gathered on the UCR Form is required under the UCRA and by participating UCR states to verify compliance with the UCRA.

3. General Information (UCR Form Section 1)

A. The registrant must provide at least one of the following or the registration will be rejected: USDOT Number, Motor Carrier Number (MC Number), or Freight Forwarder (FF Number).

B. The Legal Name, DBA Name, Principal Place of Business Address, and Mailing Address should be identical to what was reported on the registrant's last MCS-150. If any information has changed since the registrant's last MCS-150 update, the registrant should either submit a new MCS-150 to reflect the changes or update its MCS-150 online at http://www.safer.fmcsa.dot.gov.

C. The registrant is not required to provide a fax number or email address but is encouraged to do so. An email confirmation and electronic receipt will be sent to all registrants that have provided an email address.

4. Registrant Classification (UCR Form Section 2)

A. The registrant must check all classifications that apply from the following: motor carrier, motor private carrier, broker, leasing company, and freight forwarder.

5. Number of Commercial Motor Vehicles Owned or Operated (UCR Form Section 4)

A. A motor carrier or motor private carrier has two options for reporting the number of commercial motor vehicles for purposes of determining UCR fees:

(1) Option A - use the number of commercial motor vehicles reported on the most recent MCS-150 filed with the FMCSA; or

(2) Option B - use the total number of commercial motor vehicles owned or operated under a long-term lease for the 12-month period ending on June 30 of the calendar year immediately prior to the UCRA registration year for which registration is sought.

B. If a motor carrier or motor private carrier elects Option B above and the reported vehicle count results in a fee bracket (See Section 12) with a lower fee than if the carrier had elected Option A above, then the carrier must keep a list of all vehicles covered by the UCR registration. The vehicle information shall be submitted to the Operating Authority Unit upon request using Form UCR-2. The form is available online at http://www.maine.gov/sos/bmv/commercial/UCR.htm.

C. The number of commercial motor vehicles reported on the motor carrier’s or private motor carrier’s most recent MCS-150 form (Option A) or the total number of commercial motor vehicles owned and operated for the 12-month period ending June 30 of the year immediately prior to the year for which UCR registration is made (Option B) is reported on Section 4, Line 1. The total number of straight trucks and truck tractors is entered on Line 1, Column A of the form and the total number of motor coaches, school buses, mini-buses, vans, and limousines is entered on Line 1, Column C of the form.

(1) Under a long-term lease the carrier (lessee), not the leasing company (lessor), is responsible for filing the UCR application. The leased vehicles are included in the carrier’s vehicle count.

(2) A commercial motor vehicle that is operated by a registrant under a lease of 30 days or less should not be included in the commercial motor vehicle count.

D. Section 4, Line 2 of the form is used to report the number of motor vehicles that should be subtracted from the total commercial motor vehicles reported on Line 1 to arrive at the total number of vehicles for purposes of determining UCR fees.

(1) Line 2(A): this line is used to subtract the number of vehicles reported on Line 1, Column C that have a vehicle capacity of 10 or less passengers, including the driver.

(2) Line 2(B): motor carriers and motor private carriers may elect to exclude the number of motor vehicles, reported in Line 1, Column A, that are owned or leased and used exclusively in the intrastate transportation of property, waste, or recyclable material.

(a) The registrant must keep a list of all vehicles subtracted under this option. The vehicle information shall be submitted to the Operating Authority Unit upon request using Form UCR-1. The form is available online at http://www.maine.gov/sos/bmv/commercial/UCR.htm.

E. Section 4, Line 3 of the form is used to report the number of commercial vehicles the registrant elects to add to the total commercial motor vehicles reported on Line 1 to arrive at the total number of vehicles for purposes of determining UCR fees.

(1) Line 3(A): this line is used at the option of the registrant to add the number of commercial motor vehicles owned and operating exclusively in intrastate commerce provided they were not reported on Line 1.

(2) Line 3(B): this line is used at the option of the registrant to add the number of motor vehicles used in interstate or intrastate commerce to transport passengers or property for compensation that have a GVWR or GVW of 10,000 pounds or less, or a passenger capacity of 10 or less, including the driver.

6. Fees Due (UCR Form Section 3 and 6)

A. Brokers and freight forwarders not operating commercial motor vehicles, and leasing companies that are not a motor carrier, pay the UCR fee at the lowest bracket level for the registration year.

B. A broker, freight forwarder, or leasing company who is also a motor carrier or motor private carrier must pay the UCR fee at the bracket level that is applicable to the number of commercial motor vehicles owned or operated.

7. Certification (UCR Form Section 7)

A. All UCR Forms must be signed and dated.

(1) Anyone signing a UCR Form must also disclose their position title in which is vested the authority to sign the application.

(2) If the registrant is an individual, the application must be signed by the registrant.

(3) If the registrant is a corporation, the UCR Form must be signed by a corporate officer or an employee duly authorized to act in an administrative capacity on behalf of the corporation.

(4) Notwithstanding the above, an authorized agent exercising power of attorney may sign on behalf of a registrant. The copy of the document authorizing the power of attorney must be on file with the Operating Authority Unit.

SECTION 12. UCR FEES

1. The UCR Act mandates how UCR fees are established.

A. Each calendar year the UCR Board submits a recommendation to the USDOT Secretary regarding the level of UCR fees for the next calendar year. In making its recommendation the Board considers the number of states participating in the UCRA, the aggregate of participating state entitlements and required administrative costs, how many entities are subject to the UCRA, how many commercial motor vehicles are operated by such entities, and the optimum fee structure to collect the calculated revenue.

B. The USDOT Secretary has 90 days to set the fees for the next calendar year. This process requires formal notice and opportunity for public comment.

C. UCR fees may need to be reset to accommodate revenue collections that either exceed or do not meet target expectations as well as changes in the number of participating states, the number of entities subject to UCR, or their fleet sizes. When resetting fees is necessary the Board will recommend the new fees and the USDOT Secretary will set them pursuant to federal rulemaking.

2. UCR per-carrier fees are based on the number of commercial motor vehicles owned or operated by a motor carrier or motor private carrier. There are six carrier fee brackets based on fleet size. Each carrier bracket is assigned a fee as set by the USDOT Secretary. UCR fees are progressive in that the fees per carrier increase as fleet size increases.

3. The UCR Fee Schedule for the current calendar year can be found at http://www.maine.gov/sos/bmv/commercial/UCR.htm.

4. UCR fees are not prorated for partial year operation.

SECTION 13. PAYMENT OF FEES

1. Registrants based in Maine must pay all UCR fees to the state of Maine.

2. For registrants based in Maine an electronic payment is considered timely if the payment is transacted through a national, regional, or state of Maine electronic system on or before December 31 of the calendar year immediately preceding the registration year for which registration is sought.

SECTION 14. REFUNDS

1. The Operating Authority Unit will not issue a refund of UCR fees for any reason after the start of the UCR registration year.

2. Upon written request the Operating Authority Unit will issue a refund of UCR fees paid by a registrant that ceases operation prior to the start of the UCR registration year for which the fees were paid. The refund request must be received by the Operating Authority Unit prior to the start of the registration year.

SECTION 15. NOTIFICATION OF UCRA COMPLIANCE

1. There is no UCRA credential requirement. The Operating Authority Unit does not issue any credential upon the successful completion of a UCR filing.

2. A registrant is not required to display any documentation of UCRA compliance in or on any motor vehicle.

3. The Operating Authority Unit may issue a confirmation to registrants found to be in compliance with the requirements of the UCRA. The confirmation may take the form of an electronic notification, payment receipt, or letter. The confirmation notice is not required to be displayed in or on any motor vehicle.

4. The state of Maine sends UCR compliance data to FMCSA periodically throughout the day. Registrants and state registration and law enforcement personnel can verify compliance by accessing FMCSA's SAFER website at http://safer.fmcsa.dot.gov and clicking on the Unified Carrier Registration (UCR) link. Compliance data can be queried by USDOT Number, MC Number, or FF Number.

SECTION 16. FINANCIAL RESPONSIBILITY

1. Verification of financial responsibility information is not part of the registration process under the UCRA.

2. Under the UCR Act verification of financial responsibility information, which was a state charge prior to the act, is now the responsibility of FMCSA as part of the Unified Registration System.

3. Nothing in the UCRA prevents a state from enforcing its laws requiring liability coverage for any vehicle operating on a state's public ways.

SECTION 17. BASE STATE RECORD KEEPING

1. The Bureau must retain copies of all paper and electronic records submitted by registrants based in Maine. Such records shall include, but not be limited to, all UCR forms, correspondence, and payments.

2. UCR records may be maintained by the Bureau on paper, microfilm, microfiche, or any other computerized or condensed record storage system.

3. For UCR purposes such records must be maintained for a minimum period of three years and shall be made available upon the request of any participating state during the minimum retention period. The retention period for the state of Maine may equal or exceed the UCR retention period, but may not be less than the three year UCR retention period.

SECTION 18. MOTOR CARRIER RECORD KEEPING

1. A registrant must retain the UCR records upon which the annual applications and renewals are based for a period of three years from the due date or the filing date, whichever comes first, plus any time period included as a result of any state decisions or inquiries. The three year period is the current calendar year and the prior two calendar years.

2. The records may be kept on paper, microfilm, microfiche, or other computerized or condensed record storage system.

SECTION 19. ENFORCEMENT

1. Enforcement officials across the United States may detain vehicles operated in interstate commerce and subject them to UCR enforcement action.

2. Pursuant to 29-A M.R.S.A. §§ 551, 558 any motor carrier, motor private carrier, freight forwarder, broker, or leasing company who violates any provision of this rule chapter commits a traffic infraction for which a fine may be adjudged.

3. Pursuant to 29-A M.R.S.A. §154-A when a UCR fee, required to be collected by the Secretary of State, is not paid within 10 days after the mailing of notice, the Secretary of State may suspend all licenses, permits, certificates, and registrations of any person liable for the UCR fee.

4. The state of Maine may also conduct audits to ascertain whether or not the proper fees have been paid.

5. The Bureau may refuse to issue any credentials or permits to a person subject to the provisions of the UCRA that has not registered and paid UCR fees for the UCR registration year in which a credential or permit would become effective and if applicable any restoration fees due to the Maine Secretary of State.

SECTION 20. ADOPT BY REFERENCE

1. The Bureau adopts by reference the UCR Board's approved Unified Carrier Registration Agreement in effect on the adoption date of this Rule, and any subsequent approved revisions thereof.

SECTION 21. SAVINGS CLAUSE

1. Any procedure or requirement related to UCR registration, fees, or payments not covered in these rules shall be governed by the general rules and procedures of the Bureau of Motor Vehicles.

SECTION 22. MUNICIPAL FISCAL IMPACT

1. This rule will have no fiscal impact on Municipalities.

EFFECTIVE DATE:

October 1, 2008 – filing 2008-452

AMENDED:

February 25, 2013 – filing 2013-042

APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025

APAO ACCESSIBILITY CHECK (Word):

April 7, 2026

Chapter 172 Rules Governing the Issuance of Vanity Registration Plates

Code Me. R. 29-250 Ch. 172 Rules Governing the Issuance of Vanity Registration Plates {#sec-29-250-ch.-172 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 172}

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Summary: This rule implements 29-A M.R.S.A. §453, subsection 3-A, which authorizes the Secretary of State to refuse to issue or recall vanity registration plates that meet certain criteria, and 3-B, which authorizes the right to appeal the Secretary of State’s decision. This rule is created by the authority expressly stated in 29-A M.R.S.A. §453, subsection 3-C.

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Purpose.

This rule implements 29-A M.R.S.A. §453, subsections 3-A and 3-B, which authorize the Secretary of State to refuse to issue and to recall certain non-compliant vanity registration plates and describes the process for review of the Secretary of State’s decision to refuse to issue or recall a vanity registration plate.

Definitions.

Unless otherwise defined, terms have the same meaning as in 29-A M.R.S.A. For the purpose of this rule the following definitions apply:

“Profane” means grossly offensive language that is considered a public nuisance.

“Obscene” means language that (i) conveys a message that appeals to the prurient interest, (ii) depicts sexual conduct in a patently offensive way, and (iii), taken as a whole, lacks serious literary, artistic, political or scientific value.

Prohibited vanity registration plates.

The Secretary of State, Bureau of Motor Vehicles, Division of Vehicle Services (“Bureau”) will process applications for new vanity registration plates and review existing vanity registration plates for compliance with this rule. The Bureau may initiate review of an existing vanity registration plate on its own or in response to a complaint from a member of the public. The Secretary of State shall refuse to issue or shall recall all vanity registration plates that meet the following standards using the criteria in section 6 of this rule:

1. If the language or configuration requested falsely suggests an association with a public institution - or a government or a government agency;
2. If the language or configuration requested duplicates another plate;
3. If the language or configuration requested encourages violence or may result in an act of violence or other unlawful activity because of the content of the language or configuration of letters and numbers;
4. If the language or configuration requested is profane or obscene;
5. If the language or configuration requested makes a derogatory reference to age, race, ethnicity, sex, sexual orientation, gender identity, ancestry or national origin, religion or physical or mental disability;
6. If the language or configuration requested connotes genitalia or relates to sexual acts; or
7. If the language or configuration requested includes forms of slang terms, abbreviations, phonetic spellings, or mirror images of a word or term otherwise prohibited by this section, even if expressed in a language other than English.

Centralized processing.

To ensure the consistent approval and denial of applications for vanity registration plates and recall of vanity registration plates, the Bureau will carry out a centralized vanity registration plate approval process.

All applications for vanity registration plates will be reviewed by professional staff at the Bureau.

The Vanity Plate Review Committee will be comprised of two staff members from the Bureau and the Director of Vehicle Services, or the Director’s designee.

Any applications Bureau staff identify as potentially in conflict with section 3 of this rule will be referred to the Vanity Plate Review Committee.

Any complaints from members of the public about a registration plate will be referred to the Vanity Plate Review Committee for review.

The Vanity Plate Review Committee will base its decision on the criteria set forth in sections 3 and 6 of this rule.

If the Vanity Plate Review Committee cannot reach a unanimous decision, it will refer the plate to the Deputy Secretary of State for the Bureau (“Deputy”), or the Deputy’s designee.

Preliminary screening.

Before the Vanity Plate Review Committee decides whether to approve or deny an application for a vanity registration plate, professional staff at the Bureau will screen the application and will deny it if the language or configuration requested duplicates another plate or does not contain the number of characters permitted for that class of plate.

Initial review.

To determine whether a vanity registration plate is prohibited by section 3 of this rule, the Vanity Plate Review Committee will use the following criteria:

The vanity registration plate will be evaluated from the perspective of an ordinary observer of the plate. The applicant’s or registrant’s stated intent or intended meaning will not control the determination.

The Vanity Plate Review Committee may consider commonly used reference guides including but not limited to: American Association of Motor Vehicles Administration License Plate Standard, Merriam-Webster’s Dictionary, foreign language dictionaries, and the Consumer Guide published by the Federal Communications Commission. Updated editions of these sources may be used as they are published.

In evaluating a vanity registration plate, the Vanity Plate Review Committee and/or the Deputy will consider foreign language meanings.

Complaints by the public.

A member of the public who contends that a vanity registration plate is prohibited by section 3 of this rule must submit a written complaint to the Bureau by email or in writing. The Vanity Plate Review Committee will review all complaints from the public to determine whether to recall the plate under the authority granted by 29-A M.R.S.A. §453, subsection 3-A and this rule.

Denial.

The Secretary of State will deny an application for a vanity registration plate that is prohibited by section 3 of this rule. In accordance with section 10 of this rule, the Secretary of State will provide notice, in writing, to the applicant of the denial and the reasons for the denial. If when applying for a vanity registration plate, the applicant provided alternative language or configuration that is not prohibited by section 3 of these rules, the Bureau will issue a conforming vanity registration plate. Otherwise, the Bureau will issue the vehicle registrant a new registration and standard number plate and not charge the applicant the fee for a vanity registration plate.

Recall of non-compliant vanity registration plates.

The Secretary of State will recall all vanity registration plates previously issued, that are prohibited by section 3 of this rule. In accordance with section 10 of this rule, the Secretary of State will provide notice, in writing, to the registrant of the recall and the reasons for the recall.

If the registrant does not request a hearing or apply for a compliant vanity registration plate within 14 days from the date of the letter sent by the Secretary of State recalling the vanity registration plate, the Bureau will issue the registrant a new registration and standard number registration plate and no additional fees will be charged. The Secretary of State will refund the vanity registration plate fee that was paid for any unused full months on a prorated basis.

The effective date of the new registration shall be 21 days from the date the Secretary of State issues the new registration and registration plates. The Secretary of State will deactivate non-compliant vanity registration plates on the effective date of the new vanity registration plates.

If the registrant requests a hearing of the Secretary of State’s decision to recall the registrant’s vanity registration plate, the Secretary of State will deactivate non-compliant vanity registration plates 30 days after the Secretary of State’s final agency action, unless the registrant files an appeal of that final agency action in Superior Court.

A registrant who displays inactive vanity registration plates on their vehicle is subject to penalties under 29-A M.R.S.A., Chapter 5.

Notice to registrants and applicants.

The Secretary of State will provide notice in writing to a person whose application for vanity registration plates was denied or whose vanity registration plate was recalled under this rule. The notice will state the reasons for the denial or recall and inform the person that they have the right to appeal the Secretary of State’s decision. The person must file an appeal of the Secretary of State’s decision within 14 days of the date on the written notice. Only a person whose application for a vanity registration plate has been denied or whose vanity registration plate has been recalled may appeal the Secretary of State’s decision. A late request for hearing will only be considered for good cause.

Hearing.

Hearings under this section will follow the notice and hearing procedures outlined in 5 M.R.S.A. §9051-64 and the Rules for Hearings of the Secretary of State. The person appealing the Secretary of State’s decision will have the opportunity to show cause why the decision of the Secretary of State should not be upheld. The sole issue at the hearing will be whether the vanity registration plate is prohibited pursuant to section 3 of this rule. The decision of the Hearings Examiner constitutes the final agency action by the Secretary of State.

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History

• STATUTORY AUTHORITY: 29‑A M.R.S. §453, sub-section 3-A and 3-B
• EFFECTIVE DATE: October 1, 2022 – filing 2022-190
• APAO ACCESSIBILITY CHECK (Word): April 7, 2026

Chapter 173 Rules for the Sale, Purchase, Removal, Transport, and Disposal of Catalytic Converters

Code Me. R. 29-250 Ch. 173 Rules for the Sale, Purchase, Removal, Transport, and Disposal of Catalytic Converters {#sec-29-250-ch.-173 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 173}

SUMMARY:

This rule establishes the requirements for the sale, purchase, removal, and transport of catalytic converters. The rule sets forth required marking methods, pertinent information to marking, and reporting requirements to be utilized by licensed recyclers, scrap metal processors, new and used car dealers, as well as private individuals.

DEFINITIONS:

Unless otherwise defined, terms have the same meaning as in Title 29-A.

A. Accessible: In a location where any surface of the catalytic converter can be marked without dismantling any part of the vehicle.

B. Engrave: To inscribe a VIN onto an accessible surface by means of carving or etching.

C. Legible: Letters and numbers that are clear and distinct.

D. Manifest: Written document required for the transport of catalytic converters.

E. Permanent Marking: Once marked, the information will not wear off through normal handling, transportation, or weather conditions.

F. Vehicle Identification Number (VIN): Means a seventeen-digit number assigned to a vehicle by the manufacturer or a Maine assigned identification number.

G. Visible: Conspicuous and easy to see.

H. Wholesale: Transactions conducted between two licensed dealers.

3. REQUIREMENTS AND METHODS FOR MARKING CATALYTIC CONVERTERS FOR PRIVATE INDIVIDUALS

A. Requirements: Private individuals who detach a catalytic converter for replacement shall legibly mark the catalytic converter.

B. Marking Standard: The marking shall consist of the complete and legible VIN in a single line. If there is not adequate space to mark on one line, the VIN may be marked in multiple lines in the correct number sequence.

C. Marking Errors: A straight line shall be drawn through the entire VIN when an error is made in marking. The correct VIN shall be marked directly below; if there is not adequate space, the correct vin shall be marked in the general area.

D. Method: The marking shall be made by engraving or a method of permanent marking.

E. Missing Number: Individuals who own catalytic converters that do not have a legible or complete 17-digit VIN may request an assigned number from the Secretary of State Enforcement Division through the process outlined in section 4 of this rule.

4. REQUIREMENTS FOR REQUESTING A CATALYTIC CONVERTER IDENTIFICATION NUMBER FROM THE SECRETARY OF STATE

Individuals in possession of catalytic converters that have damaged or missing 17-digit vehicle identification numbers shall request an assigned identification number.

A. Process

1. A requestor must complete the online request form (MVI-29) found on the Bureau of Motor Vehicles website and submit supporting documentation listed in subsection B of this section.

2. Once the MVI-29 is received by the Bureau, an acknowledgment will be provided to the requestor and a temporary VIN number will be issued for a temporary period of up to 30 days.

3. The investigation will consist of reviewing and analyzing all relevant information and supporting documentation.

4. Once confirmation of information and review of documentation is complete, the responsible detective will contact the requestor to arrange a time to permanently mark the catalytic converter, at no cost to the requestor. The detective will complete an MVI-30 form at the time of marking which must be signed by the requestor attesting to the accuracy of the information.

5. The Secretary of State shall maintain a record of all requests made for a period of five years.

6. Transportation: Transportation of a catalytic converter is prohibited without an identifying number engraved or marked.

(a) A catalytic converter may be transported without identifying markings if it is being returned to a manufacturer of the vehicle in accordance with manufacturer specifications as a core part, which will be replaced with a new converter.

7. Recovery and Disposal: Catalytic converters for which a detective determines that an identification number may not be assigned will be handled in accordance with 29-A M.R.S. §1113(15).

B. Supporting Documentation

1. A requestor submitting a request for a state-issued identification number must submit documentation sufficient to prove ownership of a catalytic converter(s) at the time of the request.

2. This documentation may include, but is not limited to:

a. Sworn affidavit by the requestor, or witness detailing the circumstances as to how the catalytic converter came into the requestor’s possession;

b. Copy of dealer contract showing proof of purchase of the vehicle containing unmarked catalytic converter;

c. Photographic evidence;

d. Other documentation showing proof ownership of the property.

C. Marking: The Secretary of State shall permanently mark the catalytic converter.

D. Disposal: Once a catalytic converter receives a state-issued number, all forms given to the requestor must remain with the catalytic converter.

5. REQUIREMENTS AND METHODS FOR MARKING CATALYTIC CONVERTERS FOR LICENSED NEW AND USED CAR DEALERS

A. Requirements: Except for when a motor vehicle is sold at wholesale or when a catalytic converter is not in a location that is clearly visible from the underside of the motor vehicle, licensed New and Used Car Dealers who are selling vehicles through retail sale shall legibly mark all catalytic converters that are visible and accessible for all vehicles in their inventory. No disassembly is required to gain access to or mark a catalytic converter.

B. Marking Standard: The marking shall consist of the complete and legible VIN in a single line. If there is not adequate space to mark on one line, the VIN may be marked in multiple lines in the correct number sequence.

C. Marking Errors: A straight line shall be drawn through the entire VIN when an error is made in marking. The correct VIN shall be marked directly below; if there is not adequate space, the correct vin shall be marked in the general area.

D. Method: The marking shall be made by engraving only. There is no set standard on the type of tool used to engrave the catalytic converter; however, the chosen tool must be sufficient to permanently mark the catalytic converter.

E. Materials: Both standard catalytic converters and diesel particulate filters shall be marked.

6. REQUIREMENTS AND METHODS FOR MARKING CATALYTIC CONVERTERS FOR LICENSED RECYCLERS

A. Detached Catalytic Converter Requirements: Recyclers buying detached catalytic converters shall:

1. Verify Marking: Verify that the full VIN is legibly engraved or permanently marked on the catalytic converter. A completed form MVI-30 must accompany a catalytic converter with a Maine assigned identification number. The MVI-30 is a business record and shall be retained by the purchasing recycler for a period of five years.

2. Reporting: The identifying information as outlined in law must be reported in accordance with Section 7.

3. Prohibited Activity: An unmarked detached catalytic converter may not be purchased. A Recycler shall report an attempted sale to the Division of Enforcement, Anti-Theft, and Regulations.

B. Whole Vehicle Requirements: Recyclers buying whole vehicles shall:

1. Requirements: Immediately and legibly mark the catalytic converter upon removal from the vehicle.

2. Marking Standard: The catalytic converter will be marked with the complete 17-digit VIN; or the catalytic converter will be marked with the recycler’s license number and the stock number. A manifest that denotes the correlation between the full 17-digit VIN and the stock number must accompany the catalytic converter when in transit.

3. Marking Errors: A straight line shall be drawn through the entire VIN when an error is made in marking. The correct VIN shall be marked directly below; if there is not adequate space, the correct vin shall be marked in the general area.

4. Method: The marking shall be made by engraving or a method of permanent marking.

C. Catalytic Converters for Final Disposition: Recyclers buying a catalytic converter for final disposition and deconstruction shall legibly mark the catalytic converter with the recycler’s license number by engraving or other method of permanent marking. Catalytic converters that are already marked are exempt from this requirement.

7. RECYCLERS REPORTING REQUIREMENTS

A. Reporting Mechanism: Recyclers shall report any purchase of catalytic converters through retail sales within ten days using an electronic mechanism that is administered by NESPIN (New England State Police Information Network) and approved by the Secretary of State or a comparable program that will report the required information to NESPIN on their behalf.

B. Requirements for Reporting Retail Acquisitions: Recyclers purchasing catalytic converters through retail sales shall submit a report to NESPIN to include:

1. The name and address of the acquiring recycler;

2. The date and time of acquisition;

3. The name, address, date of birth, telephone number, and dentification of the seller;

4. The VIN or selling recycler’s license number and stock number; and the price paid.

C. Requirements for Wholesale Transactions: Recyclers purchasing catalytic converter through wholesale shall:

1. Purchases of detached catalytic converters shall be reported to NESPIN by the purchasing recycler.

a. The report to NESPIN shall include the name and address of the acquiring recycler, date and time of acquisition, name, address, telephone number of the selling recycler, the identification of the seller, the VIN or selling recycler’s license number and stock number, and the price paid.

b. Recyclers may submit bulk purchases in a single entry if they upload an image of the VINs contained on the manifest.

2. Purchases of whole vehicles shall be reported to NMVTIS and are exempt from NESPIN reporting.

3. RECORDS REQUIREMENTS FOR RECYCLERS FOR CATALYTIC CONVERTER TRANSACTIONS

A. Retention Period: Licensed recyclers shall maintain records of all detached catalytic converter transactions for a period of five years.

B. Availability Requirement: Records shall be maintained at the established place of business and shall be available for inspection during posted business hours by any law enforcement officer of the state, municipality, or county. Recyclers which do not have business hours between 8:00 a.m. and 5:00 p.m. shall make records available upon reasonable demand and advance notice by the Secretary of State, the Office of the Attorney General or law enforcement agencies.

C. Content Requirement: Records of individual purchases of detached catalytic converters shall include the name and address of the seller, the date of sale, a description of the catalytic converter, the weight, quantity or volume of the catalytic converters purchased, the consideration paid, a statement that the seller is the owner of the catalytic converter presented, the make, model, state of issue of the license plate of the vehicle used in delivering the catalytic converter, and a copy of government issued photo identification of the seller.

D. Wholesale Requirement: Records of catalytic converters purchased from other recyclers shall contain the selling recycler’s license number. Recyclers conducting wholesale transactions are exempt from maintaining individual records for a series of catalytic converter purchase transactions made pursuant to a contract or bill of sale.

Appendix A. Flow chart of Catalytic Converter Processes

History

• STATUTORY AUTHORITY: 29-A M.R.S. §§ 153, 1113(14)
• EFFECTIVE DATE: April 17, 2023 – filing 2023-057
• NONSUBSTANTIVE CORRECTIONS (formatting): April 7, 2026
• APAO ACCESSIBILITY CHECK (Word): April 7, 2026

Chapter 190 Rule for the Administration of Experimental Vehicle Registration

Code Me. R. 29-250 Ch. 190 Rule for the Administration of Experimental Vehicle Registration {#sec-29-250-ch.-190 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 190}

SUMMARY:

This rule establishes requirements for the registration of experimental motor vehicles. The rule sets forth required equipment standards, application procedures, and the limitations of use pursuant to 29A MRSA section 470.

http://janus.state.me.us/legis/statutes/29-A/title29-Asec470.html

COMMUNICATIONS:

All communications should be directed to:

Bureau of Motor Vehicles

Dealer and Agent Services

101 Hospital St.

29 State House Station

Augusta, ME 04333-0029

Telephone: 207/624-9000 x. 52143

DEFINITIONS

“Experimental Vehicle” means any motor vehicle in the developmental stage that has not yet reached production. It does not include a motor vehicle already in production that is being modified. It also does not include the modification of a vehicle designed for non-highway use unless that vehicle has been modified to meet USDOT vehicle safety standards and EPA emission standards for highway vehicles.

“Inventor” means a person or company in the business of developing experimental vehicles.

“Production” means the vehicle is available to the general public for purchase.

“Daytime” means the period from a ½ hour before sunrise to ½ hour after sunset.

“Jurisdiction” means a state of the United States, its possessions, the District of Columbia, or any Canadian province or territory.

REQUIREMENTS FOR EXPERIMENTAL MOTOR VEHICLES

In order to obtain an experimental vehicle registration:

The inventor must have an established physical location in Maine.

The experimental vehicle(s) must be in a developmental stage and not in production.

The experimental vehicle must comply with the equipment standards of 29A MRSA chapter 17, including at a minimum: body components, an exhaust system, reflectors, running gear, tires, a horn, lights, directional signals, brakes, steering mechanism, windshield wipers, safety seat belts, and rearview mirrors. An experimental vehicle is exempt from inspection requirements under 29A MRSA section 1751.

http://janus.state.me.us/legis/statutes/29-A/title29-Asec1751.html

The inventor must submit an application on a form provided by the Bureau of Motor Vehicles, Dealer and Agent Services:

The application must include:

a. The name of the inventor;

b. The address of the inventor;

c. The phone number of the inventor;

d. A description of the experimental vehicle;

e. Photographs of the experimental vehicle in development; and

f. A statement as to the expected duration of the experimental testing.

Upon initial application, the inventor must submit to an inspection of the physical location and the experimental vehicle by the Bureau of Motor Vehicles, Office of Investigations. The facility may be inspected for any renewals. The applicant must show sufficient intellectual and resource capacity to accomplish the production of the experimental vehicle.

The inventor must provide proof of vehicle liability insurance pursuant to 29A section 1605. The proof of insurance must adequately describe the vehicle, and include the insured name and address.

http://janus.state.me.us/legis/statutes/29-A/title29-Asec1605.html

Plates

The inventor may be issued up to two experimental plates to expire in the same month, one year from issuance. The plate must be displayed on the rear of the vehicle.

a. The plate may be used for one or more experimental vehicles of the same prototype during the term of the registration plate.

b. The registration may be renewed annually. The annual registration fee is $20 per plate.

c. If a plate is lost, stolen or mutilated, the inventor must report it to the Dealer and Agent Services Section.

d. A lost, stolen or mutilated plate may not be replaced by a facsimile.

Limitations on Use

a. An experimental vehicle may not be operated on a public way with a posted speed limit that exceeds the capability of that vehicle.

b. An experimental vehicle may not be operated on the Maine interstate system or Maine turnpike.

c. An experimental vehicle may be operated only during daytime.

d. An experimental vehicle authorized under this rule may be operated outside the State of Maine subject to the laws and requirements of the jurisdiction being operated in. An experimental vehicle authorized by another jurisdiction may operate in Maine provided the home jurisdiction has substantially similar procedures for approving experimental vehicles.

History

• STATUTORY AUTHORITY: 29-A MRSA Section 470(8)
• EFFECTIVE DATE: December 21, 2008 – filing 2008-583
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 7, 2026
• APAO ACCESSIBILITY CHECK (Word): April 7, 2026

Bureau of Corporations, Elections and Commissions Bureau of Corporations, Elections and Commissions

Chapter 200 Rules for the Use of Expedited Services in Corporations

Code Me. R. 29-250 Ch. 200 Rules for the Use of Expedited Service in Corporations {#sec-29-250-ch.-200 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 200}

1. Definitions

A. “Division” shall mean the Corporate Examining, Corporate Reporting and Information Sections of the Maine Secretary of State’s Bureau of Corporations, Elections and Commissions.

B. “Request” shall mean a form in the color and size prescribed by the Secretary of State.

C. “24 Hour Service” shall mean the completion of a request within twenty-four hours of receipt of the request, except in those cases where the twenty-four hour period includes a Saturday, Sunday, holiday or other day on which the Division is not open for business, in which case the twenty-four hour period shall be extended to the appropriate hour of the next succeeding business day on which the Division is open for business. Availability of this service is dependent on staffing levels and may only be determined at the time the request is made.

D. “Immediate Service” shall mean the completion of a request for expedited service at the time the request is made. Availability of this service is dependent on staffing levels and may only be determined at the time the request is made.

2. Applicability

A. The Division shall expedite requests made pursuant to these rules provided there is statutory authority for the collection of an additional fee for the expediting of the instrument.

3. Form of Requests

A. All requests shall be made in writing.

B. The Secretary of State may provide a form on which requests can be made.

C. A separate request shall be submitted for each service requested of the Division.

1) There are four types of requests:

a. A request to file a document or instrument.

b. A request for a certificate of existence or fact for an entity or mark on file.

c. A request for information pertaining to an entity or mark on file.

d. A request for copies of a document or instrument on file.

2) Multiple requests of the same type on the same entity will be considered one request.

D. Each request shall set forth:

1) The name of the entity or mark to which the request pertains.

2) The name of the individual or entity submitting the request.

3) Any other information the Secretary of State may deem necessary and proper to perform his or her duty under these rules.

E. A request shall be accompanied by the appropriate fee for expedited service, unless prior approval for credit has been granted.

4. Fees

A. The fee for 24 Hour service shall be $50.00 per request for documents pertaining to the Corporate Sections.

B. The fee for immediate service on a request for expedited service shall be $100.00 per request for documents pertaining to the Corporate Sections.

C. The fee shall be payable in cash or by a separate check, debit or credit card for each request submitted.

D. The fee must accompany the request. Frequent customers may request permission to be billed for expedited service by completing an Application for Credit for Expedited Service form with the Division.

5. Expedited Service by Mail

A. All requests made by mail or similar means shall be addressed to the Division of Corporations, Bureau of Corporations, Elections and Commissions, 101 State House Station, Augusta, Maine 04333-0101.

B. The outer envelope received by the Division shall be clearly marked “Expedited Service” in the lower right hand corner of the envelope.

C. Each request shall be stamped with the date and the hour received at which time the period for performance by the Division shall commence.

6. Expedited Service over the Counter

A. The Division shall accept requests between the hours of 9 am and 4 p.m. on days which the Division is open for business.

B. The requests shall be stamped with the date and hour of receipt thereof, at which time the period for performance by the Division shall commence.

7. Acting upon Request

A. The request shall be considered to have been acted upon:

1) If a document or instrument has been accepted or rejected for filing and supporting documentation has been forwarded to the requesting party; or

2) If a request for a certificate, information, or copies has been completed and the information forwarded to the requesting party.

8. Refunds

A. The expedited service fee will be refunded only if the Division is unable to perform the service within the time frame prescribed by these rules and the reason can be deemed to be the fault of the Division.

B. Lack of sufficient information to complete the request shall be deemed the fault of the requesting party and not of the Division and the fee for expedited service shall be forfeited.

C. Requests involving inactive filings or outdated reports stored off the site of the Division shall be treated as expedited requests, but may not conform to the twenty-four hour time limit. Requests involving the availability of a mark shall be treated as expedited requests, but may not conform to the twenty-four hour time limit. The fee for expedited service in these cases will not be refunded.

History

• STATUTORY AUTHORITY: 10 MRSA Section 1527-B; 13-C MRSA Section 124; 13-B MRSA Section 1402-A; 31 MRSA Section 414; 31 MRSA Section 613; and 31 MRSA Section 813.
• EFFECTIVE DATE: January 7, 1991
• AMENDED: July 20, 1992
• AMENDED: February 13, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): April 28, 1996
• NON-SUBSTANTIVE CORRECTIONS: September 29, 1996 - addition to statutory authority note.
• NON-SUBSTANTIVE CORRECTIONS: October 27, 1997 - Divisional name in heading corrected.
• AMENDED: July 24, 2001 - references to UCC filings removed
• NON-SUBSTANTIVE CORRECTIONS: August 10, 2001 - minor punctuation
• REPEAL AND REPLACE: July 12, 2003 - filing 2003-227
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 8, 2026
• APAO ACCESSIBILITY CHECK (Word): April 8, 2026

Chapter 201 Rules for the Sale of Publications in Corporations

Code Me. R. 29-250 Ch. 201 Rules for the Sale of Publications in Corporations {#sec-29-250-ch.-201 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 201}

1. Requests for copies of publications and listings must be accompanied by the required fee.

2. The fee schedule for standard listings is as follows:

A. List of all active business corporations under Title 13-C $150.00

1) Domestic corporations only $125.00

2) Foreign corporations only $ 25.00

B. List of all active nonprofit corporations under Title 13-B $ 75.00

1) Domestic corporations only $ 50.00

2) Foreign corporations only $ 25.00

C. List of all active limited partnerships under Title 31, Chapter 11 $ 25.00

1) Domestic limited partnerships only $ 15.00

2) Foreign limited partnerships only $ 10.00

D. List of all active limited liability companies under Title 31, Chapter 13 $100.00

1) Domestic limited liability companies only $ 75.00

2) Foreign limited liability companies only $ 25.00

E. List of all active limited liability partnerships under Title 31, Chapter 15 $ 25.00

1) Domestic limited liability partnerships only $ 15.00

2) Foreign limited liability partnerships only $ 10.00

F. List of all active marks under Title 10, Chapter 301-A $100.00

G. List of all active corporate names, limited partnership names, limited liability

company names, limited liability partnership names and text of marks $100.00

3. The fee schedule for monthly listings is as follows:

A. List of all new domestic business corporations under Title 13-C $ 10.00

B. List of all new foreign business corporations under Title 13-C $ 10.00

C. List of all new domestic nonprofit corporations under Title 13-B $ 10.00

D. List of all new foreign nonprofit corporations under Title 13-B $ 10.00

E. List of all new domestic limited partnerships under Title 31, Chapter 11 $ 10.00

F. List of all new foreign limited partnerships under Title 31, Chapter 11 $ 10.00

G. List of all new domestic limited liability companies under Title 31,

Chapter 13 $ 10.00

H. List of all new foreign limited liability companies under Title 31,

Chapter 13 $ 10.00

I. List of all new domestic limited liability partnerships under Title 31,

Chapter 15 $ 10.00

J. List of all new foreign limited liability partnerships under Title 31,

Chapter 15 $ 10.00

K. List of all new marks under Title 10, Chapter 301-A $ 10.00

4. The fee for all other listings is as follows:

The availability of other listings is determined at the time of the request. If available, the fee shall be $.05 per page with a minimum fee of $25.00.

History

• STATUTORY AUTHORITY: 10 MRSA Section 1527-D; 13 MRSA Section 905; 13-C MRSA Section 143; 13-B MRSA Section 1405; 31 MRSA Section 416; 31 MRSA Section 615; and 31 MRSA Section 815.
• EFFECTIVE DATE: July 20, 1992
• AMENDED: February 13, 1996
• CORRECTION: February 22, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): April 28, 1996
• AMENDED: October 2, 1996 - limited liability partnerships.
• NON-SUBSTANTIVE CORRECTION: October 27, 1997 - Divisional name in heading corrected.
• NON-SUBSTANTIVE CORRECTION: May 21, 2001 - correction to statutory authority in history list.
• NON-SUBSTANTIVE CORRECTION: October 23, 2001 - corrections to statutory authorities in history list.
• REPEALED AND REPLACED: July 12, 2003 - filing 2003-228
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 8, 2026
• APAO ACCESSIBILITY CHECK (Word): April 8, 2026

Chapter 240 Rules for Limited Liability Partnerships under Title 31, Chapter 15

Code Me. R. 29-250 Ch. 240 Rules for Limited Liability Partnerships Under Title 31, Chapter 15 {#sec-29-250-ch.-240 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 240}

1. Filing Requirements

A. The standard size of forms and all attachments shall be 8 ½ x 11. Exceptions may be made for “Certificates of Good Standing” accompanying forms MLLP 2 and 12, which may be 8 ½ x 14, as well as documents secured from other states.

B. Forms which do not conform to the size and content of the prescribed forms may be rejected by the Secretary of State.

C. All documents must be dated by month, day and year.

D. Forms will only be accepted if typed or printed in ink.

E. All documents must be originally signed, i.e., bear original signatures, not rubber-stamped or machine made copies of signatures.

F. The Secretary of State may reject a document which does not contain the name and capacity of the signer or signers in a legible form in addition to the signatures.

G. Document filing date shall be the date the document is first received in the Bureau of Corporations, Elections and Commissions in proper filing order with the appropriate filing fees. The Secretary of State is required to return documents that do not meet statutory or rule requirements. The Secretary of State reserves the right to determine that a document is in proper filing order. As a courtesy to filers, the Secretary of State may, in its discretion, correct typographical errors or make other corrections if authorized to do so by the filer. The Secretary of State may require written authorization from the filer as a condition to making such corrections.

H. When necessary, the Secretary of State may require documents to contain the name of the limited liability partnership as originally filed or as it appears on the record in its jurisdiction of organization, the date of formation or initial filing in this State, and/or the jurisdiction of organization in order to distinguish one limited liability partnership from another on the record.

I. Refunds of $5.00 or less will not be processed.

J. The address required by 31 MRSA Section 806 or Section 854, concerning the registered office of a registered agent, shall state the location address of such office. If, in addition, a different mailing address exists that information must also be included.

K. The affidavit required by 31 MRSA Section 807.5.B.3. must list the name and address of a partner to whom the notice of resignation has been sent. If no annual report has been filed, the resigning agent must provide the name and address of any partner to whom the notice of resignation has been sent.

2. Annual Reports

A. Each limited liability partnership on file as of December 31st of a given calendar year must file an annual report no later than June 1st of the following year. The information contained in the annual report must be current as of the date the report is signed.

B. The Annual Report form issued by the Secretary of State, containing preprinted information about the limited liability partnership, must be used. Additional pages may be attached to include the variable information contained in the report. List the number of pages attached on the report. Use one side of the paper only. All attachments must contain the name and charter number of the limited liability partnership across the top of the page. Each page should be numbered consecutively.

3. List of Registered Agents

The Secretary of State will establish and maintain a list of corporations and individuals willing to serve as a registered agent for foreign limited liability partnerships doing business in this State. Persons who would like to be included on the list may complete an application form setting forth contact information. Foreign limited liability partnerships seeking to qualify in this State will be forwarded the list upon request.

4. Determining Distinguishability of Limited Liability Partnership Names

When determining distinguishability, the Secretary of State will define a special character to be any character not in the numeric set of “0” to “9” and in the alpha set of “A” to “Z”.

History

• STATUTORY AUTHORITY: 31 MRSA Section 812, Subsections 1, 2, 6 and 7.
• EFFECTIVE DATE: October 2, 1996
• NON-SUBSTANTIVE CHANGE: October 27, 1997 - Divisional name in heading corrected.
• REPEAL AND REPLACE: July 12, 2003 - filing 2003-229
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 8, 2026
• APAO ACCESSIBILITY CHECK (Word): April 8, 2026

Chapter 250 Rules for Business Corporations under Title 13-C

Code Me. R. 29-250 Ch. 250 Rules for Business Corporations Under Title 13-C {#sec-29-250-ch.-250 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 250}

1. Filing Requirements

A. The standard size of forms and all attachments shall be 8 1/2 x 11. Exceptions may be made for "Certificates of Existence" accompanying forms MBCA 2 and 12, which may be 8 1/2 x 14, as well as documents secured from other states.

B. Forms which do not conform to the size and content of the prescribed forms may be rejected by the Secretary of State.

C. All documents must be originally signed, i.e., bear original signatures, not rubber-stamped or machine made copies of signatures.

D. Document filing date shall be the date the document is first received in the Bureau of Corporations, Elections and Commissions in proper filing order with the appropriate filing fees. The Secretary of State is required to return documents that do not meet statutory or rule requirements. The Secretary of State reserves the right to determine that a document is in proper filing order. As a courtesy to filers, the Secretary of State may, in its discretion, correct typographical errors or make other corrections if authorized to do so by the filer. The Secretary of State may require written authorization from the filer as a condition to making such corrections.

E. Refunds of $5.00 or less will not be processed.

2. Annual Reports

A. Each business corporation on file as of December 31st of a given calendar year must file an annual report no later than June 1st of the following year. The information contained in the annual report must be current as of the date the report is signed. Corporations previously excused from filing annual reports, which resume the transaction of business pursuant to 13-C MRSA §1621, sub-§5 are required to file an annual report beginning the next June 1st following resumption.

B. The Annual Report form issued by the Secretary of State, containing preprinted information about the corporation, must be used. Additional pages may be attached to include the variable information in items number 1, 2 and 3 of the report form (corporate purpose, name and address of officers and directors or shareholders). List the number of pages attached on the report. Use one side of the paper only. All attachments must contain the name and charter number of the corporation across the top of the page. Each page should be numbered consecutively.

3. List of Registered Agents

The Secretary of State will establish and maintain a list of corporations and individuals willing to serve as a registered agent for foreign corporations doing business in this State. Persons who would like to be included on the list may complete an application form setting forth contact information. Foreign corporations seeking to qualify in this State will be forwarded the list upon request.

4. Determining Distinguishability of Business Corporation Names

When determining distinguishability, the Secretary of State will define a special character to be any character not in the numeric set of “0” to “9” and in the alpha set of “A” to “Z”.

History

• STATUTORY AUTHORITY: 13-C MRSA Section 141.
• EFFECTIVE DATE: February 22, 1987
• AMENDED: September 10, 1987 (EMERGENCY)
• AMENDED: July 17. 1988
• AMENDED: November 2, 1988
• AMENDED: January 28, 1989
• AMENDED: January 7, 1991
• AMENDED: July 20, 1992
• AMENDED: February 13, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): April 28, 1996
• NON-SUBSTANTIVE CORRECTION: October 27, 1997 - Divisional name in heading corrected.
• REPEAL AND REPLACE: July 12, 2003 - filing 2003-230
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 8, 2026
• APAO ACCESSIBILITY CHECK (Word): April 8, 2026

Chapter 260 Rules for Nonprofit Corporations under Title 13-B

Code Me. R. 29-250 Ch. 260 Rules for Nonprofit Corporations Under Title 13-B {#sec-29-250-ch.-260 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 260}

1. Definitions

A. Corporation. Title 13-B Section 102(4) defines the term "Corporation" as used in the Maine Nonprofit Corporation Act. Certain entities are excluded from the definition. Among the exclusions are "an instrumentality, agency, political subdivision or body politic and corporate of the State." The Secretary of State interprets that phrase to mean an administrative unit or corporate outgrowth of State, county or local government created by statute, order, resolution, ordinance or articles of incorporation to perform functions traditionally associated with government activities. By way of example, entities, which will be considered excluded from the definition of corporation, include, but are not limited to:

(1) State departments, bureaus, divisions, commissions, boards and offices;

(2) The University of Maine;

(3) The Maine Maritime Academy;

(4) Cities, towns, plantations, counties and their political subdivisions;

(5) Municipal and county agencies;

(6) Quasi-governmental bodies of State government;

(7) State and local housing authorities;

(8) Quasi-municipal bodies including districts such as school administrative, hospital, water and sewer;

(9) Voting districts;

(10) County extension associations;

(11) Regional planning commissions;

(12) Councils of government;

(13) Development districts;

(14) Urban renewal authorities; and

(15) The instrumentalities and corporate or political subdivisions of any of the above.

B. Church

(1) Churches may organize as corporations under either Title 13 or Title 13-B.

(2) Nonprofit religious corporations that are not churches must be governed by Title 13-B.

(3) For the purposes of distinguishing these two types of corporations, "churches" means organizations whose primary purposes are (1) religious worship or (2) the management of buildings whose primary function is housing religious worship.

(4) The term "churches" does not include religious schools, associations of religious organizations or clergy, church camps, or support groups to repair or maintain church buildings.

2. Filing Requirements

A. The standard size of forms and all attachments shall be 8 1/2 x 11. Exceptions may be made for "Certificates of Existence" accompanying forms MNPCA 2 and 12, which may be 8 1/2 x 14, as well as documents secured from other states.

B. Forms which do not conform to the size and content of the prescribed forms may be rejected by the Secretary of State.

C. All documents must be dated by month, day and year.

D. Forms will only be accepted if typed or printed in ink.

E. All documents must be originally signed, i.e., bear original signatures, not rubber-stamped or machine made copies of signatures.

F. The Secretary of State may reject a document that does not contain the name and capacity of the signer or signers in a legible form in addition to the signatures.

G. Document filing date shall be the date the document is first received in the Bureau of Corporations, Elections and Commissions in proper filing order with the appropriate filing fees. The Secretary of State is required to return documents that do not meet statutory or rule requirements. The Secretary of State reserves the right to determine that a document is in proper filing order. As a courtesy to filers, the Secretary of State may, in its discretion, correct typographical errors or make other corrections if authorized to do so by the filer. The Secretary of State may require written authorization from the filer as a condition to making such corrections.

H. When the names of officers are requested, as in the Annual Report, the names of the President, Treasurer, Secretary or Clerk, Registered Agent and Directors shall be furnished.

I. A local development corporation formed by one or more municipalities pursuant to Title 5 §13081 (6) is eligible to file under Title 13-B or under Title 13 Chapter 81.

J. An amendment to the Articles of Incorporation shall be considered a change of purpose if it adds a new purpose, removes the old purpose in part or totally, or makes the old purpose more specific or more general.

K. Refunds of $5.00 or less will not be processed.

L. The address required by 13-B MRSA Section 304 or Section 1212, concerning the registered office of a registered agent, shall state the location address of such office. If, in addition, a different mailing address exists, that information must also be included.

3. Annual Reports

A. Each nonprofit corporation on file as of December 31st of a given calendar year must file an annual report no later than June 1st of the following year. The information contained in the annual report must be current as of the date the report is signed. Corporations previously excused from filing annual reports, which resume the carrying on of activities pursuant to 13-B MRSA §1301, sub-§6 are required to file an annual report beginning the next June 1st following resumption.

B. The Annual Report form issued by the Secretary of State, containing preprinted information about the corporation, must be used. Additional pages may be attached to include the name and address of officers, if necessary. List the number of pages attached on the report. Use one side of the paper only. All attachments must contain the name and charter number of the corporation across the top of the page. Each page should be numbered consecutively.

4. List of Registered Agents

The Secretary of State will establish and maintain a list of corporations and individuals willing to serve as a registered agent for foreign corporations carrying on activities in this State. Persons who would like to be included on the list may complete an application form setting forth contact information. Foreign corporations seeking to qualify in this State will be forwarded the list upon request.

5. Determining Distinguishability of Nonprofit Corporation Names

When determining distinguishability, the Secretary of State will define a special character to be any character not in the numeric set of “0” to “9” and in the alpha set of “A” to “Z”.

History

• STATUTORY AUTHORITY: 13-B MRSA Section 1302-A.
• EFFECTIVE DATE: January 4, 1981
• AMENDED: September 10, 1987 (EMERGENCY)
• AMENDED: November 2, 1988
• AMENDED: January 7, 1991
• AMENDED: July 20, 1992 (also changed ch. 1)
• AMENDED: December 15, 1992
• AMENDED: February 13, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): April 28, 1996
• NON-SUBSTANTIVE CORRECTION: October 27, 1997 - Divisional name in heading corrected.
• REPEAL AND REPLACE: July 12, 2003 - filing 2003-231
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 8, 2026
• APAO ACCESSIBILITY CHECK (Word): April 8, 2026

Chapter 270 Rules for Limited Partnerships under Title 31, Chapter 19

Code Me. R. 29-250 Ch. 270 Rules for Limited Partnerships Under Title 31, Chapter 19 {#sec-29-250-ch.-270 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 270}

1. Filing Requirements

A. The standard size of forms and all attachments shall be 8 1/2 x 11. Exceptions may be made for "Certificates of Existence" accompanying forms MLPA 2 and 12, which may be 8 1/2 x 14, as well as documents secured from other states.

B. Forms which do not conform to the size and content of the prescribed forms may be rejected by the Secretary of State.

C. All documents must be dated by month, day and year.

D. Forms will only be accepted if typed or printed in ink.

E. All documents must be originally signed, i.e., bear original signatures, not rubber stamped or machine made copies of signatures.

F. The Secretary of State may reject a document which does not contain the name and capacity of the signer or signers in a legible form in addition to the signatures.

G. Document filing date shall be the date the document is first received in the Bureau of Corporations, Elections and Commissions in proper filing order with the appropriate filing fees. The Secretary of State is required to return documents that do not meet statutory or rule requirements. The Secretary of State reserves the right to determine that a document is in proper filing order. As a courtesy to filers, the Secretary of State may, in its discretion, correct typographical errors or make other corrections if authorized to do so by the filer. The Secretary of State may require written authorization from the filer as a condition to making such corrections.

H. When necessary, the Secretary of State may require documents to contain the name of the limited partnership as originally filed or as it appears on the record in its jurisdiction of organization, the date of formation or initial filing in this State, and/or the jurisdiction of organization in order to distinguish one limited partnership from another on the record.

I. Refunds of $5.00 or less will not be processed.

J. The address required by 31 MRSA Section 1314, concerning the registered office of a registered agent, shall state the location address of such office. If, in addition, a different mailing address exists that information must also be included.

2. Annual Reports

A. Each limited partnership on file as of December 31st of a given calendar year must file an annual report no later than June 1st of the following year. The information contained in the annual report must be current as of the date the report is signed.

B. The Annual Report form issued by the Secretary of State, containing preprinted information about the limited partnership, must be used. Additional pages may be attached to include the variable information contained in the report. List the number of pages attached on the report. Use one side of the paper only. All attachments must contain the name and charter number of the limited partnership across the top of the page. Each page should be numbered consecutively.

3. List of Registered Agents

The Secretary of State will establish and maintain a list of corporations and individuals willing to serve as a registered agent for foreign limited partnerships doing business in this State. Persons who would like to be included on the list may complete an application form setting forth contact information. Foreign limited partnerships seeking to qualify in this State will be forwarded the list upon request.

4. Determining Distinguishability of Limited Partnership Names

When determining distinguishability, the Secretary of State will define a special character to be any character not in the numeric set of “0” to “9” and in the alpha set of “A” to “Z”.

History

• STATUTORY AUTHORITY: 31 MRSA Section 1456
• EFFECTIVE DATE: July 20, 1992
• AMENDED: December 15, 1992
• AMENDED: February 13, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): April 28, 1996
• NON-SUBSTANTIVE CORRECTION: October 27, 1997 - Divisional name in heading
• REPEAL AND REPLACE: July 12, 2003 - filing 2003-232
• NON-SUBSTANTIVE CORRECTIONS: August 8, 2007 – Divisional name and statutory references only
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 8, 2026
• APAO ACCESSIBILITY CHECK (Word): April 8, 2026

Chapter 280 Rules for Marks Registered under Title 10, Chapter 301-A

Code Me. R. 29-250 Ch. 280 Rules for Marks Registered Under Title 10, Chapter 301-a {#sec-29-250-ch.-280 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 280}

1. General Application Requirements

A. All applications must be written in the English language, or include a written interpretation.

B. No application will be accepted if there are any blank or unanswered questions. Should any section not apply, "not applicable" or "N/A" must appear in place of the information.

C. Facsimiles of marks are acceptable in forms such as drawings, photographs, photocopies, samples of labels, embossments, etc. Facsimiles or samples larger than 8 1/2" x 11" or smaller than 2 square inches, three dimensional or bulky material cannot be accepted. We will accept photographs or relief drawings to provide the necessary information. All facsimiles shall be photostatically reproducible (e.g. no watermarks).

D. All applications shall be accompanied by copies of the mark in triplicate.

E. Applications alleging ownership of a mark by a domestic corporation shall not be filed if the records in the office of the Secretary of State fail to indicate that such corporation has good standing, or the equivalent.

F. No changes or amendments will be allowed on previously recorded marks. A new application shall be filed as a "new registration". However, classes may be added or removed, pursuant to 10 MRSA Section 1525-A, by submitting an amended application with the necessary fees, providing the application reflects no changes in the mark.

G. Class numbers 1-35 shall be known as "Goods" and class numbers 36-43 shall be known as "Services".

H. No application that contains a phrase and/or design that the Secretary of State determines to be public domain or a design that is a universal symbol will be accepted for filing without a separate notarized disclaimer signed and dated by the applicant.

I. Document filing date shall be the date the document is first received in the Bureau of Corporations, Elections and Commissions in proper filing order with the appropriate filing fees. The Secretary of State is required to return documents that do not meet statutory or rule requirements. The Secretary of State reserves the right to determine that a document is in proper filing order. As a courtesy to filers, the Secretary of State may, in its discretion, correct typographical errors or make other corrections if authorized to do so by the filer. The Secretary of State may require written authorization from the filer as a condition to making such corrections.

J. Refunds of $5.00 or less will not be processed.

2. Registration Application

A. Any information not specifically described or referred to in section B of the application shall not be protected. Enter all information you seek protection on. (NOTE: referring to a specific design shall limit your protection to specifically that design. Any changes in design shall be considered a different mark. Generally referring to a mark shall provide greater flexibility of registrant's use of mark. However, general reference to a mark may also allow for other applicants to file slightly different marks.)

B. If the mark has been used only in Maine, by the applicant or a predecessor, then the date first used "anywhere" in section A.1. is the same as the date first used in Maine.

3. Assignment Application

A. Sections B, C & D of the Assignment Application must reflect the information presently on file with the office of the Secretary of State.

B. Section E.3. of the Assignment Application must include the capacity of the assignee.

C. Section D.4. of the Assignment Application must reflect the date signed (this date must not be earlier than the date of the transaction in Section D.3.) of the same form.

4. Similar/Same Marks

A. A mark which consists of words and designs which are identical to the words and designs of a registered mark shall not be accepted for filing regardless of the class.

B. A mark which consists of words identical to words contained in a registered mark may be registered for classifications different from those of such existing marks, provided there is no conflict with the requirements of paragraph A above.

5. Each Mark Unique

Each mark registered must be unique. Attempts to file several similar marks as one registration will be rejected. Marks identical in design but specified as having different colors (e.g. a red diamond and a green diamond) are considered distinct marks each requiring a separate registration.

History

• STATUTORY AUTHORITY: 10 MRSA Section 1527-A.
• EFFECTIVE DATE: January 22, 1980
• AMENDED: August 23, 1980
• AMENDED: June 23, 1982
• AMENDED: July 20, 1992 (Ch. # also changed from Ch. 300 to Ch. 280)
• AMENDED: February 13, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): April 28, 1996
• NON-SUBSTANTIVE CORRECTIONS: October 27, 1997 - Divisional name in heading corrected.
• REPEAL AND REPLACE: July 12, 2003 - filing 2003-233
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 8, 2026
• APAO ACCESSIBILITY CHECK (Word): April 8, 2026

Chapter 290 Rules for Limited Liability Companies Under Title 31, Chapter 13

Code Me. R. 29-250 Ch. 290 Rules for Limited Liability Companies Under Title 31, Chapter 13 {#sec-29-250-ch.-290 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 290}

1. Filing Requirements

A. The standard size of forms and all attachments shall be 8 1/2 x 11. Exceptions may be made for "Certificates of Existence" accompanying forms MLLC 2 and 12, which may be 8 1/2 x 14, as well as documents secured from other states.

B. Forms which do not conform to the size and content of the prescribed forms may be rejected by the Secretary of State.

C. All documents must be dated by month, day and year.

D. Forms will only be accepted if typed or printed in ink.

E. All documents must be originally signed, i.e., bear original signatures, not rubber stamped or machine made copies of signatures.

F. The Secretary of State may reject a document which does not contain the name and capacity of the signer or signers in a legible form in addition to the signatures.

G. Document filing date shall be the date the document is first received in the Bureau of Corporations, Elections and Commissions in proper filing order with the appropriate filing fees. The Secretary of State is required to return documents that do not meet statutory or rule requirements. The Secretary of State reserves the right to determine that a document is in proper filing order. As a courtesy to filers, the Secretary of State may, in its discretion, correct typographical errors or make other corrections if authorized to do so by the filer. The Secretary of State may require written authorization from the filer as a condition to making such corrections.

H. When necessary, the Secretary of State may require documents to contain the name of the limited liability company as originally filed or as it appears on the record in its jurisdiction of organization, the date of formation or initial filing in this State, and/or the jurisdiction of organization in order to distinguish one limited liability company from another on the record.

I. Refunds of $5.00 or less will not be processed.

J. The address required by 31 MRSA Section 607 or Section 714, concerning the registered office of a registered agent, shall state the location address of such office. If, in addition, a different mailing address exists that information must also be included.

K. The affidavit required by 31 MRSA Section 607.5.B.3. must list the name and address of a manager, or if no manager, a member to whom the notice of resignation has been sent. If no annual report has been filed, the resigning agent must provide the name and address of any manager, or if no manager, a member to whom the notice of resignation has been sent.

2. Annual Reports

A. Each limited liability company on file as of December 31st of a given calendar year must file an annual report no later than June 1st of the following year. The information contained in the annual report must be current as of the date the report is signed.

B. The Annual Report form issued by the Secretary of State, containing preprinted information about the limited liability company, must be used. Additional pages may be attached to include the variable information contained in the report. List the number of pages attached on the report. Use one side of the paper only. All attachments must contain the name and charter number of the limited liability company across the top of the page. Each page should be numbered consecutively.

3. List of Registered Agents

The Secretary of State will establish and maintain a list of corporations and individuals willing to serve as a registered agent for foreign limited liability companies doing business in this State. Persons who would like to be included on the list may complete an application form setting forth contact information. Foreign limited liability companies seeking to qualify in this State will be forwarded the list upon request.

4. Determining Distinguishability of Limited Liability Company Names

When determining distinguishability, the Secretary of State will define a special character to be any character not in the numeric set of “0” to “9” and in the alpha set of “A” to “Z”.

History

• STATUTORY AUTHORITY: 31 MRSA Section 612, Subsections 1, 2, 6 and 7.
• EFFECTIVE DATE: February 13, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): April 28, 1996
• NON-SUBSTANTIVE CORRECTIONS: October 27, 1997 - Divisional name in heading corrected.
• REPEAL AND REPLACE: July 12, 2003 - filing 2003-234
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 8, 2026
• APAO ACCESSIBILITY CHECK (Word): April 8, 2026

Chapter 401 Administrative Rules for Uniform Commercial Code, Title 11, Article 9-A

Code Me. R. 29-250 Ch. 401 Administrative Rules for Uniform Commercial Code, Title 11, Article 9-a {#sec-29-250-ch.-401 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 401}

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Section 1. General Provisions ………………………………………………………………….……1

100. Definitions……………………………………………………………………………………….…1

101. Means to deliver UCC records; time of filing……………………………………………………..2

102. Search request delivery…………………………………………………………………………….3

103. Approved forms……………………………………………………………………………………3

104. Filing fees………………………………………………………………………………………….3

105. Expedited services and fees………………………………………………………………………..3

106. Methods of payment……………………………………………………………………………….3

107. Overpayment and underpayment policies……………………………………………………….…4

108. Public records services and fees……………………………………………………………….…..4

Section 2. Acceptance and Refusal of UCC Records ………………………………………………4

200. Role of filing officer……………………………………………………………………………….4

201. Time for filing a continuation statement……………………………………………………….…..4

202. Grounds for refusal of UCC records….……………………………………………………….…...5

203. Procedure upon refusal…………………………………………………………………………….5

204. Refusal errors………………………………………………………………………………………5

205. Notification of defects………………………………………………………………………….…..5

206. Acknowledgment…………………………………………………………………………………..5

Section 3. UCC Information Management System ………………………………………………..6

300. General……………………………………………………………………………………………..6

301. Primary data elements……………………………………………………………………………...6

302. Individual debtor names…………………………………………………………………….….…..6

303. Organization debtor names………………………………………………………………….……..7

304. Collateral being administered by a Decedent’s Personal Representative……………………….…8

305. Collateral held in a Trust…………………………………………………………………………...8

306. Initial financing statement………………………………………………………………………….8

307. Amendments generally…………………………………………………………………………….8

308. Continuation Statement…………………………………………………………………………….9

309. Termination statement……………………………………………………………………………..9

310. Information statement……………………………………………………………………………...9

311. Filing officer statement…………………………………………………………………………….9

312. Procedure upon lapse………………………………………………………………………………9

313. Removal of record………………………………………………………………………………….9

Section 4. Filing and Data Entry Procedures ………………………………………………………9

400. Errors of the filing office…………………………………………………………………………..9

401. Data entry…………………………………………………………………………………………..9

402. Verification of data entry…………………………………………………………………………10

403. Master amendments………………………………………………………………………………10

404. Notice of bankruptcy……………………………………………………………………………...10

405. Redaction…………………………………………………………………………………………10

406. Use of non-standard ASCII characters……………………………………………………………10

Section 5. Search Requests and Reports ………………………………………………………….10

500. General requirements……………………………………………………………………………..10

501. Search requests - required information…………………………………………………………...10

502. Search requests - optional information…………………………………………………………...10

503. Search methodology………………………………………………………………………………11

504. Changes in standard search logic…………………………………………………………………12

505. Search responses………………………………………………………………………………….12

Section 6. Other Notices of Liens ………………………………………………………………....13

Section 1. General Provisions

100 Definitions. Terms used in these filing-office rules but not defined in this Section that are defined in the UCC shall have the respective meanings accorded these terms in the UCC.

“Active Record” means a UCC record that has been stored in the UCC information management system and indexed in, but not yet removed from, the searchable indexes, because it has not reached the one-year anniversary of its lapse date.

“Address” means either (i) a street address, route number (may include box) or PO Box number plus the city, state and zip code, or (ii) an address that purports to be a mailing address outside the United States of America.

“Amendment Statement” means a UCC record that amends the information contained in a financing statement. Amendments include assignments, continuations and terminations.

“Assignment Statement” is an amendment that assigns all or a part of a secured party’s power to authorize an amendment to a financing statement.

“Division” means the Division of Corporations, UCC & Commissions of the Maine Department of the Secretary of State, Bureau of Corporations, Elections and Commissions.

“Expedited Request” means the delivery of a request for an expedited search as further defined in subsection 105.

“Filing office” and “filing officer” mean the Maine Department of the Secretary of State.

“Filing officer statement” means a statement entered into the filing office’s UCC information management system to correct an error made by the filing office.

“Information statement” means a UCC record that indicates that a financing statement is inaccurate or wrongfully filed.

“Initial financing statement” means a UCC record that causes the filing office to establish the initial record of filing of a financing statement.

“Remitter” means a person who tenders a UCC record to the filing officer for filing, whether the person is a filer or an agent of a filer responsible for tendering the record for filing. “Remitter” does not include a person responsible merely for the delivery of the record to the filing office, such as the postal service or a courier service but does include a service provider who acts as a filer’s representative in the filing process.

“Searchable indexes” means the searchable index of individual debtor names and the searchable index of organization debtor names maintained in the UCC information management system.

“Secured party of record” includes a secured party of record as defined in the UCC as well as a person who has been a secured party of record with respect to whom an amendment has been filed purporting to delete them as a secured party of record. The term includes the assignor listed on an amendment that purports to be an assignment.

“UCC” means the Uniform Commercial Code as adopted in this State.

“UCC information management system” means the information management system used by the filing office to store, index, and retrieve information relating to financing statements as described in Section 3 of these rules.

“UCC record” means an initial financing statement, an amendment, an assignment, a continuation statement, a termination statement, a filing officer statement or an information statement, and includes a record thereof maintained by the filing office. The term shall not be deemed to refer exclusively to paper or paper-based writings.

“Unlapsed record” means a UCC record that has been stored and indexed in the UCC information management system, but has not yet lapsed under UCC Section 9-1515 with respect to all secured parties of record.

101 Means to deliver UCC records; time of filing. UCC records may be tendered for filing at the filing office as follows.

Personal delivery by remitter, at the filing office’s street address. The file time for a UCC record delivered by this method is, notwithstanding the time of delivery, 5 p.m. on the day of delivery.

Courier delivery by a person other than a remitter, at the filing office’s street address. The file time for a UCC record delivered by this method is, notwithstanding the time of delivery, 5 p.m. following the time of delivery (even though the UCC record may not yet have been accepted for filing and may be subsequently rejected). A UCC record delivered after regular business hours or on a day the filing office is not open for business will have a filing time of the close of business on the next day the filing office is open for business.

Postal service delivery, to the filing office’s mailing address. The file time for a UCC record delivered by this method is, notwithstanding the time of delivery, 5 p.m. on the day of delivery (even though the UCC record may not yet have been accepted for filing and may be subsequently rejected). A UCC record delivered after regular business hours or on a day the filing office is not open for business will have a filing time of the close of business on the next day the filing office is open for business.

Electronic filing, using the filing office’s online UCC filing system. The file time for a UCC record delivered by this method is the time the filing office’s system analyzes the relevant transmission and determines that all the required elements of the transmission have been received in the required format and are machine readable.

Means of communication. Regardless of the method of delivery, information submitted to the UCC filing office must be communicated only in the standard, printable ASCII (i.e. American Standard Code for Information Interchange) character set, or it will be handled pursuant to subsection 406 of these rules. A financing statement or amendment form that does not designate separate fields for organization and individual names, and separate fields for the surname, first personal name, additional name(s)/initial(s) and suffixes for individual names is not an acceptable means of communication to the filing office.

Transmitting utility, manufactured homes and public-finance transactions. The only means to indicate to the filing office that an initial financing statement is being filed in connection with a manufactured-home or public-finance transaction, or that a financing statement is being or has been filed against a debtor that is a transmitting utility, is to check the appropriate box on a UCC1 Financing Statement or to transmit the requisite information in the proper field in an electronic filing of an initial financing statement.

102 Search request delivery. UCC search requests may be delivered to the filing office by any of the means by which UCC records may be delivered to the filing office. Additionally, search requests may be delivered to the filing office by fax transmission. The requestor must submit a Maine UCC Information Request form for each debtor name to be searched, as provided in Section 5 of these rules.

103 Approved forms. The forms prescribed by 11 MRSA §9-1521 are accepted by the filing office. Other forms will not be accepted by the filing office.

104 Filing fees. The fees for filing and indexing a UCC record or processing a UCC search request are prescribed by 11 MRSA §9-1525.

105 Expedited services and fees. Expedited services are available for UCC search requests only. Requests for expedited service must be made on the Maine UCC Information Request form. The services and fees are as follows.

Same-day expedited service. To receive same-day expedited service, the request must be submitted to the filing office between 8 a.m. and 3 p.m. on a day that the office is open for business, and the search will be processed by 5 p.m. on that day. A request submitted between 3 p.m. and 5 p.m. on a day that the office is open for business will be processed by 10 a.m. of the following business day. The fee for same-day expedited service is $25.00 per debtor requested.

Next-day expedited service. To receive next-day expedited service, the request must submitted to the filing office between 8 a.m. and 5 p.m. on a day that the office is open for business, and the search will be processed by 5 p.m. on the next business day. The fee for next-day expedited service is $10.00 per debtor requested.

106 Methods of payment. All fees related to UCC records may be paid by the following methods.

Cash. Payment in cash shall be accepted if paid in person at the filing office.

Checks. Personal checks, cashier’s checks and money orders made payable to the filing office shall be accepted for payment provided that the drawer (or the issuer in the case of a cashier’s check or money order) is deemed creditworthy by the filing office in its discretion.

Debit and credit cards. The filing office shall accept payment by debit and credit cards issued by approved issuers. Remitters shall provide the filing officer with the card number, the expiration date of the card, the name of the card issuer, the name of the person or entity to whom the card was issued and the billing address for the card. Payment will not be deemed tendered until the issuer or its agent has confirmed payment.

Subscription Accounts. The Information Resource of Maine (InforME) may offer additional payment methods for its subscribers.

107 Overpayment and underpayment policies

1. Overpayment. The filing officer shall refund the amount of an overpayment of $5.00 or more to the remitter as provided by policy of the State Controller adopted pursuant to 5 MRSA §1543.
2. Underpayment. Upon receipt of a UCC record with an insufficient fee, the filing officer shall return the document to the remitter as provided in Section 203 of these rules.

108 Public records services and fees. Public records services include the following methods by which any member of the public may obtain copies of UCC records and data from the UCC information management system. Public record services do not include search requests as described in Section 5 of these rules. The following methods are available for obtaining copies of UCC records and copies of data from the UCC information management system:

Bulk copies of records. Bulk copies of UCC records are available on CD-ROM or via ftp. The fee for obtaining UCC records by this method is $.10 per record.

Data from the information management system. A list of available data elements from the UCC information management system and the file layout of the data elements are available from the filing office upon request. Extracts of data from the UCC information management system are available on CD-ROM or via ftp as follows:

Full extract. A bulk data extract of information from the UCC information management system is available on a weekly or on an as requested basis. The fee for obtaining UCC records by this method is $600 per month or one-time download of the entire data file, plus $600 per month or one-time download of the entire image file.

Update extracts. Updates of information from the UCC information management system are available on an as requested basis. Costs will vary based on the number of records requested via this method.

Section 2. Acceptance and Refusal of UCC Records

200 Role of filing officer. The duties and responsibilities of the filing officer with respect to the administration of the UCC are ministerial. In accepting for filing or refusing to file a UCC record pursuant to these rules, the filing officer does not determine the legal sufficiency or insufficiency of the UCC record, determine that information in the record is correct or incorrect, in whole or in part, or create a presumption that information in the UCC record is correct or incorrect, in whole or in part.

201 Time for filing a continuation statement

First day permitted. The first day on which a continuation statement may be filed is the day of the month corresponding to the date upon which the related financing statement would lapse, six months preceding the month in which the financing statement would lapse. If there is no such corresponding date, the first day on which a continuation statement may be filed is the last day of the sixth month preceding the month in which the financing statement would lapse. This section is subject to the ability of the filing office to take delivery of the continuation statement as tendered, and to subsection 101.

Last day permitted. The last day on which a continuation statement may be filed is the date upon which the related financing statement lapses. This section is subject to the ability of the filing office to take delivery of the continuation statement as tendered, and to subsection 101. Accordingly, the time of filing of the continuation statement under subsection 101 must be on or prior to the last day and delivery by certain means of communication may not be available on the last day if the filing office is not open for business on that day.

202 Grounds for refusal of UCC records. In addition to refusing a record for any reason, or multiple reasons, as provided by 11 MRSA §9-1516, a filing office shall refuse to accept a UCC record that does not provide an address that meets the minimum requirements, as provided in subsection 100.B of these rules.

203 Procedure upon refusal. Except as provided in subsection 107, if the filing officer finds grounds to refuse a UCC record, the filing officer shall refund the filing fee. Communication of the refusal, the reason(s) for the refusal and other related information will be made to the remitter as soon as practicable and in any event within two business days after the refused UCC record was received by the filing office, by the same means as the means by which such UCC record was delivered to the filing office, or by mail or such more expeditious means as the filing office shall determine.

204 Refusal errors. If a secured party or a remitter demonstrates to the satisfaction of the filing officer that a UCC record that was refused for filing should not have been refused under subsection 202, the filing officer will file the UCC record with the filing date and time the UCC record was originally tendered for filing. A filing officer statement record relating to the relevant initial financing statement will be placed in the UCC information management system on the date that the corrective action was taken. The filing officer statement must provide the date of the correction and explain the nature of the corrective action taken. The record shall be preserved for so long as the record of the initial financing statement is preserved in the UCC information management system.

205 Notification of defects. Nothing in these rules prevents a filing officer from communicating to a filer or a remitter that the filing officer noticed apparent potential defects in a UCC record, whether or not it was filed or refused for filing. However, the filing office is under no obligation to do so and may not, in fact, have the resources to do so or to identify such defects. The responsibility for the legal effectiveness of filing rests with filers and remitters and the filing office bears no responsibility for such effectiveness.

206 Acknowledgment. When a filer or remitter files a paper UCC record and completes the acknowledgment field on the form, including a name and complete mailing address, the filing officer shall send to said filer or remitter an image of the UCC record showing the file number assigned to it and the date and time of filing. For UCC documents not filed in paper form, the filing officer shall communicate to the filer or remitter the information in the filed record, the file number and the date and time of filing.

Section 3. UCC Information Management System

300 General. The filing officer uses a UCC information management system to store, index, and retrieve information relating to financing statements. The UCC information management system includes an index of the names of debtors included on financing statements that are active records. This section describes the UCC information management system.

301 Primary data elements. The primary data elements used in the UCC information management system are the following.

A. Identification numbers

Each initial financing statement is identified by a unique file number assigned by the filing officer. The file number of the initial financing statement is stamped on written UCC records or otherwise permanently associated with the record maintained in the UCC information management system. A record is created in the UCC information management system for each initial financing statement and all information comprising such record is maintained in the system. The record is identified by the same information assigned to the initial financing statement.

A UCC record other than an initial financing statement is identified by a unique file number assigned by the filing officer. In the UCC information management system, all UCC records other than initial financing statements are linked to the record of their related initial financing statement.

Type of record. The type of UCC record from which data is transferred is identified in the UCC information management system from information supplied by the remitter.

Filing date and filing time. The filing date and filing time of UCC records are stored in the UCC information management system. Calculation of the lapse date of an initial financing statement is based upon the filing date.

Identification of parties. The names and addresses of debtors and secured parties are transferred from UCC records to the UCC information management system.

Page count. The total number of pages in a UCC record is maintained in the UCC information management system.

Lapse indicator. An indicator is maintained by which the UCC information management system identifies whether or not a financing statement will lapse and, if it does, when it will lapse. The lapse date is determined as provided in subsections 306, 307 and 308.

Indexes of names. The filing office maintains in the UCC information management system a searchable index of organization debtor names, and a searchable index of individual debtor names.

302 Individual debtor names. For purposes of this rule, an “individual debtor name” is any name provided as a debtor name in a UCC record in a format that identifies the name as that of a debtor who is an individual, without regard to the nature or character of the name or to the nature or character of the actual debtor.

Individual name fields. Individual debtor names are stored in files that include only the individual debtor names, and not organization debtor names. Separate data entry fields are established for surnames (last or family names), first personal names (given), and additional name(s)/initial(s) of individuals. The name of a debtor with a single name (e.g., “Cher”) is treated as a surname and shall be entered in the individual surname field. The filing officer assumes no responsibility for the accurate designation of the components of a name but shall accurately enter the data in accordance with the filer’s designations.

Titles, prefixes and suffixes. Titles, prefixes (e.g. “Ms.”) and suffixes or indications of status (e.g.“M.D.”) are not part of a debtor’s name and should not be provided by the filer. Suffixes used to distinguish between family members with identical names (e.g., “JR.”) should be provided in the Suffix field. However, when entering a “name” into the UCC information management system, the data will be entered exactly as they appear.

Extended debtor name field. The Financing Statement form has limited space for individual debtor names. If any portion of the individual debtor name is too long for the corresponding field, the filer is instructed to check the box that indicates the name was too long and enter the name in item 10 of the Addendum Form UCC1AD. A filing officer shall not refuse to accept a Financing Statement that lacks debtor information in item 1 and/or item 2 if the record includes an Addendum that provides a debtor name in item 10.

Truncation of individual names. Personal name fields in the UCC information management system are fixed in length. Although filers should continue to provide full names on their UCC records, a name that exceeds the fixed length is entered as presented to the filing officer, up to the maximum length of the data entry field. The lengths of data entry name fields are as follows.

Surname: 100 characters.

First personal name: 40 characters.

Additional name(s)/initial(s): 40 characters.

Suffix: 6 characters

303 Organization debtor names. For purposes of this rule, an “organization debtor name” is any name provided as a debtor name in a UCC record in a format that identifies the name as that of a debtor who is an organization, without regard to the nature or character of the name or to the nature or character of the actual debtor.

Single field. Organization debtor names are stored in files that include only organization debtor names and not individual debtor names. A single field is used to store an organization debtor name.

Truncation of organization names. The organization debtor name field in the UCC information management system is fixed in length. The maximum length is 150 characters. Although filers should continue to provide full names on their UCC records, a name that exceeds the fixed length is entered as presented to the filing officer, up to the maximum length of the organization debtor name field.

304 Collateral being administered by a Decedent’s Personal Representative. The debtor name to be provided on a financing statement when the collateral is being administered by a decedent’s personal representative is the name of the relevant decedent. In order for the UCC information management system to function in accordance with the usual expectations of filers and searchers, the filer should provide the debtor name as an individual debtor name. However, the filing office will enter data submitted by a filer in the fields designated by the filer exactly as it appears in such fields.

305 Collateral held in a Trust. The debtor name to be provided when the collateral is held in a trust that is not a registered organization is the name of the trust as set forth in its organic record(s), if the trust has such a name or, if the trust is not so named, the name of the trust’s settlor. In order for the UCC information management system to function in accordance with the usual expectations of filers and searchers, the name of a trust or of a settlor that is an organization should be provided as an organization debtor name, and the name of a settlor who is an individual should be provided as an individual debtor name, in each case without regard to the nature or character of the debtor. Notwithstanding the foregoing, the filing office will enter data submitted by a filer in the fields designated by the filer exactly as it appears in such fields.

306 Initial financing statement. Upon the filing of an initial financing statement the status of the parties and the status of the financing statement shall be as follows.

Status of secured party. Each secured party named on an initial financing statement shall be a secured party of record, except that if the UCC record names an assignee, the secured party/assignor shall not be a secured party of record and the secured party/assignee shall be a secured party of record.

Status of debtor. Each debtor name provided by the initial financing statement shall be indexed in the UCC information management system so long as the financing statement is an active record.

Status of financing statement. The financing statement shall be an active record. A lapse date shall be calculated, five years from the file date, unless (i) the initial financing statement indicates as provided in subsection 101.F that it is filed with respect to a public-financing transaction or a manufactured-home transaction, in which case the lapse date shall be thirty years from the file date, or (ii) the initial financing statement indicates as provided in subsection 101.F that it is filed against a transmitting utility, in which case there shall be no lapse date.

307 Amendments generally. Upon the filing of an amendment the status of the parties shall be unchanged, except that in the case of an amendment that adds a debtor or a secured party, the new debtor or secured party shall be added to the appropriate index and associated with the record of the financing statement in the UCC information management system, and an amendment that designates an assignee shall cause the assignee to be added as a secured party of record with respect to the affected financing statement in the UCC information management system. Notwithstanding the filing of an amendment that deletes a debtor or a secured party from a financing statement, no debtor or secured party of record is deleted from the UCC information management system. A deleted secured party will still be treated by the filing office as a secured party of record as the filing office cannot verify the effectiveness of an amendment. In general, the filing of an amendment does not affect the status of the financing statement.

308 Continuation statement

Continuation of lapse date. Upon the timely filing of one or more continuation statements by any secured party(ies) of record, the lapse date of the financing statement shall be postponed for five years. The lapse date is postponed once notwithstanding the fact that more than one continuation statement is filed within a given 6-month period prior to a lapse date. Notwithstanding the immediate postponement of the lapse date with respect to one or more secured parties of record who file timely a continuation statement within a given 6-month period prior to a lapse date, such lapse date remains effective solely for purposes of determining whether or not a subsequent continuation statement filed in the same 6-month period is timely.

Status. The filing of a continuation statement shall have no effect upon the status of any party to the financing statement or upon the status of the financing statement.

309 Termination statement. The filing of a termination statement shall have no effect upon the status of any party to the financing statement or upon the status of the financing statement.

310 Information statement. The filing of an information statement shall have no effect upon the status of any party to the financing statement, the status of the financing statement or to the information maintained in the UCC information management system.

311 Filing officer statement. A filing officer statement affects the status of parties and of the relevant financing statement as provided in the corrective action described as having been taken in the filing officer statement.

312 Procedure upon lapse. If there is no timely filing of a continuation with respect to a financing statement, the financing statement lapses on its lapse date but no action is then taken by the filing office.

313 Removal of record. A financing statement must remain as an active record until at least one year after it lapses, or if it is indicated to be filed against a transmitting utility, until at least one year after it is terminated with respect to all secured parties of record. On or after the first anniversary of such lapse or termination date, the filing office or the UCC information management system may remove the financing statement and all related UCC records from the Searchable Indexes or from the UCC information management system and upon such removal, the removed UCC Records shall cease to be active records.

Section 4. Filing and Data Entry Procedures

400 Errors of the filing office. The filing office may correct data entry and indexing errors of filing office personnel in the UCC information management system at any time. If a correction is made to a record of a financing statement after the filing office has issued a search report with a through date and time (see subsection 505.B.4) that is on or after the filing date and time of the financing statement, the filing office will associate with the record of the financing statement in the UCC information management system a filing officer statement on the date that the corrective action was taken providing the date and an explanation of the correction.

401 Data entry. Data are entered into the UCC information management system exactly as provided in a UCC record, without regard to apparent errors. Data provided in electronic form is transferred to the UCC information management system exactly as submitted by the remitter.

402 Verification of data entry. The filing office will verify accuracy of the data from UCC records entered in accordance with subsection 401 into the UCC information management system. Data entry performed by remitters with respect to electronically filed UCC records is the responsibility of the remitter and is not verified by the filing office.

403 Master amendments. The filing office will not accept master or global amendments of secured party names or addresses, or assignments.

404 Notice of bankruptcy. The filing officer shall take no action upon receipt of a notification, formal or informal, of bankruptcy proceeding involving a debtor named in the UCC information management system.

405 Redaction. The filing officer is not obliged to redact any information from the information it provides to searchers and bulk data purchasers. Therefore, the filer should not include information that is not required to be filed on a UCC record.

406 Use of other than standard, printable ASCII characters. If a UCC record contains any characters other than those included in the standard, printable ASCII character set as required by subsection 101.E, the filing office will replace those characters with a space when entering the UCC record into the UCC information management system.

Section 5. Search Requests and Reports

500 General requirements. The filing officer maintains for public inspection a searchable index for all active records in the UCC information management system. Active records will be retrievable by the name of the debtor or by the file number of the related initial financing statement, and each active record related to an initial financing statement is retrieved with the initial financing statement using either retrieval method.

501 Search requests – required information. Search requests shall include the following:

Name searched. A search request must set forth the name of the debtor to be searched using designated fields for organization or individual surname, first personal name and additional name(s)/initial(s). A search request will be processed using the data and designated fields exactly as submitted, including the submission of no data in a given field, without regard to the nature or character of the debtor that is subject of the search.

Requesting party. A search request must set forth the name and address of the person to whom the search results is to be sent.

Fee. The appropriate fee shall be tendered by a method described in subsection 106.

502 Search requests - optional information. Search requests may include the following:

Copies. The request may limit the copies of UCC records that would normally be provided with a search report by requesting that no copies be provided or that copies be limited to those UCC records that:

include a particular city in the debtor address; or

were filed on a particular date or within a particular range of dates.

Scope of search. A search request may ask for a search that reports all active records retrieved by the search rather than only unlapsed records retrieved by the search.

Mode of delivery. A search request may specify a mode of delivery for search results and that request will be honored if the requested mode is made available by the filing office, and all requisite fees are tendered.

503 Search methodology. Search results are produced by the application of search logic to the name presented to the filing officer. Human judgment does not play a role in determining the results of the search.

Standard search logic. The following rules describe the filing office’s standard search logic and apply to all searches except for those where the search request specifies that a non-standard search logic be used:

There is no limit to the number of matches that may be returned in response to the search criteria.

No distinction is made between upper and lower case letters.

The character “&” (the ampersand) is deleted and replaced with the characters “and” each place it appears in the name.

Punctuation marks and accents are disregarded. For the purposes of this rule, punctuation and accents include all characters other than the numerals 0 through 9 and the letters A through Z (in any case) of the English alphabet.

Words and abbreviations at the end of an organization name that indicate the existence or nature of the organization are not disregarded by the filing office’s programming of its UCC information management system.

The word “the” at the beginning of an organization debtor name is disregarded.

All spaces are disregarded.

For first personal name and additional name(s)/initial(s) of individual debtor names, initials are treated as the logical equivalent of all names that begin with such initials, and first personal name and no additional name(s)/initial(s) is equated with all additional name(s)/initial(s). For example, a search request for “John A. Smith” would cause the search to retrieve all filings against all individual debtors with “John” or the initial “J” as the first personal name, “Smith” as the surname, and with the initial “A” or any name beginning with “A” in the additional name(s)/initial(s) field. If the search request were for “John Smith” (first personal name and surnames with no designation in the additional name(s)/initial(s) field), the search would retrieve all filings against individual debtors with “John” or the initial J as the first personal name, “Smith” as the surname and with any name or initial or no name or initial in the additional name(s)/initial(s) field.

If the name being searched is the surname of an individual debtor name without any first personal name or additional name(s)/initial(s) provided, the search will retrieve from the UCC information management system all financing statements with individual debtor names that consist of only the surname.

After using the preceding rules to modify the name being searched, the search will retrieve from the UCC information management system all unlapsed records, or, if requested by the searcher, all active records, that pertain to financing statements with debtor names that, after being modified as provided in this section, exactly match the modified name being searched.

504 Changes in standard search logic. If the filing office changes its standard search logic or the implementation of its standard search logic in a manner that could alter search results, the filing office will provide public notice of such change.

505 Search responses. Responses to a search request shall include the following:

Copies. Copies of all UCC records retrieved by the search unless only limited copies are requested by the searcher.

Introductory information. A filing officer shall include the following information with a UCC search response:

Filing office identification. Identification of the filing office responsible for the search response.

Unique search report identification number. The unique number which identifies the search report.

Report date and time. The date and time the report was generated.

Through date and time. The date and time at or prior to which a UCC record must have been filed with the filing office in order for it to be reflected on the search.

Certification language. Certification language will be included when a certified search is requested.

Scope of search. An indication of whether the search includes active or unlapsed records.

Search logic used. The IACA Recommended Standard Search Logic will be used in all cases unless a specific search request dictates otherwise.

Name provided. The name as provided by the searcher.

Search string. The normalized name as provided by subsection 503.

Lien type searched. UCC or other type of documents searched.

Copies. An indication of whether the search includes any or all copies.

Report. The search report shall contain the following.

Identification. Identification of the filing office responsible for the search report.

Search report identification number. The unique number assigned under subsection 505.B.2.

Identification of financing statement. Identification of each initial financing statement, including a listing of all related amendments, information statements, or filing officer notices, filed on or prior to the through date corresponding to the search criteria (including whether the searcher has requested active records or only unlapsed records). Financing statement information shall include, but is not limited to the following:

• 1. Initial financing statement file number. The file number of the initial financing statement. 2. Initial financing statement filing date and time. The date and time the initial financing statement was filed. 3. Lapse date. The lapse date for the UCC record. 4. Debtor name. The debtor name(s) that appear(s) of record. 5. Debtor address. The debtor address(es) that appear(s) of record. 6. Secured party name. The secured party name(s) that appear(s) of record. 7. Secured party address. The secured party address(es) that appear(s) of record. 8. Amendment type. An indication of type of each amendment, if any. 9. Amendment filing date and time. The date and time each amendment, if any, was filed. 10. Amendment file number. The amendment file number of each amendment, if any. 11. Information statement filing date and time. The date and time an information statement, if any, was filed. 12. Filing officer statement filing date and time. The date and time a filing officer statement, if any, was filed.

Section 6. Other Notices of Liens

Other liens, created pursuant to statutes other than the Uniform Commercial Code, are recorded and maintained in the same UCC information management system by the filing office. Search requests are handled in the same manner as described in subsection 505 and filing fees are described in subsection 104.

History

• STATUTORY AUTHORITY: 11 MRSA §9-1526
• EFFECTIVE DATE: July 24, 2001 – filing 2001-270
• AMENDED: July 1, 2013 – filing 2013-146
• REPEALED AND REPLACED: October 21, 2013 – filing 2013-239
• REPEALED AND REPLACED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025
• APAO ACCESSIBILITY CHECK (Word): April 8, 2026

Chapter 502 Rules Governing the Conduct and Procedures for Election Recounts, in Election Contests Determined by Plurality

Code Me. R. 29-250 Ch. 502 Rules Governing the Conduct and Procedures for Election Recounts, in Election Contests Determined by Plurality {#sec-29-250-ch.-502 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 502}

SUMMARY:

This rule sets forth the procedures for the conduct of recounts of state elections by the Secretary of State, including the collection, security and handling of ballots, scheduling the recounts, personnel, instructions, supervision, disputed ballots and final sign-off at the conclusion of the recount, in an election contest determined by plurality.

PART A. GENERAL PROCEDURES

The procedures in this Part are applicable to all recounts of election contests for legislative or single county candidate offices referenced in 21-A M.R.S.A. §737-A(l) other than those that are determined by the ranked-choice counting procedures outlined in Chapter 535 of the Department's rules. For recounts of election contests for statewide and multicounty offices referenced in 21-A M.R.S.A. §737-A(l-A) and statewide referenda pursuant to 21-A M.R.S.A. §738, the procedures in this Part are applicable except as modified in Part B of these rules.

SECTION 1. DEFINITIONS

1. " Recount Candidate A ". "Recount Candidate A" refers to the apparent winner.

2. " Recount Candidate B ". "Recount Candidate B" refers to the requesting candidate in a recount involving two candidates, or the candidate who received the second highest number of votes based on the Return of Votes Cast reported by the municipalities, in a recount involving three candidates.

3. " Recount Candidate C ". "Recount Candidate C" is the requesting candidate who received the third highest number of votes based on the Return of Votes Cast reported by the municipalities, in a recount involving three candidates.

SECTION 2. PREPARATION FOR THE RECOUNTS

l. Designating State Recount Personnel

A. Recount Supervisor. The recount will be conducted under the supervision of the Secretary of State, or his or her designee, who is called the Recount Supervisor. The Recount Supervisor will direct and oversee the conduct of the recount according to the laws, rules and procedures governing the conduct of the recount and the conduct of elections.

B. Recount Assistants. The Secretary of State will provide the necessary number of Department staff to act as Recount Assistants. The Recount Supervisor will assign one Recount Assistant to each counting team and will assign Recount Assistants to other tasks as necessary.

2. Notice of Public Proceeding. The recount is a public proceeding and members of the press and the general public may attend, although space may be limited. The Secretary of State will provide notice to the public regarding each recount, including information about scheduling.

3. Collection and Storage of Ballots and Election Materials. Upon receiving a request for a recount, the State Police will collect the ballots and other election materials as requested by the Secretary of State pursuant to section 2, subsection 4 of these rules. The State Police will deliver these materials to a secure storage area under the control of the State Police or the Secretary of State. The Recount Supervisor and Secretary of State staff will have access to the secure storage area to organize and log the materials prior to the start of the recounts. While the recounts are being conducted, the Recount Supervisor and Recount Assistants will maintain control over the ballots and other recount materials. No recount personnel will have access to the areas where ballots are stored unless accompanied by at [east one other authorized person. At the conclusion of the recounts, the Recount Supervisor will return the recount materials to the secure storage area until the materials are returned to the applicable municipalities by the State Police.

4. Materials Available at the Recount

A. Difference of 10 or more votes. For recounts involving a difference of 10 or more votes between the leading and requesting candidate or candidates, or the Yes and No responses to a referendum, based on the Return of Votes Cast prepared by the municipalities, the State Police will automatically retrieve the following materials, which will be made available for inspection at the recount: the used state ballots, including voted and counted ballots; spoiled, defective and void ballots that were segregated and not counted; and envelopes containing challenge certificates. The State Police will not retrieve unused state ballots, absentee envelopes and applications, incoming voting lists or any local ballots unless a recount of the used state ballots in any municipalities results in a significant discrepancy from the results reported on the Return of Votes Cast prepared by the municipalities that makes retrieval of any or all of these election materials from those municipalities necessary to reach a final tabulation and conclude the recount.

B. Difference of fewer than 10 votes. For recounts involving a difference of fewer than 10 votes between the leading and requesting candidate or candidates, or the Yes and No responses to a referendum, based on the Return of Votes Cast prepared by the municipalities, the State Police will retrieve the following materials, which will be made available for inspection at the recount: the materials described in paragraph A, plus the used absentee envelopes and applications, test ballots, unused ballots, absentee voter lists and the incoming voting lists. Local ballots will only be retrieved if they were processed through the same tabulator as the state ballots.

5. Scheduling Recounts and Counters

A. Recount schedule. The Recount Supervisor will set the schedule for the recounts. Each recount will begin promptly at the assigned time and will resume promptly after the time allotted for lunch and breaks has concluded. While recounts will normally be conducted during regular business hours, a recount may be continued after 5 p.m. with the agreement of the participating candidates, referendum representatives or their counsel. The Recount Supervisor has authority to continue the recount to the next available business day, however, even if the participating candidates or their counsel wish to continue the recount past 5 p.m.

B. Counters. Each candidate will provide the number of counters required by the Recount Supervisor. At a minimum, six counters will be required for each candidate participating in the recount unless the Recount Supervisor determines that fewer counters are needed based on the number of ballots cast. If more than six counters are needed, the Recount Supervisor will notify the candidates, referendum representatives or their counsel of the number of counters to be supplied. Candidates and certain other persons, as designated in 21-A M.R.S.A. §737-A, sub-§5, are prohibited from participating in the recounts in any capacity. It is not recommended that the counsel for a candidate act as a counter, although it is not prohibited.

SECTION 3. CONDUCTING THE RECOUNTS

1. Security of the Recount Area. There will be a guardrail enclosure set up to separate the recount area from the public viewing area. In addition to the State recount personnel, only the representatives or counsel for the candidates or the Yes or No side of a referendum, and the counters may be within the guardrail enclosure. All persons participating in the recount, including the Recount Supervisor and Recount Assistants, must sign in before the start of the recount, on a form provided by the Secretary of State. Candidates and members of the public must remain outside the guardrail area. Only limited conversation will be permitted in the recount room. Cell phones must be silenced during the recount and may be used within the guardrail area only by the Recount Supervisor or Recount Assistants as needed to conduct the recount. Any person who causes a disruption of the recount process may be removed from the room, at the discretion of the Recount Supervisor.

2. Inspection of Materials

A. Prior to Counting. Prior to the beginning of the recount, the representatives or counsel for the candidates or the Yes or No side of a referendum will be allowed within the guardrail enclosure to inspect the tamper-proof containers, locks and seals and sign off on their condition.

B. During the Recount. Used (voted) ballots will be inspected and counted during the recount process as provided in subsection 4 below. Once the final count for a municipality has been determined, the voted ballots for that municipality will be resealed in tamper-proof containers, and will not be available for inspection again unless the Recount Supervisor later determines, after consultation with the candidates or their counsel, that re-inspection is necessary to resolve a factual dispute or question about the validity of the recount. lf additional materials have been retrieved pursuant to section 2, subsection 4, paragraph B of these rules, they may be inspected as follows:

(1) The containers of unused state ballots may be inspected immediately after that municipality's ballots have been counted, or they may be held for inspection until after all the ballots in the electoral district have been counted.

(2) The incoming voting lists, absentee ballot envelopes and other election materials may be inspected upon request of one or both of the candidates or their counsel, or at the direction of the Recount Supervisor, after all the ballots in the electoral district have been counted and the Final Recount Tabulation has been prepared.

3. Instructions. At the start of the recount, the Recount Supervisor or designee will provide instruction to the participants on the laws and rules governing the recount process, ballot markings and the determination of voter intent.

4. Ballot Handling Process

A. Access. At no time will a candidate or the candidate's counters or representatives, or referendum representatives be permitted access to the ballots, incoming voting lists or other election materials without supervision or observation by the Recount Supervisor or Recount Assistants.

B. Writing implements. Only the purple pens or pencils provided by the Secretary of State will be used or allowed in the recount room.

C. Counting teams. One counter for each candidate or side of a referendum will be paired to form a counting team. Counters for each candidate or side of a referendum will sit beside one another at a table, facing a Recount Assistant. The counters must remain at the tables during recount sessions, unless excused by the Recount Supervisor or Recount Assistant.

D. Packaging. Ballots will be unpacked and carried to the tables by the Recount Supervisor or Recount Assistants. At the completion of the counting session, the Recount Assistants will reseal the used (voted) ballots in the tamper-proof containers from that municipality or in any additional tamper-proof containers supplied by the Secretary of State.

5. Ballot Sorting and Tallying Process

A. Step 1 - Sort ballots by ballot style/party. On a municipality-by-municipality basis, or on a precinct-by-precinct basis within multi-precinct municipalities, the counting teams will sort out any ballots that do not include the contest involved in the recount (such as ballots from a different party in a primary election or different ballot styles in municipalities or precincts with multiple ballot styles). Ballots that do not include the contest involved will be removed from the counting team's table and resealed in the tamper-proof containers.

B. Step 2 -- Sort ballots by candidate or response selected. On a municipality by-municipality basis, or on a precinct-by-precinct basis within multi-precinct municipalities, the counting teams will sort the remaining ballots into groups, as follows:

(1) Ballots with Candidate A or "Yes" selected,

(2) Ballots with Candidate B or "No" selected,

(3) Ballots with Candidate C selected (if applicable);

(4) Ballots with no recount candidate or referendum response selected; and

(5) Disputed ballots - ballots for which the members of the counting team cannot agree which candidate or referendum response was selected by the voter.

C. Step 3 - Count and record votes. Each grouping of ballots assembled in Step 2 will be verified by each counting team member and counted into lots of 50 to facilitate tallying. A tally sheet will be completed to record the total votes for each grouping with multiple lots of the same grouping being combined on one tally sheet, if applicable.

D. Handling of Absentee Ballot Envelopes Containing Ballots. If, upon examination of absentee voting materials, absentee ballot envelopes appearing to contain ballots that were not removed from the envelope on election night are found, these ballots shall be dealt with in the manner described below:

(1) Clerk's notes indicate ballot is okay to cast and absentee ballot envelope has been slit open, but ballots have not been removed: The ballot shall be removed from the envelope and put into an odd Jot to count.

(2) Clerk's notes indicate ballot is okay to cast and absentee ballot envelope has not been slit open: The ballot shall be segregated and not opened until after all other ballots in the electoral district have been counted. At that point, if it can be determined after checking the Incoming Voting List that the voter did not vote at the polls, the envelope shall be opened and the ballot counted and added to the final count.

E. Lot tallies. Upon completion of the recount of each grouping of ballots described above, the Recount Assistant for the counting team will be responsible for completing the Tabulation Sheet for the ballots counted by that team and obtaining the signatures of each team member on the form. Each lot will be labeled with the alpha code assigned to the counting team and consecutively numbered.

F. Municipal tallies. After all the ballot lots have been counted for a municipality, the Recount Supervisor will provide the tabulation for that municipality to each participating candidate's counsel or representative, or to the representative for the Yes or No side of a referendum on a Municipal Tally form. Each candidate's counsel or representative, or referendum representative will be asked to sign the completed Municipal Tally form agreeing to the final count for that municipality, including the number of ballots in dispute. Once this is signed by or on behalf of all recount candidates or sides of a referendum, the used ballots will be resealed and neither the candidates nor their counsel nor representatives for either side of a referendum will have access to these ballots again unless a factual dispute or question about the validity of the recount arises later in the recount process which the Recount Supervisor determines could be resolved by re-inspection. If one candidate or side of a referendum is unwilling to agree to the final count for that municipality without first having an opportunity to inspect other election materials after all other ballots in the electoral district have been recounted, pursuant to section 3, subsection 2, paragraph B of this rule, then the Recount Tabulation may remain unsigned at this point in the process.

6. Disputed ballots

A. Notification of dispute. All disputes must be referred to the Recount Assistant assigned to that counting team, who will alert the Recount Supervisor or another Recount Assistant. All disputed ballots from the town or precinct team shall be placed in one disputed ballot grouping. The number of ballots in a disputed ballot grouping will be noted on a tally sheet form and signed as indicated in this subsection.

B. Segregated. The Disputed Ballot form will be attached to any disputed ballots that are not resolved prior to signing the Municipal Tally form and placed in a tamper-proof container clearly labeled "disputed ballots". Disputed ballots that are identified during the sorting and counting process described in section 5 of this rule will be segregated as a single lot for each municipality. Before signing the Municipal Tally form described in section 3, subsection 5, paragraph F of this rule, the candidates' counsels or representatives may review the disputed ballots jointly and may resolve how they should be sorted and counted. If the disputes are resolved, the votes on those ballots will be added to the municipal totals for the appropriate candidate or referendum response.

C. Review of disputed ballots. Prior to signing the Final Recount Tabulation pursuant to section 4 of this rule, the candidates and/or their counsel may review the disputed ballots jointly and may resolve how individual ballots will be counted. Disputed ballots which are resolved before the final tabulation may be repacked and resealed with the other ballots.

D. Appeals. If there are enough disputed or challenged ballots to affect the result of the election, the interested candidate may appeal the recount as described in section 4, subsection 1 of this rule.

SECTION 4. RESOLUTION OF THE RECOUNT

1. Final Recount Tabulation. After the ballots from all the municipalities included in the recount have been recounted, and after the candidates or their counsel have had an opportunity to inspect other election materials if requested pursuant to section 2, subsection 4 of this rule, the Recount Supervisor shall prepare a Final Recount Tabulation showing the sum of the final counts agreed to in each municipality, including the number of challenged ballots and ballots remaining in dispute. Each candidate's counsel or representative will then be required to sign the Municipal Tally form for each municipality in the electoral district (if not already signed pursuant to section 3, subsection 5, paragraph F of this rule) and the Final Recount Tabulation. Once the participating candidates, referendum representatives or their counsel have signed the Final Recount Tabulation, that becomes the final count for the election. If the number of challenged or disputed ballots included in the final count for the election is not enough to affect the result of the election, then the result of the election is determined by the Final Recount Tabulation. If the number of challenged or disputed ballots included in the final count for the election is enough to affect the result of the election, and the recount result is appealed pursuant to 21-A M.R.S.A. §737-A, subsection I 0, then the result of the election will be determined by the appeal.

2. Withdrawal from Recount. If a candidate or side of a referendum wishes to withdraw from the recount at any time, they may do so in writing, subject to the requirements of 21-A M.R.S.A. §737-A, sub-§ 11 for candidates.

PART B. PROCEDURES FOR STATEWIDE OR MULTICOUNTY RECOUNTS

In addition to the procedures set forth in Part A, the procedures in this Part are applicable to all recounts of election contests for statewide and multicounty offices referenced in 21-A M.R.S.A. §737-A(1-A) that are determined by plurality, and statewide referenda pursuant to 21-A M.R.S.A. §738.

SECTION 1. RECOUNT CONDUCTED IN STAGES

1. Designated stages for recount. The Secretary of State will create a list of municipalities to be recounted, presented in descending order of the total votes cast for the office or referendum in each municipality, except that the island municipalities described in subsection 2 will be listed in descending order at the end of the list. The total votes cast figures will be based on the Return of Votes Cast reported by the municipalities to the Secretary of State within 3 business days after the election.

A. Stage I selected by Secretary of State. The Secretary of State will select the top 5 municipalities in terms of total votes cast for Stage I of the recount, unless the aggregate of the total votes cast for these municipalities is less than 10% of the total votes cast for the office or referendum. In that event, the Secretary of State will select additional municipalities in descending order until the aggregate totals are greater than or equal to I 0% of the total votes cast for the office or referendum. The Secretary of State will then notify the State Police of the selected municipalities whose materials will be retrieved and delivered to the recount location.

B. Stage II selected by the recount participants. Prior to the end of Stage I of the recount, the candidate or side of the referendum who requested the recount will be asked if they wish to concede the recount or if they wish to continue to the next stage. If the requesting party wishes to continue, each side will be asked to select up to 5 municipalities, other than the island municipalities described in subsection 2, which they would like to recount in Stage II. If the aggregate of the total votes cast in this group of municipalities is less than 10% of the total votes cast for the office or referendum, the Secretary of State may add municipalities to be recounted - either municipalities whose ballots have already been retrieved for another recount, or, if none, then the next municipalities ranked in terms of the highest total votes cast, until the Stage JI aggregate totals are greater than or equal to 10% of the total votes cast for the office or referendum.

C. Additional stages. Prior to the end of Stage II and each subsequent stage, the requesting patty wit I again be asked if they wish to concede the recount or if they wish to continue to the next stage. If the requesting party wishes to continue, the Secretary of State will select the municipalities to be recounted in the next stage, unless the requestor presents a list of not more than 10 jurisdictions that if recounted in the next stage would lead to a concession if the results do not change significantly in that stage. In selecting the municipalities for Stage III and subsequent rounds, the Secretary of State will select first from among any municipalities whose ballots have already been retrieved for another recount, or if none, then the next municipalities in order of the highest total votes cast, until the aggregate totals for the stage are greater than or equal to 5% of the total votes cast for the office or referendum. The recount will continue in stages until the requesting party concedes the recount.

2. Island municipalities not recounted unless necessary. Ballots from island municipalities that are accessible only by boat will not be retrieved for inclusion in the recount, except that if, after all other municipalities have been recounted, the results are close enough that the recount cannot be resolved unless the island results are recounted.

SECTION 2. DEPOSIT FOR RECOUNT

1. Deadline for payment of deposit. The candidate requesting a recount, or organization representing the apparent losing side of a referendum, must pay the deposit as required by 21-A M.R.S.A. §737-A, sub-§J -A or §738, sub-§2 at the time the written and signed request for the recount is submitted to the Secretary of State, or within 2 business days of the Secretary of State providing the estimated cost for Stage I of the recount

2. Multiple requesting candidates for same office recount. If more than one candidate requests a recount for the same statewide or multicounty office, each candidate must pay a deposit, but the final cost of the recount will be shared among each requesting candidate for each stage in which they remain a participant in the recount.

3. Form of payment for deposit. Payment must be in the form of a cashier's check or money order.

History

• STATUTORY AUTHORITY: 21-A M.R.S.A. §§ 737-A, sub-§12, and 738
• EFFECTIVE DATE: November 2, 2010 - filing 2010-504
• REPEAL AND REPLACE: November 13, 2018 – filing 2018-233
• REPEAL AND REPLACE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025
• APAO ACCESSIBILITY CHECK (Word): April 8, 2026

Chapter 505 Voter List Maintenance Procedures

Code Me. R. 29-250 Ch. 505 Voter List Maintenance Procedures {#sec-29-250-ch.-505 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 505}

SUMMARY: This Chapter outlines the procedures and standards by which municipal registrars and boards of registration may update and maintain a current voter list, pursuant to 21-A MRSA §161(2) and the National Voter Registration Act of 1993.

1. Program for updating municipal voter registration lists

2. Individual or spot changes. Each municipality shall make necessary changes to its voter registration list as soon as possible after the information arrives. Such incoming information will include:

A. Death. The names of those residents who have died shall be removed from the voter list. Names of the deceased shall be taken from death records obtained from the clerk, certified death certificates, or obituaries.

B. Notice of guardianship due to mental illness. If the municipality receives notice indicating that a registrant has been placed under guardianship due to mental illness, the registrar must remove the registrant's name.

C. Written request of registrant. If a registrant requests in writing that his or her name be removed from the voter list, the registrar shall do so.

D. Notice of new registration. When a registrar receives notice that one of the municipality's residents has registered to vote in another municipality, the registrar shall remove that name from the voter list if he or she is satisfied as to the identity of the person.

E. Motor Vehicle Request for Name/Address Change form. Upon receipt of a Motor Vehicle Request for Name/Address Change form, the registrar shall remove the registrant's name from the voter list if the registrant has moved outside the municipality. If the registrant's new address is still within the same municipality, the registrar shall make the appropriate changes on the voter list.

F. Postal Service Change of Address Notification Card. Upon receipt of the Postal Service's pre-printed Change of Address Notification Card, the registrar shall remove the registrant's name from the voter list if the new address is outside the registrar's jurisdiction and the card is signed by the registrant. If the registrant's new address is still within the same municipality, the registrar shall make the appropriate changes on the voter list.

G. Response to a Change of Address Confirmation Card. When the registrar receives a response to a Change of Address Confirmation Card, signed by the registrant, acknowledging that the registrant has moved to an address outside the registrar's jurisdiction, the registrant's name shall be removed from the voter list.

H. Other information from the registrant. If other information indicating a change of address is obtained, the registrar may, at his or her discretion, use this information to remove the registrant's name from the voter list if the new address and the voter's signature are provided. If either the new address or the signature is not available, the registrar may send a Change of Address Confirmation Card to the registrant for verification of the indicated change.

I. Mail returned to the municipal office. Mail sent to a registrant which is returned to the municipal office as not deliverable is cause for the registrar to send a Change of Address Confirmation Card to the registrant, in accordance with 21-A MRSA §162-A and these rules.

2. Mass confirmation mailings.

One of the following methods of voter list maintenance must be utilized at least once every five years. Nothing in these rules should be construed to preclude a municipality from utilizing one of the following mass confirmation mailings more frequently than the prescribed minimum. Each municipality must have completed its first systematic purge by January 1, 2000. All systematic purges must be completed at least 90 days before any election.

A. First class mailing to all registrants. A municipality may send an Address Verification Notice, which is a first class, non-forwardable, address correction requested notice, to each of its registered voters. Those notices that are returned by the post office as not deliverable shall then be followed up by forwardable Change of Address Confirmation Cards, in accordance with 21-A MRSA §162-A and these rules.

B. Targeted confirmation mailing. A municipality may send to those persons on the voter list who have not voted in the most recent general election, an Address Verification Notice, which is a first class, non-forwardable, address correction requested notice. Those notices that are returned by the post office as not deliverable shall then be followed up by forwardable Change of Address Confirmation Cards, in accordance with 21-A MRSA §162-A and these rules.

C. The NCOA program. Each municipality that has a computerized voter registration file and at least 100 registered voters may participate in the NCOA program and obtain a list of potential address changes from the Postal Service. Within a reasonable period of time after receiving the list of potential changes, a Change of Address Confirmation Card shall then be sent to each of the identified individuals, in accordance with 21-A MRSA §162-A and these rules.

3. Utilizing the inactive designation.

A. If a registrant fails to respond to a Change of Address Confirmation Card within 20 days, he or she may be designated as inactive on the voter list. The use of the inactive designation is optional. In municipalities not using the inactive list, those who fail to respond to the Change of Address Confirmation Card may not be removed from the voter list.

B. An inactive designation must be clearly marked on the voter list by placing an asterisk next to the registrant's name. Asterisks for other purposes must be removed or changed. Alternatively, a separate list of inactive voters may be maintained. The date on which a registrant is placed on the inactive list must also be clearly marked in the registration file.

C. If a registrant designated as inactive votes, attempts to vote, changes address within the same municipality, responds to a Change of Address Confirmation Card indicating that his or her address has not changed, signs a petition or nomination paper as a resident of the municipality, or otherwise makes his or her residence in the community known to you, the inactive designation next to the registrant's name must be removed. Also, any of the above actions shall exclude a registrant from the targeted confirmation mailing described in sub-§2 of this section.

D. If a registrant designated as inactive fails to engage in any of the activities listed in paragraph C above for a period of two consecutive general elections, the registrant may be removed from the voter list.

E. For municipalities using an inactive list, a copy of the list of inactive voters must be provided to election officials at each polling place along with the regular voting list for election day.

2. Removal prohibited. A person's name may not be removed from the voting list for any of the following:

3. Failure to vote. Failure to vote in any election shall not be grounds for removal from the voter list. This prohibition does not preclude the use of an inactive status as part of a voter list maintenance program as prescribed in this rule. This also does not preclude the sending of Address Verification Notices to those who did not vote in the most recent general election, as described in §1, sub-§2(B) of this Chapter.

4. Criminal conviction. Maine law does not allow for the removal of a registrant's name from the voter list because of a criminal conviction in any court.

5. Marriage. A registrar shall not remove a registrant's name from the voter list solely because he or she has married. This prohibition, however, does not preclude the registrar from sending a notice (in accordance with 21-A MRSA §128(3)) inquiring whether, as a result of the marriage, that voter's name or address has changed.

6. Change of residence address within the same municipality. If it appears that a registrant has moved to another location within the registrar's jurisdiction, the registrar shall not remove the registrant's name from the voter list and shall not designate the registrant as inactive on the voter list, but the registrar shall:

A. Update the registration records to reflect the new address; and

B. Send to the registrant a Change of Address Confirmation Card requesting that the registrant provide the correct address information. Failure to respond to this notice shall not be grounds for removal from the voter list and, in this case, shall not be grounds for placement of the registrant's name on the inactive list. If the registrant offers the change of address information in person or in writing, this notice need not be sent.

3. Time for completion of the voting list maintenance program. All procedures intended to systematically remove names from the voter list shall be completed at least 90 days prior to any election. This time limit shall not be construed to preclude the removal of names within 90 days of any election for the reasons stated in §1, sub-§1, paragraphs A-H of this Chapter.

4. Record keeping

5. Confirmation mailings. The registrar shall keep for two years a list of the names and addresses of all persons to whom a Change of Address Confirmation Card is sent.

6. Responses to confirmation mailings. The registrar shall keep for two years a record of those individuals who responded to a Change of Address Confirmation Card and the contents of the responses.

7. Removals. The registrar shall keep for two years a separate list of all removals from the voter list, the date of the removal, and the reason for the removal. In addition, the registrar shall keep for two years all documents used in the removal of voters from the voter list.

8. NCOA data. The registrar shall keep for two years all information received from the NCOA program.

9. Public information. All information collected and maintained under this section shall be available to the public upon request.

10. NVRA Data Reports to be filed with the Secretary of State.

Each municipality shall complete the NVRA Data Report and file it with the Secretary of State. The reports shall be due to the Secretary of State annually on February 1 and shall include data for the reporting period of January 1 to December 31 of the prior year. The NVRA Data Report shall include the following information required by federal law to be monitored:

1. Name of the municipality. The name of the municipality shall be clearly indicated at the top of the form.

2. New valid registrations. The form shall include a place for the total number of new valid registrations, including registrations that are new to the municipality, but excluding all applications that are duplicates, rejected, or report only a change of name, address, or party affiliation.

3. Applications received via mail. The form shall include a place for the total number of applications received via mail, regardless of whether they were valid, rejected, incomplete, duplicative, or reporting only a change of address, name, or party affiliation. Applications mailed to municipal registrars from the Secretary of State or from groups known to have conducted an organized voter registration drive shall not be included.

4. Applications received in-person or from voter registration drives. The form shall include a place for the total number of registrations accepted in-person or received as a result of an organized voter registration drive.

5. Registrants on the inactive list. If the municipality has chosen to use the inactive list, this form shall include a place for the total number of registrants on the inactive list as of December 31 of the reporting period. If the municipality has chosen not to use the inactive list, an "N/A" should be placed in this space.

6. Registrants deleted from the voter list. The form shall include a place for the total number of registrants that were deleted from the voter list, including both the active and inactive lists.

7. Duplicate registrations. The form shall include places for the number of duplicate registrations for each of the following categories:

A. Motor voter cards (only the yellow cards from the Bureau of Motor Vehicles).

B. All other sources.

8. Change of Address Confirmation Cards sent. The form shall include a place for the total number of Change of Address Confirmation Cards mailed.

9. Responses to Change of Address Confirmation Cards received. The form shall include a place for the total number of responses each municipality has received to the Change of Address Confirmation Cards.

10. Signature of Registrar and the Date of Signature. The appropriate municipal election official shall sign and date the form upon its completion.

11. Design of the NVRA Data Report.

The Secretary of State shall design the form of the NVRA Data Report.

History

• STATUTORY AUTHORITY: 21-A MRSA §161(2)
• EFFECTIVE DATE: June 20, 1995
• NON-SUBSTANTIVE CORRECTIONS: October 27, 1997 - Divisional name in heading corrected
• CONVERTED TO MS WORD: July 14, 2003
• CONVERTED TO MS WORD: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025
• APAO ACCESSIBILITY CHECK (Word): April 8, 2026

Chapter 510 Administrative Complaint Procedure for Title III of the Help America Vote Act of 2002 (HAVA)

Code Me. R. 29-250 Ch. 510 Administrative Complaint Procedure for Title Iii of the Help America Vote Act of 2002 (hava) {#sec-29-250-ch.-510 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 510}

SUMMARY:

This rule establishes an administrative complaint procedure as required by the Help America Vote Act of 2002 (HAVA). The rule describes the procedure for the Secretary of State to follow in resolving complaints of alleged violations of Title III of HAVA.

§1. Definitions.

1. “Complainant” means the person who files a complaint under this chapter.

2. “Federal election” means a primary or general election in which a federal office appears on the ballot.

3. “Respondent” means any state or local election official whose actions or inactions are alleged, in a written complaint filed as provided in this chapter, to be in violation of Title III of the Help America Vote Act of 2002.

4. “Title III” means Title III of the Help America Vote Act of 2002, Public Law 107-252, 116 Stat., 1666 (2002), codified at 42 United States Code, sections 15481-15485.

§2. Scope.

1. Complaints about the conduct of state elections or concerning violations of requirements outside the scope of Title III of HAVA are outside the scope of this rule.

2. The complaint procedure outlined in this rule is intended to supplement, not substitute for, the current processes by which the Secretary of State’s office receives and responds to complaints about election practices.

§3. Complaints.

1. Who may file. Any person who believes that a violation of any provision of Title III has occurred, is occurring, or is about to occur in a federal election may file a complaint as provided under this rule.

2. Form of complaint. A complaint shall be in writing, on a form provided by the Secretary of State, and shall contain the following information:

A. The full name, telephone number, mailing address, and email address if applicable, of the complainant;

B. Identification of the local or state official (by name or by reference to the office) who is alleged to have violated Title III (the “respondent”);

C. A description of the alleged violation of Title III that is alleged to have occurred, is occurring, or is about to occur, sufficient to apprise the Secretary of State and the respondent of the nature and specifics of the complaint;

D. An indication whether the complainant wishes to request a hearing; and

E. The signature of the complainant sworn to under oath or affirmation before a notary public or attorney at law.

The Secretary of State’s office will accommodate an individual’s disability and offer assistance, if appropriate, in this process.

3. Time for filing. A complaint shall be filed within 60 days after the occurrence of the actions or events that form the basis for the complaint or within 60 days after the complainant reasonably became aware of the alleged violation(s).

4. Place of filing. Complaints must be filed, either in person or by mail, with the Elections Division of the Department of the Secretary of State, Bureau of Corporations, Elections and Commissions.

(APA Office Note: The Elections Division of the Secretary of State is currently located in the Burton M. Cross State Office Building, 111 Sewall Street, Augusta , Maine. Mail should be addressed to: The Secretary of State, Elections Division, 101 State House Station, Augusta, Maine 04333-0101.)

5. Withdrawal of complaint. At any time, a complainant may withdraw a complaint by providing written notice to the Secretary of State.

§4. Processing of complaints.

1. Tracking system. Upon receipt of a complaint, the Secretary of State’s office shall immediately assign a tracking number to the complaint; and may consolidate any complaints that arise out of the same actions or events, raise common questions of law or fact, or involve the same respondents.

2. Notification to complainant of incomplete filing. If the complaint form is not properly completed or lacks the information necessary to process the complaint, the Secretary of State’s office shall notify the complainant that he/she must submit a corrected or completed complaint in order for it to be accepted for filing.

3. Complaint accepted for filing. Upon receipt of a completed or corrected complaint, the Secretary of State’s Office shall accept the complaint for filing.

4. Notification to complainant. The Secretary of State’s office shall notify the complainant of the tracking number assigned to the complaint, and the date upon which the complaint was accepted for filing.

5. Notice to respondent and response. The Secretary of State’s office shall send a copy of a complaint that is accepted for filing to the respondent named or referred to in the complaint. The respondent must submit a written response to the Secretary of State’s office and the complainant within 10 business days after receipt of the Secretary of State’s notice.

6. Preliminary review and dismissal of complaint. Any complaint that is not timely filed or does not allege a violation of Title III of HAVA that has occurred, is occurring or is about to occur with regard to a federal election may be dismissed by the Secretary of State in a written determination. Prior to any dismissal, however, the complainant and respondent shall be notified, and if the complainant has requested a hearing on the complaint, the complainant shall have an opportunity to be heard on the proposed dismissal. Such a hearing is not an evidentiary hearing and may be held by telephone, provided it is electronically recorded.

§5. Hearings on complaints.

1. Scheduling the hearing. The Secretary of State’s office shall schedule a hearing if one has been requested by the complainant or is deemed by the Secretary of State’s office as necessary to resolve the complaint. The Secretary of State’s office shall attempt to schedule the hearing at a time mutually convenient to all parties.

2. Final written notice of hearing. The Secretary of State’s office shall provide final written notice of the date, time and place of the hearing to the complainant and respondent not less than 5 business days prior to the date of the hearing.

3. Hearing officer. The hearing shall be conducted by a hearing officer designated by the Secretary of State. The Secretary of State may delegate to the hearing officer authority to make a final determination of the complaint.

4. Conduct of hearing. Hearings on complaints are non-adjudicatory. At the hearing, the complainant shall have an opportunity to testify, to present other witnesses, documents or other evidence relevant to the allegations in the complaint, and to argue his/her position. The respondent shall also be given an opportunity to testify, present witnesses, documents or other evidence and to argue his/her position in response to the complaint. The Hearing Officer and staff from the Secretary of State’s office may ask questions of both parties to elicit information relevant to a determination of the complaint. Any witnesses who testify shall be sworn.

5. Ability to recess and continue hearing. The hearing may be recessed and continued to a later time or day, at the discretion of the hearing officer, and may be held by telephone with agreement of both parties.

6. Record of hearings. All hearings shall be electronically recorded, and a record of the proceedings shall be compiled by the Secretary of State’s office. The record of the proceedings shall include:

A. The electronic recording of the hearing;

B. Any documents or other tangible items introduced into evidence at the hearing;

C. The complaint and written response;

D. All notices and correspondence between the Secretary of State’s office,

the hearing officer, the complainant and the respondent; and

E. The results of any investigation conducted by Secretary of State’s office staff in response to the complaint.

§6. Determinations of complaints.

1. Determinations without hearing. If no hearing has been requested by the complainant, then the Secretary of State or his/her designee may make a determination based on the written submissions of the complainant and respondent and any other relevant information obtained by the Secretary of State’s office.

A. Withdrawal of request for a hearing. The complainant may withdraw his/her initial request for a hearing at any time or agree to resolve the complaint through an informal conference or based on written submissions.

B. Notice and comment prior to final determination. Prior to issuing a final determination of a complaint without hearing, the Secretary of State or his/her designee shall give notice to the complainant and respondent and offer them an opportunity to comment on the proposed determination within 5 business days.

2. Determinations after hearing. The Secretary of State or the designee who conducted the hearing shall issue a final, written determination of the complaint.

3. Requirements for all determinations.

A. Deadline for final determination. The final, written determination must be madeno later than 90 days after the complaint was accepted for filing, unless the complainant consents to a longer period of time.

B. Scope of the determination. The final determination shall include findings of fact regarding the alleged violations, based on a preponderance of the evidence standard, and shall specify an appropriate remedy if a Title III violation is found. If no violation is found, then the final determination shall dismiss the complaint.

C. Copies of determination. TheSecretary of State’s office shall provide copies of the final determination to the complainant and respondent.

§7. Remedies.

1. Remedy may include corrective action. Remedies available under this procedure shall be directed to the improvement or correction of election procedures governed by Title III and must be consistent with state law. Remedies may consist of an order directing the local or state election official to undertake or to refrain from certain actions or to alter certain procedures pertaining to federal elections.

2. Remedy may not include damages or costs. A remedy provided for under this rule may not include any award of damages or payment of costs, penalties or attorneys fees.

3. Complaint procedure not exclusive. This complaint procedure is not exclusive and is not intended to preclude the complainant from pursuing any other cause of action or seeking any other remedies they may have by statute or under the state or federal constitution.

§8. Alternative dispute resolution.

1. Referral of unresolved complaint to arbitrator. The Secretary of State shall establish a roster of arbitrators to provide alternative dispute resolution services pursuant to this rule. Arbitrators shall serve on a rotating basis. If the Secretary of State or his/her designee fails to make a final determination on a complaint within 90 days after the complaint was accepted for filing, then the matter must be referred to the next available arbitrator on the roster.

2. Notice to parties of referral. TheSecretary of State’s office shall give notice of the referral to the complainant and the respondent.

3. Arbitrator to review the record and render determination. The arbitrator shall review the record and conduct such further proceedings as he/she may deem necessary to resolve the complaint. The arbitrator shall render a determination on the complaint, following the requirements in Section 6, subsection 3 of this chapter, except that the determination of the arbitrator must be rendered within 60 days of the referral.

History

• STATUTORY AUTHORITY: 21-A MRSA § 222 (Enacted June 3, 2003, as PL 2003, c. 407)
• EFFECTIVE DATE: July 26, 2003 - filing 2003-247
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 8, 2026
• APAO ACCESSIBILITY CHECK (Word): April 8, 2026

Chapter 525 Rules for Administering the Central Issuance and Processing of UOCAVA Absentee Ballots

Code Me. R. 29-250 Ch. 525 Rules for Administering the Central Issuance and Processing of Uocava Absentee Ballots {#sec-29-250-ch.-525 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 525}

SUMMARY: In order to facilitate voting by uniformed service voters and overseas voters in compliance with the federal Military and Overseas Voter Empowerment Act (“MOVE Act”), legislation was enacted authorizing the Secretary of State to centrally issue, receive and count absentee ballots for uniformed service voters and overseas voters. These rules establish procedures for the central issuance and processing of absentee ballots, including processes to provide for the examination, counting and storage of ballots in the same manner as regular absentee ballots that are issued by municipal election officials.

Section 1. Definitions

1. UOCAVA voter. UOCAVA voter means any voter covered by the Uniformed and Overseas Citizen Absentee Voting Act . This includes any “overseas voter” or “uniformed service voter” as those terms are defined in 21-A M.R.S. §1, sub-§§ 27-B and 46-B.

2. Secretary of State. References to the Secretary of State include staff of the Department of the Secretary of State authorized to perform the duties described in this chapter.

Section 2. Issuing Absentee Ballots

1. Applications. Applications for absentee ballots may be received directly from the voter as provided in 21-A M.R.S. §§ 753-A and 781-A or they may be forwarded from the municipality of residence after being received from the voter. Either the municipal clerk or the Secretary of State will enter the most recent absentee ballot request data into the Central Voter Registration system and indicate whether the voter designated electronic or mail delivery. If neither is designated, the ballot will be issued by mail provided there is a valid military or overseas mailing address on file.

2. Issuance by Secretary of State. State absentee ballots will be issued by the Secretary of State, in accordance with 21-A M.R.S. §753-B. The Secretary of State shall fulfill all requirements for issuing UOCAVA absentee ballots as provided in 21-A M.R.S. §753‑B, except that the Secretary of State staff shall perform the duties required of the municipal clerk.

3. Deadline to issue ballot. The Secretary of State shall issue a state absentee ballot for any primary, general, referendum or special federal election at least 45 days prior to the date of that election to any UOCAVA voter who has a valid absentee ballot request on file with the Secretary of State. After the 45-day deadline, the Secretary of State shall continue to issue absentee ballots upon receipt of any valid request filed with the Secretary of State.

4. List of absentee ballots. The Secretary of State shall create and maintain, in the Central Voter Registration System, an alphabetical list of the UOCAVA voters who requested or were furnished absentee ballots. This list shall meet the requirements of 21-A M.R.S. §753-B, sub-§6.

Section 3. Receipt of Absentee Ballots from UOCAVA Voters

UOCAVA voters may return their voted ballot(s) to the Secretary of State by mail or by an electronic transmission method approved by the Secretary of State. The transmission of an image of a voted ballot by e-mail or fax is an approved method of electronic transmission.

1. By mail. When the Secretary of State receives a return envelope apparently containing an absentee ballot the Secretary of State shall follow the procedures provided in 21-A M.R.S. §756.

2. By authorized electronic means. Upon receipt of one or more faxed or emailed ballot image(s) from a voter, the Secretary of State shall immediately fold the ballots so that the voting contents are concealed, place the ballots into an absentee ballot return envelope, and attach the voter’s signed affidavit to the outside of the envelope. The Secretary of State shall then follow the procedures provided in 21-A M.R.S. §756.

Section 4. Appointment of personnel to process and count UOCAVA absentee ballots

1. Required personnel. UOCAVA absentee ballots will be processed by a warden and election clerks appointed by the Secretary of State. The Secretary of State may appoint one or more deputy wardens, if needed, to assist with UOCAVA absentee ballot processing and counting.

2. Qualifications. Persons appointed to process UOCAVA absentee ballots must be at least 18 years of age, registered to vote and residents of the State.

3. Appointment by Secretary of State. Each qualified party will be asked to nominate individuals to fill each position. The Secretary of State must consider these nominations but may appoint any qualified voters to serve. The Secretary of State shall appoint a sufficient number of election clerks from each of the major parties, and may appoint election clerks who are enrolled in a minor party or who are unenrolled. All persons who serve in these positions are entitled to receive compensation at a reasonable rate as determined by the Secretary of State.

4. Selecting election clerks to serve at an election. The Secretary of State shall select election clerks to serve at each election from the list of appointees, unless a sufficient number is not available. The Secretary of State shall attempt to maintain a balance between the number of election clerks enrolled in each of the two major parties.

5. Oath of office. Before assuming the duties of office, the warden, any deputy wardens, and election clerks are sworn by a Dedimus Justice and the oath is recorded.

6. Term of office. Appointments of the warden, any deputy wardens and election clerks shall be made for each election.

7. Training. The Secretary of State will provide training to all personnel appointed to process UOCAVA absentee ballots.

8. Vacancies. If a sufficient number of election clerks is not available to serve at an election, the Secretary of State may appoint the necessary number of election clerks to fill the vacancies. When filling a vacancy, the Secretary of State shall attempt to appoint a person with the same enrollment status as the person who vacated the position.

9. Persons ineligible to be appointed to process UOCAVA ballots. The following persons may not serve in this capacity:

A. An employee of a party or candidate;

B. A person having a direct pecuniary interest in the result of a referendum question;

C. A candidate or member of the candidate’s immediate family.

Employees of the Legislature and elected state officials.

Section 5: Processing of UOCAVA ballots

Absentee Ballots received from UOCAVA voters shall be processed and counted centrally as authorized by 21-A M.R.S. §783, sub-§3.

1. Processing Time and Location Determined by Secretary of State. UOCAVA absentee ballots may be processed starting on the 7^th day prior to election day and on election day, as needed, until all absentee ballots are processed. At least 7 days prior to the start of early processing, the Secretary of State shall determine the location and schedule for processing of UOCAVA absentee ballots. The Secretary of State also shall designate a time period prior to the starting time listed for processing for the public to examine absentee ballot applications and return envelopes. The Secretary of State shall post this information on its publicly accessible web site and provide notice of early processing by email to the state party committees.

2. Envelopes and lists delivered. On each day or time designated for processing UOCAVA absentee ballots, the Secretary of State shall deliver or have delivered to the personnel authorized to process UOCAVA ballots the return envelopes prescribed by 21-A M.R.S. §752, sub -§3, with the applications attached, if applicable, and a copy of the list required by 21-A M.R.S. §753-B, sub-§6.

3. Processing procedure. The UOCAVA absentee ballots shall be processed by the appointed personnel using the list provided by the Secretary of State. Ballots may be processed in batches if the Secretary of State provides the ballots to the authorized personnel in that manner.

A. Signature of UOCAVA voter required. When a UOCAVA voter is issued an absentee ballot by the Secretary of State, the voter will be issued an affidavit form. A voter who is issued an absentee ballot by mail also will be issued a ballot return envelope which includes a space for the voter’s signature. A UOCAVA voter must sign at least one of these documents (either the affidavit or the absentee ballot return envelope) in order for the ballot to be valid. If a ballot is returned by mail without a signature on either of these documents, the ballot must be rejected. A voter who returns a ballot by electronic means must sign the affidavit electronically and return it with the voted ballot in order for the ballot to be valid. If a ballot is returned by electronic means without an electronic or facsimile signature on the affidavit, the ballot must be rejected.

4. Secretary of State to provide ballot box. The Secretary of State shall provide an official ballot box or tabulator to be used by the personnel processing UOCAVA ballots in all state elections.

5. Ballot receipt deadline. In order to be valid, an absentee ballot must be received by the Secretary of State by 8 p.m. Eastern Time on election day. The ballot may be delivered by mail, in person or by an electronic means authorized by the Secretary of State.

6. Tabulating of absentee ballots. Personnel are authorized to hand count the ballots or use a ballot tabulator, as provided by the Secretary of State. Personnel shall count the ballots as provided in 21-A M.R.S. §§ 695‑696 and the Rules for Determining Voter Intent. If ballots are being hand-counted, the Secretary of State may designate a time, not earlier than 10 a.m. on election day, when tallying of ballots may begin. Although personnel may tally individual lots of ballots during election day, they may not combine or tabulate the results from the individual lot tallies until after 8 p.m. on election day, and after all absentee ballots received by 8 p.m. have been processed.

7. Return of Votes Cast. After all absentee ballots have been processed and tabulated (either by an electronic tabulator or by hand counting), the warden shall complete the statewide Return of Votes Cast provided by the Secretary of State. The Return shall be completed pursuant to 21-A M.R.S. §711.

8. Materials returned to Secretary of State. Voted ballots and other voting materials shall be sealed and returned to the Secretary of State once all ballots have been counted and the results publicly declared. Materials shall be sealed as provided in 21-A M.R.S. §698.

9. Security of Voted Materials. The Secretary of State shall take appropriate measures to ensure the safety and security of all ballots. Ballots and voting equipment must be secured in an area that is accessible only by staff of the Division of Elections or other Secretary of State personnel.

Recount. If a recount is requested for an electoral district in which one or more UOCAVA absentee ballots were cast, the Secretary of State shall notify the law enforcement personnel designated by 21-A M.R.S. §737-A, 1^st paragraph, who shall take physical control of all ballots and related materials involved in the recount as soon as possible.

Section 6: Applicability to Special Election

For a special election conducted by the state pursuant to Title 21-A, the Secretary of State may choose to delegate any of these processes to the municipal clerks in the affected municipalities.

History

• STATUTORY AUTHORITY: 21-A M.R.S. §783
• EFFECTIVE DATE: October 25, 2010 – filing 2010-502 (EMERGENCY)
• EFFECTIVE DATE: September 17, 2011 – filing 2011-311
• AMENDED: October 12, 2014 – filing 2014-254
• AMENDED: October 28, 2020 – section 5 sub-section 1, filing 2020-223 (EMERGENCY)
• REVERTED TO 2014 VERSION: January 28, 2021
• AMENDED: October 16, 2024 – filing 2024-235
• APAO ACCESSIBILITY CHECK: July 23, 2025
• APAO ACCESSIBILITY CHECK (Word): April 8, 2026

Chapter 535 Rules Governing the Administration of Elections Determined by Ranked-choice Voting

Code Me. R. 29-250 Ch. 535 Rules Governing the Administration of Elections Determined by Ranked-Choice Voting {#sec-29-250-ch.-535 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 535}

SUMMARY: This rule sets forth the procedures for the administration of elections determined by ranked-choice voting, including collection, security and handling of ballots and memory devices between the municipal offices and the central counting facility; aggregating and counting the cast vote records; administering the rounds of ranked-choice counting until only two candidates remain, and the candidate with the most votes in the final round is the winner; and reporting the results.

SECTION 1. Applicability of Ranked-choice Voting

Elections for an office defined in 21-A M.R.S.A. §1, sub-§27-C will be determined by the ranked-choice voting process described in these rules when there are three or more candidates who have qualified to be listed on the ballot for that office or when there is a combination of at least two candidates who have qualified to be listed on the ballot for that office plus at least one declared write-in candidate.

SECTION 2. Definitions

1. “Continuing ballot”, as defined in 21-A M.R.S.A. §723-A, sub-§1, paragraph B, means a ballot that is not an exhausted ballot.

2. “Continuing candidate,” as defined in 21-A M.R.S.A. §723-A, sub-§1, paragraph C, means a candidate who has not been defeated.

3. “Election results reporting program” means the software program that is compatible with the current tabulation system used by the state and is capable of processing and aggregating the results and cast vote records.

4. “Ranking,” as defined in 21-A M.R.S.A. §723-A, sub-§1, paragraph I, means the number or the numeric position assigned on a ballot by a voter to a candidate to express the voter’s preference for that candidate. Ranking number one is the highest ranking, ranking number two is the next-highest ranking and so on.

5. “RCV count” means the ranked-choice counting process defined in these rules.

6. “RCV counting facility” means a facility in the Augusta area selected by the Secretary of State and the room or rooms in that facility in which one or more RCV counts will take place.

7. “RCV counting utility” means a specialty software program or utility that incorporates the ranked-choice vote counting requirements defined in Section 4, subsection 2 of these rules, and electronically completes the rounds of the RCV count.

8. “Skipped ranking,” as defined in 21-A M.R.S.A. §723-A, sub-§1, paragraph K, means a circumstance in which a voter has left a ranking blank and ranks a candidate at a subsequent ranking.

9. “UOCAVA election officials” means the officials who centrally process and count the absentee ballots received by the Secretary of State from Maine uniformed service and overseas voters pursuant to Chapter 525, Rules for Administering the Central Issuance and Processing of UOCAVA Absentee Ballots .

SECTION 3. Ballot Design

1. Authority of Secretary of State. The Secretary of State has the sole authority to determine the design of ballots containing ranked-choice voting contests, including whether to place ranked-choice contests and non-ranked-choice contests on the same or separate ballot pages. This determination will be made after the candidate filing deadline has passed, when the number of contests subject to ranked-choice voting and the number of candidates who have qualified for those contests is known. Ranked-choice contests will be grouped together and presented either on a separate ballot page from the non-ranked-choice contests, or on one side of a combined ranked-choice and non-ranked-choice ballot page. Ballot heading information and specific instructions will be presented above or next to the first contest of each type (i.e., ranked-choice contest, non-ranked-choice contest or referendum contest). Each ballot page or grouping of contests will adhere to the ballot order and layout requirements, as near as practicable, of 21-A M.R.S.A. §601, §604-A, §723-A. The final design will be based on the space and design limitations of the ballot design software, while following the best practices for ballot design to the greatest extent possible.

2. Ranked-choice layout. The ballot will be designed in a manner that allows voters to rank as many candidates as they wish, up to and including all listed candidates and one declared write-in candidate, in order of choice. If there is no declared write-in candidate who has qualified in accordance with 21-A M.R.S.A. §722-A for a ranked-choice voting contest, then the Secretary of State may eliminate the write-in space for the contest so that the voter will have the ability to rank only the candidates listed on the ballot.

SECTION 4. Vote Counting Procedures

1. Municipal vote counting and reporting. After the polls close on election day, election officials in each municipality will tally the ballots either by hand-count or by using an approved tabulation system as authorized by the Secretary of State and will record the first choice votes cast for all ranked-choice voting contests in the same manner as for contests determined by plurality pursuant to 21-A M.R.S.A. §695. Each municipality will prepare an election return and will submit an attested copy of the election return to the Secretary of State within 3 business days after election day as provided in 21-A M.R.S.A. §§ 711 and 712.

2. Ranked-choice vote counting

General procedures. If no candidate receives more than 50% of the first choice votes based on the election returns provided by municipalities under subsection 1 of this section, the RCV count must be conducted under the supervision of the Secretary of State in successive rounds, as further described in Section 6 of these rules. In each round, the number of votes for each continuing candidate must be counted. Each continuing ballot counts as one vote for its highest-ranked continuing candidate for that round. Exhausted ballots are not counted for any continuing candidate. At the end of each round, if more than 2 candidates remain, the last-place candidate is defeated, and the vote for the next-highest-ranked continuing candidate on the defeated candidate’s ballots is then counted in the next round. More than one candidate may be defeated in a single round by batch elimination, as defined in paragraph B(7) below. In the final round, when only 2 continuing candidates remain, the candidate with the most votes in that round is the winning candidate.

Handling of certain ballot rankings. As provided in 21-A M.R.S.A §723-A, sub-§1, and these rules, the following ballot ranking situations will be counted as follows:

Overvote. An overvote occurs when a voter marks more than one candidate for the same ranking (i.e., in the same ranking column). An overvote invalidates the overvoted rankings and all subsequent rankings marked for that contest on the ballot.

Single skipped ranking. A single skipped ranking occurs when a voter does not mark (i.e., skips or leaves blank) a ranking but marks the subsequent ranking for a candidate. The single skipped ranking is ignored, and the subsequent ranking is counted in the current round, as long as that ranking is for a continuing candidate. For example, if the voter did not mark any candidate for the first ranking, but marked a continuing candidate for the second ranking, then the second ranked choice is counted in the first round of the RCV count.

Two consecutive skipped rankings. When a voter does not mark (i.e., skips or leaves blank) two or more consecutive rankings, then the ballot is deemed exhausted for that contest, and no subsequent candidate rankings marked on that ballot are counted.

Duplicate ranking for the same candidate. A duplicate ranking occurs when a voter marks more than one ranking column for the same candidate. If a voter marks a duplicate ranking for one candidate and ranks no other candidates, then the ballot will be counted for the highest ranking of that candidate. If the candidate with the duplicate ranking is defeated, the ballot is deemed exhausted for that contest and no subsequent candidate rankings marked on that ballot are counted. If a voter marks a duplicate ranking for one candidate but also ranks other candidates, and if the candidate with the duplicate ranking is defeated, then the vote for the next continuing candidate ranked by that voter will be counted in the next round.

(5) No ranking for a continuing candidate. In any round, if a voter has not ranked any continuing candidate, the ballot is deemed exhausted for that contest, and no subsequent candidate rankings marked on that ballot are counted.

(6) Ties. A tie between candidates for the most votes in the final round must be decided by lot and the candidate chosen by lot is defeated. A tie between last-place candidates in any other round must be decided by lot and the candidate chosen by lot is defeated, except that tied candidates who are mathematically impossible to be elected as defined in 21-A M.R.S.A. §723-A, sub-§1, paragraph G, may be defeated by batch elimination, as defined in 21-A M.R.S.A. §723-A, sub-§1, paragraph A. The result of the tie resolution must be recorded and relied upon in the event of a recount.

(7) Batch elimination. Batch elimination means the simultaneous defeat of multiple candidates for whom it is mathematically impossible to be elected, as defined in 21-A M.R.S.A. §723-A, sub-§1, paragraph G.

SECTION 5. Preparation for Ranked-choice counting

1. Central location for ranked-choice count. The Secretary of State will select a suitable facility in the Augusta area, in which to securely store the election materials and conduct the RCV count. The space used for storage of ballots and memory devices that contain cast vote records must be secured against access by unauthorized personnel and all access must be logged. The Secretary of State is responsible for security of the storage and counting space. No ranked-choice counting personnel will have access to the areas where ballots or memory devices are stored unless accompanied by at least one other authorized person.

2. Retrieval of election materials. The Secretary of State will contract with a private courier service (hereafter “courier”) to provide secure retrieval of the election materials from the affected municipalities and deliver them to the RCV counting facility if an RCV count is needed. Once the Secretary of State determines that an RCV count is needed for one or more ranked-choice contests, the Secretary of State will notify the courier and the affected municipalities that election materials will be retrieved. The courier is responsible for the coordination and retrieval of the ballots and/or memory devices, as applicable, from the affected municipalities; transportation of these materials to the RCV counting facility; and ensuring the security of these materials while in the courier’s custody. The Secretary of State will provide transmittal forms to document the chain of custody from the municipality to the courier’s personnel. Secretary of State personnel at the RCV counting facility will accept and log the materials upon receipt from the courier. Municipalities that used the digital scan tabulators to tabulate their ballots will provide the courier with all memory devices containing results and cast vote records for the election. The Secretary of State will provide transmittal packaging and tamper-evident seals to be used for memory device transmittal. If any ballots were not scanned by a tabulator, the municipality must seal these ballots in a separate container or envelope from the fully scanned and counted ballots, and must provide the container or envelope of unscanned ballots to the courier along with the memory devices. Municipalities that hand-counted their absentee and election day ballots must provide the courier with all tamper-proof containers used to seal the hand-counted ballots cast in the election.

3. Ranked-choice counting personnel. The following personnel may participate in the ranked-choice counting process.

Supervisor of ranked-choice voting count. The ranked-choice counting rounds will be conducted under the supervision of the Secretary of State, or his or her designee, who is called the RCV Supervisor. The RCV Supervisor will direct and oversee the conduct of the RCV count according to all applicable laws, rules and procedures.

Ranked-choice voting assistants. The Secretary of State or RCV Supervisor will designate the necessary number of Department staff to act as RCV Assistants. If additional personnel are needed, the Secretary of State may designate municipal election officials or UOCAVA election officials to act as RCV Assistants.

Security personnel. The Secretary of State may use law enforcement personnel from the Department’s Office of Investigations to receive the election materials from the courier’s personnel and secure the materials at the RCV counting facility.

Vendor support staff. The Secretary of State may authorize support staff from the voting system vendor to be present during the ranked-choice voting count to assist ranked-choice counting personnel with using the software and hardware necessary to complete the count.

E. Additional staff. The Secretary of State and the Department’s legal counsel may assist with the RCV count as needed.

4. Notice of public proceeding. The RCV count is a public proceeding, and members of the media and the general public may attend, to the extent the space allows. The Secretary of State will provide notice to the public regarding the RCV count for each contest, including information about scheduling. Depending on the number of municipalities in the district for the particular contest that is subject to an RCV count, and at the discretion of the RCV Supervisor, the RCV count will be scheduled to begin once the materials from a sufficient number of municipalities in the district have been received at the RCV counting facility, so that the RCV count can proceed in an orderly and efficient manner.

SECTION 6. Process for Ranked-choice counting

1. Security of the ranked-choice counting area. There will be a guardrail enclosure set up to separate the ranked-choice counting area from the public viewing area at the RCV counting facility. Only the ranked-choice counting personnel designated in Section 5 of this rule will be allowed inside the guardrail enclosure. All persons allowed inside the guardrail must sign in each day, on a form provided by the Secretary of State. Candidates, media and members of the general public must remain outside the guardrail area. Only limited conversation will be permitted in the RCV counting facility. Cell phones must be

silenced during the count and may be used within the guardrail area only by the ranked-choice counting personnel as needed to conduct the process. Any person who causes a disruption of the RCV count may be removed from the room, at the discretion of the RCV Supervisor.

2. Inspection of Materials. Prior to opening tamper-proof containers of ballots that were hand-counted on election night, or sealed packages containing memory devices for ballots that were machine tabulated on election night, the ranked-choice counting personnel will inspect each container or package to document whether it was properly sealed. As each container or package is opened and ballots or memory devices are removed and processed, personnel will complete a tracking log.

3. Processing of ballots and memory devices. The following activities may be conducted simultaneously or consecutively, depending on the number of ranked-choice counting personnel available.

A. Hand-counted ballots. Tamper-proof containers of ballots that were hand-counted on election night will be unsealed and scanned through a tabulating device in order to obtain electronic results and cast vote records. RCV Assistants will be assigned to unseal the tamper-proof containers of hand-counted ballots, remove the ballots related to the ranked-choice contest(s) to be counted, and prepare them for scanning. This will be done on a municipality-by-municipality basis and an RCV assistant will generate a report of the scanned results. On a periodic basis, the memory devices from the hand-count ballot scanning will be uploaded into the election results reporting program.

B. Machine-tabulated ballots. Packages containing memory devices from municipalities whose ballots were machine-tabulated on election night will be unsealed and the contents uploaded into the election results reporting program. RCV Assistants will be assigned to perform this task. This will be done on a municipality-by-municipality basis and an RCV assistant will generate a report of the results that were uploaded.

C. Ballots that cannot be scanned. Ballots that cannot be scanned, either by the tabulating device used by the Secretary of State at the central location for the RCV count or by the ballot tabulator used by the municipality, must be manually entered into a spreadsheet to create an electronic cast vote record for these ballots. The creation of the cast vote record spreadsheet and subsequent proofreading of the spreadsheet will be done by a team of two ranked-choice counting personnel. After the cast vote record for all ballots that could not be scanned are entered and verified, the file will be uploaded into the election results reporting software.

D. Storage and return of processed materials. After the process of scanning ballots and uploading memory devices is completed for each municipality, the materials will be resealed in the containers or delivery packages and secured by the Secretary of State until after any recount period has passed. After the recount period has expired, or after any requested recount has been completed, ballots will be returned to the municipality of origin, while memory devices will be delivered to the Elections Division for coding the next election.

E. Hardware and software. The Secretary of State will use hardware and software compatible with the current tabulating system for performing the RCV count. Precinct tabulators or high-speed tabulators used for scanning the hand-counted ballots will be non-networked devices and will not be connected to the internet or employ any wireless technology. The computers used for the election results reporting program will be a self-contained, single-purpose, hard-wired network and will not be connected to the internet or employ any wireless technology. The Secretary of State will procure a software utility or algorithm that incorporates the ranked-choice vote counting requirements as described in section 4, subsection 2 of these rules. The RCV counting utility will utilize the cast vote records and apply the ranked-choice vote counting requirements to complete the rounds of the RCV count and determine a winner.

F. Quality control reports. As each municipality’s results are uploaded into the election results reporting program, the RCV Supervisor or an RCV Assistant will generate a report of the total ballots cast to compare with the total ballots cast figure reported by the municipality based on the election night count. This comparison will be used to verify that all results from election night for each municipality have been uploaded or all hand-count ballots have been scanned and results uploaded.

4. Ranked-choice vote reporting. After all the results from each ranked-choice voting election are uploaded and verified in the election results reporting program, the RCV Supervisor will initiate the RCV counting utility. Reports will be generated to document the round-by-round results as well as the final winner. However, if the results from all but a few small jurisdictions have been uploaded and verified in the election results reporting program by the end of the day on the Monday after the election, then the RCV Supervisor may initiate the RCV counting utility to produce an unofficial result. The RCV Supervisor must run the RCV counting utility again once the results from all the jurisdictions have been uploaded and verified in the election results reporting program, in order to produce an official result for the RCV election. The Secretary of State will report the statewide ranked-choice result to the Governor and will publish the results on the Department’s public website along with the complete digital cast vote record, as soon as possible after completing the RCV count.

History

• STATUTORY AUTHORITY: 21-A MRS §723-A sub-§5-A
• EFFECTIVE DATE: May 11, 2018 – filing 2018-079 (EMERGENCY)
• EFFECTIVE DATE: November 7, 2018 – filing 2018-230
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025
• APAO ACCESSIBILITY CHECK (Word): April 8, 2026

Chapter 536 Rules Establishing Procedures for Requesting and Conducting Recounts of Elections Determined by Ranked-choice Voting

Code Me. R. 29-250 Ch. 536 Rules Establishing Procedures for Requesting and Conducting Recounts of Elections Determined by Ranked-Choice Voting {#sec-29-250-ch.-536 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 536}

SUMMARY: This rule sets forth the procedures for requesting and conducting recounts of elections that are determined by the process of ranked-choice voting, including the collection, security and handling of ballots, scheduling and staging the recounts, personnel, instructions, supervision, sorting and counting of first-choice votes and subsequent rankings, handling of disputed and challenged ballots, and final sign-off at the conclusion of the recount. To the extent applicable, this rule incorporates provisions of Chapter 502 governing recounts in elections determined by plurality.

SECTION 1. DEFINITIONS

1. Candidate A. "Candidate A" means the apparent winner in the final round of the ranked-choice vote counting process conducted pursuant to Title 21-A, section 723-A and Chapter 535 of the Department's rules.

2. Candidate B. "Candidate B" means the requesting candidate in a recount involving the two candidates in the final round of ranked-choice counting, or the candidate with the second-highest ranking at the end of the penultimate round in a recount involving three candidates.

3. Candidate C. "Candidate C" means the requesting candidate who received the third highest ranking at the end of the penultimate round of ranked-choice voting, in a recount involving three candidates.

4. Preferred Candidate. "Preferred Candidate" means the recount candidate who is ranked higher than the other recount candidates on a specific ballot, but who was not selected as the first choice.

5. Recount Candidate. "Recount candidate" means any candidate whose votes are being recounted in the recount process. A candidate must have received one of the three highest rankings in the penultimate round of ranked-choice vote counting in order to be a recount candidate.

6. Requesting Candidate. "Requesting candidate" means the candidate who submits the request for a recount.

SECTION 2. REQUESTING A RECOUNT

1. Deadline to request. Notwithstanding the deadline to request a recount under 21-A M.R.S.A. §737-A, Candidate B or C who is the apparent loser of an election determined by ranked-choice voting and who desires a recount must file with the Secretary of State a written, signed request for a recount, along with the applicable deposit, within 5 business days after the Secretary of State announces the official results of the ranked-choice voting count, pursuant to Chapter 535, section 6, subsection 4.

2. Prohibited from requesting recount. Candidates who did not receive one of the top three rankings at the end of the penultimate round of ranked-choice counting, and candidates who were defeated by batch elimination in any round or whose final vote totals based on the tally of first choice votes show it would be mathematically impossible for them to win may not request a recount.

SECTION 3. DEPOSIT FOR RECOUNT

1. Deadline for payment of deposit. The candidate requesting a recount must pay the deposit required by 21-A M.R.S.A. §737-A, sub-§1 or 1-A, as applicable, at the time the written and signed request for the recount is submitted to the Secretary of State, or after the estimated cost of performing the first stage of the recount is calculated, whichever occurs later. If Candidate C requests the recount, the deposit must be calculated based on the percentage difference between the total votes that Candidate C received in the penultimate round and the total votes received by the apparent winner in the penultimate round of ranked-choice voting.

2. Multiple candidates requesting recount for same office. If more than one candidate requests a recount for the same statewide or multicounty office, each candidate must pay a deposit, but the final cost of the recount will be shared among each requesting candidate for each stage in which they remain a participant in the recount.

3. Form of payment for deposit. Payment must be in the form of a check or money order.

SECTION 4. PREPARATION FOR RECOUNTS

1. Designating State Recount Personnel

A. Recount Supervisor. The recount will be conducted under the supervision of the Secretary of State, or his or her designee, who is called the Recount Supervisor. The Recount Supervisor will direct and oversee the conduct of the recount according to the laws, rules and procedures governing the conduct of the recount and the conduct of elections.

B. Recount Assistants. The Secretary of State will provide the necessary number of Department staff to act as Recount Assistants. The Recount Supervisor will assign one Recount Assistant to each counting team and will assign Recount Assistants to other tasks as necessary.

2. Notice of Public Proceeding. The recount is a public proceeding and members of the press and the general public may attend, although space may be limited. The Secretary of State will provide notice to the public regarding each recount, including information about scheduling.

3. Collection and Storage of Ballots and Election Materials. Upon receiving a request for a recount, the State Police will collect the ballots and other election materials as requested by the Secretary of State in accordance with this section of these rules. The State Police will deliver these materials to a secure storage area under the control of the State Police or the Secretary of State. The Recount Supervisor and Secretary of State staff will have access to the secure storage area to organize and log the materials prior to the start of the recounts. While the recounts are being conducted, the Recount Supervisor and Recount Assistants will maintain control over the ballots and other recount materials. No recount personnel will have access to the areas where ballots are stored unless accompanied by at least one other authorized person. At the conclusion of the recounts, the Recount Supervisor will return the recount materials to the secure storage area to be held until the materials are returned to the applicable municipalities by the State Police.

4. Materials Available at the Recount

A. Automatic retrieval: The State Police will retrieve the following materials which will be made available for inspection at the recount: the used state ballots, including voted and counted ballots; spoiled, defective and void ballots that were segregated and not counted; and envelopes containing challenge certificates.

B. Staged retrieval: For a recount of an election or nomination for a statewide or multi-county office, the Recount Supervisor may direct the State Police to retrieve ballots from certain designated voting jurisdictions so that the recount may be conducted in stages until the requesting candidate concedes or until all the ballots are recounted. In determining how to stage the retrieval and recounting of ballots, the Recount Supervisor will consider any requests that may be made by the recount candidates or their representatives regarding the selection or sequencing of voting jurisdictions to be recounted.

C. Retrieval upon request: The State Police will not retrieve unused state ballots, absentee envelopes and applications, incoming voting lists or any local ballots unless requested to do so by the Recount Supervisor. These materials will be collected if a recount of the used state ballots in any municipalities within the electoral district results in a significant discrepancy from the election night tally and makes it necessary to retrieve any or all of these election materials from those municipalities in order to reach a final tabulation and conclude the recount. The Recount Supervisor will make the determination regarding the collection of these additional materials, in consultation with the recount candidates or their representatives.

5. Scheduling Recounts and Counters

A. Recount schedule. The Recount Supervisor will set the schedule for the recounts. Each recount will begin promptly at the assigned time and will resume promptly after the time allotted for lunch and breaks has concluded. While recounts will normally be conducted during regular business hours, a recount may be continued after 5 p.m. with the agreement of the participating candidates or their counsel. The Recount Supervisor has authority to continue the recount to the next available business day, however, even if the participating candidates or their counsel wish to continue the recount past 5 p.m.

B. Counters. Each candidate will provide the number of counters required by the Recount Supervisor. At a minimum, six counters will be required for each candidate participating in the recount unless the Recount Supervisor determines that fewer counters are needed based on the number of ballots cast. If more than six counters are needed, the Recount Supervisor will notify the candidates or their representatives of the number of counters to be supplied. Candidates and certain other persons, as designated in 21-A M.R.S.A. §737-A, sub-§5, are prohibited from participating in the recounts in any capacity. It is not recommended that the counsel for a candidate act as a counter, although it is not prohibited.

SECTION 5. GENERAL PROCEDURES FOR RECOUNTS

1. Security of the Recount Area. There will be a guardrail enclosure set up to separate the recount area from the public viewing area. In addition to the State recount personnel, only the candidates' representatives or counsel, and the counters may be within the guardrail enclosure. All persons participating in the recount, including the Recount Supervisor and Recount Assistants, must sign in before the start of the recount, on a form provided by the Secretary of State. Candidates and members of the public must remain outside the guardrail area. Only limited conversation will be permitted in the recount room. Cell phones must be silenced during the recount and may be used within the guardrail area only by the Recount Supervisor or Recount Assistants as needed to conduct the recount. Any person who causes a disruption of the recount process may be removed from the room, at the discretion of the Recount Supervisor.

2. Inspection of Materials

A. Prior to Counting. Prior to the beginning of the recount, the candidates' representatives or counsel will be allowed within the guardrail enclosure to inspect the tamper-proof containers, locks and seals and to sign off on their condition.

B. During the Recount. Used (voted) ballots will be inspected and counted during the recount process as provided in subsection 4 below. Once the final count for a municipality has been determined, the voted ballots for that municipality will be resealed in tamper-proof containers, and will not be available for inspection again unless the Recount Supervisor later determines, after consultation with the candidates or their counsel, that re-inspection is necessary to resolve a factual dispute or question about the validity of the recount. If additional materials have been retrieved pursuant to section 4, subsection 4(C) of these rules, they may be inspected as follows:

(1) The containers of unused state ballots may be inspected immediately after that municipality's ballots have been counted, or they may be held for inspection until after all the ballots in the electoral district have been counted.

(2) The incoming voting lists, absentee ballot envelopes and other election materials may be inspected upon request of one or both of the candidates or their counsel, or at the direction of the Recount Supervisor, after all the ballots in the electoral district have been counted and the Final Recount Tabulation has been prepared.

3. Instructions. At the start of the recount, the Recount Supervisor or designee will provide instruction to the participants on the laws and rules governing the recount process, ballot markings and the determination of voter intent.

4. Ballot Handling and Counting Process

A. Access. At no time will a candidate or the candidate's counters or representatives be permitted access to the ballots, incoming voting lists or other election materials without supervision or observation by the Recount Supervisor or Recount Assistants.

B. Writing implements. Only the purple pens or pencils provided by the Secretary of State will be used or allowed in the recount room.

C. Counting teams. Each counting team will include one counter for each candidate. Counters for each candidate will sit beside one another at a table, facing a Recount Assistant. Candidates' counters must remain at the tables during recount sessions, unless excused by the Recount Supervisor or Recount Assistant.

D. Packaging. Ballots will be unpacked and carried to the tables by the Recount Supervisor or Recount Assistants. At the completion of the counting session, the Recount Assistants will reseal the used (voted) ballots in the tamper-proof containers from that municipality or in any additional tamper-proof containers supplied by the Secretary of State.

E. Hand-counted and machine-counted ballots. Ballots from each municipality that were hand-counted on election night will be separated from their original Jots and sorted and counted by hand for each recount candidate and within each municipality as described in sections 6 and 7 of this rule. Ballots that were machine-tabulated on election night also will be sorted and counted by hand for each recount candidate and within each municipality as described in sections 6 and 7 of this rule.

F. Disputed ballots

(1) Disputed ballots, as defined in Title 21-A, section 1, sub-§ 12, that are identified during the sorting and counting process described in sections 6 and 7 of this rule will be segregated as a single lot for each municipality.

(2) Before the candidate's counsel or representative signs the Municipal Tabulation form as described in paragraph I of this subsection, they may review the disputed ballots jointly and may resolve how the ballots should be sorted and counted. If the disputes are resolved, the votes on those ballots will be added to the municipal totals for the appropriate candidates. Prior to signing the Final Recount Tabulation pursuant to section 8 of this rule, the candidates' counsels or representatives may review the disputed ballots jointly and may resolve how individual ballots will be counted, in which case the Final Recount Tabulation will be adjusted accordingly. Disputed ballots which are resolved before the Final Tabulation may be repacked and resealed with the other ballots.

(3) A Disputed Ballot form indicating the candidate on whose behalf the ballot is being disputed, the grounds on which it is being disputed, the municipality, the alpha/numeric code for the counting team, and an identifying sequential number for the ballot will be prepared by the Recount Assistant or Recount Supervisor at the end of the recount, but only if there are enough disputed ballots to affect the result of the election.

G. Absentee Ballot Envelopes Containing Ballots. If, upon examination of absentee voting materials, absentee ballot envelopes appearing to contain ballots that were not removed from the envelope on election night are found, these ballots shall be dealt with in the manner described below:

(1) Clerk's notes indicate ballot is okay to cast and absentee ballot envelope has been slit open, but ballots have not been removed: The ballot shall be removed from the envelope and put into an odd lot to count.

(2) Clerk's notes indicate ballot is okay to cast and absentee ballot envelope has not been slit open: The ballot shall be segregated and not opened until after all other ballots in the electoral district have been counted. At that point, if it can be determined after checking the Incoming Voting List that the voter did not vote at the pol ls, the envelope shall be opened, and the ballot counted and added to the final count.

H. Tally sheets. Upon completion of each step in the recount process that requires tallying, as described in sections 6 and 7 of this rule, the Recount Assistant for the counting team will be responsible for completing the tally sheets and obtaining the signatures of each team member on the sheet. Each tally sheet will be labeled with the alpha code assigned to the counting team and consecutively numbered.

I. Municipal tabulations. After all the ballots have been counted for a municipality, the Recount Supervisor will provide the tabulation for that municipality to each candidate's counsel or representative on a Municipal Tabulation form. Each candidate's counsel or representative will be asked to sign the completed form agreeing to the final count for that municipality, including the number of ballots that remain in dispute. Once this is signed by or on behalf of both candidates, the used ballots will be resealed and neither the candidates nor their counsel will have access to these ballots again unless a factual dispute or question about the validity of the recount arises later in the recount process which the Recount Supervisor determines could be resolved by re-inspection. If one candidate is unwilling to agree to the final count for that municipality without first having an opportunity to inspect other election materials in accordance with section 4, subsection 4, paragraph C of this rule, then the Municipal Tabulation form may remain unsigned at this point in the process.

SECTION 6. PROCEDURES FOR RECOUNTS INVOLVING TWO CANDIDATES IN THE FINAL ROUND OF RANKED-CHOICE VOTING

This section sets forth the procedure for conducting a recount requested by Candidate B and involving the two continuing candidates in the final round of the ranked-choice counting process.

1. Step 1 - Sort ballots by first choice votes. On a municipality-by-municipality basis, or on a precinct-by-precinct basis within multi-precinct municipalities, the counting teams will sort the ballots into four groups, as follows:

A. Ballots with Candidate A marked as the first choice,

B. Ballots with Candidate B marked as the first choice,

C. Ballots with neither recount candidate marked as the first choice, and

D. Disputed ballots - ballots for which the members of the counting team cannot agree which candidate was selected by the voter.

2. Step 2 - Count and record first choice votes. Each grouping of first choice votes (Candidate A, Candidate B, neither and disputed) will be verified and counted into lots of 50 to facilitate tallying. A tally sheet will be completed to record the total of first choice votes for each grouping. After tallying, the ballots with first choice votes for Candidates A and B will be returned to the tamper-proof containers for the municipality or precinct within the municipality, as applicable. Ballots with no recount candidate selected as first choice will be processed in Step 3.

3. Step 3 - Further sort ballots with no recount candidate selected as first choice. Sort the ballots on which no recount candidate was selected as the first choice into three groups, as follows:

A. Ballots on which Candidate A is preferred over Candidate B,

B. Ballots on which Candidate B is preferred over Candidate A, and

C. Exhausted ballots (ballots on which neither Candidate A or B is ranked, and ballots which have an overvote or double-skipped ranking prior to the ranking for either Candidate A or B).

4. Step 4 - Count and record ballots by grouping from Step 3. Each grouping from Step 3 will be verified, then counted into lots of 50 to facilitate tallying. A tally sheet will be completed to record the totals for each grouping.

5. Step 5- Complete the Municipal Tabulation form. On the Municipal Tabulation form, the counting team will record the total of first choice votes as determined in Step 2 and the total of preferred rankings for each candidate as determined in Step 4, and add those two numbers together to obtain each candidate's total votes for the municipality. The counting team will add the number of exhausted ballots and any disputed ballots to obtain the total votes cast for the municipality. Each candidate's counsel or representative will be asked to sign the Municipal Tabulation form at this point, pursuant to section 5, subsection 4, paragraph I. Before signing, they may review the disputed ballots jointly, as described in section 5, subsection 4, paragraph F(2), and if the disputes are resolved the votes on those ballots will be added to the municipal totals for the appropriate candidates.

6. Aggregate the municipal totals for the district-wide count. When the ballots from all municipalities have been counted, the municipal totals will be aggregated into a statewide total, and Candidates A and B will be asked to sign the Final Recount Tabulation, as described in section 8 of this rule. If there are disputed ballots that are not resolved pursuant to section 5, subsection 4, paragraph F(2), a disputed ballot form must be completed for each of these ballots. If the requesting candidate concedes the recount before the ballots in all of the municipalities have been counted, the original ranked-choice vote count will be used as the Final Recount Tabulation.

SECTION 7. PROCEDURES FOR RECOUNTS INVOLVING THE THREE CANDIDATES IN THE PENULTIMATE ROUND OF RANKED-CHOICE VOTING

This section describes the procedure for conducting a recount involving the three continuing candidates in the penultimate round of the ranked-choice counting process when requested by Candidate C or by Candidates B and C.

1. Step 1 - Sort ballots by first choice votes. On a municipality-by-municipality basis, or on a precinct-by-precinct basis within multi-precinct municipalities, the counting teams will sort the ballots into five groups, as follows:

A. Ballots with Candidate A marked as the first choice,

B. Ballots with Candidate B marked as the first choice,

C. Ballots with Candidate C marked as the first choice,

D. Ballots with none of the recount candidates marked as the first choice, and

E. Disputed ballots - ballots for which the members of the counting team cannot agree which candidate was selected by the voter.

2. Step, 2 - Count and record first choice votes. Each grouping of first choice votes (Candidate A, Candidate B, Candidate C, none and disputed) will be verified and counted into lots of 50 to facilitate tallying. A tally sheet will be completed to record the total of first choice votes for each grouping. After tallying, the ballots with first choice votes for Candidates A, B and C will be set aside. Ballots with no recount candidate selected as first choice will be processed in Step 3.

3. Step 3 - Further sort ballots with no recount candidate selected as first choice. Sort the ballots on which no recount candidate was selected as the first choice into three groups, as follows:

A. Ballots on which Candidate A is preferred over Candidates B and C,

B. Ballots on which Candidate B is preferred over Candidates A and C,

C. Ballots on which Candidate C is preferred over Candidates A and B, and

D. Exhausted ballots (ballots on which neither Candidate A, B or C is ranked, or which have an overvote or double-skipped ranking prior to the highest ranking for Candidate A, B or C).

4. Step 4 - Count and record ballots by grouping from Step 3. Each grouping from Step 3 will be verified, then counted into lots of 50 to facilitate tallying. A tally sheet will be completed to record the totals for each grouping.

5. Step 5 - Complete the Municipal Tabulation form. On the Municipal Tabulation form, the counting team will record the total first choice votes and the total of preferred rankings for each candidate as determined in Step 3, and add those two numbers together to obtain each candidate's total votes for the municipality. The counting team will add the number of exhausted ballots and any disputed ballots to obtain the total votes cast for the municipality.

6. Step 6 - Sort Ballots Assigned to Candidate A. Further sort all ballots assigned to Candidate A (either by first choice or by preference) based on the relative rank of Candidates B and C, as follows:

A. Ballots on which neither Candidate B nor Candidate C is ranked,

B. Ballots on which Candidate B is preferred over Candidate C, including ballots on which B was ranked but Candidate C was not ranked, and

C. Ballots on which Candidate C was preferred over Candidate B, including ballots on which Candidate C was ranked but Candidate B was not ranked.

7. Step 7 - Count and record ballots by grouping from Step 6. Each grouping from Step 6 will be verified, then counted into lots of 50 to facilitate tallying. A tally sheet will be completed to record the totals for each grouping.

8. Step 8 - Sort Ballots Assigned to Candidate B. Further sort all ballots assigned to Candidate B (either by first choice or by preference) based on the relative rank of Candidates A and C, as follows:

A. Ballots on which neither Candidate A nor Candidate C is ranked,

B. Ballots on which Candidate A is preferred over Candidate C, including ballots on which Candidate A was ranked but Candidate C was not ranked, and

C. Ballots on which Candidate C was preferred over Candidate A, including ballots on which Candidate C was ranked but Candidate A was not ranked.

9. Step 9 - Count and record ballots by grouping from Step 8. Each grouping from Step 8 will be verified, then counted into lots of 50 to facilitate tallying. A tally sheet will be completed to record the totals for each grouping.

10. Step 10 - Sort Ballots Assigned to Candidate C. Further sort all ballots assigned to Candidate C (either by first choice or by preference) based on the relative rank of Candidates A and B, as follows:

A. Ballots on which neither Candidate A nor Candidate B is ranked,

B. Ballots on which Candidate A was preferred over Candidate B, including ballots on which A was ranked but B was not ranked, and

C. Ballots on which Candidate B was preferred over Candidate A, including ballots on which Candidate B was ranked but Candidate A was not ranked.

11. Step 11 - Count and record ballots by grouping from Step 10. Each grouping from Step 10 will be verified, then counted into lots of 50 to facilitate tallying. A tally sheet will be completed to record the totals for each grouping.

12. Step 12 - Complete the Municipal Tabulation form. On the Municipal Tabulation form, record the relative ranking totals for each candidate tallied in Steps 7, 9 and 11 and verify that the totals for each candidate match the totals of first choice votes and preferred votes recorded in Step 5. Each candidate's counsel or representative will be asked to sign the Municipal Tabulation form at this point, pursuant to section 5, subsection 4, paragraph I. Before signing, they may review the disputed ballots jointly, as described in section 5, subsection 4, paragraph F(2), and if the disputes are resolved the ballots will added to the municipal totals for the appropriate candidates.

13. Aggregate the municipal totals for the district-wide count. When the ballots from all the municipalities have been recounted, the municipal totals will be aggregated into a statewide total, and Candidates A, B and C will be asked to sign the Final Recount Tabulation, as described in section 8 of this rule. If there are disputed ballots that are not resolved pursuant to section 5, subsection 4, paragraph F(2), a disputed ballot form must be completed for each of these ballots. If the requesting candidate concedes the recount prior to counting the ballots from all municipalities, the original ranked-choice voting count will be used as the Final Recount Tabulation.

SECTION 8. RESOLUTION OF THE RECOUNT

1. Final Recount Tabulation. After the ballots from all the municipalities included in the recount have been recounted, and after the recount candidates or their counsel have had an opportunity to inspect other election materials if requested pursuant to section 4, subsection 4, paragraph C of this rule, the Recount Supervisor shall prepare a Final Recount Tabulation showing the sum of the final counts agreed to in each municipality, including the number of challenged ballots and ballots remaining in dispute. Each candidate, or their counsel or their representative, will then be required to sign the Municipal Tabulation for each municipality in the electoral district (if not already signed pursuant to section 5, subsection 4, paragraph I of this rule) and the Final Recount Tabulation. Once the recount candidates or their counsel have signed the Final Recount Tabulation, that becomes the final count for the election. If the number of challenged or disputed ballots included in the final count for the election is not enough to affect the result of the election, then the result of the election is determined by the Final Recount Tabulation.

2. Appeal. If the number of challenged or disputed ballots included in the final count for the election is enough to affect the result of the election, any recount candidate may appeal the recount as provided in Title 21-A, section 737-A, subsection 10. The result of the election will then be determined by the appeal. All election materials will be packaged, resealed and marked in accordance with Title 21-A, section 737-A, subsection 9.

3. Withdrawal from Recount. If a recount candidate wishes to withdraw from the recount at any time, the candidate may do so in writing, subject to the restrictions in 21-A M.R.S.A. §737-A, sub-§11.

History

• STATUTORY AUTHORITY: 21-A M.R.S. §§ 723-A(5-A).
• EFFECTIVE DATE: June 20, 2018 - filing 2018-109 (EMERGENCY)
• EFFECTIVE DATE: November 13, 2018 – filing 2018-234
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025
• EFFECTIVE DATE: NONSUBSTANTIVE CORRECTIONS (corrections of misspellings and format):
• EFFECTIVE DATE: April 3, 2026
• APAO ACCESSIBILITY CHECK (Word): April 8, 2026

Chapter 550 Rules for Determining Voter Intent

Code Me. R. 29-250 Ch. 550 Rules for Determining Voter Intent {#sec-29-250-ch.-550 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 550}

SUMMARY:

This rule sets forth the criteria to be applied by election officials in determining voter intent when counting ballots at state and local elections and election recounts conducted pursuant to Title 21-A. It is based on relevant case law and provisions of Title 21-A of the Maine Revised Statutes.

SECTION 1. DEFINITIONS

Voting indicator. “Voting indicator” means the space provided next to the name of each candidate and ballot question choice, to be used for marking a vote in accordance with a particular type of ballot.

NOTE: On optical scan ballots currently in use, the write-in indicator is a broken arrow or an oval. On hand-counted paper ballots, it is a square.

Write-in candidate. A “write-in candidate” is a person whose name does not appear on the printed ballot under the office designation to which a voter may wish to elect the candidate.

SECTION 2. DEFECTIVE AND VOID BALLOTS

Defective ballots. A ballot that is not designed and printed in accordance with the requirements of Title 21-A is defective and should be handled in accordance with Title 21-A section 696, subsection 3. A defective ballot that has been cast by a voter may be counted only in accordance with the following rules:

The ballot may not be counted if it is photocopy of a ballot, produced on a copy machine, unless it was produced by the election officials under the express authorization of the Secretary of State’s office in the event of an emergency pursuant to 21-A M.R.S.A. §604.

The ballot may not be counted if it is a sample ballot.

If the ballot is not completely printed, or if the printing is illegible, only those votes in candidate races and ballot questions for which the printing is legible and complete may be counted.

If the ballot was prepared for a different municipality or voting district, outside the voting jurisdiction where the ballot was cast, then only the votes in candidate races and ballot questions applicable to the jurisdiction where the ballot was cast may be counted.

If the ballot has been torn or crumpled, then it must be hand counted, and the votes counted only in those candidate races and ballot questions for which the ballot remains legible and voter intent may be determined in accordance with section 4 of these rules.

Void ballots. A ballot may not be counted if it contains a mark of a type or in a place that is not specifically permitted, and which indicates an apparent intent of the voter to distinguish the ballot from other ballots for a fraudulent or dishonest purpose. This is considered to be a “distinguishing mark,” as defined in Title 21-A section 1, subsection 13.

Any of the following markings will be considered to be a distinguishing mark that requires the ballot to be rejected as void:

The name of an individual who is determined by election officials to be a voter in the voting jurisdiction, except where the name has been written in the space for a write-in candidate;

A number, other than a number placed by an election official to indicate a challenged ballot pursuant to 21-A M.R.S.A. §673(3), where it appears that the voter’s intent was to enable a person to determine who cast the ballot;

A unique symbol, where it appears that the voter’s intent was to enable a person to determine who cast the ballot; or

A comment or statement indicating the identity of the voter, either individually or as a member of an identified group, where it appears that the voter’s intent was to enable a person to determine who cast the ballot.

The following types of markings are not considered to be a distinguishing mark unless made in such a manner, or of such a character, as to manifest an intent to make the ballot distinguishable from other ballots for a fraudulent or dishonest purpose:

a stray mark on the ballot;

initials placed next to an erasure or cross-out of a voting indicator, which appear to have been written there by the voter merely to indicate that he or she made the change;

a mark made on or in the voting indicator or near the candidate’s name, or in or near the space for a write-in candidate, in a manner that differs from the instructions at the top of the ballot; or

the name of a fictitious person, a deceased person, or a person from outside the State who could not be a candidate for office, written in the space for a write-in candidate.

SECTION 3. INVALID VOTES

Write-in candidates. A vote for a write-in candidate is deemed invalid by statute and may not be counted if:

the voter writes in the name of a person who has not filed a Declaration of Write-in Candidacy as provided by 21-A M.R.S. §722-A;

the voter writes in the name of a declared write-in candidate in the blank space provided for a write-in but does not mark the voting indicator; or

the voter pastes in a printed sticker for a declared write-in candidate, whether or not the voting indicator is marked.

Overvotes. If the voter indicates a choice for more candidates for an office than there are vacancies to be filled, or indicates more than one choice for a ballot question, it is an invalid overvote and may not be counted. Whether the voter has indicated a choice shall be determined in accordance with section 4 of this chapter. If the voter has marked the voting indicator for a write-in candidate but leaves blank the space for the write-in candidate’s name and also indicates a choice for a named candidate for the same office, that does not constitute an overvote and the vote shall be counted for the named candidate.

SECTION 4. DETERMINING VOTER CHOICE

Maine statute provides, in Title 21-A §696(4), that if a voter marks the ballot in a manner that differs from the instructions at the top of the ballot but in such a manner that it is possible to determine the voter’s choice, then the vote for the office or question concerned must be counted. If the voter marks the ballot in such a manner that it is impossible to determine the voter’s choice, then the vote for that office or question may not be counted. (Title 21-A §696(2)(B)). If a voter marks the ballot in a manner that differs from the instructions at the top of the ballot, election officials shall attempt to determine the voter’s choice in accordance with the following rules.

Failure to fully mark voting indicator. Where the voter has made some mark in the voting indicator, but has not fully completed it, the voter’s intent must be determined as follows:

The vote must be counted if

the majority of the space in the voting indicator is filled in;

an “x," check mark, plus sign (“+”), asterisk, or star has been placed within the voting indicator for a particular candidate or ballot question choice and the voter has marked the voting indicator in the same manner for at least some other offices or ballot questions appearing on the ballot; or

a horizontal, vertical or diagonal line has been placed within the voting indicator for a particular candidate or ballot question choice, and either the voter has marked the voting indicator in the same manner for at least some other offices or ballot questions on the same ballot, or it otherwise appears from the nature of the mark in the voting indicator space that the voter intentionally moved the pen or pencil across the paper from one point to another.

The vote must not be counted if:

there is only a small dot or a light pen or pencil mark inside the voting indicator that could have been made by merely resting the pen or pencil on the ballot and does not suggest that the voter intentionally moved the pen or pencil across the paper from one point to another; or

the mark in the voting indicator is not definite and is inconsistent with the manner in which the voter has marked the rest of the ballot.

Marks made outside the voting indicator. Where the voter has not marked the voting indicator but has made other marks on the ballot, the voter’s intent must be determined as follows:

The vote must be counted if:

there is an “x,” check mark, plus sign, asterisk, star or definite horizontal, vertical or diagonal line, a portion of which is contained in the voting indicator, provided it does not extend into the voting indicator for an opposing candidate or ballot question choice;

the mark made by the voter is near, although not within, the voting indicator and is closer to the indicator or name of that candidate or ballot question choice than to any opposing candidate or ballot question choice;

the voting indicator is circled or underlined, or clearly marked in some other way that indicates the voter’s intent to make a choice;

the candidate’s name or the ballot question choice is circled or underlined;

the candidate’s party affiliation or party designation is circled or underlined;

an arrow or line connects the voting indicator to the candidate’s name or ballot question choice;

a check mark appears next to the candidate’s name or ballot question choice;

the voter has written words of affirmative choice (such as “vote for Smith” or “vote yes”) in the area for the specific contest; or

the voter has crossed out the name of all but one candidate for the same office, provided the voter has consistently marked other races on the ballot in this manner.

The vote must not be counted if:

the mark made is equidistant between the voting indicators or names of two opposing candidates or ballot question choices; or

the mark appears to be a stray mark, not made by the voter with the intent to indicate a definite choice.

Cross-outs or erasures. Where the voter has filled in more than one indicator for an office or ballot question choice, but the marking in one of the indicators is crossed out or erased, the voter’s intent must be determined as follows:

If one of the voting indicators for two candidates or ballot question choices is crossed out or scribbled over, the vote must be counted for the other candidate or ballot question choice for which the voting indicator is filled in and is not crossed out or scribbled over.

If it is apparent that the voter erased the markings on one indicator, the vote must be counted for the other candidate or ballot question choice for which the indicator is clearly filled in.

If one indicator is merely filled in more lightly than the other, such that it is impossible to tell whether the voter intended to eliminate one choice, then it must be treated as an invalid overvote and may not be counted, in accordance with §3, sub-§2 of this rule.

Write-in votes. Where the voting indicator next to the space for a write-in candidate has been filled in, or is otherwise marked in a manner that makes it possible to determine the voter’s choice in accordance with this chapter, and the name of a declared write-in candidate has been placed in that space,

The vote must be counted even if:

the candidate’s name is abbreviated, misspelled or incomplete, provided it is still possible to identify the candidate as the one who is a declared write-in candidate for that office;

only the last name of the candidate is included, provided there is no other declared write-in candidate for that office with the same last name as the one appearing in the write-in space; or

the voter has written in the name of a candidate whose name is already printed on the ballot for that office.

History

• STATUTORY AUTHORITY: 21-A M.R.S.A. §696(6), as enacted by P.L. 2009, c. 253, §33
• EFFECTIVE DATE: November 2, 2010 – filing 2010-505
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 8, 2026
• APAO ACCESSIBILITY CHECK (Word): April 8, 2026

Chapter 700 Rules Governing Notaries Public, Notarial Officers, Notarial Acts and the Procedures for Electronic and Remote Notarization

Code Me. R. 29-250 Ch. 700 Rules Governing Notaries Public, Notarial Officers, Notarial Acts and the Procedures for Electronic and Remote Notarization {#sec-29-250-ch.-700 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 700}

SUMMARY:

This rule replaces Chapter 700 and governs the appointment and commissioning of notaries public and establishes the standards and procedures for electronic and remote notarization by notarial officers.

SECTION 1: DEFINITIONS

Credible witness. “Credible witness” means an honest, reliable, and impartial person who personally knows an individual appearing before a notarial officer and takes an oath or affirmation before the notarial officer to vouch for that individual’s identity.

Direct beneficial interest. “Direct beneficial interest” for purposes of defining a conflict of interest under 4 M.R.S. § 1904(3)(B), means a fee other than the customary fee for performance of the notarial act, or any advantage, right, title, interest, cash, property or other consideration received in connection with the record.

Electronic notarization. “Electronic notarization” means a Maine notarial officer’s performance of a notarial act with respect to an electronic record, using an electronic signature and an electronic official stamp.

Electronic record. “Electronic record” means a record created, generated, sent, communicated, received, or stored by electronic means.

Notarial officer. “Notarial officer” means a notary public commissioned by the Secretary of State; a judge, justice, clerk or deputy clerk of a court of this State; or an attorney-at-law duly admitted and eligible to practice in the courts of this State; and any other individual authorized by the laws of this State to perform a specific notarial act.

Principal. “Principal” means a person whose signature is notarized, or a person other than a credible witness taking an oath or affirmation before a notarial officer.

Remotely located individual. “Remotely located individual” means an individual who is not in the physical presence of the notarial officer who is performing a notarial act and appears before the notarial officer using communication technology.

Remote notarization. “Remote notarization” means a notarial act performed in compliance with 4 M.R.S. Chapter 39, by a notarial officer for a remotely located individual using communication technology approved by the Secretary of State.

Residence and resident. “Residence” for purposes of this rule means the place where the individual has established a fixed and principal home to which the individual, whenever absent, intends to return. “Resident” means having a place where the individual has established a fixed and principal home to which the individual, whenever absent, intends to return.

Secretary of State. “Secretary of State” as used in this rule includes the Secretary of State, Deputy Secretary of State for Corporations, Elections and Commissions, and the Division Director and staff of the Division of Corporations, UCC & Commissions within the Department of the Secretary of State.

Tamper-evident. “Tamper-evident” means that any change to a record displays evidence of the change.

Tamper-evident technology. “Tamper-evident technology” means a set of applications, programs, hardware, software, or other technologies designed to enable a notarial officer to perform notarial acts with respect to electronic records or for remotely located individuals which display evidence of any changes made to an electronic record.

SECTION 2: APPOINTMENT OF NOTARY PUBLIC

Criteria for appointment as a notary public

To qualify for appointment as a notary public, the applicant must meet the following criteria:

Age eligibility. An applicant must be at least 18 years of age at the time of submitting the application;

Residency or place of employment or business in Maine. An applicant must demonstrate:

Is a Maine resident; or

Has a place of employment located in Maine; or

Has a business located in Maine;

Language proficiency. An applicant must demonstrate an ability to read and write the English language;

Trustworthiness. An applicant must be worthy of the public trust. This means, at a minimum, that the applicant must:

Not have been convicted of any crime punishable by one year or more of imprisonment;

Not have been convicted of any crime involving fraud, dishonesty or deceit;

Not have received a finding or have made any admission of liability in any legal proceeding or disciplinary action against the applicant based on the applicant’s fraud, dishonesty or deceit;

Not have made any false, fraudulent, dishonest or deceitful statements in the application for a notary commission; and

Not have had a notary public commission in another state revoked, suspended, conditioned, or not renewed for cause.

A crime involving fraud, dishonesty or deceit includes, but is not limited to, any crime involving false swearing, unsworn falsification, perjury, tampering with public records, impersonation, bribery, forgery, identity theft, negotiating a worthless instrument, misuse of information, theft, larceny, robbery, extortion, counterfeiting, unauthorized transfer of property, misappropriation, embezzlement, and deceptive practices; and

Examination. An applicant must pass an examination administered by the Secretary of State to demonstrate an understanding of the laws, rules, procedures and ethics relevant to performing notarial acts. The examination will be administered by the Secretary of State and based on a course of study offered regularly by the Secretary of State in accordance with 4 M.R.S. § 1923.

Application process.

Application. The applicant for a notary public commission must file an application using the latest form issued by the Secretary of State, which must require submission of the following information, at a minimum:

1. The applicant’s legal name;

2. The applicant’s date of birth;

3. The applicant’s residence address;

4. The applicant’s mailing address, if different from the physical residence address;

5. The applicant’s email address and contact telephone number;

6. A list of any crimes punishable by one year or more of imprisonment for which the applicant has been convicted in Maine or in any other jurisdiction;

7. A list of any crimes involving fraud, dishonesty or deceit for which the applicant has been convicted in Maine or in any other jurisdiction;

8. Disclosure of any legal proceedings in any jurisdiction that resulted in findings against the applicant or admissions of liability by the applicant;

9. If the applicant is not a resident of Maine but is eligible to apply based on having a place of employment in Maine, the application must include the address of the applicant’s place of employment and a signed statement by the applicant’s employer verifying the applicant’s employment status;

10. If the applicant is not a resident of Maine but is eligible to apply based on having a business in Maine, the application must include the legal name, and the physical and mailing addresses of that business; and

11. A declaration signed by the applicant that all information provided in the application is true and correct.

Additional information required for electronic or remote notarization.

Notice of intent to perform electronic notarization. If the applicant intends to perform notarial acts with respect to electronic records using an electronic signature, the applicant must submit the notice form prescribed by the Secretary of State that contains the information required by section 5, subsection 6 of this rule pertaining to electronic notarization.

Notice of intent to perform remote notarization. If the applicant intends to perform notarial acts for remotely located individuals, the applicant must submit the notice form prescribed by the Secretary of State that contains the information required by section 6, subsection 8 of this rule pertaining to remote notarization.

Application Fee. Every application for a notary public commission must be accompanied by payment of a fee prescribed by 5 M.R.S. § 87, submitted to the Secretary of State and made payable to the Treasurer, State of Maine.

Term of appointment

If the Secretary of State determines that the applicant has satisfied all the criteria for appointment, the Secretary shall issue a notary public commission to the applicant for a term of 7 years from the date of issuance.

Issuance of certificate and qualifications

Process of Qualifying. Upon approval of an application, a certificate of commission will be mailed to the applicant who then has 30 calendar days to appear before a Dedimus Justice to take the oath prescribed by 4 M.R.S. § 1922(3), and 45 calendar days from the date of appointment to return the completed certificate of qualification to the Secretary of State. If the Secretary of State does not receive the certificate within the 45 calendar days or the certificate demonstrates that the applicant was not sworn into office within 30 calendar days of appointment, the Secretary will notify the applicant of the failure to qualify. From the date of that notice, the applicant has 90 calendar days to request a reappointment by the Secretary of State. From the date of reappointment, the applicant has 30 calendar days to be sworn into office by a Dedimus Justice. If the applicant does not request reappointment within 90 calendar days from the date of notification of a failure to qualify, the applicant must reapply in order to be appointed as a notary public.

Authority to perform electronic or remote notarial acts. A notary public who has been issued a commission is not authorized to perform electronic or remote notarizations unless and until a notice meeting all the requirements described in section 5, subsection 6, and section 6, subsection 8 of this rule has been submitted to the Secretary of State and accepted in accordance with 4 M.R.S. Chapter 39 and this rule.

Authority to solemnize marriages. A notary public who has been issued a commission by the Secretary of State is not authorized to solemnize marriages in Maine unless the notary has also been issued a marriage officiant license by the Secretary of State pursuant to 5 M.R.S. § 90-G and Chapter 720, Rules Governing the Licensing of Marriage Officiants Who Are Authorized to Solemnize Marriages in Maine.

Change of information or status of commissioned notary public

Within 30 calendar days of the occurrence of any of the following changes to the notary’s status or information previously submitted, a notary public must submit written notice to the Secretary of State regarding the change(s) in a manner prescribed by the Secretary:

A change of the notary’s name by court order or marriage;

A change of the notary’s residence or mailing address;

A change of the notary’s email address or telephone number;

A change in the notary’s place of employment if the notary’s eligibility for a commission was based on having a place of employment in Maine;

A change in the location of the notary’s business if the notary’s eligibility for a commission was based on having a business in Maine;

A change to the information previously submitted in writing notifying the Secretary of State that the notary public will be performing notarial acts with respect to electronic records or remotely located individuals;

A conviction of a crime punishable by one year or more of imprisonment or of a crime involving fraud, dishonesty or deceit, as described in section 2, subsection 1, paragraph D of this rule; or

A finding against, or admission of liability by, the notary in any legal proceeding or disciplinary action based on the applicant’s or notary’s fraud, dishonesty or deceit.

Effect of name change. A notary public who notifies the Secretary of State of a name change as required by section 2, subsection 5, paragraph A of this rule shall use the new name in performing notarial acts only after:

The notary has delivered the notice required by section 2, subsection 5, paragraph A of this rule;

The new name has been updated in the Secretary of State’s notary public database; and

The notary, if using a stamping device or official stamp, has made the change to their device bearing the new name.

Issuance of amended commission. An amended certificate of commission will be issued by the Secretary of State upon receipt of notice of a name change or change of residence to a new municipality by the notary.

Resignation. A notary public may resign their commission at any time by submitting written notice to the Secretary of State of the intent to resign. The resignation shall be deemed effective as of the date of the written notice. Upon resignation, a notary public shall return their certificate of commission to the Secretary of State.

Fees for notarial services. Any fee to be charged by a commissioned notary public for performing a notarial act must be disclosed in writing to the individual requesting the services of the notary public before the notarial act is performed. The notary public must obtain the individual’s consent to any fee to be charged prior to performing the notarial act.

SECTION 3: RENEWAL OF NOTARY PUBLIC COMMISSION

Notice of expiration. The Secretary of State shall send written notification to a notary public, no less than 30 calendar days prior to the expiration of the notary’s commission. Notice will be sent to the email address recorded on the Secretary of State’s database. If the notary public does not have an email address, the notice will be sent by U.S. Postal Service, regular first-class mail. Failure to receive the notice does not delay or suspend the expiration of the commission.

2. Application for renewal. An application for renewal of a notary public commission must include the following information:

The name under which the current notary public commission was issued;

The legal name of the notary public seeking renewal of the commission (if changed since issuance of the commission that is expiring);

The date of expiration of the commission;

The physical address of the applicant’s residence and the applicant’s mailing address;

The applicant’s email address and contact telephone number;

The physical address of a place of employment or location of the notary public’s business in Maine if the notary is not a resident of Maine;

A list of any crimes for which the notary public has been convicted since the date of issuance of the commission that is expiring;

Disclosure of any legal proceedings in any jurisdiction that resulted in findings against the applicant or admissions of liability by the applicant; and

A declaration signed by the notary that all information provided in the application is true and correct.

3 . Deadline for filing. If the notary fails to file a renewal application before the expiration date of the current commission, the notary public is not authorized to perform any notarial acts until the commission has been renewed or a new commission has been issued and the applicant has taken the oath of office before a Dedimus Justice. If the application for renewal is not received by the Secretary of State within 90 calendar days after the expiration date of the commission, the notary public must apply for a new commission.

4. Examination. An applicant for renewal must pass an examination administered by the Secretary of State to demonstrate an understanding of the laws, rules, procedures and ethics relevant to performing notarial acts.

5. Application Fee. Every application for renewal of a notary public commission, or a new commission, must be accompanied by payment of a fee prescribed by 5 M.R.S. § 87, submitted to the Secretary of State and made payable to the Treasurer, State of Maine.

SECTION 4: DENIAL, NON-RENEWAL, SUSPENSION OR REVOCATION OF A NOTARY PUBLIC COMMISSION; COMPLAINTS

1. Complaints. A person may file a complaint with the Secretary of State regarding the performance of a notary public. The complaint should include the complainant’s contact information and a detailed statement describing the basis for the complaint and attaching any relevant records.

2. Investigation. The Secretary of State may, on its own initiative or in response to a complaint, make such investigation as it determines to be reasonable and necessary to determine whether a person has violated, is violating or is about to violate any provision of 4 M.R.S chapter 39 or this rule. The Secretary of State may require the filing of statements by the alleged violator or others with knowledge of the allegations and require production of records that the Secretary of State deems relevant to the investigation.

3. Denial, non-renewal, suspension, revocation or imposition of conditions on a notary public commission.

A. Grounds. The Secretary of State may deny, refuse to renew, suspend, revoke or impose a condition on the commission of a notary public for any act or omission that demonstrates the individual lacks the competence, reliability, or integrity to act as a notary public, including any of the following:

(1) Conflicts of interest. Performance of a notarial act with regard to which the notary has a conflict of interest as defined in 4 M.R.S. § 1904 (3), or performing an acknowledgment prohibited pursuant to 4 M.R.S. § 1904(4);

(2) Prohibited acts. Performance of a notarial act prohibited by 4 M.R.S. § 1904, subsection 5, or section 1915, subsection 16 or 17, or any acts prohibited by 4 M.R.S. § 1926;

(3) Change of name without notice. Performance of a notarial act using a different name than the name on the notary commission without having notified the Secretary of State of the name change.

(4) Fraud, deceit or dishonesty. Committing an act of fraud, deceit or dishonesty;

(5) Criminal convictions. Conviction of a crime punishable by one year or more of imprisonment or a crime involving fraud, dishonesty or deceit;

(6) False or misleading advertising. Use of false or misleading advertising or otherwise engaging in a method, act, or practice that is unfair or deceptive, including any untrue or misleading statement or omission of a material fact relating to a duty or responsibility of a notary public;

(7) False or misleading statements in notary application. An untrue or misleading statement or omission of a material fact in any application or filing with the Secretary of State required by law;

(8) Noncompliance with information requests. Failure to comply with any reasonable information request made by the Secretary of State for the purpose of evaluating the notary’s status or application for a commission or renewal of a commission or any request by the Secretary of State for production of records under section 4 subsection 2; or

(9) Failure to comply with notary statute and rules. Failure to comply with any other provision of 4 M.R.S. chapter 39 or this rule.

B. Right to a hearing. If the Secretary of State denies an application for a notary public commission, imposes a condition on a commission, refuses to renew, suspends, or revokes a notary public commission, the applicant or notary public has a right to a hearing in accordance with the Maine Administrative Procedure Act, 5 M.R.S. chapter 375, subchapter 4. The applicant or notary public must be notified in writing of the action taken by the Secretary and of their right to a hearing.

C. Decision by Secretary of State. After hearing, the Secretary shall issue a written decision which may be appealed to Superior Court pursuant to 5 M.R.S. chapter 375, subchapter 7.

SECTION 5: ELECTRONIC NOTARIZATION

1. Provider application for approval of technology for electronic notarization

A provider of technology to be used for electronic notarization may request approval from the Secretary of State by submitting an application that contains the following information:

A certification that the provider’s technology is designed to ensure that notarial acts performed by notarial officers with respect to electronic records using electronic signatures will comply with the requirements of 4 M.R.S. chapter 39 and this rule;

A certification that the provider is currently registered to do business in Maine and is in good standing with the Secretary of State;

A list of all jurisdictions in which the provider’s technology has been approved for the performance of electronic notarization, and the month and year in which the provider received the most recent approval from each jurisdiction;

Disclosure of any complaints, official warnings, or disciplinary actions taken against the provider in any jurisdiction;

Any pending, threatened or adjudicated legal actions against the provider relating in any way to the performance of electronic notarial acts using the provider’s technology in any jurisdiction;

The name and contact information of a representative of the applicant with knowledge of the provider’s technology and with authority to make binding representations; and

Any other information sufficient to demonstrate that the provider’s technology meets or exceeds the standards set forth in subsection 2 below.

The provider must submit the application fee to the Secretary of State, made payable to Treasurer, State of Maine, prescribed by 5 M.R.S. § 86.

2 . Criteria and standards for technology used for electronic notarization

To obtain approval, a technology provider must demonstrate that the technology to be used for electronic notarization in this State:

Restricts access to the provider’s technology only to notarial officers whose written notice to the Secretary of State of their intent to perform electronic notarization has been accepted, in accordance with the requirements of this rule;

Requires a password or other secure means of authentication to access the provider’s technology;

Requires a notarial officer to present a valid Maine notary commission or other evidence of the notarial officer’s qualification to perform notarial acts prior to receiving an authorized digital or electronic stamp and signature;

Includes a method to ensure that a notarial officer enrolled to use the technology has been trained and has the requisite knowledge to use it to perform notarial acts in compliance with 4 M.R.S. chapter 39 and this rule;

Enables a notarial officer to retain their authorized digital or electronic signature under the notarial officer’s sole control and to affix their electronic signature in a manner that attributes the signature to the notarial officer, is capable of independent verification, and is tamper-evident;

Enables a notarial officer to attach or logically associate a certificate of notarial act to the electronic record in a tamper-evident manner; and

Uses tamper-evident technology sufficient to ensure that the electronic signature on an electronic record is authentic.

3. Approval process

Upon review of an application from a technology provider, the Secretary of State may:

Return the application as incomplete with a written notice of the deficiencies;

Require the applicant to supplement the application with additional explanations, information or evidence of its ability to ensure compliance with state law;

Deny the application; or

D. Approve the application with or without conditions.

If the Secretary determines upon review of a completed application that the provider has met the standards set forth in this rule and in 4 M.R.S. chapter 39, the Secretary shall notify the provider of its approval and add the name of the provider to the list of providers of technology approved for electronic notarizations. The Secretary of State’s approval is valid for one year from the date of issuance and may be renewed in accordance with section 5, subsection 4, paragraph D of this rule.

4. Ongoing obligations of providers of technology for electronic notarization

A. Notice regarding users of the technology. The provider must notify the Secretary of State within 5 business days when any notary public commissioned by the Secretary of State or other notarial officer in Maine has been accepted or approved to use the provider’s technology to perform electronic notarizations in the State.

B. Suspension or termination. The provider must suspend or terminate access to its electronic notarization technology for any notary public whose commission has been suspended or revoked by the Secretary of State or whose commission has expired, within 5 business days of being notified by the Secretary of State or the notary public of such action.

C. Binding representations; notification of material changes. All representations, promises and assurances of performance made by a provider or its authorized representative to the Secretary of State are binding on the provider. If facts or circumstances change such that any material statement, representation or explanation made by the provider in its application for approval is no longer accurate or complete, the provider must inform the Secretary of State of the change, explain the reasons for the change and provide evidence sufficient to demonstrate that the technology for use in electronic notarization remains in compliance with the standards set forth in this rule. If, upon review of the new information, the Secretary determines that the technology no longer meets the standards set forth in this rule, the Secretary may suspend or terminate approval in accordance with section 5, subsection 5 of this rule.

D. Annual renewal. The technology provider must file a renewal application on or before the expiration of the Secretary’s initial approval and each year thereafter on a form prescribed by the Secretary of State. The application must be accompanied by payment of the application fee prescribed by 5 M.R.S. § 86.

E. Notice of security breach. If a provider of technology for electronic notarizations becomes aware of a possible security breach involving its data, the provider must give written notice to the Secretary of State and to each notarial officer using the provider’s services for electronic notarizations. Such notice must be provided as expediently as possible and no later than 15 business days after the date on which the provider has determined that the security breach occurred. The notice must include the steps the provider has taken or will take to mitigate the breach as well as a general description of the data that was or is reasonably believed to have been compromised.

5. Denial, non-renewal, suspension, termination or revocation of approval for a technology provider; complaints

A. Complaints. A notarial officer or other person using or relying upon an electronic notarization technology may file a complaint with the Secretary of State if they believe the technology provided does not comply with the standards set forth in 4 M.R.S. chapter 39 or this rule. The complaint must include the complainant’s contact information and a detailed statement describing the basis for the complaint and attaching any relevant records.

B. Investigation. The Secretary of State may, on its own initiative or in response to a complaint, make such investigation as it determines to be reasonable and necessary to determine whether a technology provider has violated, is violating or is about to violate any provision of 4 M.R.S chapter 39 or this rule. The Secretary of State may require the filing of statements by the provider or others with knowledge of the allegations and require production of records that the Secretary of State deems relevant to the investigation.

C. Grounds for denial, non-renewal, suspension, termination or revocation of approval. The Secretary may deny, refuse to renew, suspend, terminate or revoke approval of a provider of technology used for electronic notarization in the State if the Secretary of State determines that the technology provider:

(1) has violated 4 M.R.S. chapter 39 or this rule;

(2) has made a false or misleading statement or omission of material fact to the Secretary of State;

(3) has failed to carry out its obligations in accordance with section 5, subsection 4 of this rule;

(4) has been subject to administrative or judicial action involving a violation of laws pertaining to electronic notarization in any other jurisdiction;

(5) is no longer authorized to do business in the State or is not in good standing with the Secretary of State; or

(6) is no longer able to meet its obligations and ensure compliance with 4 M.R.S. chapter 39 or this rule;

(7) Has failed to cooperate with any investigation pursuant section 5, subsection 5, paragraph B of this rule.

D. Procedure

Prior to taking any action described in section 5, subsection 5, paragraph C of this rule, the Secretary of State must provide written notice of the proposed action to the provider and offer the provider an opportunity to respond in writing within 30 business days. The Secretary of State shall review the information submitted by the provider and issue a final decision, which shall be appealable to Superior Court pursuant to 5 M.R.S. chapter 375, subchapter 7.

Upon the Secretary of State's denial, non-renewal, suspension, termination or revocation of the technology provider’s approval, the provider shall not deny any notarial officer registered with the provider access to the notarial officer’s electronic signature, official seal and records stored by the technology provider on behalf of the notarial officer.

Notice by Notarial Officer of intent to perform electronic notarization

Contents of notice. Before performing a notarial act with respect to an electronic document or using an electronic signature for the first time, a notarial officer must notify the Secretary of State by providing the following information in a format prescribed by the Secretary of State:

The name(s) of the provider(s) of technology approved by the Secretary of State that the notarial officer intends to use in attaching or logically associating an electronic notarial signature, stamp and certificate to an electronic record;

Certification from each provider of technology the notarial officer intends to use, confirming that the notarial officer has received training in the use of that technology for electronic notarization and has been approved as a user of that technology;

(3) A certification by the notarial officer that the officer has read and understands the requirements of 4 M.R.S. chapter 39 and this rule regarding electronic notarization; and

(4) An example of the notarial officer’s electronic signature and official electronic stamp.

If the notice is deemed insufficient by the Secretary of State, the notarial officer shall be notified of the deficiencies and shall have the opportunity to resubmit it. The notice is not valid until it is accepted as complete by the Secretary of State.

B. Authority to perform electronic notarization. In addition to submitting the notice described in section 5, subsection 6, paragraph A of this rule and accepted by the Secretary of State, a notary public who wishes to perform electronic notarizations must have a valid notary public commission, and an attorney-at-law must be duly admitted and eligible to practice law in the courts of this State.

C. Amending the notice. After submitting written notice under section 5, subsection 6 of this rule to the Secretary of State, a notarial officer must amend the notice to include any change in the technology providers including but not limited to identifying any new or additional technology providers. Such amended notice must be submitted to the Secretary of State within ten 10 business days of making the change.

D. Termination of authority. A notarial officer’s authority to perform electronic notarizations automatically expires upon the occurrence of any of the following:

(1) The notarial officer is a notary public and the notary public’s commission expires, is revoked, suspended or terminated by the Secretary of State;

(2) The notarial officer is a notary public and the notary public resigns their commission;

(3) The notarial officer is a notary public and the notary public no longer has a place of employment, a business or residence in this State;

(4) The notarial officer is an attorney, upon suspension or termination of that attorney’s authority to practice law in this State; or

(5) The Secretary of State has revoked or terminated approval of the technology provider whose technology the notarial officer is using to perform electronic notarization unless the notarial officer is approved to use another technology provider.

7. Requirements for performing electronic notarization

A. Procedure. When performing a notarial act with respect to electronic records, or affixing an electronic signature, the notarial officer must:

Require the principal to appear in person before the notarial officer at the time of the electronic notarization if the principal is making a statement or executing a signature on a record, pursuant to 4 M.R.S. § 1906;

(2) Identify the principal who is physically present in accordance with 4 M.R.S. § 1907;

(3) Verify that the principal has adopted an electronic signature that complies with 10 M.R.S. chapter 1051, if the record is to be signed electronically;

(4) Complete an electronic notarial certificate and attach it to or logically associate it with the notarial officer’s electronic signature and official stamp in a tamper-evident manner and

(5) Use an electronic signature in combination with the electronic notary stamp only for the purpose of performing electronic notarizations.

B. Journal required. A notarial officer must maintain a journal in which all electronic notarizations are recorded. Entries in the journal must be made contemporaneously with the notarial act and must comply with all the requirements set forth in 4 M.R.S. § 1920 (2) and (3).

SECTION 6. REMOTE NOTARIZATION

1. Provider application for approval of communication technology and identity proofing to be used in remote notarization

A provider of communication technology to be used for remote notarization may request approval from the Secretary of State by submitting an application on a form provided by the Secretary of State that contains the following information:

A certification that the provider’s communication technology is designed to ensure that remote notarizations using the provider’s technology will comply with the requirements of 4 M.R.S. chapter 39 and this rule;

A certification that the provider is currently registered to do business in Maine and is in good standing with the Secretary of State;

A list of all jurisdictions in which the provider’s communication technology has been approved for the performance of notarial acts remotely, and the month and year in which the provider received its most recent approval;

Disclosure of any complaints, official warnings, or disciplinary actions taken against the provider in any jurisdiction;

Any pending, threatened or adjudicated legal actions against the provider relating in any way to the performance of notarial acts using the provider’s communication technology in any jurisdiction;

The name and contact information of a representative of the applicant with knowledge of the provider’s communication technology and with authority to make binding representations; and

Any other information sufficient to demonstrate that the provider’s communication technology and identity proofing methods meet or exceed the criteria and standards set forth in section 6, subsection 2 of this rule.

The provider must submit the application fee to the Secretary of State, made payable to Treasurer, State of Maine, prescribed by 5 M.R.S. § 86.

2. Criteria and standards for communication technology and identity proofing used for remote notarization

To obtain approval, a provider must demonstrate that the communication technology to be used for remote notarization in this state:

Restricts access to notarial officers whose written notice to the Secretary of State of intent to perform remote notarization has been accepted, in accordance with the requirements of this rule;

B. Requires a password or other secure means of authentication to access the provider’s technology;

C. Requires a notarial officer to present a valid Maine notary public commission or other evidence of the notarial officer’s qualification to perform notarial acts in order to access or utilize the communication technology to perform remote notarizations;

D. Includes a method to ensure that a notarial officer enrolled to use the technology has the requisite knowledge to use it to perform notarial acts in compliance with 4 M.R.S. chapter 39 and this rule;

E. Enables a notarial officer to verify the identity of the principal and any required witness in compliance with 4 M.R.S. chapter 39 and this rule;

F. For remote notarization of electronic records, enables a notarial officer to affix their electronic signature to an electronic notarial certificate in a manner that attributes the signature to the notarial officer and is tamper-evident;

G. For remote notarization of electronic records, enables a notarial officer to attach or logically associate a certificate of notarial act to the electronic record in a tamper-evident manner;

H. Provides continuous, synchronous audio-visual feeds that allow the remotely located individual and the notarial officer to see and speak to one another simultaneously through live, real time transmission;

I. Captures images with sufficient resolution to enable analysis of the remote individual’s credentials;

J. Includes at least two (2) of the following methods of identity proofing:

A credential that is validated by a government or third party;

A biometric identifier, including a retina or iris scan, fingerprint, voiceprint, scan of hand or face geometry, or any other physiological, biological or behavioral characteristic used to identify an individual;

A public key certificate; or

An identity assessment based on a set of questions formulated from public or private data sources for which the principal has not provided a prior answer;

K. For remote notarization of electronic records, provides a secure method of document upload and transfer;

L. Records the audio-visual communication in real time and associates that recording with the notarial officer’s electronic record;

M. Provides reasonable security measures to prevent unauthorized access to:

(1) The live communication between the notarial officer and the remotely located individual;

(2) The recording of the audio-visual communication;

(3) The verification methods and credentials used to verify the identity of the remotely located individual; and

(4) Electronic records presented for remote notarization, if applicable;

N. Is capable of securely creating, storing, accessing and reproducing a copy of an electronic recording of the remote notarial act. and

O. For remote notarization of electronic records, provides an electronic verification or audit trail of the electronically notarized document that is accessible to all parties involved in a notarial act that is performed remotely.

3. Approval process for communication technology providers

The process for review and approval of applications by communication technology providers is the same as described in section 5, subsection 3 of this rule for providers of electronic notarization technology.

4. Ongoing obligations of communication technology providers

Providers of communication technology for remote notarization have the same ongoing obligations as those specified in section 5, subsection 4 of this rule for providers of technology for electronic notarization.

5. Denial, non-renewal, suspension, termination or revocation of approval for a communication technology provider

The filing of complaints, handling of investigations, and the grounds upon which the Secretary of State may deny, refuse to renew, suspend, terminate, or revoke approval of a provider of communication technology for remote notarization in the State are the same as described in section 5, subsection 5 of this rule for providers of technology for electronic notarization.

After the Secretary of State's denial, non-renewal, suspension, termination or revocation of a technology provider’s approval, the provider shall not deny any notarial officer registered with the provider access to the notarial officer’s electronic signature, official seal and records stored by the technology provider on behalf of the notarial officer.

6. Service of process fee

By making its communication technology or identity proofing available for use in remote notarization in this State, and by providing storage for audio-visual recordings of remote notarizations, a technology provider appoints the Secretary of State as the provider’s agent for service of process in any civil action in this State related to a remote notarization pursuant to 4 M.R.S. § 1915(15). The fee for the Secretary of State to accept service of process shall be twenty dollars ($20).

Notice by Notarial Officer of intent to perform remote notarization

Contents of notice. Before performing a remote notarization for the first time, a notarial officer must submit written notice to the Secretary of State in a format prescribed by the Secretary of State and must include the following information:

(1) The name of the provider(s) of communication technology approved by the Secretary of State that the notarial officer intends to use for remote notarization;

(2) Certification from the communication technology provider the notarial officer intends to use, confirming that the notarial officer has received training on the use of that technology for remote notarization and has been approved as a user of that technology; and

(3) A declaration by the notarial officer that the officer has read and understands the requirements of 4 M.R.S. chapter 39 and this rule regarding remote notarization.

If the notice is deemed incomplete by the Secretary of State, the notarial officer shall be notified of the deficiencies and have the opportunity to resubmit it. The notice is not valid until it is accepted by the Secretary of State.

B. Authority to perform remote notarization. In addition to submitting written notice to the Secretary of State in accordance with section 6, subsection 8, paragraph A of this rule and accepted by the Secretary of State, a notary public applying to perform remote notarizations must have a valid notary public commission, and an attorney-at-law must be duly admitted and eligible to practice law in the courts of this state.

C. Amending the notice. After submitting written notice under section 6, subsection 8, paragraph A to the Secretary of State, a notarial officer must amend the notice to include any change in communication technology providers, including but not limited to identifying any new or additional technology providers. Such amended notice must be submitted to the Secretary of State within 10 business days of making the change.

D. Termination of authority. The notarial officer’s authority to perform remote notarizations automatically expires upon the occurrence of any of the following:

(1) The notarial officer is a notary public and the notary public’s commission expires, is revoked, suspended or terminated by the Secretary of State;

(2) The notarial officer is a notary public and the notary public resigns their commission;

(3) The notarial officer is a notary public and the notary public is no longer a Maine resident and no longer has a place of employment or a business in this State;

(4) The notarial officer is no longer authorized to perform notarial acts pursuant to 4 M.R.S. § 1910; or

(5) The Secretary of State revokes or terminates approval of the technology provider whose technology the notarial officer is using to perform remote notarization unless the notarial officer is approved to use another technology provider.

E. Exemptions. The requirements for remote notarization in this rule do not apply to a judge, justice, clerk or deputy clerk of any court in Maine who is performing a notarial act for a remotely located individual in the course of performing exclusively judicial functions pursuant to statute, or rules or administrative orders adopted by the Maine Supreme Judicial Court. The requirements for remote notarization in this rule also do not apply to a court reporter in Maine administering the oath to a witness in a deposition conducted pursuant to the rules of procedure adopted by the Maine Supreme Judicial Court or the federal courts.

Requirements for performing remote notarization

General procedure. When performing a remote notarization, the notarial officer must:

Use a device with a camera and microphone and ensure that the remotely located individual is also using a device with a camera and microphone so that real-time audiovisual communication is occurring;

Use only a communication technology provider and identity proofing method approved by the Secretary of State and identified in the notice provided by the notarial officer to the Secretary of State;

Proceed with the remote notarization only if the notarial officer determines that they have a reliable internet connection with the remotely located individual to enable the notarial officer to perform the remote notarization in compliance with 4 M.R.S. Chapter 39 and these rules;

Recite information sufficient to identify the notarial officer, the officer’s authority to act, the type of notarial act to be performed, the name of the remotely located individual for whom the notarial act is being performed, and the date, time, and location of the notarial act at the commencement of the notarial proceeding;

Reasonably identify the remotely located individual by one or more of the following methods:

The notarial officer’s personal knowledge of the remotely located individual through dealings sufficient to provide reasonable certainty that the individual is the person they claim to be;

Satisfactory evidence of the remotely located individual’s identity provided by using at least 2 different types of identity proofing as described in this rule; and

By verification on oath or affirmation of a credible witness appearing before the notarial officer who is known to the officer or whom the officer can identify using at least 2 different types of identity proofing as described in this rule;

(6) Cease the remote notarization procedure and restart it from the beginning if:

(a) the remotely located individual, any required witness or the notarial officer exits or disconnects from the communication technology before completion of the notarial act;

(b) the audio or visual feed is interrupted or terminated for any reason; or

(c) the notarial officer believes the process has been compromised and cannot be completed in accordance with applicable legal requirements;

(7) Create an audiovisual recording of the remote notarization, including in the recording the statements required in section 6, subsection 9, paragraph A, subparagraph 4 of this rule, a statement by the notarial officer explaining the methods by which the officer has identified the remotely located individual for whom the notarial act is being performed pursuant to section 6, subsection 9, paragraph A, subparagraph 5 of this rule, and, with respect to a tangible record not physically present before the notarial officer, record the individual signing the record and the written declaration required pursuant to 4 M.R.S. § 1915(5);

Acknowledgment of a tangible record. When a notarial act involves taking an acknowledgment of a remotely located individual’s signature on a tangible record, the notarial officer must adhere to the following procedures:

If the tangible record is physically present before the notarial officer, the officer must display the record to the remotely located individual and have the individual identify the record during the audiovisual recording;

If the tangible record is not physically present before the notarial officer, the remotely located individual must make the declaration described in 4 M.R.S. § 1915(5); and

If the remotely located individual is located outside the territorial boundaries of the United States, the record may be acknowledged only if it meets the requirements of 4 M.R.S. §1915(3)(D).

Any tangible record signed and notarized remotely must include a statement that the notarial act was performed remotely using communication technology approved by the Secretary of State.

Administration of an oath. The notarial officer may administer an oath or affirmation to a remotely located individual in accordance with 4 M.R.S. § 1915(8).

Retention of recording. The audiovisual recording of the remote notarization required under section 6 of this rule must be retained for a period of at least 10 years.

Notarial certificate for electronic record. If a remote notarization involves an electronic record, a notarial certificate must be attached to or logically associated with that electronic record in a tamper-evident manner in accordance with 4 M.R.S. § 1916(6).

Journal required. The notarial officer must record each remote notarization in the notarial officer’s journal, which must be retained under the notarial officer’s sole control. A journal in an electronic format must be tamper-evident, backed up in a secure manner, and only accessible through the use of passwords or other secure means of authentication under the control of the notarial officer.

SECTION 7: REQUIREMENTS FOR OFFICIAL NOTARY PUBLIC STAMP

When a notary stamp is to be used by a notary public commissioned by the Secretary of State, the stamp must be a rectangular or circular stamp and contain the notary public’s name as it appears on their commission, the words “Notary Public” and “State of Maine” or “Maine” and the commission expiration date. The stamp must be capable of being copied together with the record to which it is affixed or attached or with which it is logically associated, pursuant to 4 M.R.S. § 1918(2).

SECTION 8: CERTIFIED COPIES

A notarial officer is not authorized to make any certified or attested copies of public records or vital records. A notarial officer may not certify a copy of any document that states on its face that it is illegal to make copies of the document.

SECTION 9: PROTESTS OF NEGOTIABLE INSTRUMENTS

A notarial officer shall not make or note a protest of a negotiable instrument unless the notarial officer is an employee of a financial institution acting in the course and scope of the notarial officer’s employment with the financial institution.

History

• STATUTORY AUTHORITY: Title 4 Section 1928; Title 4 Section 1915(13) (Revised Uniform Law on Notarial Acts)
• EFFECTIVE DATE: July 5, 2023 – filing 2023-101 (Emergency)
• EFFECTIVE DATE: October 2, 2023 – filing 2023-184
• NONSUBSTANTIVE CORRECTION: December 12, 2024
• APAO ACCESSIBILITY CHECK: July 23, 2025
• APAO ACCESSIBILITY CHECK (Word): April 8, 2026

Chapter 720 Rules Governing the Licensing of Marriage Officiants who are Authorized to Solemnize Marriages in Maine

Code Me. R. 29-250 Ch. 720 Rules Governing the Licensing of Marriage Officiants Who Are Authorized to Solemnize Marriages in Maine {#sec-29-250-ch.-720 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 720}

SUMMARY:

This rule implements the provisions of Title 5, section 90-G regarding the licensing of marriage officiants who are thereby authorized to solemnize marriages in Maine pursuant to Title 19-A, chapter 23.

SECTION 1: ELIGIBILITY FOR A MARRIAGE OFFICIANT LICENSE

General eligibility requirements. To qualify for a marriage officiant license to solemnize marriages in this State, an individual must:

Be at least 18 years of age;

Be a resident of this State;

Demonstrate an ability to read and write the English language; and

Demonstrate an understanding of the laws and rules governing marriages in this state under Title 19-A chapter 23.

For purposes of this rule, being a “resident of this State” means having established a fixed and principal home in the State of Maine, to which the individual, whenever temporarily absent, intends to return.

2. Requirements for a commissioned notary public. An individual who has a valid commission as a notary public issued by the Secretary of State and is a resident of this State is automatically eligible for a marriage officiant license.

SECTION 2: APPLICATION PROCESS

General Application. A resident of this State who is at least eighteen years of age may apply to the Secretary of State to obtain a license to serve as a marriage officiant authorized to solemnize marriages in the State. The application must be submitted on a form designed by the Secretary of State and must contain the following information:

Full legal name of the applicant;

Applicant’s date of birth;

Applicant’s residence address;

Applicant’s contact information, including mailing address, telephone and email address; and

Applicant’s answers to questions regarding the obligations of a person solemnizing marriages in Maine pursuant to 19-A M.R.S. chapter 23.

The application must be submitted with the application fee prescribed by 5 M.R.S. § 86.

2. Notary public. A resident of this State who applies for a notary public commission does not need to file a separate application for a marriage officiant license but instead must indicate on the notary application form if the notary declines to have a marriage officiant license issued along with the notary commission. If the applicant for a notary public commission declines and later wishes to become authorized to solemnize marriages, the individual must file a separate application for a marriage officiant license.

SECTION 3: ISSUANCE OF LICENSE AND PUBLIC LISTING OF LICENSEES

License. If the Secretary finds an application to be complete and finds that the applicant satisfies the criteria set forth in section 1 of this rule, the Secretary shall issue a marriage officiant license to the applicant.

Notary public. A notary public with a valid commission issued by the Secretary of State who is a resident of this State shall be issued a marriage officiant license for the remaining term of the notary public commission unless the notary public submits written notice to the Secretary of State on a form prescribed by the Secretary of State declining to be licensed as a marriage officiant. A notary public who declines and later wishes to become authorized to solemnize marriages must file a separate application for a marriage officiant license pursuant to section 2, subsection 1 of this rule.

3. Public list of licensees. After a license has been issued, the licensee’s name, residence address and contact information will be posted on the Secretary of State’s publicly accessible web site.

SECTION 4: TERM OF LICENSE

For a licensee who is also commissioned as a notary public, a marriage officiant license is valid for the term of the notary public commission. For all other licensees, a marriage officiant license is issued for a period of 7 years.

SECTION 5: LICENSE AMENDMENTS

Obligation to notify Secretary of State of changes to licensing information. Within 30 calendar days of the occurrence of any change to the licensee’s legal name, physical address, or contact information on file with the Secretary of State, the licensee must notify the Secretary of State of the change by submitting the form prescribed by the Secretary of State and made available on the Secretary’s website.

Issuance of amended license. If the licensee’s legal name or municipality of residence has changed, the Secretary of State shall issue an amended license reflecting the change, which shall remain in effect for the term of the license being amended unless there is a further change to the licensee’s information before that expiration date. The licensee shall remain authorized to solemnize marriages while awaiting receipt of the amended license.

SECTION 6: LICENSE RENEWAL

Notice of expiration. The Secretary of State will provide written notification to the licensee at least 30 calendar days prior to the expiration date on the marriage officiant license. Notice will be sent to the email address on the most recent license application or amended information on file with the Secretary of State. If the licensee does not have an email address, the notice will be sent by U.S. Postal Service, regular first-class mail to the address on file for that licensee. Failure of the licensee to receive the notice does not delay or extend the expiration date of the license.

Renewal application. A licensee who wishes to continue to be licensed as a marriage officiant must submit the renewal application to the Secretary of State on a form prescribed by the Secretary of State before the expiration date on the current marriage officiant license. The application must include the information required in section 2 of this rule.

Renewal of license issued with notary commission. A marriage officiant license issued to a notary public along with the notary’s commission will automatically renew upon renewal of the notary public commission unless the notary public indicates on the application to renew the notary commission that the notary declines to be licensed as a marriage officiant.

Deadline for filing. If the licensee fails to file a renewal application before the expiration of the current marriage officiant license, then the license expires, and the licensee is no longer authorized to solemnize marriages until a new marriage officiant license is issued.

SECTION 7: DENIAL, REVOCATION, SUSPENSION OR NONRENEWAL OF LICENSE

Grounds. The Secretary of State may deny, refuse to renew, suspend or revoke a marriage officiant license based on a finding that the applicant or licensee:

A. Does not meet one or more of the criteria set forth in section 1 of this rule;

B. Has failed to comply with any of the statutory requirements for a person solemnizing a marriage set forth in 19-A M.R.S. chapter 23; or

C. Has failed to comply with any provision of the statute or rules governing notaries public if the applicant or licensee is a notary public.

Notice of Hearing. Before issuing a denial, suspension or revocation of a marriage officiant license, the Secretary of State shall provide written notice to the applicant or licensee with an opportunity to request a hearing pursuant to the Maine Administrative Procedure Act, Title 5, chapter 375, subchapter 5.

Decision. After hearing, the Secretary shall issue a final written decision, which may be appealed to Superior Court pursuant to 5 M.R.S. chapter 375, subchapter 7.

SECTION 8: VOLUNTARY SURRENDER OF LICENSE

A licensee may voluntarily surrender their license at any time by submitting written notice to the Secretary of State of the intent to terminate their authority to solemnize marriages. The marriage officiant license shall no longer be valid as of the date of the written notice. Upon submission of the written notice, the licensee must return their license certificate to the Secretary of State.

History

• STATUTORY AUTHORITY: Title 5 Section 90-G
• EFFETIVE DATE: July 5, 2023 – filing 2023-102 (Emergency)
• EFFETIVE DATE: October 2, 2023 – filing 2023-185
• APAO ACCESSIBILITY CHECK (Word): April 8, 2026

Chapter 800 Procedures for the Electronic Filing of Rules

Code Me. R. 29-250 Ch. 800 Procedures for the Electronic Filing of Rules {#sec-29-250-ch.-800 omnilex-key=us-me-regs-official--dept-secretary-state--29-250 Ch. 800}

SUMMARY: This rule establishes the procedures for filing proposed and adopted agency rules and supplemental documentation in electronic format with the Bureau of Corporations, Elections, and Commissions, Division of Elections and Administrative Procedure Act.

SECTION 1. DEFINITIONS

For the purposes of this rule, the terms listed below are defined as follows unless otherwise specified in the rule.

Adoption documentation. “Adoption documentation” means any documentation designated by the Secretary of State that is to accompany an adopted rule filed with that office, as required by this rule.

Agency. “Agency” has the same meaning as in 5 M.R.S. § 8002(2).

Electronic format. “Electronic format” means in Microsoft Word (docx or later), Adobe portable document format (.pdf), or other file type approved by the Secretary of State.

Electronic signature. “Electronic signature” means an electronic image of the signing individual’s signature that the signing individual affixes or authorizes to be affixed to an electronic record, provided that the Secretary of State may authorize other acceptable forms of electronic signatures.

Electronically received. “Electronically received” means received by the email or other electronic account authorized to receive the filing, regardless of whether the filing is received during business hours, is received on a business day, or has been viewed by the account owner.

Legislative format. “Legislative format” means the manual striking through of text to be deleted from a rule and the manual underlining of text to be added to a rule.

Maine Administrative Procedure Act (“MAPA”). “Maine Administrative Procedure Act” is the law codified in the Maine Revised Statutes at 5 M.R.S. Chapter 375.

Proposal documentation. “Proposal documentation” means any documentation designated by the Secretary of State that is to accompany a proposed rule filed with that office, as required by this rule.

Secretary of State. “Secretary of State” means the Department of the Secretary of State, Bureau of Corporations, Elections, and Commissions, Division of Elections and Administrative Procedure Act.

SECTION 2. ELECTRONIC FILING OF PROPOSED RULES AND PROPOSAL DOCUMENTATION WITH THE SECRETARY OF STATE

In accordance with the MAPA, an agency shall file with the Secretary of State in an electronic format each rule an agency proposes, as well as other proposal documentation required or furnished by the Secretary of State.

The proposed rule and the proposal documentation must be electronically transmitted to the Secretary of State by one of the following means:

1. Via email originating from the agency’s authorized domain (e.g., @maine.gov);
2. Via an agency’s authorized filesharing platform (e.g., OneDrive); or
3. Via another reliable means approved by the Secretary of State.

The marked-up version of the electronic proposed rule must be submitted in either legislative format or using the track changes tool in Microsoft Word.

The proposed rule and proposal documentation must be electronically received by the Secretary of State by the rulemaking proposal filing deadlines established by the Secretary of State.

SECTION 3. ELECTRONIC FILING OF ADOPTED RULES AND ADOPTION DOCUMENTATION WITH THE SECRETARY OF STATE

In accordance with the MAPA, an agency shall file with the Secretary of State in an electronic format each rule the agency adopts, as well as other adoption documentation required or furnished by the Secretary of State.

The adopted rule and the adoption documentation must be electronically transmitted to the Secretary of State by one of the following means:

Via email originating from the agency’s authorized domain (e.g., @maine.gov);

Via an agency’s authorized filesharing platform (e.g., OneDrive); or

Via another reliable means approved by the Secretary of State.

Adoption documentation that requires one or more signatures must bear the electronic signature of each person authorized to provide such.

The marked-up version of the electronic adopted rule must be submitted in either legislative format or using the track changes tool in Microsoft Word.

For the purposes of determining the effective date of an adopted rule, an adopted rule is deemed filed with the Secretary of State on the date when the electronic adopted rule is electronically received by the Secretary of State.

If the electronic adopted rule is sent via email, then the date of filing is that indicated in the email transmitting the rule.

SECTION 4. CONTENT AND FORMAT OF RULES

To the maximum extent feasible, proposed and adopted rules must “use plain and clear English [that] can readily be understood by the general public” and “avoid[]” technical language “to the greatest possible extent.” 5 M.R.S. § 8061.

Proposed and adopted rules must be organized in a logical manner that is understandable to members of the public.

History

• STATUTORY AUTHORITY: 5 M.R.S. § 8056(8)
• EFFECTIVE DATE (EMERGENCY VERSION): October 20, 1995
• EFFECTIVE DATE: April 23, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): April 28, 1996
• NON-SUBSTANTIVE CORRECTIONS: October 27, 1997 - Divisional name in heading corrected
• NON-SUBSTANTIVE CORRECTIONS: December 20, 2000 - converted to MS Word, divisional name in heading again corrected, a stray "of" removed in Section 3(1)(D)(7), a stray "to" removed in Section 3(2), formatting, punctuation
• REPEALED AND REPLACED: September 6, 2026 – filing 2026-197
• REPEALED AND REPLACED: Note: Some formatting changes to this document were made on 8/31/2026.

29-255 Maine State Archives

Chapter 1 State and Local Government Agency Records Programs

Code Me. R. 29-255 Ch. 1 State and Local Government Agency Records Programs {#sec-29-255-ch.-1 omnilex-key=us-me-regs-official--dept-secretary-state--29-255 Ch. 1}

SUMMARY: This chapter prescribes policies, standards, and procedures for the economical and efficient management of State records.

1. APPLICABILITY

These rules apply to any unit of State Government or local government, including any state board or commission, and the Legislature and its committees and subcommittees, but not including the judicial branch, the University of Maine System, the Maine Community College System and the Maine Maritime Academy.

2. RESPONSIBILITY FOR ENFORCEMENT

The head of each state agency or designated municipal official shall be responsible for the application and enforcement of these rules.

3. DEFINITIONS

The following definitions are established for terms used in these rules:

"Agency" means any unit of State Government or local government, including any state board or commission, and the Legislature and its committees and subcommittees, but not including the judicial branch, the University of Maine System, the Maine Community College System and the Maine Maritime Academy. For local governments, this term includes a municipality, a quasi-municipal organization (such as a school administrative district, water or sewer district, etc.), an office of county government (such Register of Deeds, County Sheriff, etc.), and offices of District Attorney.

"Archives" means government records that have been determined by the State Archivist to have sufficient value to warrant their continued preservation and that are in the physical and legal custody of the Maine State Archives.

“Inspection” means the review of agency records, records management practices, and records management programs for the purpose of evaluating records management effectiveness and recommending means for the improvement of records management.

“Electronic Record” means a record whose content is not readable unless retrieved by means of an electronic device such as a computer or an audio or video player. An electronic record can be in a structured database or an individual file.

"Record" means all documentary material, regardless of media or characteristics, made or received and maintained by an agency in accordance with law or rule or in the transaction of its official business. This term shall not include extra copies of printed or processed material of which official or record copies have been retained, stocks of publications and processed documents intended for distribution or use, or records relating to personal matters that may have been kept in an office for convenience.

Record includes records of historic and archival value to the State, regardless of the date of their generation, including all documents determined to have such value to the State by statute and, when appropriate, by the State Archivist.

F. "Records creation" means any process that produces any recorded information necessary to conduct the business of an agency.

G. "Records disposition" means the (1) removal by an agency, (in accordance with approved records schedules) of records no longer necessary for the conduct of business by such agency, through removal methods which may include disposal of temporary records by destruction; transfer of records to an approved storage area or records center; and the transfer to the archives of records determined to have sufficient value to warrant continued preservation. (2) Transfer of records from one State agency to another State agency other than the Maine State Archives.

H. "Records maintenance and use" means any activity involved with respect to the (1) planning and establishment of methods for the location of records of an agency; (2) development and implementation of systems and procedures to facilitate the safeguarding, retrieval, and use of recorded information kept at file locations; and (3) the control of selection and use of equipment and supplies associated with records.

I. "Records management" means the application of management techniques: planning, creating policy, directing, organizing, training, and other managerial activities undertaken with respect to records creation, maintenance and use, retention, transfer, preservation and records disposition for the purpose of improving efficiency and productivity, and to make information accessible and cost effective.

Records Management includes:

1. Inventory of agency records;

2. Development of records retention schedules;

3. Management of filing and information retrieval systems in any media;

4. Protection of vital records;

5. Removal/efficient storage of inactive records;

6. Control over the creation and distribution of forms, reports, and correspondence;

7. Maintenance of public information to facilitate access

4. AUTHORITY OF STATE CONTROLLER

The provisions of these rules do not limit the authority of the State Controller with respect to prescribing accounting systems, forms and procedures authorized under 5 M.R.S.A., c. 143.

5. RESPONSIBILITY OF AGENCY HEAD

The head of each agency shall establish and maintain an efficient and continuous records management program which shall focus upon the complete cycle of records creation, maintenance and use, and disposition. The program shall provide for:

A. Effective internal controls over records creation, maintenance and use and disposition, with respect to the conduct of current business.

1. Adequate controls over the creation of agency records shall be instituted to ensure that important policies and decisions are sufficiently recorded; routine operational records in any format are kept to a minimum; and the accumulation of unnecessary files is prevented. Effective techniques to be applied in this area include implementing a biennial agency records inventory for the purpose of: compiling a descriptive list of any and all records within the agency; identifying duplicate files or other non-record materials and historical records requiring preservation; and locating records due for destruction.

2. To ensure that records are maintained economically and efficiently and in such a manner that their maximum usefulness is attained, provision shall be made for the continued analysis and improvement of record retention by reviewing laws and statutes and using the 4-part criteria; administrative, fiscal, legal, historical/archival, to assign record value. Record retention schedules will be reviewed annually and updated as necessary with regards to changes in statute, media format, program closure or other influences that could affect the schedule or retention time.

3. Provision shall be made to ensure that records of continuing value are preserved, that confidential records are protected and records no longer of current use to an agency are promptly disposed of or transferred until final disposition. Effective techniques for accomplishing these ends are the development of records retention schedules; the transfer of records to the records center and to the archives, the microfilming or digitization of appropriate records; and the disposal of records which have already met their retention time or which are non-retention records (non-records).

B. Cooperation with the Maine State Archives in applying standards, procedures, and techniques designed to improve records management; promote the maintenance and security of records deemed appropriate for preservation; and facilitate the segregation and disposal of all records of temporary value.

C. Review and evaluation of agency records management program policies, operations and procedures.

D. Compliance with the Archives and Records Management Law and with the standards, procedures and rules issued thereunder.

6. RECORDS OFFICER

A. The head of each agency shall appoint a Records Officer at the managerial level who shall be responsible under their direct supervision for the economical and efficient management of the records of the agency in compliance with the standards, procedures and rules issued by the State Archivist.

The person chosen as Records Officer shall have a thorough knowledge of the organization including statutes and policies, the specialized functions of the agency, and the general records requirements of the State including:

1. Creating internal guidelines for maintaining and using agency records

2. Creating and updating record retention schedules

3. Directing and informing other agency employees concerning the management of records in their custody.

B. The head of each agency shall appoint an Assistant Records Officer for each organizational unit of the agency who shall be immediately responsible for the exercise of such records management functions as are authorized to be performed within the unit for which they are assigned responsibility and which shall operate within the framework of the overall agency program. State agencies shall report the names of the Records Officer and Assistant Records Officers to the Maine State Archives immediately following their appointment. All official correspondence between the agency and the Maine State Archives concerning the retention and disposal of agency records shall be signed by the head of the agency or by the Records Officer.

7. SUMMARY OF RECORDS HOLDINGS

Each agency head shall submit to the Maine State Archives upon request every two years a summary of its records holdings on appropriate Maine State Archives forms. Instructions for the preparation of the report are set forth on the forms. The summary may be consolidated for the entire agency, or, if more practical, individual reports may be submitted for each organizational unit of the agency.

8. AGENCY PROGRAM EVALUATION

Agency programs will be inspected periodically by the Maine State Archives to:

A. Determine agency compliance with the Archives and Records Management Law.

B. Determine agency observance of Maine State Archives rules.

C. Evaluate and report on the effectiveness of agency records programs.

9. AGENCY PROGRAM RESPONSIBILITIES

The head of each agency shall comply with the program requirements set forth in this section.

A. Agency Records Management Policy/Procedure

Effective recordkeeping requirements include clear guidance for all employees on how to determine what constitutes records, non-record materials, and personal files. Agencies should ensure adequate and proper documentation of their programs; establish recordkeeping requirements for their programs; issue policies and procedures for the following: organizing, maintaining, and storing records; retention of drafts; public access requests; confidential records, protection of vital records and historical records and disaster recovery measures.

B. Records Maintenance and Use

Specific management of agency records including correspondence, reports, drafts, forms, directives, files and electronic records.

1. The objectives of correspondence management are to limit correspondence to essential requirements, to improve the quality of necessary correspondence, and to provide for its creation in an economical and efficient manner.

Correspondence is a generic term including letters, form letters, memorandums, endorsements, summary sheets, post cards, and other communications in any media format.

2. The primary objective of reports management is to provide agency officials with needed information, effectively, efficiently, economically and in the most useable format.

A report is data or information, generally summarized, transmitted for use in determining policy; planning, controlling, and evaluating operations and performance; and preparing other reports. The data or information may be in narrative, statistical, graphic, or other form. Most reports are generally the product of an information system serving a specific administrative or operational area, such as personnel, budget or purchasing.

3. The primary objective of drafts management is to ensuredocuments such as drafts and working files for reports, special studies, memorandums, and correspondence that support major program policy development are incorporated into office files as applicable and routine program operations or items containing only corrections or editorial or stylistic changes are disposed of as nonrecord materials.

Draft documents and working papers are records but may only need to be retained for a brief period of time if they do not have significant administrative, legal, fiscal or historical value.

Agencies should evaluate the documentation practices of senior administrators and staff, especially those who manage unique agency programs and develop policy, to ensure adequate documentation is preserved. Special attention should be given to drafts, working files or other background materials that may contain information needed to supplement finalized records. Drafts and working papers proposing options or alternatives and their implications in the development of high-level policies and decisions or that document findings or support recommendations should be evaluated for retention and potentially retained with finalized record. Drafts that may be immediately discarded following the creation of a new draft are those containing only minor non-substantive changes such as correction of grammar and/or spelling or minor “word-smithing.”

4. The objectives of forms management are to increase the usefulness of forms through proper design and procedures; to reduce costs; and to achieve savings in designing, storing, and distribution.

A form is any document, including letters, or other memorandums, in any media format with space for filling in information, descriptive material, or addresses. Certain items without fill-in space, such as contract provisions, and instruction sheets may be considered as forms when it is advantageous to identify and control them as forms for purposes of reference, stocking, distribution, and use with other forms.

The following actions will assist in implementing a forms management program:

a. Establish and maintain an inventory of all agency forms;

b. Assign a form number and edition date to each approved form;

c. Require that each form be supported by a directive setting forth instructions for preparing, submitting, and using;

d. Eliminate or update obsolete forms.

5. The objectives of directives management are to facilitate agency administration and operations by providing the right employee with the right instructions; by producing instructions that are complete, easily understood, readily accessible, and revisable; and by developing and distributing instructions promptly and economically. Both internal and external directives are included in a directives management program.

A directive is a written communication which initiates or governs action, conduct, or procedure. Directives include circulars, notices, regulations, orders, and handbooks, and include material for insertion in policy, administrative, and operations manuals. (Certain materials are usually exempted such as professional publications, news releases and announcements of programs, catalogs, and price lists.)

6. The objectives of files management are to organize agency files so that needed records can be found rapidly, complete records are ensured, the selection and retention of records of permanent value are facilitated, and the disposition of noncurrent records is accomplished promptly. All services shall be performed with maximum economy in personnel, equipment, and supplies.

A file is a series of recorded information regardless of physical form or characteristics, accumulated or maintained in filing equipment such as boxes or shelving or within digital holdings such as documents, spreadsheets or databases. Stocks of publications and blank forms are excluded.

The head of each agency shall establish an appropriate program for the management of agency files. The program shall:

a. Establish and implement standards and procedures for classifying, indexing, and filing records; providing reference services to filed records; and locating active files to facilitate agency use of records;

b. Design standards, guides, and instructions for the files management program for the purpose of easy reference and revision and to make readily available to all employees.

c. Periodically audit a representative sample of the files for duplication or misfiles.

7. The objectives of electronic records management are to insure that a program is established for the management of records created, received, retained, used, transmitted, or disposed on electronic media; that procedures are established for addressing records management requirements, including retention requirements and disposition; that electronic records management objectives, responsibilities, and authorities are incorporated in pertinent agency directives.

The head of each agency shall establish an appropriate program for the management of electronic records. The program shall:

a. Have the capability for preserving any electronic record for its full retention period; or, there must not be any system impediments that prevent migrating the record to another electronic records system, in as complete a form as possible;

b. Sufficiently identify records created in electronic format to enable agency staff to retrieve, protect, and carry out the disposition;

c. Ensure that any electronic records can be identified that are part of a records series maintained in multiple records media such as paper, microform, etc.;

d. Establish policies and procedures to ensure that an electronic state record and any software, hardware, and/or documentation, including maintenance documentation, required to retrieve and read the electronic records are retained as long as the approved retention periods;

e. Establish policies and procedures to ensure electronic mail is kept appropriately to maintain the integrity of the record.

f. Establish policies and procedures to ensure social media and website information are kept appropriately to maintain the integrity of the record.

C. Approval required in certain circumstances

State agencies must get approval from the State Archives before purchasing or initiating new document management systems and databases to ensure proper compliance and sustainability.

The agency head, or their designee, must submit a proposal in writing to the State Archives outlining, at a minimum, the reason for the new system or database, what records will be impacted, and the desired vendor.

The State Archives shall provide a written response and explanation to the proposal within a reasonable time.

10. RECORDS RETENTION SCHEDULES

Title 5 §95-C requires that all state and local government records be covered by retention schedules. This includes records that never leave the creating agency's custody.

A. Records scheduling programs for State government agencies

A records scheduling program is essential to promote a prompt and orderly reduction in the quantity of records in each State agency.

1. Four basic elements are present in a records scheduling program:

a. The taking of a complete inventory of the records in the custody of the agency;

b. The formulation of a retention plan to govern disposition of each type or series of records and its statement in the form of a records retention schedule;

c. The application of the records retention schedule to effect the elimination or removal of records;

d. The identification and selection of permanent records in accordance with this records retention plan.

2. The following steps shall be taken in the development of records retention schedules:

a. Each State agency shall formulate a records retention schedule for all records in its custody.

b. Schedules shall clearly identify and describe the series of records covered, and shall contain instructions that, when approved, can be readily applied. Schedules must, be readily adaptable to use along organizational lines, so that each office will have standing instructions for the disposition of records in its custody.

c. All schedules shall take into account the actual filing arrangements in existence, so that disposition of records can be physically accomplished in the largest blocks possible.

d. Nonrecord materials, such as extra copies of documents preserved for reference that need not be made a matter of record, shall not be incorporated in the official files of the agency. To the maximum extent possible, material not required for record purposes shall be disposed of immediately or as soon as no longer necessary.

e. Schedules shall be reviewed at least once annually to effect changes necessary to maintain their current status.

3. Records retention schedules shall provide for:

a. The disposal after minimum retention periods of those records not having sufficient value to justify their further retention;

b. The removal to a Records Center of those records which need not be maintained in office space and equipment;

c. The retention as current records in office space and equipment of the minimum volume of records consistent with efficient operation;

d. The identification of permanent records in accordance with the record retention plan.

4. The head of each State agency shall take necessary action to implement records retention schedules to provide for the maximum economy of space, equipment, and personnel and efficiency of access.

5. Applicable Federal retention and disposition schedules shall govern the disposition of records created or maintained by State agencies pursuant to Federal law or regulation. The head of each agency shall advise the Maine State Archives of pertinent Federal disposition schedules governing the disposition of such records.

B. Approved State general records schedules

General records schedules shall be issued by the Records Management Division and the State Archivist to govern the retention and disposition of certain types of records common to all State agencies.

C. Records scheduling programs for local government agencies

A records scheduling program is essential to promote a prompt and orderly reduction in the quantity of records in each local government agency.

1. Three basic elements are present in a records scheduling program:

a. The taking of a complete inventory of the records in the custody of the agency.

b. The application of the Local Government Record Retention Schedules to effect the elimination or removal of records.

c. The identification and selection of permanent records in accordance with this records retention plan.

2. The Local Government Record Retention Schedules shall provide for:

a. The establishment of retention requirements for temporary records and ensure records are retained as long as needed for administrative, legal and fiscal purposes.

b. The facilitation of the systematic disposal of unneeded records.

c. The assurance records with enduring historical and other research value are identified and retained permanently.

3. Designated municipal officials shall take necessary action to implement the Local Government Record Retention Schedules to provide for the maximum economy of space, equipment, and personnel and efficiency of access.

4. Local Government Record Retention Schedules shall be used by all local governments and their agencies and offices. The schedules list those records which any local agency may create or receive in the course of daily business. For a local agency to be compliant and have an effective records management program, these retention schedules shall be used on a regular basis.

5. Local Government Record Retention Schedules indicate the minimum length of time records must be retained before they may be disposed of legally. The Local Government Record Retention Schedules indicates either 1) a limited period after which the records will be destroyed, or 2) the word "Permanent," indicating the records may not be destroyed and must be retained permanently.

11. AGENCY RECORDS STORAGE

A. Agency records storage areas (temporary repositories)

Agencies may maintain storage areas for the temporary storage of agency records pending their transfer to a Records Center or other disposition authorized by law. No agency records storage area shall be established or relocated by an agency without the prior approval of the Maine State Archives.

Each temporary storage area shall:

1. Provide security to prevent the loss of records both in storage and in reference areas. This shall at a minimum include locks on all doors and windows, plus an intruder alarm system, a fire alarm system and fire suppression system.

2. Provide storage facilities situated in a physically safe location (i.e., not located in a flood plain; not located next to a hazardous chemical storage area; etc.). These facilities should have heating/ventilation/air conditioning capable of maintaining temperatures between 60 and 70 degrees Fahrenheit, and of holding relative humidity to less than 50 percent.

3. Show evidence of a capacity to care for the records by providing evidence 1) of a mission statement; and 2) that a person who cares for the records has had basic archival training, such as a workshop approved by the Maine State Archives, formal education, or related experience.

4. To store confidential records, the institution also must show evidence that it has staff capable of maintaining confidentiality in accordance with policies of state government agencies.

B. Local government vault for permanent records

State law requires each local government to have a fireproof safe or vault to protect permanently valuable records. Fires in several towns provide a reminder about the perils of not protecting critical records. 5 M.R.S.A. §95-B. (provisions for local government records) states the following: “Safe or vault for preservation. Each local government shall provide a fireproof safe or vault for the preservation of all records that must be retained permanently but are not required for business purposes. The official having responsibility for those records shall deposit them in the safe or vault where those records must be kept except when required for use.”

12. TRANSFER OF RECORDS

A. Transfer of State records to the State Records Center

1. The following procedures govern the transfer of State records to the State Records Center. Such procedures are detailed in Chapter 2: State Records Center Facilities and Services .

a. The Records Center will accept for transfer any records offered by State agencies, subject to the following conditions: (1) The records are not authorized for immediate disposal and transportation costs are not in excess of the resulting savings; (2) Facilities for storing and providing reference service on the records are available; and a request for a records retention schedule is submitted prior to the proposed transfer.

b. Priority will be given to the removal of records from office space, from space convertible to office use, from leased space, and from filing equipment which can be reused.

c. Transfers may be initiated by written request to the Maine State Archives/Records Management Division. Requests shall specify the nature and quantity of the records proposed for transfer.

d. Transfers shall be accompanied by appropriate records transmittal forms. Records shall be transferred in archival boxes approved by the Maine State Archives/Records Center.

e. The Records Center will furnish agencies with a receipt acknowledging the transfer of records by returning to the transferring agency a signed copy of the transmittal form (required by subparagraph d above). The returned copy will serve as a future aid in requesting reference services.

2. Restrictions lawfully imposed on the use of records will be observed and enforced by the State Records Center. Requests for access to state records in the physical custody of the Records Center shall be denied unless the state agency having legal custody of the records provides written authorization.

3. Records of State agencies stored by the State Records Center will be disposed of in accordance with the agency disposition schedule.

B. Transfer of State records to the Maine State Archives

1. Records which are considered of permanent value and which are on an approved records retention schedule, may be directly transferred to the Maine State Archives.

2. Use of records transferred to Archives

Restrictions lawfully imposed on the use of transferred records will be observed and enforced by the Maine State Archives. The rules, insofar as they concern the use of records in the search room of the Maine State Archives, apply to official use of the records by State agencies as well as to the public. Archives may not be borrowed for use outside the Maine State Archives facility, except in accordance with Maine State Archives rules.

3. Ownership of archival records

All archival state records transferred to the custody of the Maine State Archives in accordance with Title 5 M.R.S.A. Chapter 6 become the property of the Maine State Archives.

4. Public inspection of archival records

In accordance with Title 5 M.R.S.A. Chapter 6 §95, any restrictions or limitations imposed by law on the examination and use of records transferred to the archives (being under the authority of the Maine State Archives, not the creating agency), remain in effect until the records have been in existence for 75 years, at which time these records become available for public inspection.

C. Interagency transfer of State records

No records shall be transferred from one agency to the custody of another without the prior written approval of the Maine State Archives except as provided in paragraph 4 of this subsection.

1. The head of an agency may request the transfer of records to or from his agency. Approval shall be requested by letter addressed to the Maine State Archives, in which are included:

a. A concise description of the records to be transferred, including the volume in cubic feet.

b. A statement of the restrictions imposed on the use of records.

c. A statement of the number of reference requests per month made on the records, with information as to the agencies and persons using the records and the purpose of such use.

d. A statement of the number of persons, if any, assigned to the administration of the records.

e. A statement of the current and proposed physical and organizational locations of the records.

f. information as to why the proposed transfer is in the best interests of the Government.

2. Copies of the concurrence or nonconcurrence in the transfer by the heads of any agencies concerned shall be attached to the agency request.

3. Records of agencies whose functions are terminated or are in process of liquidation shall be transferred to the Maine State Archives in accordance with law.

4. Prior written approval of the Maine State Archives is not required:

a. When records are transferred to the Records Centers or the Archives.

b. When records are loaned for official use.

c. When the transfer of records or functions or both is required by statute, or Legislative or Judicial order, or by specific determinations made thereunder.

D. Alternative institutional placement for local government records

1.Records may be deposited and retained with an alternative institution upon approval from the Maine State Archives. The local government agency shall retain legal custody of these records and ensure they are not alienated from the institution except for placement, with approval of the local government agency, in another approved institution or for authorized destruction. The local government agency may regain possession of records deposited in an authorized institution at any time.

Local government agencies shall enter into a written agreement with the institution ensuring that:

a. Issues of custody, regaining possession, security, preservation, and access are clarified;

b. The institution will, if applicable, comply with policies and directives of the local government agency governing confidentiality and preservation of records in accordance with state and federal law;

c. The institution will provide storage facilities capable of preserving records at least as well as those available to the local government agency.

A copy of this agreement shall be sent to the State Archivist for formal approval before any records are deposited at the alternative institution.

2.To become approved, the institution must meet the following criteria:

a. Provide security to prevent the loss of records both in storage and in reference areas. This shall at a minimum include locks on all doors and windows, plus an intruder alarm system, a fire alarm system and fire suppression system. Minimum security shall also include direct supervision of researchers at all times when records are available for access.

b. Provide storage facilities situated in a physically safe location (i.e., not located in a flood plain; not located next to a hazardous chemical storage area; etc.). These facilities should have heating/ventilation/air conditioning capable of maintaining temperatures between 60 and 70 degrees Fahrenheit, and of holding relative humidity to less than 50 percent.

c. Provide reasonable access to the records as required by the Public Records and Proceedings statute (Title 1, Chapter 13). “Reasonable” should at a minimum mean that the facility is open to the public, by regularly scheduled hours or by appointment, at least two days each week throughout the year. There shall be no charge for retrieving or viewing the records, and any charge for obtaining copies shall be limited to the organization’s actual cost to produce such copies. However, if the organization’s staff is requested to research the records for the requestor the organization may charge any fee that it would normally require for research services.

d. Show evidence of a capacity to care for the records by providing evidence 1) of a mission statement; and 2) that a person who cares for the records has had basic archival training, such as a workshop approved by the Maine State Archives, formal education, or related experience.

e. Maintain a non-profit corporate status.

f. Notify the State Archivist of any changes in its facilities or policies that relate to the standards described in this section.

h. To accept confidential records, the institution also must show evidence that it has staff capable of maintaining confidentiality in accordance with policies of federal, state and local government agencies.

Maine State Archives staff reserves the right to inspect facilities and/or records before approval is granted, with re-inspection possible at any time after approval. Approval may be revoked by the State Archivist at any time, after notice and opportunity to correct, if standards do not continue to be met.

3.An institution must be approved by the State Archivist as a depository for local government records and/or to accept confidential records before a local government agency may deposit its records with the institution. The State Archivist shall maintain a list of approved institutions.

E. Use of commercial records centers for local government agencies

Local government agencies may use commercial records centers to store their closed records. Before any records are transferred, the commercial records center must be approved in writing by the State Archivist. The following criteria must be met:

1. Security must be provided to prevent the loss of records, both in storage areas and during transfer;

2. Fire suppression must be provided;

3. Stored records may be released only to employees of the local government agency (which shall be responsible for making records available to the public);

4. Only bonded employees of the records center may handle boxes or provide retrieval of records;

5. Access to records must be available within one business day;

6. Emergency reference service must be available within 2 hours or less during normal business hours;

7. Records must be stored in a physically safe facility (i.e., not located in a flood plain; not located next to a hazardous chemical storage area).

Commercial records centers used by local government agencies may be subject to inspection by the Maine State Archives. Local government agencies which use commercial records centers must maintain accurate listings of all records stored.

Commercial records centers used by local government agencies shall be liable for damage, destruction or loss of records, whether in storage at the facility or in transit between the facility and the local government agency's offices.

F. Records of deorganized municipalities

Per MRS Title 30-A, §7302. RECORDS SURRENDERED: Whenever any municipality is deorganized, the municipality shall surrender all its records to the State Archivist.

13. DESTRUCTION OF RECORDS

A. State agency disposal authority

The following guidelines apply for the destruction of State government records:

1. Records must be on approved record retention schedules and be authorized for destruction in accordance with retention and disposition guidelines established by the Maine State Archives.

2. State records may not be destroyed if any active or pending litigation, audit, open records request, or appeal of an open records decision, that involves the records is in question. This applies until the completion of the action and the resolution of all issues that arise from the action, or until the expiration of the retention period, whichever is later.

3. Records must no longer be required under any other legislation, and all statutory and regulatory requirements are fulfilled.

4. Disposal authorizations contained in records retention schedules approved by the Maine State Archives are automatically superseded by approval of a later schedule applicable to the same records.

5. Agency records stored at the State Records Center shall only be destroyed when retention requirements have been fulfilled and a disposition notification has been signed by a Records Officer providing authority to destroy the records. Records stored at the Maine State Archives shall not be destroyed, unless, upon further inspection and agreement by all parties, they are de-accessioned because it is determined they are not of archival value.

B. Local agency disposal authority

The following guidelines apply for the destruction of local government records:

1. A local record may be destroyed by an agency if the record appears on the Local Government Record Retention Schedules approved by the Maine State Archives. Requests for disposition of records not specified in the schedules shall be made in writing to the State Archivist, accompanied by sample copies of the records involved.

2. Local records may not be destroyed if any active or pending litigation, audit, open records request, or appeal of an open records decision, that involves the records is in question. This applies until the completion of the action and the resolution of all issues that arise from the action, or until the expiration of the retention period, whichever is later.

3. Records must no longer be required under any other legislation, and all statutory and regulatory requirements are fulfilled.

4. Local agencies shall keep permanent documentation of final disposition of records, describing records disposed of and manner and date of disposition; providing evidence that records have been disposed of per approved retention schedules.

C. Emergency authorization for the disposal of records

Whenever the head of an agency has determined that records have been contaminated by inflammable or poisonous substances which render them hazardous to health or property, they shall notify the Maine State Archives specifying the nature of the records, their location and quantity, and the nature of the contamination. If the Maine State Archives concurs in the determination, the removal of the contaminated records by the destruction of the records or by other appropriate means will be authorized.

D. Methods of destruction

Agencies shall comply with the following rules governing the methods to be used in disposing of records. Only the methods set forth in this subsection shall be used.

1. Records shall be disposed of with the same level of security that was maintained during the life of the records. Wherever possible, destruction of records shall be supervised by an officer of the agency or by another authorized agent if destruction has been contracted out. Extra care will be given to records containing confidential information. Acceptable methods include shredding, incineration pulping and pulverization.

2. Agencies will receive a certificate of destruction from the contractor as proof of accountability in cases where records that were supposed to be destroyed are subsequently found. This certificate will show the agency is not at fault.

3. Records containing identifiable data must be destroyed in a manner that makes it impossible to reconstruct and read the information. Records and protected information cannot be disposed of without some type of shredding or obliteration. Documents awaiting destruction should be housed in secure collection containers.

4. On-Site: Destruction companies do offer on-site services where trucks with industrial shredders come to the facility to perform the service. A business associate agreement with the destruction company should detail the location of the destruction, method of destruction and require proof of destruction.

5. Off-Site: If the records are destroyed off-site through a destruction company, a business associate agreement should detail the safeguarding practices while the records are in transit, time that will elapse between acquisition and destruction, method of destruction. Proof of destruction must be required.

6. Electronic Records and Information

a. Wherever possible, destruction of electronic records (according to disposition specified on retention schedule) should be supervised by a Records Officer of the agency or by another authorized agent (IT staff).

b. Electronic records must be destroyed in a consistent and systematic manner to comply with approved retention schedules, remove PII, and ensure consistency in case of FOAA, audit or other legal action.

c. Agencies must receive documentation for those electronic records stored through outside vendors (such as cloud storage) to confirm that proper deletion has occurred.

E. Unlawful removal or destruction of records

1. The head of each agency shall establish safeguards against the unlawful removal or loss of records, including making it known to officials and employees of the agency that records in the custody of the agency are not to be alienated or destroyed except in accordance with law; and the penalties provided by law for the unlawful removal or destruction of records.

2. Whoever knowingly and willfully removes any book, record, document, or instrument, belonging to, or kept in any state office, except books and documents kept and deposited in the State Library, or knowingly and willfully secretes, alters, mutilates, defaces or destroys any such book, record, document or instrument, or knowingly and willfully aids or assists in so doing, or, having any such book, record, document or instrument in his possession, or under his control, willfully neglects or refuses to return the same to said state office or to deliver the same to the person in lawful charge of the office where the same were kept or deposited, shall be punished by a fine of not more than $5,000 and by imprisonment for not less than one year nor more than 3 years. (1 M.R.S.A. §452).

14. VIOLATION OF RULES

Violation of any provision of these rules, except those violations for which specific penalties are provided, is a Class E crime.

EFFECTIVE DATE:

September 17, 1979

EFFECTIVE DATE (ELECTRONIC CONVERSION):

April 29, 1996

SPELLING CORRECTIONS:

May 29, 1996 - §3(A), 12(G)(2)

CONVERTED TO MS WORD:

July 11, 2003

REPEALED AND REPLACED:

November 29, 2020 – filing 2020-238

APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025

AMENDED:

October 12, 2025 – filing 2025-193

APAO ACCESSIBILITY CHECK: October 16, 2025 (no accessibility issues detected)

APAO ACCESSIBILITY CHECK (Word):

April 9, 2026

Chapter 2 State Records Center Facilities and Services

Code Me. R. 29-255 Ch. 2 State Records Center Facility and Services {#sec-29-255-ch.-2 omnilex-key=us-me-regs-official--dept-secretary-state--29-255 Ch. 2}

SUMMARY:

This chapter prescribes policies and procedures to govern the custody, use and withdrawal of agency records transferred to State Records Center.

1. APPLICABILITY

These rules apply to any unit of State Government, including any state board or commission, the Legislature and its committees and subcommittees but not including the judicial branch, the University of Maine System, the Maine Community College System and the Maine Maritime Academy.

2. RESPONSIBILITY FOR ENFORCEMENT

The head of each agency shall be responsible for the application and enforcement of these rules.

3. DEFINITIONS

The following definitions are established for terms used in these rules:

A. “Access Card” means authorization issued to agency employees after submission/approval of Application for Records Center Use Cards form to Records Management. This authorization is required for employees to retrieve agency records. Physical cards are no longer issued. Employees are required to use issued access card number when requesting boxes. Access card numbers are not transferable.

B. “Agency” means any unit of State Government, including any state board or commission, the Legislature and its committees and subcommittees but not including the judicial branch, the University of Maine System, the Maine Community College System and the Maine Maritime Academy.

C. “Cardholder” means any employee assigned an access card number from Records Management and given authorization to retrieve agency records. Cardholders may include Records Officers and Assistants.

D. “Closed records” means the current business process of the originating agency has concluded. At this point records would either be destroyed or retention would begin to meet other obligations.

E. “Disposition”means removal, (in accordance with approved records schedules) of records no longer necessary for the conduct of business by such agency, through removal methods which may include disposal of temporary records by destruction and the transfer to the archives of records determined to have sufficient value to warrant continued preservation. It is also the form required (Disposition Notification form) to be signed by agencies before records can be destroyed at the State Records Center.

"Record" means all documentary material, regardless of media or characteristics, made or received and maintained by an agency in accordance with law or rule or in the transaction of its official business. This term shall not include extra copies of printed or processed material of which official or record copies have been retained, stocks of publications and processed documents intended for distribution or use, or records relating to personal matters that may have been kept in an office for convenience.

Record includes records of historic and archival value to the State, regardless of the date of their generation, including all documents determined to have such value to the State by statute and, when appropriate, by the State Archivist.

"Stack areas" means those areas where agency records are physically stored in the Cultural Building and the Records Center Annex in the former Bureau of Alcoholic Beverages and Lottery Operations building

"State Records Center" means facilities maintained by the State Archivist for the storage, security, servicing and other processing of agency records that must be preserved for varying periods of time, but need not be retained at the agency for daily business processes.

“Temporary Records” means semi-current records of government agencies to which they retain legal title and control access and use, but that have been transferred to the physical custody of the State Records Center and retained for evidentiary, legal, financial, or historical purposes, as dictated by the retention schedule.

“Transmittal” means transferring records to the State Records Center or Maine State Archives. It is also the form required (Transmittal of Records form) to be completed by agencies when they are requesting to send records to either facility.

4. STATE RECORDS CENTER FACILITY

Description and Overview

The State Records Center provides safe, environmentally controlled storage for agency records that must be temporarily retained. These are closed records which an agency has infrequent need for but still must be retained to fulfill fiscal, administrative or legal needs per the schedules. State Records Center services are available to all state agencies. All records sent to the State Records Center must be on an approved records retention schedule.

Serves as an off-site storage facility for state agency records that remain under the legal custody of those agencies

Houses only those records that are subject to records retention schedules and have not yet reached the end of their retention period

Stores records based on agency retentions for administrative, fiscal or legal purposes, which are then destroyed (according to schedule)

Only allows the agency of origin to access the records

Delivers records back to the agency of origin upon request

Assigns each box of records a unique bar-code and container number for inventory control, tracking and reference

Hours of Operation

The State Records Center is a closed facility. Any agency wishing to schedule a pick-up / drop-off, box review or other consultation at the State Records Center must schedule a time with staff. Except for holidays and at such other times as may be specified by the State Archivist, agency State Records Center staff are available for scheduling Monday through Friday from 8:00 a.m. to 4:00 p.m.

Surveillance and Maintenance

The Supervisor of the State Records Center shall be responsible for administering effective surveillance against unauthorized persons in the State Records Center facility and for oversight of building maintenance including shelving, storage areas, humidity control, temperature regulation and overall care and protection of physical records.

Agency Records Storage/Alternative Warehouse Facilities (Also captured in Chapter 1)

Agencies may maintain storage areas for the temporary storage of agency records pending their transfer to the State Records Center or other disposition authorized by law. No agency records storage area shall be established or relocated by an agency without the prior approval of the Maine State Archivist.

Each temporary storage area shall:

1. Provide security to prevent the loss of records both in storage and in reference areas. This shall at a minimum include locks on all doors and windows, plus an intruder alarm system, a fire alarm system and fire suppression system.

2. Provide storage facilities situated in a physically safe location (i.e., not located in a flood plain; not located next to a hazardous chemical storage area; etc.). These facilities should have heating/ventilation/air conditioning capable of maintaining temperatures between 60 and 70 degrees Fahrenheit, and of holding relative humidity to less than 50 percent.

3. Show evidence of a capacity to care for the records by providing evidence 1) of a mission statement; and 2) that a person who cares for the records has had basic records management training, such as a workshop approved by the Maine State Archivist.

4. To store confidential records, the institution also must show evidence that it has staff capable of maintaining confidentiality in accordance with policies of state government agencies.

5. TRANSFER OF AGENCY RECORDS TO THE STATE RECORDS CENTER

Records which are considered closed but still need to be retained for fiscal, legal, or administrative reasons may be kept at the State Records Center per an approved Records Retention Schedule. All Records in the State Records Center and all pre-archival records belong to the agencies that created them.

The State Records Center will accept for transfer any records offered by State agencies, subject to the following conditions:

Records must be on an approved Records Schedules before any records are transferred. Agencies must know Schedule and Series numbers, along with other distinguishing information for the records being transferred.

Only those records which have fulfilled any in-agency retention time, which have not already met their full retention time, and which have a specified State Record Center retention time according to approved schedules can be transferred.

Facilities for storing and providing reference service on the records are available.

Procedures for Transfer

• • • 1. The State Records Center will accept only transfers that meet the criteria listed below in Sections 2 and 3. We reserve the right to refuse pickup or delivery if these requirements are not met. This helps us to provide the best possible service to our customer agencies. 2. Agencies must make out a Transmittal of Records Form and send it to recordsmanagement.archives@maine.gov for initial review. Requests shall specify the nature and quantity of the records proposed for transfer. The transmittal form must be completed with all required information and must be signed by an authorized Records Officer or RO Assistant. Mixed year dates on transmittals are not accepted.

3. State Records Center staff will notify the agency once the transmittal is approved and arrange for either a pick-up or delivery date of boxes. State Records Center staff will contact the agency to schedule a delivery date and time. Staff only picks up boxes in the Augusta area.

C. Requirements for Packing Boxes

Boxes must be packed in Archives approved 801 boxes. Boxes are available for purchase from the WB Mason catalog or through WB Mason online.

2. Boxes are to be packed by year, then alphabetically or numerically. Box sets are to be packed representing one year for each transmittal. No three ring binders or hanging file folders will be accepted. Clips, staples, and rubber bands are not recommended, especially for records with long-term storage.

3. Boxes should not be filled to full capacity but allow enough space to include add-on files. Add-on files will be accepted upon consultation with staff. A new box should be made for a large add-on file with a new transmittal, cross referencing the original material. Records Management will also add cross referencing to the original file (box). The agency will notify the State Records Center which transmittal the box should be added to (paying attention to closed last dates).

4. Agencies must complete a packing list and include one in each box transferred to the State Records Center. Agencies should keep a copy for reference purposes.

5. Agencies are to write with a black marker on the outside of each box being transferred, the assigned box number and arrangement (first and last file in the box). State Records Center staff will complete remaining information.

The State Records Center will furnish agencies with a final copy of the transmittal form. The returned copy will include 8-digit location numbers, transmittal number and final disposition dates, which serve as a future aid in requesting reference services.

6. RETRIEVAL OF RECORDS FROM THE STATE RECORDS CENTER

Agencies retain ownership of records they have transferred to the State Records Center. Only authorized access cardholders can request files. (See Section 8 for detailed information on Access) Agencies must direct all requests for reference services through these designated individuals.

Requests for reference services should be transmitted to the State Records Center via the online "Request for Reference Service" form. Inquiries will be answered as quickly as possible; usually, within twenty-four (24) regular business hours after receipt. If/when possible the inquiries and relating materials will be sent via email; if the requested material is too large (too large to be sent through State of Maine servers) it will be sent by mail (inter-office when applicable).

When requesting urgent reference service by telephone, the agency must provide the same type of information as though the request were being submitted on the "Request for Reference Service" form. No restricted information shall be given over the telephone by State Records Center personnel.

When requesting information from transferred records, an agency should clearly define what information is needed and to the extent possible, indicate where this information may be found in the records. The State Records Center can only report on the facts that appear in the records and cannot interpret these facts. If an interpretation is needed, the agency requiring it should either ask to withdraw the record or should arrange to consult the record at the State Records Center.

Agency records may be removed from the State Records Center facility in accordance with established procedures. No agency records shall be loaned to private persons nor to nongovernmental organizations. The means of transmitting withdrawn records is a matter of negotiation between the State Records Center and the transferring agency; this is done via the request form and access card authority. Records retained beyond approved retention periods are in non-compliance. Potential liabilities associated with keeping records beyond established retention schedules (agreed to by the agency and the Maine State Archivist) fall on the agency.

7. DESTRUCTION OF RECORDS STORED AT THE STATE RECORDS CENTER

Agency records stored at the State Records Center shall only be destroyed when retention requirements have been fulfilled and a disposition notification has been signed by a Records Officer providing authority to destroy the records.

Records Management will send a State Records Center Disposition Notification to the agency of record when any records have fulfilled required retention periods per approved schedules. It is the agency’s responsibility to review the disposition and comply with the agreed to schedule or to submit an amendment if records are required longer due to program changes or other legal purposes not previously anticipated.

State records may not be destroyed if any active or pending litigation, audit, open records request, or appeal of an open records decision, that involves the records is in question. This applies until the completion of the action and the resolution of all issues that arise from the action, or until the expiration of the retention period, whichever is later.

The Maine State Archivist reserves the right to return records which have passed their expired retention date by two years. This occurs when any agency refuses to sign off on disposition notifications and makes no attempt at communicating with State Records Center staff and/or revising their retention schedules.

The Maine State Archivist reserves the right to destroy records which have passed their expired retention date by two years for those agencies which become defunct; there are no longer any contact people and no processing information has been forwarded to State Records Center staff. ( For information on Methods of Destruction and Unlawful Removal or Destruction of Records see Chapter 1.)

• 1. ACCESS AND RESTRICTIONS

A. Agency Records

Agency records in the State Records Center may be consulted by persons properly authorized to use the records, subject to any applicable restrictions. Agency records shall be brought to the user insofar as practicable. Anyone allowed access to the facility shall be accompanied by a member of the State Records Center staff.

B. Access to State Records Center

Agency personnel requiring access to the State Records Center for reference purposes must provide their Access Card number. Arrangements must be made in writing in advance and upon approval by State Records Center staff. Proof of identity may be requested from any person requesting access to agency records.

C. Restrictions

Agencies other than the creating or transferring agency, or its successor, shall be subject to such restrictions as may have been imposed by statute or by the particular agency whose records are in the State Records Center. Statutory restrictions on the use of records which are applicable to the agency from which the records were transferred shall be applicable to the State Records Center. Restrictions imposed by agency determination may be removed by agreement between the Maine State Archivist and the agency concerned.

D. Use of Agency Records

Restrictions lawfully imposed on the use of agency records will be observed and enforced by the Maine State Archivist. Agencies shall be responsible for informing the State Records Center of any legal restrictions in effect on the records transferred. State Records Center personnel shall advise persons who wish to inspect agency records in the State Records Center that such records can only be released by the transferring agency; and that access to or the production of particular agency records should be addressed to the agency, not to the State Records Center.

E. State Records Center Responsibility

The Supervisor of the State Records Center shall be responsible for determining whether persons initiating requests for information or documents are entitled to the information or access to the records involved. No reference request will be honored if it conflicts with the restrictions established by the transferring agency or by statute.

9. VIEWING MATERIAL BY USERS WHILE IN STATE RECORDS CENTER FACILITY

Users are responsible for agency records they are viewing while at the State Records Center until the materials are returned to a State Records Center employee. A user’s responsibility for agency records while at the State Records Center are as follows:

• • • 1. Users shall return materials to the State Records Center employee as soon as use of them is completed.

Users shall notify a State Records Center employee before leaving the State Records Center, even for a short period, and before leaving shall replace all unbound records in their proper containers.

Users must keep unbound materials in the order in which they were delivered to them.

Users shall exercise all possible care to prevent damage to agency records furnished to them.

5. Users shall immediately notify a State Records Center employee should damage occur to any records.

10. VIOLATION OF RULES

Violation of any provision of these rules, except those violations for which specific penalties are provided, is a Class E crime.

History

• STATUTORY AUTHORITY: 5 MRS §95-C, sub-1
• RE-ADOPTED: August 31, 1979
• EFFECTIVE DATE (ELECTRONIC CONVERSION): April 29, 1996
• CONVERTED TO MS WORD: July 11, 2003
• AMENDED: November 29, 2020 – filing 2020-239
• AMENDED: July 17, 2023 – filing 2023-108
• APAO ACCESSIBILITY CHECK (Word): April 9, 2026

Chapter 3 Imaging State Records

Code Me. R. 29-255 Ch. 3 Imaging State Records {#sec-29-255-ch.-3 omnilex-key=us-me-regs-official--dept-secretary-state--29-255 Ch. 3}

SUMMARY:

These rules provide (a) standards to be used by State agencies for imaging records; (b) criteria for using digital and microfilm copies; (c) standards for storing digital and microfilm copies of permanent records; and (d) information concerning digital and microfilm services available from the Maine State Archives.

APPLICABILITY

These rules apply to all agencies of State government, including the Executive, Legislative, Judicial, Independent and Quasi-Independent State Entities housing material at BABLO warehouse or have been transferred to the physical custody of the Maine State Archives.

2. RESPONSIBILITY FOR ENFORCEMENT

The head of each agency shall be responsible for the application and enforcement of these rules.

3. DEFINITIONS

The following definitions are established for terms used in these rules:

“Access images” (aka surrogate or derivative) are the user copies of images, those copies that users access in the system. The use copy may be identical to the master in all respects except that it is the copy used by internal and/or external users. If the access images will be retained long term, it is best if they are produced as common long‐term formats with lossless compression (such as TIFF and PDF/A), even if their ppi and/or bit depth is reduced to allow for faster processing on an electronic system. However, access images may be produced in any format desired, so the JPEG and GIF formats are sometimes employed for access images. These guidelines do not set technical specifications for access images, except that such images must be in a universally accessible file format. Since user copies are not to be the copies of record, these images may be enhanced in any way desired to improve legibility or visibility of information.

“Agency” means any Department, Bureau, Division or other branch of State Government.

C. "Archives" means noncurrent government records that have been determined by the State Archivist, with advice from the Archives Advisory Board, to have sufficient value to warrant their continued preservation.

A “backup image” is a copy of any version of an image (master, access, or thumbnail) that is stored off line and outside of the imaging system to protect the images from intentional or accidental destruction or tampering. Every version of every image on an imaging system must be backed up.

“Imaging” for the purpose of these rules will encompass digital capture of documents; while microfilming is sometimes categorized as an imaging process. In some systems, imaging and micrographics technologies are combined to form a hybrid system.

F. “Digital imaging” is the process of converting records on paper or film into electronic images of the original records. The process typically requires a document scanner or digital camera, a computer, and software to capture the image, as well as labor needed for preparing the documents for imaging, indexing the digitized images, and performing quality control steps to ensure the proper conversion of the record.

G. “Duplicate Microfilm” whether positive or negative and regarless of base, emulsion or generation is any microfilm that has been produced by any means of exposure from another microfilm.

H. “Electronic Content Management System (ECMS)” means a system designed to properly manage digitized images and other electronic records, so the Archives recommends an ECMS to capture, store, retrieve, display, and transmit records electronically. An ECMS uses a database to manage descriptive information about the images that aids in the retrieval of records contained in the ECMS repository. Although storage outside of an ECMS is allowed, the Archives does not recommend storing digitized records outside of an ECMS due to the greater chance of accidental deletion of these records and lack of an audit trail to ensure the records’ authenticity.

The “master image” is the one primarily governed by these guidelines, including file format, compression, imaging resolution, image pixel depth, and color mode. The master image will be the copy of record (unless the source paper or film copy is retained), and it will be the one of the highest quality. To ensure there is a satisfactory backup to all master images, master images must always be stored outside an imaging system, even if it is stored within the system as well.

J. “Nonpermanent record” is any record that has been determined by the State Archivist to have a retention period with a destruction date. Retention periods are stated in records retention schedules approved by the Maine State Archives.

K. "Original microfilm" is any microfilm, produced in camera or by digital means, that is to be considered a first generation production regardless of base or emulsion type. Any microfilm that has not been created by means of being copied from an existing roll of film.

L. "Records" means all documentary material, regardless of media or characteristics, made or received and maintained by an agency in accordance with law or rule or in the transaction of its official business. The term shall not include extra copies of printed or processed material of which official or record copies have been retained, stocks of publications and processed documents intended for distribution or use, or material relating to personal matters that may have been kept in an office for convenience.

M. A “thumbnail image” is a very small copy of an image that is created so that it can be displayed, usually in a tabular array, so that users can choose the particular images they desire from a search return of images. Thumbnails are created in any format desired (often JPEG, GIF, or PNG) with ppi ranging from 72 to 100 ppi. These guidelines do not set technical specifications for access images nor require their production, except that such images must be in a universally accessible file format.

4. GUIDELINES FOR THE DIGITAL IMAGING OF RECORDS

State agencies are required to contact the Maine State Archives prior to imaging any state government record.

State agencies engaged in digitally imaging records shall comply with the guidelines set forth by the Federal Agencies Digitization Guidelines Initiative (FADGI). The guidelines are a collaborative effort by federal agencies to define common guidelines, methods, and practices for digitizing historical content. See http://www.digitizationguidelines.gov/. The Maine State Archives’ recommendation is to follow the star system in these guidelines based on document type.

State agencies interested in digitally imaging archival records need to contact the Maine State Archives as archival records cannot be destroyed; the original document must be kept.

5. STATE AGENCY RESPONSIBILITIES

State agencies are responsible for managing their own records. Before starting an imaging project, the state agency must identify the appropriate retention period for the records involved. The retention period affects the determination of the file format and compression method to use in any imaging project. The agency must also carefully consider whether it will be able to manage the imaged records for the duration of the retention period – different rules apply for archival records. If the intent of the agency is to destroy the original documents after imaging the agency files must notifiy the State Archives at the start of the project. State agencies must follow the State General Schedules and their own agency‐specific schedules, and they must file a records disposition authorization and obtain the Archives’ approval prior to disposition of paper originals after imaging.

State agencies must implement the appropriate policies, procedures, and business practices to ensure the proper protection, authenticity, reliability, integrity, and usability of records, regardless of format.

If a third‐party vendor or some other outside entity digitizes a record for a state agency they must ensure the third party is in compliance with these guidelines. In such cases, a properly written contract must be in place containing the basic requirements of the intended project as well as reference to these guidelines.

6. AUTHENTICITY

These guidelines, when accompanied by adherence to industry best practices, are designed to ensure any digital images remain authentic and reliable throughout their required retention periods.

Authentication is necessary for legal, fiscal or administrative purposes to ensure that imaged records are acceptable as evidence. To introduce imaged records into evidence in a court or to use them in other legal or adjudicatory situations, a state agency must demonstrate that the processes and system used to produce imaged records are designed and managed to ensure the accuracy and authenticity of the records.

The authenticity and viability of the images are determined by sound systems and processes that include, but are not limited to, well documented procedures, proper indexes and finding aids, quality assurance controls, reliable storage and backup practices, and tested and audited processes that ensure imaged records have not been altered, destroyed, or replaced. Systems that produce records must be shown to do so in the normal course of business and in an accurate and timely manner. Policies, procedures, training and support programs, and controls must be documented to demonstrate that the systems that produce records are reliable.

Legal acceptance of records requires proof that the process or system is reliable and hence capable of producing trustworthy records. State agencies must be able to demonstrate that imaged records have been produced in the normal course of business, that the system producing and managing the records (the technology, as well as the policies, procedures, training, and audit controls) is trustworthy and functioning properly, and that system documentation is maintained. System documentation must be up to date and show how the system creates, manages, and destroys records; define the roles and responsibilities of the individuals managing the system; demonstrate how the system provides for consistent quality control; document staff training, system and audit controls; and provide for adequate security.

The trustworthiness of imaged records depends on how closely documented procedures are followed. Since courts may scrutinize deviations from established procedures, state agencies must ensure that procedures are followed and deviations are detected and remedied.

7. DOCUMENT PREPARATION

The integrity of the original records authorized for imaging shall be maintained by ensuring that the images are adequate substitutes for the original records and serve the purposes for which such records are created or maintained. The following measures and any others found necessary shall be observed in any State imaging project to insure preservation of the integrity of the records:

All documents will be appropriately prepared (through the removal of paper clips and staples, flattening, mending, etc.) prior to imaging, either by the state agency or by a qualified third‐party. Any page with an attached note on its must have the attached note removed from the page prior to imaging and placed on a clean, blank page and digitized separately, unless the attached notes have been designated as non‐records, in which case these may be discarded.

Obsolete records and non‐records may be removed from files during document preparation. Staff of the state agency will conduct this work, unless the instructions for identifying obsolete records are completely objective and the ability of a third party to follow these instructions can be verified by staff prior to imaging. If the percentage of obsolete records or non‐records is low, the effort of weeding will likely not be worth the cost.

Multi‐part forms and continuous‐feed computer paper must be separated into single pages. If there are multi‐part forms included within the file, then the parts must be separated. In cases where such forms repeat the information on each page, only the highest quality page will be digitized (such as the top or white copy of the form). Other pages of such multi‐part forms will not be digitized.

Fagile items or items that are torn, otherwise damaged, or on delicate backing (such as onionskin paper or glass) must be handled with care to avoid further damage or even destruction. If these items are interspersed within a body of records, they must be separated from the other items within a folder that marks them as fragile, and the entity conducting the imaging must be provided with instructions on how to handle these documents carefully. If entire boxes of records are fragile, these boxes must be marked as fragile.

Before imaging documents, the state agency or alternatively the vendor chosen to conduct the imaging, will produce an inventory of the documents that records the type of documents (paper, volumes, photographic paper prints, diapositive slides, glass plate negatives, drawings, etc), general characteristics (size, paper color, number of pages, the presence or absence of staples or other fasteners, etc.), and general document quality (undamaged documents, torn documents, onionskin paper, blurry images, or other damage) for the set of records as a whole. This inventory will allow for an assessment of the difficulty of imaging the documents.

Test images of the digital documents intended to be digitized must be created prior to wholesale conversion to ensure quality images can be produced. The number of test images produced will be governed by variations in the source documents. If the records vary widely by age, type , color, or condition, or if they have been produced at various times by various entities in the case of microfilm, test digital images must be made of samples of each set of similar documents.

8. USE OF MICROFORMS

An agency having custody of a previously produced original microfilm (or, if the original microfilm is no longer in existence, the master copy) of archival records shall prepare a silver duplicate negative copy for its own use, if required, when it finds that such copies are deteriorating or in danger of deterioration. The agency shall also provide an identical copy to the Maine State Archives. Before imaging microforms, the state agency or alternatively the vendor chosen to conduct the imaging, will produce an inventory of the microforms that records the number of microforms(in reels or fiche), the type of microform (16mm, 35mm, microfiche, aperturecards, etc.), its length if applicable (100 or 215 feet), general film quality (resolution, density, image spacing, and the existence of targets, blips, splices, scratches, warping, separation of the emulsion from the base, or other damage), and general image quality (such as blurry images), the age of the film, and the creator of the film (if known).

(NOTE: The Maine State Archives recommends all microfilm cellulose nitrate or cellulose acetate based be duplicated onto polyester based film.)

9. INDEXING AND METADATA

Since digitized images do not have intelligence within them indicating their contents, appropriate index information or metadata is required to properly identify and later retrieve digitized images. For digital images, indexing and file naming schema are essential for locating and retrieving stored imaged records. Indexing typically consists of a structured format and controlled vocabulary that allows more precise description of a record’s content.

The state agency must define and document specific indexing requirements needed to access the records efficiently prior to the performance of any imaging and indexing.

Indexing must comply with the specific requirements of the state agency but at minimum it must include the following:

Unique Identifier for Documents: Each document (including each multi‐page document) must have a unique filename or other identifier, preferably sequential, which can be numeric, alphanumeric, or alphabetic as required by the government entity. Each filename must be unique across all records series and storage media, not merely within a single disc or other piece of removable media. If required, images will be filed in appropriate electronic folders on the designated storage media.

Indexing Fields/Descriptive Metadata: The index of documents must consist of a number of fields to ensure adequate access to the records. Whenever possible, the field data must consist of objective indexing terms (such as personal names, file numbers, and dates) or terms from a controlled vocabulary (such as subjects or geographical information), rather than subjective data. Index data often includes information such as record type, creation date, record creator, disposition date, among other information.

Indexing Structure: Although the structure of an electronic content management system (ECMS) database is outside the scope of these guidelines, the state agency must have a methodology in place to transfer all the images and corollary index data to the intended retrieval system. The indexing data must be stored in a non‐proprietary format to allow its transfer to other systems and databases as needed through the conversion project and for the entire retention period of the records. Each record within the database must be associated with the respective digital image or document via its unique filename.

Optical Character Recognition: If required, optical character recognition (OCR) or intelligent character recognition (ICR) may be performed to convert digital images into electronic text. The government or its chosen vendor must certify the conversion to be at least 95% accurate as measured by character count, and the converted text must be associated with the respective digital image or document. Due to this error rate, OCR will not be used as the sole finding aid when retrieving digitized images. Some manual indexing is always required.

a. Correcting or Making Allowances for OCR Output: Depending on the need for accuracy in the OCR’d text, the text may be reviewed and corrected or fuzzy searching may be used to retrieve character strings. Post‐OCR correction consists of review of the OCR output against the original text and hand‐correction of the OCR output. Fuzzy searching works by searching for character strings that match or predominately match the character string being searched.

Directory Structure: Regardless of the image filename, files will be organized in a file directory or folder system that will link to metadata stored elsewhere in a database. Directories may have their own organization independent of the image files, such as folders arranged by date or records series number, or they may replicate the physical or logical organization of the originals being digitized.

Technical Metadata: During the imaging process, production metadata will be maintained either within the individual images or separate from but associated with each body of digitized images. For instance, these metadata may be created as part of a digital file during actual imaging, may be added to the file after imaging, may be associated with each file in an ECMS, or may be retained entirely separate from the files but associated to each file by their unique filenames. These metadata will include, at minimum, the following:

Unique identifier

Title of records series

State Archives or other retention schedule name and item number (from the State General Schedule, Agency Specific Schedule or Records Disposition Authorization Number

State agency name

Name of the imaging vendor or government staff person conducting the imaging

Date of the imaging

Pixels per inch (ppi)

Equipment used to capture the images

Software used to capture the images

The state agency will maintain these metadata for the life of the records.

10. QUALITY ASSURANCE

A. Quality assurance procedures must be in place to ensure the creation of accurate and authentic images and accurate metadata (index terms) that follow these guidelines, as well as ensuring that the specific requirements of the state agency are met. Quality assurance must be conducted before the destruction of any original documents. Each image of every page of all digitized documents must be visually inspected, not verified by a machine, to ensure clarity, readability, and accurate representation of the original record. Similarly, each indexing field must be checked against the original or imaged record.

B. If producing access copies and/or thumbnails of the images, conduct quality assurance for these as well.

C. Digitizing must capture each digital image with the same level of clarity as each document page so that every legible line and character on the original document appears and is legible in the image.

A person or persons other than those digitizing or indexing a particular record must perform the final quality control procedures outlined within this document. In most situations, quality assurance is performed in a two‐step process: the scanner or digital camera operator will perform an initial quality check during the imaging process, and then a different individual will perform a second review in a separate process. If a vendor is conducting the imaging, either the government agency using the services of a vendor or a third party must conduct the quality assurance.

The quality control process must be documented and maintained throughout the digitization conversion process. Information to document includes problem resolution procedures and reporting requirements for each step of a conversion project.

Quality control steps for digitized images must verify the following items:

Correct image file naming convention, as agreed upon

Correct file format (including verification of compliance with the PDF/A format for purported PDF/A files)

Quality of image is the same as in the original

Correct size and resolution

Image digitized at appropriate ppi for each image type

Proper reading orientation (landscape or portrait)

Image is not skewed

Image is neither too light nor too dark

Curvature of the page does not obscure or distort the text

Appropriate contrast within the image

No distortion of the image

No extraneous materials (attached notes, fasteners, etc.) obscure the image

No additional information added to the image that is not part of the original document

Appropriate indexing terms associated with the digitized image

For acceptable correction of digitized images refer to FADGI Guidelines.

D. Upon inspection, any image deemed of unacceptable quality must be redigitized followed by a re‐inspection of the new image.

E. Index Accuracy: The index data, not including OCR’d text used to search against, must be verified with the goal of achieving 100% accuracy. Acceptable methods include verification of data by another individual other than the person performing the initial data entry; dual data entry where two operators independently index the same document and the results are compared to find any discrepancies (this is also known as double‐blind indexing); or any other means as appropriate to ensure 100% index accuracy.

11. STORAGE

Storage Environment:Storage media must be kept in secure, dust-free area under the proper environmental conditions. Contact the Maine State Archives for proper consistent temperature control levels relative to humidity.

Confidential and sensitive information: Special care must be taken when physically transferring media from the imaging source to the customer if they contain confidential or sensitive information. Contracts with vendors must delineate the procedures vendors must use to ensure they provide adequate protection to sensitive information.

Back ups: A periodic backup process of all digitized records should be performed along with geographically remote offsite storage to ensure the accessibility of records in the event of a disaster.

Backups must be stored in areas geographically remote from the offices where the use copies of the records are stored. An appropriate backup location will be one where it is highly unlikely that the backup location will simultaneously suffer the same disaster as the offices.

Regardless of the media used, images must be accessible for the records’ entire retention period.

12. DATA MAINTENANCE

Any stored record must be protected against file corruption, alteration, or deletion throughout its required retention period. Adequate processes and documented procedures to ensure the integrity of the digital image should be in place.

1. Reliability: Controls to ensure a full and accurate representation of the transactions, activities or facts to which they attest and can be depended upon in the course of subsequent transactions or activities;

2. Authenticity: Controls to protect against unauthorized addition, deletion, alteration, use, and concealment;

3. Integrity: Controls, such as audit trails, to ensure records are complete and unaltered;

4. Usability: Mechanisms to ensure records can be located, retrieved, presented, and interpreted;

5. Content: Mechanisms to preserve the information contained within the record itself that was produced by the creator of the record;

6. Context: Mechanisms to implement cross-references to related records that show the organizational, functional, and operational circumstances about the record, which will vary depending upon the business, legal, and regulatory requirements of the business activity; and

7. Structure: controls to ensure the maintenance of the physical and logical format of the records and the relationships between the data elements.

Digital images and their associated index data must be effectively and efficiently managed over time. Regardless of format, records must be retained until their retention requirements have been met.

Agencies must design and implement migration strategies to counteract hardware and software dependencies of electronic records whenever the records must be maintained and used beyond the life of the information system in which the records are originally created or captured. To successfully protect records against technological obsolescence.

Carry out upgrades of hardware and software in such a way as to retain the functionality and integrity of the electronic records created in them;

Any necessary conversion of storage media to provide compatibility with current hardware;

Maintaining a link between records and their metadata through conversion or migration, including capture of all relevant associated metadata at the point of migration (for both the records and the migration process); and

Ensure that migration strategies address non-active electronic records that are stored off-line.

13. PROCEDURES FOR ARRANGING FOR REIMBURSABLE SERVICES

State and non-state agencies desiring imaging services, whether in agency, private vendor or RFP bidder should contact the Maine State Archives. An agreement of services to be provided will be negotiated before work is begun. This agreement shall specify (a) the location of the records to be imaged; (b) a description of the records, including their volume, size, physical condition, filing arrangement, and the nature and frequency of additions, changes, and deletions, etc.; (c) the size and format of the film to be used (if applicable); (d) the type of camera to be used and the reduction ratio at which the documents are to be imaged; (e) the type of reader to be used (if applicable); and (f) the number and type (silver, diazo, vesicular) of reference copies if microfilmed.

14. FEES FOR IMAGING AND CONVERSION SERVICES

A fee schedule for imaging services is available from the Maine State Archives. Imaging and conversion services available are: microfilm processing, silver roll film duplication, digital to microfilm conversion, microfilm to digital conversion, imaging of oversized and fragile documents, and other services are available upon request.

15. VIOLATION OF RULES

Violation of any provision of these rules, except those violations for which specific penalties are provided, is a Class E crime.

History

• STATUTORY AUTHORITY: 5 M.R.S. §95 sub-§3
• RE-ADOPTED: August 31, 1979
• EFFECTIVE DATE (ELECTRONIC CONVERSION): April 29, 1996
• NON-SUBSTANTIVE CORRECTION: May 29, 1996 - §10(D)
• CONVERTED TO MS WORD: July 11, 2003
• REPEALED AND REPLACED: November 29, 2020 – filing 2020-240
• REPEALED AND REPLACED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025
• APAO ACCESSIBILITY CHECK (Word): April 9, 2026

Chapter 4 Rules for the Public Use of Materials and Facilities in the Maine State Archives

Code Me. R. 29-255 Ch. 4 Rules for the Public Use of Materials and Facilities in the Maine State Archives {#sec-29-255-ch.-4 omnilex-key=us-me-regs-official--dept-secretary-state--29-255 Ch. 4}

SUMMARY: These rules include the policies and procedures governing the public use of agency records, archives, and deposited records in the custody of the Maine State Archives. The rules also prescribe policies and procedures governing the public use of certain facilities in the Maine State Archives.

1. DEFINITIONS

The following definitions are established for terms used in these rules.

"Agency records" means semi-current records of government agencies to which they retain legal title and control access and use, but that have been transferred to the physical custody of the Maine State Archives to effect economies and efficiency in their storage and use pending their ultimate disposition as authorized by Archives and Records Management law.

"Archives" means noncurrent government records that have been determined by the State Archivist to have sufficient value to warrant their continued preservation, and that are in the physical and legal custody of the Maine State Archives.

"Materials" means agency records as well as related finding aids (including electronic indexes) and reference works in the Maine State Archives.

"Researcher" means a person who has applied for access to materials, and who has been issued a researcher identification card.

"Research Area" means the area beyond the reception desk in the Research Room, including the public computer and microfilm reading areas.

"Research Room" means the designated area where researchers can consult with Archives staff, research microfilm, use public computers and view original documents.

2. AVAILABILITY OF MATERIALS FOR PUBLIC USE

A. General

1. Persons seeking information that is published and readily available will normally be referred to a public library.

2. Persons under the age of 16 shall be furnished with materials for use when accompanied by an adult researcher who agrees to be present when the materials are used and to be responsible for compliance with the rules governing their use, or by other special arrangement.

3. Original materials shall not normally be provided for use if microfilm or digital copies of the materials are available.

4. Researchers shall be permitted to use materials only in the Research Room.

B. Hours of Use

Except for holidays and at such other times as may be specified by the State Archivist, materials shall be made available for use in the Research Room Monday through Friday from 9:00 a.m. - 4:00 p.m.

C. Application Procedures for a Researcher Identification Card

Applicants shall apply in person to the Maine State Archives and shall furnish, on a form provided for this purpose, information necessary for registration. Applicants shall furnish acceptable identification upon request.

D. Researcher Identification Card

A Researcher Identification Card shall be issued immediately to each person whose application is approved. The card shall be valid for the use of materials for a period of one year, but may be renewed upon application. Cards are not transferable and shall be produced when requested by agency personnel.

E. Daily Sign In

Researchers shall sign in each day upon entering the Research Room, furnishing all information specified on the registration form.

F. Research Area Access by Non-Researchers

Individuals who are not registered researchers are prohibited from entering the research area, except by permission of the Research Room staff.

3. RESTRICTIONS ON ACCESS AND USE

A. Use of Agency Records

Access to and use of agency records shall be permitted only to persons who have received the written approval of the agency whose records are involved, and is governed by any access and use procedures prescribed by law or by that agency.

B. Use of Archives

Access to and use of archives are subject to any restrictions imposed by statute or regulation.

Additional Restrictions

Access to and use of agency records, and archives records, and deposited records may also be restricted by the Research Room staff if such access and use would, (1) hamper the administrative, professional, or technical operations of the Maine State Archives, (2) unduly limit the furnishing of services to other users, or (3) result in possible deterioration, mutilation, loss or destruction. Application of search restrictions in individual cases is subject to approval by the State Archivist.

4. RESEARCH ROOM RULES

A. Researchers Responsibility for Materials Other Than Microfilm

1. Researchers shall acknowledge the receipt of all materials by signature. The materials made available at one time to any researcher may be limited by the Research Room staff.

2. Researchers are responsible for all materials delivered to them until the materials are returned to an attendant. Researchers shall return materials to an attendant as soon as use of them is completed for the day, and of all remaining materials at the end of each day.

3. Researchers shall notify an attendant before leaving the Research Room, or for a short period, and before leaving shall replace all unbound materials in their proper containers.

B. Keeping Materials in Order

Researchers must keep unbound materials in the order in which they were delivered to them. Materials appearing to be in disorder should not be rearranged by researchers, but should be referred to Research Room staff. Researchers are not permitted to remove unbound materials from more than one container at a time without the previous approval of Research Room staff.

C. Preventing Damage to Materials

Researchers shall exercise all possible care to prevent damage to materials furnished them. The use of "rubber fingers", and ball point, fountain or felt tip pens while using materials is prohibited. Materials shall not be written on, leaned on, folded anew, traced, fastened with paper clips or rubber bands or any other type of fastener, or handled in any way likely to cause damage. Researchers shall immediately notify staff should damage occur to any materials. Under no circumstances shall researchers attempt to repair damage of any type., including erasure of pencil marks. The use of records of exceptional value or in fragile condition shall be subject to any additional conditions specified by the Research Room staff.

D. Mutilation or Removal of Records

All parcels and luggage shall be checked in by researchers upon entering the Research Room. Researchers shall present for inspection upon leaving the Research Room any briefcase, notebook, package, envelope, books, or other article that could contain materials furnished them for Research Room use. Researchers shall not bring into the research area of the Research Room overcoats, raincoats, jackets or similar apparel; briefcases, suitcases, purses, daypacks, tote bags, shopping bags, or similar containers for personal property; personal papers, books, notebooks, ring binders, folders, paper pads or other containers for paper; nor any device that could conceal documents. Purses and other valuables may be stored in the coin operated lockers provided for this purpose at the entrance of the Research Room. The Maine State Archives is not responsible for personal property of researchers.

Whoever intentionally removes any book, record, document or instrument belonging to or kept in any state office, except books and documents kept and deposited in the State Library, or intentionally secretes, alters, mutilates, defaces or destroys any such book, record, document or instrument, or, having any such book, record, document or instrument in his possession, or under his control, intentionally fails or refuses to return the same to that state office, or to deliver the same to the person in lawful charge of the office where the same was kept or deposited, shall be guilty of a Class D crime,

(1 M.R.S.A. §452).

E. Exceptions

The following exceptions may be granted: (1) Hand-Held wallets, coin purses, pencils, eyeglass cases, keys, credit cards, driver's licenses and other identification cards may be brought into the research area, but such items will be subject to inspection when the researcher enters and leaves the Research Room; (2) Preprinted "family tree" charts and preprinted forms and charts designed for use with specific United States Censuses may be brought into the research area if such forms and charts are not available at the Research Room desk. Such form and charts will be inspected when the researcher enters and leaves the Research Room; (3) Personal computers and recording devices may be brought into the research area. Such equipment will be inspected when the researcher enters and leaves the Research Room; (4) Reference notes and lists of materials to be consulted may be admitted to the research area if, in the judgement of the attendant on duty, they are essential to the researcher's immediate needs. Such materials will be inspected when the researcher enters and leaves the Research Room.

F. Use of Microfilms

Researchers shall operate microfilm readers in a manner that will prevent damage to either the microfilm or the reader. A staff member of the microfilm reading area may place time limitations on the use of microfilm readers in order to permit access to the machines by other researchers. One roll of film is to be used (per patron) at a time. Compiling multiple rolls of film per patron at a workstation is not allowed, this is so other patrons may have access to the film.

G. Conduct

Eating and drinking in the Research Room is prohibited. Smoking is prohibited in all state buildings. Loud talking and any other activities that will disturb other researchers are also prohibited.

H. Use of Personal Computers, Recording and Copying Equipment

Researchers desiring to use personal computers or recording devices shall work in areas designated by the Research Room staff. All photocopying of materials will be done only by personnel of the Maine State Archives with equipment belonging to the agency. Only laptop/tablet computers, digital cameras (flash turned off), Mp3 players and cell phones may be brought into the Research Room. Place cell phones on silent or vibrate mode while in the Research Room. Please make and receive phone calls in the lobby or outside the building. The archives staff reserves the right to limit use of approved electronics, including limiting the number of devices and charging cords a researcher places on a worktable, if use of those materials may damage collection materials.

5. SERVICES

A. Information Services

Within the limits of available resources, information services shall be provided on a priority basis, respectively, in response to official requests of State and local government agencies. The Maine State Archives cannot undertake substantive research for private individuals.

B. Information About Materials

Upon request, overall information about holdings or specific materials shall be furnished, provided that the time required to furnish the information is not excessive in the judgment of the Research Room staff, and provided that the information is not restricted.

C. Information From Materials

Normally, information contained in materials shall be furnished in the form of photocopies of the documents involved. A schedule of fees for photoduplication services is available from the Maine State Archives; by law, fees for all such services must be paid to the Maine State Archives in advance.

D. Certification of Copies

Photocopies of nonrestricted materials in the custody of the Maine State Archives shall be attested upon request and after payment of the specified fee. The Maine State Archives will not attest to the nonexistence of a record that cannot be produced from its holdings. Authentication services are not provided.

E. Loan Requests

Records in the custody of the Maine State Archives shall not be loaned to private persons nor to non-governmental organizations.

6. PUBLIC USE OF FACILITIES

Public use of facilities of the Maine State Archives normally shall be restricted to the Lobby, Research Room and administrative offices. Access to stack areas and laboratories normally shall be restricted to authorized agency personnel. Pets of any kind are prohibited in the archives facility unless it is a registered service animal.

7. VIOLATION OF RULES

Violation of any provision of these rules, except those. violations for which specific penalties are provided, is a Class E crime.

History

• STATUTORY AUTHORITY: 5 M.R.S. §95 sub-§3
• EFFECTIVE DATE: August 31, 1979
• AMENDED: August 1, 1988
• EFFECTIVE DATE (ELECTRONIC CONVERSION): April 29, 1996
• NON-SUBSTANTIVE CORRECTIONS: May 29, 1996 - §1 (A); §4 (A), (E)
• CONVERTED TO MS WORD: July 11, 2003
• AMENDED: November 29, 2020 – filing 2020-241
• AMENDED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 19, 2025
• APAO ACCESSIBILITY CHECK (Word): April 9, 2026