Code of Maine Rules — Department of Public Safety

16-163 Office of Emergency Medical Services

Chapter 1 Mission, Vision, Goals and Core Values Of The Maine EMS System

Code Me. R. 16-163 Ch. 1 Mission, Vision, Goals and Core Values of the Maine Ems System {#sec-16-163-ch.-1 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 1}

Mission

The Legislature of the State of Maine created the EMS Act to "promote and provide for a comprehensive and effective Emergency Medical Services system to ensure optimum patient care...with standards for all providers...." The Maine EMS system consists of emergency medical dispatchers, out-of-hospital and hospital patient care providers, system planners, and system coordinators. It is their mission to provide emergency patient care, enforce minimum baseline standards and encourage optimum standards. Maine EMS system personnel in every capacity and position in the system, whether paid or volunteer, will be respected as professionals and judged by professional standards for that capacity or position.

Vision

Maine EMS’ vision is to ensure the successful operation of the Maine EMS system through planning, evaluation, coordination, facilitation, and only as a last resort, regulation. To this end, Maine EMS and its regional councils will coordinate and facilitate the establishment of standards by consensus of EMS system personnel and will promote and enforce those standards. Maine EMS will strive to facilitate the operation of this system and its personnel through the coordination of provider services and personnel, promotion of the system and recognition of the importance of volunteers to the system. Maine EMS will develop resources to improve the professional capabilities of team members and to make EMS work safe, healthful, and satisfying.

Goals and Core Values

1. Maine EMS will fulfill its mission and pursue its vision in accordance with the Maine EMS work plan and the following core values:

A. Excellence in out of hospital care;

B. Support and guidance to system providers and organizations;

C. Collaboration and coordination with the overarching health care system; and

D. Integrity, transparency, and fairness.

AUTHORITY: 32 M.R.S., Chapter 2-B.

EFFECTIVE DATE: July 3, 1978 (EMERGENCY)

AMENDED: April 1, 1982

December 25, 1982 - Sec. 2.31, 3131, 6.311, 6.63 and 6.73

January 1, 1984 - Sec. 1, 2, 3, 5, 6, 8.32, 10.2, 10.3, 11.1066, 11.1067

April 30, 1985 - Sec. 1, 2.846.222, 6.332, 9.313, 8.3216 and 9.11

January 1, 1986 - Sec. 1, 6. 8.15, 8.2, 8.3, 8.4 and 11.103

September 1, 1986

August 25, 1987 - Sec. 5, 6.011 and 12 (added)

July 1, 1988

March 4, 1992

September 1, 1996

EFFECTIVE DATE (ELECTRONIC CONVERSION):

July 1, 2000

REPEALED AND REPLACED:

July 1, 2000

July 1, 2003

October 1, 2009

January 10, 2021

Chapter 2 Definitions

Code Me. R. 16-163 Ch. 2 Definitions {#sec-16-163-ch.-2 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 2}

As used in these Rules, unless the context indicates otherwise, the following terms have the following meanings:

ADVANCED EMERGENCY MEDICAL TREATMENT means those portions of emergency medical treatment:

1. Defined by the board to be advanced; and
2. That the board determines may be performed by persons licensed under this chapter within a system of emergency care approved by the board when acting under the supervision of: 1. An appropriate physician; or 2. A physician assistant or nurse practitioner, licensed by the State, and authorized by a hospital to supervise and direct the actions of an emergency medical services person.

AMBULANCE means any vehicle, whether an air, ground or water vehicle, that is designed, constructed, or routinely used or intended to be used for the transportation of ill or injured persons. The licensing of these vehicles is in addition to any registration required by any other authorities. For the purposes of these Rules, vehicles operated by the Maine Army National Guard, Maine Air National Guard or the United States armed forces are not considered ambulances.

AMBULANCE SERVICE means any person, persons, or organization, which holds itself out to be a provider of transportation for ill or injured persons or which routinely provides transportation for ill or injured persons. For the purposes of these Rules, the Maine Army National Guard, Maine Air National Guard, and the United States armed forces are not considered ambulance services. It does not mean a person, persons, or an organization which transports ill or injured persons for reasons not connected with their illness or injury. It does not mean a nursing home licensed under 22 M.R.S. chapter 405, a children's home licensed under 22 M.R.S. chapter 1669, a boarding home licensed under 22 M.R.S. chapter 1663, or similar residential facility when transporting its own residents or those of another similarly licensed facility when those residents do not require emergency medical treatment. The types of Ambulance Services licensed by Maine EMS are listed below:

1. Ground Ambulance Services are those services licensed by the Board that treat patients and transport them in ambulance vehicles that are licensed by the Board and are designed to be operated on the roads and highways of the State.
2. Scene Response Air Ambulance Services are those services licensed by the Board that transport patients, utilizing aircraft licensed by the Board, from the scene of the patient's illness or injury to the hospital or provide air transfer of patients being transferred from a hospital or health care facility to another place.
3. Transfer Air Ambulance Services are those services licensed by the Board that transport patients utilizing aircraft licensed by the Board and that may only provide air transfer of patients being transferred from a hospital or health care facility to another place.
4. Restricted Response Air Ambulance Services (RRAAS) are those services licensed by the Board and that utilize aircraft licensed by the Board to provide limited air ambulance services in order to meet a need within the State not otherwise fulfilled by a Scene Response Air Ambulance Service or a Transfer Air Ambulance Service.

BASE LOCATION has the following meanings dependent upon the type of service license held:

1. For services licensed as Ground Ambulance Services, Scene Response Air Ambulance Services or Restricted Response Air Ambulance Services, Base Location means the physical location within a municipality, designated by the service, and approved by the Board, from which a service responds its ambulances.

Ground Ambulance Services may position ambulances within municipalities abutting the municipality in which the Base Location is situated, for the purpose of enhancing emergency response.

1. For Non-Transporting Services or Transfer Air Ambulance Services, Base Location means that the service maintains a single phone listing for public access.

BASIC EMERGENCY MEDICAL TREATMENT means those portions of emergency medical treatment:

1. Defined by the board to be basic; and
2. That the board determines may be performed by persons licensed under 32 M.R.S. Chapter 2-B within a system of emergency care approved by the board when acting under the supervision of: 1. An appropriate physician; or 2. A physician assistant or nurse practitioner, licensed by the State, and authorized by a hospital to supervise and direct the actions of an emergency medical services person.

BOARD means the Emergency Medical Services Board established pursuant to 32 M.R.S. Chapter 2-B, §88.

BOARD APPROVAL. When no other method of gaining Board approval is specified, the person who seeks the approval shall apply in writing to the chairperson of the Board in care of the office of Maine Emergency Medical Services, stating the action to be considered, the section in the Rules under which approval is sought and the grounds in support of the request.

CERTIFICATE means a document issued as evidence that a person has completed a course of training or a particular test or recertification.

CPR TRAINING means completion of a Cardio-Pulmonary Resuscitation (CPR) program. This is interpreted to include semiautomatic defibrillation when that module is successfully completed.

DEPARTMENT means the Maine Department of Public Safety.

EMERGENCY MEDICAL CALL means any event which is perceived to threaten the life, limb, or well-being of an individual in such a manner that a need for emergency medical treatment is created.

EMERGENCY MEDICAL DISPATCH PRIORITY REFERENCE SYSTEM means a system approved by the Emergency Services Communications Bureau and the board that includes:

1. A protocol for emergency medical dispatcher response to calls.
2. A continuous quality improvement program that measures compliance with the protocol through ongoing random case review of each emergency medical dispatcher; and
3. A training curriculum and testing process consistent with the protocol.

EMERGENCY MEDICAL DISPATCH CENTER means any entity that holds itself out to be a provider of emergency medical dispatch services.

EMERGENCY MEDICAL DISPATCH SERVICES means any of the following services provided in the context of an emergency call made to the E-9-1-1 system:

1. Reception, evaluation, or processing of calls.
2. Provision of dispatch life support.
3. Management of requests for emergency medical assistance; and
4. Evaluation or improvement of the emergency medical dispatch process, including identifying the nature of an emergency request, prioritizing the urgency of a request, dispatching necessary resources, providing medical aid and safety instructions to the caller, and coordinating the responding resources as needed.

EMERGENCY MEDICAL DISPATCHER means a person licensed by the Board who provides emergency medical dispatch services as a member of an emergency medical dispatch center licensed by the Board.

EMERGENCY MEDICAL SERVICES AMBULANCE OPERATOR means a person associated with a licensed ground ambulance service who operates an ambulance in emergency mode or transports patients and is not licensed under 32 M.R.S. §85.

EMERGENCY MEDICAL SERVICES PERSON means any person who routinely provides emergency medical treatment to the sick or injured. The following persons are not considered to be routinely providing emergency medical treatment for the purpose of these Rules and may provide emergency medical treatment only as specified below when called upon:

1. Those persons as specified in 32 M.R.S. §82(2) subject to any restrictions stated in that section.
2. Any person having CPR or hemorrhage control training, for the purpose of providing those skills within the scope of that training.
3. Any person who provides automatic external defibrillation in accordance with 22 M.R.S. §2150-C;
4. Any person who administers Naloxone Hydrochloride in accordance with 22 M.R.S. §2353 and is not licensed in 32 M.R.S. §85
5. Any student currently enrolled in a course leading to licensure may practice procedures learned in that course when that student: 1. Has received permission to practice those procedures from the Maine EMS authorized Training Center conducting the course. 2. Is participating in a scheduled field internship session approved by the course's clinical coordinator. 3. Is practicing those procedures with a Maine EMS-licensed service that complies with guidelines as developed by Maine EMS to conduct field internship sessions; and, 4. Is supervised by a preceptor licensed to perform those procedures and who is acting in accordance with any requirements or guidelines as approved and published by Maine EMS. 5. If such a person is also licensed under these Rules, any emergency medical treatment he/she provides that is within the scope of his/her license will be considered as routine and not subject to such supervision.

EMERGENCY MEDICAL SERVICES VEHICLE means a vehicle, authorized by Maine EMS pursuant to 29-A M.R.S. §2054, for the purpose of transporting personnel and/or equipment to the scene of a medical emergency that is not otherwise licensed as an ambulance or registered as a fire department vehicle. An emergency medical services vehicle must be exclusively leased or owned and operated by a service licensed by Maine EMS or by an agency designated by Maine EMS.

EMERGENCY MEDICAL TREATMENT means those skills, techniques and judgments, as defined by the Board, which are directed to maintaining, improving or preventing deterioration of the medical condition of the patient and which are appropriate to be delivered by trained persons at the scene of a patient's illness or injury outside the hospital and during transportation to the hospital.

EMERGENCY RESPONSE MODE means the operation of the ambulances or emergency medical services vehicle's warning lights and siren in accordance with the Maine Motor Vehicle Statutes, 29-A M.R.S.

EMERGENCY SERVICES COMMUNICATIONS BUREAU means the Emergency Services Communication Bureau within the Public Utilities Commission.

FAA means Federal Aviation Administration.

FAR means Federal Aviation Regulations

FULL TIME DISPATCH means a communications center that:

1. Operates twenty-four hours per day.
2. Records telephone and radio transmissions regarding calls for medical assistance.
3. Communicates with emergency medical services providers via two-way radio and other methods.

LICENSE means a full, temporary, provisional, or conditional license issued under these Rules.

LOCATED OUTSIDE THE STATE OF MAINE. An ambulance service is located outside the State of Maine provided that it is licensed in another state or territory, does not maintain a base of operations in Maine, and does not routinely carry patients between points, both of which are in Maine.

MAINE EMERGENCY MEDICAL SERVICES, or MAINE EMS means the Board, the emergency medical services director, and staff within the Department of Public Safety responsible for carrying out the responsibilities of 32 M.R.S. §81 et seq. and these Rules.

MEDICAL CONTROL is physician supervision of pre-hospital emergency medical care. More specifically, it is those actions taken to ensure that care provided on behalf of ill or injured patients is medically appropriate. Medical Control includes:

1. Online Medical Control: 1. The contemporaneous physician direction of a field provider utilizing telecommunications, or in-person contact. 2. This physician direction may be provided by a Physician Assistant or Advanced Practice Registered Nurse delegated by the physician(s) charged with medical oversight, pursuant to 32 M.R.S. §83(17-A).
2. Medical Direction: 1. The administrative medical direction of EMS personnel by a physician as designated in these Rules. Medical Direction includes interaction with operational and administrative aspects of EMS (for example, education and training, quality improvement, ambulance staffing, dispatch issues, and hospital destination).

MEDICAL DIRECTION AND PRACTICES BOARD means the board consisting of each regional medical director, an emergency physician representing the Maine Chapter of the American College of Emergency Medicine Physicians, an at-large member, a toxicologist or licensed pharmacist, a person licensed under 32 M.R.S. §85 to provide basic emergency medical treatment, a person licensed under 32 M.R.S. §85 to provide advanced emergency medical treatment, a pediatric physician, the statewide associate emergency medical services medical director and the statewide emergency medical services medical director. The Medical Direction and Practices Board is responsible for creation, adoption and maintenance of Maine Emergency Medical Services protocols.

NON-EMERGENCY MEDICAL CALL means a situation in which an immediate response to a scene, hospital, health care facility or other place is not required to prevent life-or limb-threatening medical deterioration of a person.

NON-EMERGENCY RESPONSE MODE means operation of the ambulance or emergency medical services vehicle in a non-emergency mode obeying all traffic laws.

NON-TRANSPORTING SERVICE means any organization, person or persons who hold themselves out as providers of emergency medical treatment and who do not routinely provide transportation to ill or injured persons, and who routinely offer or provide services to the general public beyond the boundaries of a single recreational site, business, school or other facility. For the purposes of these Rules, a physician making house calls as a part of ordinary medical practice is not considered to be a non-transporting service. For the purposes of this definition, “routinely” means regularly, as part of the usual way of doing things.

OFFICE OR OFFICE OF EMERGENCY MEDICAL SERVICES means the administrative unit within the Department of Public Safety to which the Board assigns responsibility for carrying out the purposes of 32 M.R.S. §81, et seq. Responsibility for implementation, enforcement and administration of these Rules is delegated to the Director of the Office.

PATIENT CARE REPORT means the report generated and filed by Ambulance Services and Non-Transporting Services documenting each request for service or for each patient when more than one patient is involved.

PARAMEDIC INTER-FACILITY TRANSFER (PIFT) means a transfer of a patient after initial assessment and stabilization from and to a health care facility, or other location designated by medical control or a primary patient care physician, conducted in accordance with the Maine EMS PIFT guidelines.

PARAMEDIC INTER-FACILITY TRANSFER (PIFT) SERVICE means a Maine EMS licensed Ambulance Service that has been approved as a PIFT Service by Maine EMS after fulfilling the PIFT Service eligibility requirements.

PARAMEDIC INTER-FACILITY TRANSFER (PIFT) PROVIDER means a Maine EMS Paramedic who has completed the Maine EMS PIFT Training Program.

PROTOCOL OR MAINE EMERGENCY MEDICAL SERVICES PROTOCOL means the written statement approved by the Medical Direction and Practices Board and filed with the Board, specifying the conditions under which some form of emergency medical care is to be given by emergency medical services persons. These protocols are coordinated and published through Maine EMS as a single, statewide common set of protocols.

PROVIDER of emergency medical dispatch services means an Emergency Medical Dispatcher or Emergency Medical Dispatch Center licensed by the Board.

PUBLIC SAFETY ANSWERING POINT (PSAP) has the same meaning as in 25 M.R.S. §2921.

REGIONAL COUNCILS mean those business entities recognized by the Board that represent the various geographical areas of the state, as designated by the Board, with respect to matters subject to 32 M.R.S., §81 et seq. and these Rules.

REGIONAL MEDICAL DIRECTOR means the physician designated in each EMS region by the regional council, subject to approval by the Board, to oversee all matters of medical control and to advise the regional council on medical matters. In approving the regional medical director, the Board will be advised by the regional council for the region.

RESPONSE ASSIGNMENT PLAN means a Maine EMS-approved plan developed by a Maine licensed service and its service medical director that establishes the service’s response in accordance with Maine EMS Emergency Medical Dispatch (EMD) protocol determinant codes.

ROUTINELY means the median annual call volume for the lowest 10% of all Maine EMS-licensed ground ambulance and non-transporting services for the preceding year, calculated and applied separately as it pertains to those defined services and ambulance licensure with the least of the median figures applied as it relates to other defined services, emergency medical services persons, or persons licensed by the Board.

SERVICE-LEVEL MEDICAL DIRECTOR means a physician, or a nurse practitioner who has completed the required clinical experience pursuant to 32 M.R.S. §2102(2-A), who assumes primary responsibility to ensure quality medical care for the service. A physician assistant may assist in this role under the direct supervision of a physician; however, the supervising physician must be identified to Maine EMS as the medical director.

STATE LICENSURE EXAMINATIONS mean the written (cognitive) tests and practical (psychomotor) evaluations approved by the Board and used to determine the minimum competency of a person seeking licensure as an EMS provider.

TRAINING CENTER means an entity that meets the requirements of the Maine EMS Training Center Standards and is authorized by Maine EMS to conduct Maine EMS-approved EMS educational courses and training programs leading to EMS provider licensure.

TRAUMA means a single or multisystem life-threatening or limb-threatening injury requiring immediate medical or surgical intervention or treatment to prevent death or permanent disability.

WILDERNESS EMERGENCY MEDICAL TECHNICIAN (WEMT) means the graduate of any wilderness emergency medical technician course who may apply the principles of care taught in that course as defined. This is not a Maine EMS licensure level in itself but is a certification of skills and knowledge that may be employed by those licensed by Maine EMS.

9-1-1 PRIMARY RESPONSE AREA means the geopolitical subdivision(s) where the agency provides response to a scene location for an Emergency Medical Call.

AUTHORITY:

32 M.R.S., §§84, 85-A, 88

EFFECTIVE DATE:

July 3, 1978 (EMERGENCY)

AMENDED:

April 1, 1982

December 25, 1982 – Sec. 2.31, 3131, 6.311, 6.63 and 6.73

January 1, 1984 – Sec. 1, 2, 3, 5, 6, 8.32, 10.2, 10.3, 11.1066, and 11.1067

April 30, 1985 – Sec. 1, 2.846.222, 6.332, 9.313, 8.3216 and 9.11

January 1, 1986 – Sec. 1, 6, 8.15, 8.2, 8.3, 8.4 and 11.103

September 1, 1986

August 25, 1987 – Sec. 5, 6.011 and 12 (added)

July 1, 1988

March 4, 1992

September 1, 1996

December 24, 2022

June 25, 2024 – filing 2024-146

EFFECTIVE DATE (ELECTRONIC CONVERSION):

July 1, 2000

REPEALED AND REPLACED:

July 1, 2000

July 1, 2003

September 1, 2006

October 1, 2009

May 1, 2013

January 10, 2021

APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 3 Ground Ambulance Service and Non-transporting Service LicensesCh. 3-A (Word) Emergency Medical Dispatch Center Licensure

Code Me. R. 16-163 Ch. 3 Ground Ambulance Service and Non-Transporting {#sec-16-163-ch.-3 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 3}

SERVICE LICENSES

No ground ambulance service or non-transporting service shall operate unless it is duly licensed by the Board under these Rules.

License Factors - A ground ambulance service license or a non-transporting service license is issued for a specific:

1. Service Type - which may be: 1. A Non-Transporting Service; or 2. A Ground Ambulance Service
2. License Level - which may be: 1. Emergency Medical Responder (EMR) - (only if the service is licensing as a Non-Transporting Service type); or 2. Emergency Medical Technician (EMT); or 3. Advanced EMT (AEMT); or 4. Paramedic
3. Permit Level – which may be: 1. Emergency Medical Technician (EMT) (only if a service is licensing as a Non-Transporting Service type); or 2. Advanced Emergency Medical Technician (AEMT); or 3. Paramedic
4. Ownership 1. Upon request of the Board, an applicant for, or licensee of, a ground ambulance service or non-transporting service license must provide the Board with the identity and legal status (e.g., municipality, corporation, limited liability company, sole proprietorship) of the person or entity that holds or is making application for the license. Failure to provide this information may result in an application being treated as incomplete
5. 9-1-1 Primary Response Area 1. A service receiving a request to respond to an emergency medical call outside of its 9-1-1 Primary Response Area shall coordinate with that 9-1-1 Primary Response Area’s ground ambulance service to ensure the most appropriate response based on patient status. 2. A 9-1-1 Primary Response Area does not include the area to which the service may be made available for interfacility transfer operations. 3. A 9-1-1 Primary Response Area as determined by this section shall not be construed as prohibiting a service from responding to a request from another licensed service authorized in that 9-1-1 Primary Response Area.
6. Notwithstanding paragraph(s) one (1) through four (4) above, an applicant for a ground ambulance service may be issued a license without a 9-1-1 Primary Response Area to perform interfacility transfer operations. A service is not required to list a 9-1-1 Primary Response Area to receive licensure. A service without a 9-1-1 Primary Response Area may not provide primary response to a scene location for an emergency medical call unless in the presence of extraordinary circumstances and that service meets the provision of this chapter, §2(5)(A).
7. Base Location. 1. A service must be separately licensed for each base location from which it operates, except that a service may apply for a single license to operate from multiple locations provided it has a Service-Level Medical Director and a single Quality Assurance / Quality Improvement program that is approved by the Board and the State Medical Director.

Change in License Factors.

1. A service must apply for and receive a new license in order to change one or more licensing factors. However, a service may apply for a new permit level, or the removal of a 9-1-1 Primary Response Area, on a renewal application form.

Approval of License.

1. Once a service's application for a new or renewed license has been accepted as complete by Maine EMS, Maine EMS shall grant, deny, or conditionally grant the license within seventy days.
2. The Board shall issue a license with a defined 9-1-1 Primary Response Area when a need is demonstrated based on the following criteria: 1. The Board finds the applicant’s proposed response time(s), enroute time(s), transport time(s), and time-tolerance(s) are sufficient to protect the health, welfare, and safety of the public within the 9-1-1 Primary Response Area based on evidence provided; 2. If the 9-1-1 Primary Response Area is currently served by a licensed ground ambulance or non-transporting service, the proposed times above are maintained or improved; 3. Public comment(s) received; 4. Discipline undertaken by the Board and any Letters of Guidance that have not expired for the ambulance service currently serving the 9-1-1 Primary Response Area, and the service applying to serve the 9-1-1 Primary Response Area; 5. An evaluation of the potential impact upon existing ground ambulance and non-transporting services; and, 6. The character of the ownership of a proposed service.
3. The Board’s decision constitutes final agency action, appealable to the Superior Court in accordance with the Maine Administrative Procedure Act, 5 M.R.S. Ch. 375 Subchapter VII.

Licensing Standards

1. An application will not be accepted as complete unless it includes all materials required to be evaluated for licensure. To obtain a new license, a service applicant must: 1. Apply on forms available from Maine EMS. 2. Submit a fee of $100.00 3. Demonstrate to Maine EMS that: 1. The applicant has placed a notice, approved by Maine EMS, in the most widely circulated newspaper(s) serving the proposed 9-1-1 Primary Response Area, unless the applicant is applying for licensure without a 9-1-1 Primary Response Area for interfacility transport operations only. The notice must state: 1. The name and legal status of the entity making application; 2. The name of the proposed service; 3. The type of service proposed; 4. The proposed license level to be provided; 5. The name(s) of the geopolitical subdivision(s) within the proposed 9-1-1 Primary Response Area; 6. That the public is invited to make comment to Maine EMS regarding the proposed application, and that comments must be received by Maine EMS within 30 calendar days after the date of the notice's publication; and, 7. The current mailing address of the Maine EMS office. 2. The applicant possesses the equipment required by these Rules for the type of service and license level proposed. 3. The applicant can provide personnel required by these Rules for the type of service and license level proposed. 4. The applicant, if applying for a license that includes a 9-1-1 Primary Response Area, has made adequate arrangements for full-time dispatch. 5. The applicant possesses two-way radio communications equipment and frequencies for the proposed type of service, including, but not limited to the hospital-ambulance frequencies utilized in the service area(s) pursuant to these Rules and the designated Maine EMS statewide frequency "155.385." 6. If the application is for a new service or a change of service ownership: the applicant, if an individual is of good character, and if a partnership or corporation, its partners or principal officers are of good character. Four character references, written within the past year, must be submitted as a condition of meeting this requirement; none may be from a relative or employee of the applicant. 7. If the application is for a non-transporting service, the non-transporting service has either; 1. Entered into written agreements with the ambulance services which will transport its patients, guaranteeing continuity of care for the patient and simultaneous dispatch of the non-transporting and ambulance services; or, 2. Otherwise addresses these concerns in a plan as approved by Maine EMS which includes as a component a written agreement of this nature with at least one (1) ambulance service. 3. An ambulance service is not required to approve of or enter into a written agreement with a non-transporting EMS service. 4. A service licensed without a 9-1-1 Primary Response Area may not serve as the ambulance service transporting a non-transporting EMS service’s patients. 8. The applicant has established a service level Quality Assurance/Quality Improvement Committee (for approval under 32 M.R.S. §92-A) or has identified a Board-approved Quality Assurance/Quality Improvement committee in which the service will participate, and has submitted a quality assurance plan that is subject to Maine EMS approval. 9. The applicant meets the quality assurance/quality improvement requirements of Chapter 18 of these Rules. 10. The applicant has designated a service director, who shall act as the point of contact for the service. 11. The applicant has designated a person whose serves as the training and education point of contact for the service. 12. The applicant has identified the designated infection control officer for the proposed service. Pursuant to 42 U.S.C. §300ff-136, each employer of emergency response employees in the State of Maine must have a designated infection control officer (ICO) for the purposes of receiving notifications and responses and making requests under 42 U.S.C. Chapter 6A, Subchapter XXIV, Part G. The licensee shall provide the ICO name and contact information to Maine Emergency Medical Services, and promptly notify Maine EMS of any changes in ICO during the term of its license. Maine EMS will provide this information to the Department of Health and Human Services, Maine Center for Disease Control, Division of Infectious Disease. 13. The applicant, if applying for a license or permit to the Advanced EMT (AEMT) or Paramedic levels, has a service-specific medical director. 14. If the applicant lists a service-level medical director, the application must include a medical director agreement. 15. The applicant has in the case of a proposed service requesting a license or permit to administer drugs/medications entered into a written contract with a single hospital which has a pharmacy, several hospitals with either individual or central supply points, or some other source approved by the Board which will provide a system of control and accountability of drugs/medications pursuant to these Rules. 16. If the applicant intends to provide Paramedic Inter--Facility Transfers (PIFT), a separate application must be submitted to and approved by Maine EMS before the service performs such transfers. Personnel providing PIFT treatment on behalf of the service must successfully complete a Maine EMS-approved PIFT course prior to performing such treatment. 17. The applicant has submitted a safety program that addresses its patients, personnel, and the general public during operations. 4. If applying for licensure with a 9-1-1 Primary Response Area, the applicant must define their proposed en-route time(s), response time(s), transport time(s), and time tolerance(s) for each geopolitical subdivision(s) in the proposed service area, based on and including the following; 1. Population count within the proposed service area; 2. Square miles within the proposed service area; 3. Availability of ambulance and crew; 4. Number of anticipated requests for each type and level of ground ambulance transport service in the proposed service area; 5. Available routes of travel within the proposed service area; 6. Dispatch agreement/response plan, including details about the level of response; 7. Geographic features and environmental conditions within the proposed service area; and, 8. Healthcare entities within the proposed service area and Healthcare Receiving Facilities that will likely receive transports from the proposed service area. 5. If the 9-1-1 Primary Response Area is currently served by a licensed ground ambulance service AND: 1. The current ground ambulance service is voluntarily relinquishing that 9-1-1 Primary Response Area, the applicant must provide a signed and notarized letter from the service director of the ground ambulance service currently licensed for that 9-1-1 Primary Response Area indicating their intent to relinquish that area; OR, 2. If the current ground ambulance service is NOT voluntarily relinquishing that 9-1-1 Primary Response Area, the applicant must provide: 1. A signed and notarized letter from the geopolitical subdivision(s) within a pre-existing 9-1-1 Primary Response Area who are seeking to replace the authorized ground ambulance service; and, 2. A Consultancy Report.

The applicant must provide a report from a third-party, disinterested consultant, with experience evaluating the efficiency and delivery of emergency medical services that:

Indicates changing ground ambulance services is in the best interest of the residents of the geopolitical subdivision(s);

Acknowledges and defends that the change(s) will maintain and/or improve patient care quality;

Acknowledges and defends that the change(s) will improve system efficiencies and use of resources; and,

Acknowledges and defends that the change(s) maintain and/or enhance response efficiencies.

The above report must be dated within sixty (60) business days of the application’s acceptance by Maine EMS as complete.

1. A service license is issued for a period of up to 12 months, with a November 30 expiration.
2. Notwithstanding the notice requirements of §5(1)(C)(1), Maine EMS may issue a temporary service license for up to 60 days to an applicant if Maine EMS determines that issuance of the temporary license will avert the disruption of emergency medical services in the 9-1-1 Primary Response Area(s) listed in the applicant’s application.

Renewal of Service License

1. A licensee shall submit an application for renewal prior to the expiration date of the license. 1. An application will not be accepted as complete unless it includes all materials required to be evaluated for licensure. 1. The application shall not require a service applying for licensure renewal to comply with this chapter §4(2) and §5(1)(D). 2. A service may apply for a renewal license for up to ninety (90) days after the date of expiration. The ninety-day period does not postpone the expiration date of the license. A service with an expired license cannot act as an ambulance or non-transporting service until a renewed license has been issued. An application submitted more than 90 days after the license expiration date shall be considered an application for a new license and subject to all requirements governing new applications. 3. In order to obtain a license renewal, a service must: 1. Apply on forms available from Maine EMS. 2. Submit a fee of $100.00. 3. If the applicant intends to provide Paramedic Inter-Facility Transfers (PIFT), a separate application must be submitted to and approved by Maine EMS before the service performs such transfers. Personnel providing PIFT treatment on behalf of the service must successfully complete a Maine EMS-approved PIFT course prior to performing such treatment. 4. Demonstrate, as may be required by Maine EMS, that it meets the licensure requirements called for in these Rules.

Personnel Requirements for Ground Ambulance Service or Non-Transporting Service Licensees

1. A ground ambulance service or non-transporting service will be licensed at the level at which it agrees to provide, on all emergency medical calls, at least one emergency medical services person who is licensed and able to provide care at or above the service license level, except: 1. When the service’s response is in accordance with a Maine EMS-approved Response Assignment Plan.
2. The phrase “able to provide care” means that the EMS person who is licensed at or above the service license level must be in the ambulance. If the higher-level EMS person is in the ambulance, he or she is able to render care. The higher-level EMS person must assess the patient prior to transport and determine that the lower-level EMS person can appropriately provide care during transport. In addition, the higher-level EMS person who is driving the vehicle needs to have the ability to communicate constantly with the lower-level EMS person who is caring for the patient. If the patient’s needs change, the higher-level EMS person must switch roles with the lower-level EMS person.
3. A ground ambulance service or non-transporting service must notify Maine EMS of the addition of any licensed EMS person to its roster of responding personnel prior to that person responding on behalf of the service and must report the termination or resignation of any EMS provider from its service within 5 days of the termination or resignation of the provider. Notification to Maine EMS may be made electronically or by mail.
4. A ground ambulance service or non-transporting service may obtain Maine EMS permission to provide on some calls, based on personnel availability, a higher level of care than that for which it is licensed. In order to obtain this permission, a service must: 1. Apply on forms available from Maine EMS 2. Submit a fee of $100. This fee is waived if the service is simultaneously applying for this permission and for a service license and is submitting the fee required for licensure. 3. Show that it can satisfy the requirements of these Rules (except that for numbers of personnel, the applicant must demonstrate that at least one Maine EMS licensed provider, licensed at the permit application level being sought, is affiliated with the applicant service). 4. Renew its permission request when it applies for license renewal, demonstrating to Maine EMS that it continues to satisfy the requirements set forth in these Rules. 5. Apply for new permission to provide a higher level of care by notifying Maine EMS.
5. A ground ambulance service or non-transporting service shall not advertise (in newspapers, telephone directories, on television or commercial radio, on billboards or vehicles, or by other means of public promotion) themselves as providing a level of care other than that at which they are licensed under this section. A board permit to provide a higher level of care is not a license for advertising purposes. The Board may prohibit advertising language from any medium listed above if it deems such language to be potentially deceptive or confusing to the public with regard to the services offered.
6. A ground ambulance service or non-transporting service shall not allow persons less than 18 years of age to participate in medical response operations or medical response observation, except when Maine EMS has approved the service’s supervision plan for such persons and in accordance with Maine Department of Labor rules governing employment for minors.
7. A ground ambulance service or non-transporting service must establish a written driver training program and/or standard operating procedure(s) for the operation of Ambulances and Emergency Medical Service Vehicles licensed by Maine EMS, that at a minimum includes the following: 1. Use of Seatbelts 2. Emergency Vehicle Response to: 1. Emergency Medical Call(s); and, 2. Non-Emergency Medical Call(s) 3. Operator Requirements for Program Participation: 1. Must hold a valid state driver’s license 4. Initial Training: 1. Initial training must consist of the following, and the Operator is not permitted to operate independently during patient transport and/or in emergent mode until the requirements of this section have been met: 1. The Operator has completed a review of all applicable sections of 29-A M.R.S; 2. Completion of on-road driving skills with a service’s designee, to include:

Emergent mode; and,

Non-emergent mode.

• • • 1. An evaluation of the Operator’s proficiency, knowledge, and proper operation of the specific vehicle(s) and equipment;

A satisfactory evaluation must be achieved by the Operator to meet this requirement

• • • 1. Successful completion of an Ambulance Vehicle Operator Course, or a course that has been approved by the Board as an equivalent, according to 32 M.R.S. §86(6). 1. Service Administrator Review 1. The Service Director or designee must review all Operator’s motor vehicle driving history on an annual basis. 2. Record Keeping 1. Services will maintain a record of such training and will make it available to Maine EMS upon request. 3. §7(7) of this chapter is effective six (6) months after publication of this amended rule by the Secretary of State’s Office.

Availability for Emergency Response

1. Any ground ambulance service offering response to emergency medical calls in the service’s 9-1-1 Primary Response Area must be available twenty-four hours a day, every day, with full-time dispatch capability, and written mutual aid arrangements as necessary, and must also provide a detailed plan to its primary dispatch agency indicating its mutual aid agencies and the order of contact of those mutual aid agencies. 1. Failure of a ground ambulance service to comply with these emergency response requirements will be reviewed by Maine EMS to determine if corrective action is required. Maine EMS shall notify the service of any required corrective action and shall set a reasonable amount of time for the service to carry out this action.
2. A non-transporting service providing response to emergency medical calls must submit with its initial license application a letter of understanding if the service’s hours of availability will be other than twenty-four hours a day, every day. This letter of understanding must be approved by Maine EMS and signed by an authorized representative of the non-transporting service, and an authorized representative of the transporting service. Changes to the letter of understanding may be accomplished by written agreement of the aforementioned parties.
3. Non-transporting services must have a full-time dispatch capability, written mutual aid arrangements as necessary and assure an annual average response time during their hours of availability of twenty minutes or less from the "call for emergency medical assistance" to "arrival at scene" and shall not deny treatment resulting from an emergency medical call if treatment is indicated.

Patient Care Report

1. For each request for service, or for each patient when more than one patient is involved in a call, a service must complete and submit an electronic Maine EMS patient care report, as specified by Maine EMS, within twenty-four hours.

Pilot Projects

1. For the purpose of evaluating the workability and appropriateness of incorporating a particular emergency medical treatment technique or a type of equipment into any licensure level, the Board may elect to exempt a service from the requirements of the relevant licensure level so as to permit the service to utilize the designated techniques or equipment on an experimental basis. Such authorizations may be continued at the discretion of the Board. Such authorizations should not be construed as levels of licensure.

Vehicles – General

1. Except as otherwise exempted by 32 M.R.S. §82, no vehicle shall be operated as an ambulance (from within Maine) or emergency medical services vehicle unless it is licensed or authorized in accordance with these Rules.
2. A vehicle license or authorization is valid for a period of one year, starting from the month the service license is issued. 1. Maine EMS will prorate the vehicle licensing fee for a service licensing a new vehicle within its one-year service license period to ensure concurrent expiration dates for service and vehicle licenses.
3. A vehicle license or authorization is issued to a particular service and for a particular vehicle, except as permitted in Chapter 3 §12 of these Rules. If a service is required to relicense under Chapter 3 §2 because of a change of ownership, then all of the service’s vehicle licenses and authorizations end, and the service must apply for new vehicle licenses and/or authorizations. The fee for licensing a vehicle is $60.00.
4. When a service acquires a new or used vehicle under Chapter 3 §12 of these Rules, it shall apply to Maine EMS on forms available from Maine EMS and shall pay the applicable vehicle licensing fee. Within 45 days, Maine EMS shall issue, or decline to issue, a license for the vehicle.
5. Vehicles licensed under this chapter must: 1. Display the name of the service operating the vehicle on the left (driver) and right (passenger) side of the vehicle in letters no less than 6 inches high or display a logo that adequately identifies the service. Vehicles temporarily transferred to a service under the provision of Chapter 3 §12 are exempt from this requirement 2. Be exclusively leased or owned and operated by a service licensed by Maine EMS or by an agency designated by Maine EMS.
6. Upon request by Maine EMS, a service shall make its licensed and/or authorized vehicle(s) available for inspection to ensure that each vehicle is safe, clean, and otherwise in conformity with these Rules. If a licensed or authorized vehicle does not pass inspection and its continued operation presents a hazard to health or safety, the Board may suspend its license to provide emergency medical services at once consistent with Maine Law (See 5 M.R.S. §10004 and 4 M.R.S. §184). Alternatively, if the continued operation of the licensed and/or authorized vehicle at the level which the service is permitted pursuant to Chapter 3 §7(3) of these rules presents a hazard to health or safety, the Board may immediately suspend the service’s permit consistent with Maine Law ( see 5 M.R.S. §10004 and 4 M.R.S §184) and allow the service to operate at the next lowest level for which it is properly equipped. If the deficiencies are not such as to require the vehicle’s immediate removal from service or the immediate suspension of the service’s permit, then Maine EMS shall notify the service of the deficiencies and set a reasonable amount of time in which the service may continue to provide emergency medical services while bringing it into conformity with the law and Rules. If the licensed and/or authorized vehicle is not brought into conformity within the time set, Maine EMS may refuse to renew, or seek revocation of, the licensed and/or authorized vehicle’s license to provide emergency medical services.

Ground Vehicles – Licensing and Authorization Requirements

1. Ground Ambulance Vehicles 1. If control of a ground ambulance vehicle passes from one ambulance service to another, or from an ambulance manufacturer or its representative to an ambulance service, through any means, the ground ambulance vehicle must be licensed to the recipient service prior to the recipient service’s operation of that vehicle as an ambulance. If temporary control of a licensed ground ambulance vehicle, which is owned by a licensed service, is passed to another ambulance service, the ground ambulance vehicle transferred under this subsection will be considered licensed pursuant to these Rules. 2. Emergency Medical Services Vehicles 1. Any vehicle operated by a licensed service that is not already licensed as a fire department vehicle or ambulance, may be authorized by Maine EMS as an emergency medical services vehicle, consistent with 29-A M.R.S. §2054 provided that vehicle: 1. Is operated in emergency response mode on public ways solely for the purpose of carrying personnel and equipment to the scene of an emergency medical call. 2. Meets Maine’s periodic motor vehicle inspection requirements. 3. Is operated in accordance with all applicable Maine Laws, including, but not limited to Title 29-A. 4. Is made available for inspection when requested by Maine EMS in order to ensure conformity with the Rules. 5. Displays the name of the service operating the vehicle on the left (driver) and right (passenger) side of the vehicle in letters no less than 6 inches high or displays a logo that adequately identifies the service. Vehicles temporarily transferred to a service are exempt from this requirement. 6. Is exclusively leased or owned and operated by a service licensed by Maine EMS or by an agency designated by Maine EMS.

Ground Ambulance Design Requirements

1. A ground ambulance vehicle must meet the following standards to be licensed: 1. Federal/state safety requirements. It must meet the applicable federal and Maine safety requirements including the State's periodic motor vehicle inspection requirements listed in the current edition of the Maine State Police Motor Vehicle Inspections Manual. 2. Interior size. It must meet the chassis manufacturer's specifications and must have a minimum inside height of 60 inches at the center of the patient compartment, a minimum width of 48 inches at the center of the patient compartment, a walkway parallel to the length of the primary cot adequate to allow an attendant to walk from head to foot of the cot; and a minimum inside patient compartment length of 122 inches at the cot level. 3. Interior storage accommodations. The interior of the patient compartment must provide adequate stowage space for medical supplies, devices, and installed systems. For purposes of this paragraph, "stowage" is defined as the storing, packing, or arranging of ambulance contents in a secure manner so as to protect the contents from damage and the personnel from injury. Interior compartment doors, latches and operating mechanisms must operate in accordance with the manufacturer's design. 4. Seat belts. Seat belts shall be provided in all permanent seat positions in the vehicle, including the squad bench. For purposes of this paragraph, "squad bench" is defined as a permanent, non-removable seat that is located in the patient compartment and which can serve as a seat for crew members or as a surface on which a patient may lie down. 5. Patient restraint. The ambulance must be equipped with a multilevel patient stretcher designed for ambulances, mounted in, and detachable from the vehicle. The head of the stretcher must elevate. At least three strap-type restraining devices (chest, hip, lower extremity), not less than 2 inches wide, shall be provided for each stretcher, cot, or litter. Additionally, the head of the cot shall be furnished with upper torso (over the shoulder) restraints designed to prevent motion of the patient during severe braking or in an accident. Restraining straps shall incorporate metal-to-metal quick release buckles. The use of all lateral and shoulder straps is required while transporting a patient. 6. Stretcher fasteners. The installed stretcher fastener device(s) for wheeled stretchers shall meet the performance requirements of the following two standards, which this rule incorporates by reference: 1. Ambulance Litter Integrity, Retention, and Patient Restraint Fasteners , (J3027), July 14, 2014, edition, which is available at cost from SAE International, 400 Commonwealth Drive, Warrendale, PA 15096; or, 2. Chapter 6 (6.22) “Patient Cot Retention” of Standard for Automotive Ambulances (NFPA 1917), 2019 edition, published May 24, 2018, which is available at cost from the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA. 3. Provision shall be made for the required portable stretchers to be secured in safe positions for transport. Stretcher fasteners must be installed according to the stretcher fastener manufacturer’s directions. All ambulances licensed after July 1, 2030 will need to meet these requirements. 7. Patient compartment environmental equipment. The patient compartment shall be adequately heated, air-conditioned, and ventilated to provide for patient comfort. 8. Communications equipment shall be adequate to allow the vehicle to contact on the regional radio frequency the hospitals to which it regularly takes patients. The ambulance shall also be able to maintain two-way communications contact with a full-time dispatching facility. All vehicles licensed or authorized by Maine EMS shall be capable of communications utilizing the designated Maine EMS statewide frequency, 155.385 9. Attendants/driver communication. The driver and the attendants, in their working positions, must be able to speak to one another. 10. Warning devices. All ambulances shall be equipped with a functional siren and with functional emergency warning lights, rotating, or flashing, visible from 360 degrees at all times. Colors of ambulance lights are fixed by 29-A M.R.S. §2054. 11. Patient compartment illumination. Normal white illumination shall be provided in the patient area so as to provide a minimum of 35-foot candles of illumination measured on at least 90 percent of the cot's surface area. 12. Name of service. Ground vehicles must display the name of the service licensing the vehicle on the left (driver) and right (passenger) side of the vehicle in letters no less than 6 inches high or display a logo that adequately identifies the service. Vehicles temporarily transferred to a service under the provision of Chapter 3 §12 are exempt from this requirement. 13. Main oxygen supply. The ambulance shall have a hospital type piped medical oxygen system capable of storing and supplying a minimum of 3,000 liters ("M" size tank). The oxygen pressure regulator must be a medical oxygen pressure reducing and regulator valve with an inlet filter at the cylinder and shall have a line relief valve set at 1378 kPa (200 psi) maximum, and a gauge range of 0 to 17225 kPa (0 to 2500 psi). The flow meter must be a pressure compensated type. 14. Suction aspirator permanently mounted. The ambulance vehicle shall have an electrically or (engine) vacuum-powered suction unit capable of providing a free air flow of at least 20 L.P.M. and achieving a minimum of 300 mm Hg within 4 seconds after the suction tube is closed. 15. Exterior compartments and doors. Exterior compartments, exterior compartment doors and exterior patient/passenger doors must be equipped with latches, gaskets and operating mechanisms which operate in accordance with the manufacturer's design.
2. All ambulances newly manufactured after July 1, 2021, must at a minimum comply with one of the following standards, which this rule incorporates by reference: 1. National Fire Protection Agency (NFPA) NFPA 1917 (2019) 1. Standard for Automotive Ambulances (NFPA 1917), 2019 edition, published May 24, 2018, which is available at cost from the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA. 2. Federal Specification for Star-Of-Life Ambulances (KKK-A-1822F through Change notices 13) July 2020 1. Federal Specifications for Star-Of-Life Ambulances (KKK-A-1822F (August 2007) with change notices; #8 July 2015, #9 July 2016, #10 July 2017, #11 July 2018, #12 July 2019, & #13 July 2020), which is available at cost from the Office of Motor Vehicle Management, Vehicle Publishing Division 3. Commission on Accreditation of Ambulance Services, Ground Vehicle Standards 2.0 (July 1, 2019) 1. Commission on Accreditation of Ambulance Services, Ground Vehicle Standards 2.0 (July 1, 2019) is available at cost from Commission on Accreditation of Ambulance Services 1926 Waukegan Road – Suite 300, Glenview, IL 60025.

Ground Ambulance Vehicle Equipment Requirements

1. A ground ambulance service must possess, at a minimum, the equipment listed in Chapter 17 of these Rules, for the type of service and license level. A ground ambulance service must maintain a system to ensure the availability of this equipment on any call.
2. Upon request of Maine EMS, a ground ambulance service shall make its equipment available for inspection in order to ensure conformity with the Rules.

Vehicle Operation

1. A licensed ground ambulance vehicle or authorized emergency medical services vehicle shall operate in a non-emergency response mode to a location to which the ambulance or emergency medical services vehicle has been dispatched except when: 1. Dispatch or responding personnel do not have adequate information to determine the existence or condition of persons at a scene who may require emergency medical treatment; or, 2. The ambulance or emergency medical services vehicle is responding in accordance with a Maine-EMS-approved Response Assignment Plan.
2. A licensed ambulance shall operate in a non-emergency response mode from the scene of a call to a hospital or during the transfer of a patient from a hospital or healthcare facility to another place unless the EMS provider responsible for the care of the patient determines that a threat to the patient’s life or limb exists and necessitates emergency response mode.

Non-Transporting Service Requirements

1. A non-transporting service must possess, at a minimum, the equipment listed in Chapter 17 of these Rules and must maintain a system to ensure the availability of this equipment on any call. 1. All medical equipment and medical supplies required must be latex free. 2. The Emergency Medical Responder (EMR) set of equipment is the minimum set of required equipment for a non-transporting service. 3. If a non-transporting service is licensed at the Emergency Medical Technician (EMT), Advanced EMT or Paramedic level, that service, while responding on an emergency medical call will be equipped on those calls with the equipment and supplies required by these Rules. 4. If the service is permitted to a given level, it must possess at least one set of equipment and supplies required for that level pursuant to these Rules.
2. Upon request of Maine EMS, a non-transporting service shall make its equipment available for inspection in order to ensure conformity with the Rules.

Termination of Service Licensure

1. Any ground ambulance service or non-transporting service intending to terminate its license must make written notification to Maine EMS at least 30 days prior to the service termination date. The service shall notify the public at least 30 days prior to the service termination date by placing an advertisement in the most widely circulated newspaper(s) serving the 9-1-1 Primary Response Area. The notice must state: 1. The name of the service; 2. The date of service termination; and, 3. The names of the geopolitical subdivision(s) affected by the service’s termination.

Duty to Report

1. A licensee or an applicant for licensure under this chapter shall notify the Board in writing within 10 days of a: 1. Change of name or address; 2. Criminal conviction; 3. Revocation, suspension, or other disciplinary action taken in this or any other jurisdiction against any occupational or professional license held by the applicant or licensee; or, 4. Material change in the conditions or qualifications set forth in the original application for licensure submitted to the Board.

AUTHORITY: 32 M.R.S., Chapter 2-B.

EFFECTIVE DATE: July 3, 1978 (EMERGENCY)

AMENDED: April 1, 1982

December 25, 1982 - Sec. 2.31, 3131, 6.311, 6.63 and 6.73

January 1, 1984 - Sec. 1, 2, 3, 5, 6, 8.32, 10.2, 10.3, 11.1066, 11.1067

April 30, 1985 - Sec. 1, 2.846.222, 6.332, 9.313, 8.3216 and 9.11

January 1, 1986 - Sec. 1, 6. 8.15, 8.2, 8.3, 8.4 and 11.103

September 1, 1986

August 25, 1987 - Sec. 5, 6.011 and 12 (added)

July 1, 1988

March 4, 1992

September 1, 1996

June 25, 2024 – filing 2024-147

EFFECTIVE DATE (ELECTRONIC CONVERSION):

July 1, 2000

REPEALED AND REPLACED:

July 1, 2000

July 1, 2003

October 1, 2009

May 1, 2013

January 10, 2021

APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 3 Emergency Medical Dispatch Center Licensure

Code Me. R. 16-163 Ch. 3 -A: Emergency Medical Dispatch Center Licensure {#sec-16-163-ch.-3 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 3}

A provider of emergency medical dispatch services must be licensed by the Board in accordance with 32 M.R.S. §85-A and these Rules.

Licensing Factors – The license issued under this chapter is for an Emergency Medical Dispatch Center.

Ownership

Upon request of the Board, an applicant or licensed Emergency Medical Dispatch Center must provide the Board with the identity and legal status (e.g., municipality, corporation, limited liability company, sole proprietorship) of the person or entity that holds or is making application for the license. Failure to provide this information will result in an application being treated as incomplete.

Physical address or location

A license is issued for a specific physical address or location.

Change in Licensing Factors.

An Emergency Medical Dispatch Center must receive Board approval to change any of the licensing factors.

Standards

An application will not be accepted as complete unless it includes all materials required to be evaluated for licensure. To obtain a new license, an EMD Center applicant must:

1. Apply on forms available from Maine EMS; and
2. Demonstrate to Maine EMS that: 1. The applicant complies with the requirements of 32 M.R.S. §85-A, the Rules, and the Maine EMS-approved Emergency Medical Dispatch Priority Reference System 2. The applicant can provide the facilities, equipment, and personnel required by these Rules 3. The applicant has an electronic version of the Maine EMS-approved emergency medical dispatch protocol on each computer used by an emergency medical dispatcher while engaged in emergency medical dispatch. In the event of power loss, software failure or as part of continuing education, card sets or other back-up tools, approved by Maine EMS, may be used. 4. The applicant complies with the Quality Assurance/Quality Improvement requirements as set forth in the Maine EMS approved Emergency Medical Dispatch Priority Reference System; and 5. The applicant has designated a director of Emergency Medical Dispatch, who shall act as the point of contact for the Emergency Medical Dispatch Center. 6. The applicant must provide a policy addressing situations where an EMS agency is notified of an emergency medical call but does not immediately respond. This policy must include procedures for the Emergency Medical Dispatcher to follow in these situations.

An Emergency Medical Dispatch Center license is issued for a period of 24 months unless earlier suspended or revoked. A license may be issued for a shorter period of time if approved by the Board.

An Emergency Medical Dispatch Center must demonstrate ongoing compliance with these Rules in order to maintain its license.

Renewal

1. An application will not be accepted as complete unless it includes all materials required

to be evaluated for licensure.

2. An Emergency Medical Dispatch Center may apply for a renewal license for up to

ninety (90) days after the date of expiration. The ninety-day period does not postpone

the expiration date. An Emergency Medical Dispatch Center with an expired license

cannot provide emergency medical dispatch services. An application submitted more

than 90 days after expiration shall be considered a new application and subject to all

requirements governing new applications.

3. In order to obtain a license renewal, an Emergency Medical Dispatch Center must:

4. Apply on forms available from Maine EMS; and

5. Demonstrate, as may be required by Maine EMS, that it meets the licensing requirements of 32 M.R.S. §85-A and these Rules.

Personnel Requirements for Emergency Medical Dispatch Centers

An Emergency Medical Dispatch Center must use Maine EMS licensed Emergency Medical Dispatchers to receive, evaluate and process all calls for medical assistance, except that a dispatcher-in-training, under direct supervision of a Maine EMS licensed emergency medical dispatcher designated by the EMD Center director, may process calls using the emergency medical dispatch protocol after the dispatcher-in-training has attended the Maine EMS approved certification course for emergency medical dispatch. For purposes of this paragraph, direct supervision means that the designated licensed emergency medical dispatcher is contemporaneously listening to the call for medical assistance being processed by the dispatcher-in-training and is able to assume control of the call and provide emergency medical dispatch, if the dispatcher-in-training is unable to process the call in accordance with protocol.

An Emergency Medical Dispatch Center director must notify Maine EMS when Emergency Medical Dispatchers are employed or terminated from employment by the Center. Notification must be made electronically or by mail within five days of the employment or termination of employment of an Emergency Medical Dispatcher.

Response Standards for Emergency Medical Dispatch Centers

Emergency Medical Dispatch Centers must provide Emergency Medical Dispatch Services twenty-four hours a day, every day, with full-time dispatch capability to ensure that all calls for medical assistance received are processed in accordance with 32 M.R.S. §85-A, the Maine EMS-approved Emergency Medical Dispatch Priority Reference System and these Rules.

Emergency Medical Dispatch services must be implemented within the first 10 seconds of when a 9-1-1 call is received in at least ninety percent of the calls received.

Effective June 1, 2020, licensed Emergency Medical Dispatch Centers at a minimum must provide the Emergency Medical Dispatch Determinant level and chief complaint to responders as part of the emergency medical services dispatch to a call for medical treatment or transport on all calls received through the E-911 system.

• 1. (Chief Complaint, as defined in the International Academy of Emergency Dispatch EMD Course Manual Edition 25, is 'the primary reason the patient is seeking medical care (in some cases only the mechanism of injury). 2. Determinant Levels: 'A categorization of Determinant Descriptors for each Chief Complaint that reflects the general priority of the incident (OMEGA, ALPHA, BRAVO, CHARLIE, DELTA and ECHO).' 3. These definitions are incorporated into these rules by reference: 1. Copies of theses definitions from the International Academy of Emergency Dispatch, Emergency Medical Dispatch Manual Edition 25, (September 2015) is available at cost from Maine Emergency Medical Services, 45 Commerce Drive, Augusta, Maine 04330.

Termination of Center License

Any Emergency Medical Dispatch Center intending to terminate its operations must make written notification to Maine EMS and the Emergency Services Communications Bureau at least 30 days prior to the termination date. The Emergency Medical Dispatch Center shall notify the public at least 30 days prior to the service termination date by placing an advertisement in the most widely circulated newspaper(s) serving the dispatch area(s). The notice must state:

1. The name of the Emergency Medical Dispatch Center
2. The date of termination
3. The names of the municipalities affected by the termination and
4. The plan in place for 9-1-1 service and Emergency Medical Dispatch coverage for municipalities affected by the termination.

§9. Statewide Emergency Dispatch Protocol

All licensed Emergency Medical Dispatch Centers in Maine must exclusively use Board approved statewide Emergency Medical Dispatch protocols.

AUTHORITY: 32 M.R.S. §84, 85-A, 88

EFFECTIVE DATE: September 1, 2006 (NEW)

REPEALED AND REPLACED:

October 1, 2009

May 1, 2013

January 10, 2021

Chapter 4 Air Ambulance Service Licenses

Code Me. R. 16-163 Ch. 4 Air Ambulance Service Licenses {#sec-16-163-ch.-4 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 4}

No air ambulance service shall administer emergency medical services unless it is duly licensed by the Board under these Rules. Licensure under this Chapter authorizes the licensee only to provide emergency medical care using an air ambulance and does not constitute authority to provide air transportation. Such authority must be obtained from the Federal Aviation Administration and the United States Department of Transportation.

License Factors – an air ambulance service license is issued for a specific:

Type of service - which may be:

1. Scene Response Air Ambulance Service
2. Transfer Air Ambulance Service or
3. Restricted Response Air Ambulance Service (RRAAS). In order to be licensed as a Restricted Response Air Ambulance Service, an applicant must demonstrate to the Board that the limited scope of the proposed service will fulfill a unique and/or unmet need regarding the air transport of patients in the state. - 1. Only Ground Ambulance Services may apply for this type of license. 1. Notwithstanding the requirements of this Chapter, in order to receive a license as a RRAAS, an applicant must comply with any and all restrictions or modifications placed upon the licensee by the Board, including, but not limited to:

The primary service area to which the service may provide emergency medical services; and

The type and medical condition of patients that may be transported by the licensee. RRAAS is limited to response to non-emergency medical calls unless a Scene Response Air Ambulance Service or Transfer Air Service is unavailable to respond to emergency medical calls in the RRAAS response areas or unless the applicant has a plan, approved by the Maine EMS Board.

Level of care

1. Scene Response Air Ambulance Services and Transfer Air Ambulance Services must be licensed at the Paramedic level.
2. Restricted Response Air Ambulance Services will be licensed and permitted at the same levels as their Ground Ambulance Service license.

Ownership

1. Upon request of the Board, an applicant for or licensee of an air ambulance service license must provide the Board with the identity and legal status (e.g., municipality, corporation, Limited Liability Company, sole proprietorship) of the person or entity that holds or is making application for the license. Failure to provide this information may result in the application being treated as incomplete.
2. The air ambulance service license will be issued in the name of the operator, individual or organization directly responsible for the medical care aspects of the service.

Base Location for Scene Response Air Ambulance & Transfer Air Ambulance Services

1. Unless otherwise approved by Maine EMS, a service must be separately licensed for each base location from which it operates; or
2. A service may apply for a single license to operate from multiple base locations provided it has a Service Medical Director and a single Quality Assurance / Quality Improvement program that is approved by the Board and the State Medical Director.

Change in License Factors

A service must receive a new license before changing any licensing factors.

Approval of License

Once a service's application for a new or renewed license has been accepted as complete by Maine EMS, Maine EMS shall grant, refuse, or conditionally grant the license within seventy days.

Licensing Standards

An application will not be accepted as complete unless it includes all materials required to be evaluated for licensure. To obtain a new license, an applicant must:

1. Apply on forms available from Maine EMS.
2. Submit a fee of $100.00.
3. Demonstrate to Maine EMS that: - 1. The applicant has placed a notice, approved by Maine EMS, in the most widely circulated newspaper(s) serving the proposed service area(s). The notice must state:

The name and legal status of the entity making application.

The name of the proposed service

The type of service proposed

The level of care to be provided

The names of the municipalities within the primary response area of the proposed service

That the public is invited to make comment to Maine EMS regarding the proposed application, and that comments must be received by Maine EMS within 30 calendar days after the date of the notice's publication and,

The current mailing address of the Maine EMS office.

• • 1. The applicant has made a detailed manual of policies and procedures available for reference in the flight coordination office and available for inspection by Maine EMS to assist with EMS system planning and resource coordination efforts. Personnel shall be familiar and comply with policies contained within the manual, which shall include, but not be limited to:

A written policy and procedure specifying the:

Service’s mission statement

Scope of care to be provided by the service in accordance with Medical Direction and Practices Board-approved protocols; and

Education, clinical experience, and competency requirements of the medical crew commensurate with the scope of care to be provided.

Notification phone numbers and access dispatch procedure, including identification of those who may request a mission and those who will approve missions

Capabilities of medical transport personnel

Type of aircraft vehicle(s) used and operational protocols specific to type

Coordination of medical protocols and operating practices with hospital and pre-hospital providers and other public safety agencies

Response and coverage area for the service

Preparation and stabilization of the patient

A safety program of policies and procedures specific to patient care.

Coordination of medical protocols and operating practices with those of the hospital and pre-hospital providers and public safety agencies with whom the service will interact

Ongoing familiarization for those ambulance and non-transporting services, public safety agencies, and hospital personnel with whom the air ambulance service may interact routinely.

Scene Response Services must have ongoing safety communications program consisting of integration with Public Safety Answering Points and other emergency dispatch facilities in the state.

Procedures for acceptance of requests, referrals, and/or denial of service for medically related reasons.

Geographical boundaries and features for the service area.

Service area maps shall be readily available.

Scheduled hours of operation.

Criteria for the medical conditions and indications or medical contraindications for flight.

Field triage criteria for all trauma patients that include anatomic, physiologic, and situational components identified in order to risk-stratify injury severity and guide decisions as to activation, destination, and transport modality.

Procedures for call verification and advisories to the requesting party.

Acceptable destinations and landing areas.

Procedures for medical crew assignments and notification including rosters of medical personnel.

Written policy that ensures that air medical personnel shall not be assigned or assume cockpit duties concurrent with patient care duties and responsibilities.

Communications procedures.

On-ground communications.

Flight cancellation procedures.

Mutual aid procedures.

Written plan that addresses the actions to be taken in the event of an emergency or patient crisis during transport operations.

Procedures for informing requesting party of flight procedures, anticipated time of helicopter arrival, and termination of flight.

Patient tracking procedures that shall assure air/ground position reports at intervals not to exceed ten (10) minutes (inflight).

Scene Response Services must have provisions for contemporaneous flight following and during all operations and a readily accessible post-accident incident plan as they relate to patient care.

Services that respond to incident scenes and/or support disaster response shall provide Helicopter Safety and Landing Zone Procedures in a written format to all public safety/law enforcement agencies and hospital personnel who interface with the medical service that includes but is not limited to the following:

1. The identification, designation and preparation of appropriate landing zones
2. Ground personnel safety in and around the aircraft
3. Ground to air communications
4. Victim recovery procedures in the post-crash or unanticipated incident - 1. The applicant possesses the equipment, required by these Rules, for the type of service and level of care proposed.

• • 1. The applicant can provide personnel required by these Rules for the type of service and level of care proposed. 2. An applicant for a Scene Response Air Ambulance Service or Restricted Response Air Ambulance Service must demonstrate full time dispatch capabilities. 3. The applicant possesses two-way radio communications equipment and frequencies for the proposed type of service, including, but not limited to the hospital-ambulance frequencies utilized in the service area(s) pursuant to these Rules and the designated Maine EMS statewide frequency "155.385." 4. Applicants for licensure must demonstrate liability coverage for injuries to persons and for loss or property damages resulting from negligence by the service or medical crew. A license holder should immediately notify Maine EMS and cease operations if the coverage required by this section is cancelled or suspended. Maine EMS will not issue an air ambulance service license to an air ambulance service unless the applicant for a license or the licensee has: 1. Evidence of medical professional liability insurance that requires the insurer to compensate for injuries to persons or unintentional damage to property. 2. Worker’s compensation coverage is required as defined by individual state regulating bodies. 5. The applicant meets the quality assurance/quality improvement requirements of Chapter 18 of these Rules. 6. The applicant has a physician medical director who is:

Licensed and authorized to practice as a physician in Maine and is board certified in a specialty consistent to the mission of the service and actively practices in the care and management of critically ill or injured adult and pediatric patients

Experienced in both air and ground emergency medical services and is familiar with the national consensus criteria of appropriate utilization of air medical and ground inter-facility critical care services

Responsible for supervising and evaluating the quality of medical care provided by the medical personnel and the program

Actively involved in the selection, training and recurrent education and practice of the flight medical crew and has expertise with the flight environment, including flight physiology and the management of diseases affected by altitude

Actively involved in the Quality Assurance / Quality Improvement (QA/QI) program for the service, including the review of all missions by a qualified physician and in administrative decisions affecting medical care provided by the service

Familiar with Maine EMS Protocols, the Maine Trauma System and the capabilities of referring and receiving hospitals

Knowledgeable of the capabilities and limitations of the aircraft used in the service; and,

Responsible to ensure that appropriate aircraft, medical crew, and equipment are provided for each mission based on a system of preflight patient evaluation for inter-hospital transports and an established protocol consistent with types of scene responses anticipated if so licensed.

Has established a plan for on-line medical direction if needed during transport.

• • 1. If the application is for a new service or a change of service ownership: the applicant, if an individual is of good character, and if a partnership or corporation, its partners or principal officers are of good character. Four character references, written within the past year, must be submitted as a condition of meeting this requirement; none may be from a relative or employee of the applicant. 2. If the application is for a restricted air ambulance service, the service has either (1) guaranteed continuity of care for the patient by entering into written agreements with the ambulance services that will transport its patients or (2) otherwise addressed these concerns in a plan approved by Maine EMS that includes as a component a written agreement of this nature with at least one ambulance service. 3. The applicant has submitted a quality assurance plan that is subject to Maine EMS approval and that includes review of all flights by a qualified physician pursuant to these Rules. 4. The applicant has established a service level Quality Assurance/Quality Improvement Committee (for approval under 32 M.R.S. §92-A). 5. The applicant has designated a service director, who shall act as the point of contact for the service. 6. The applicant has designated a person who serves as the training and education point of contact for the service. 7. The applicant demonstrates that all medical crew members are appropriately trained and qualified. 8. The applicant has identified the designated infection control officer for the proposed service. Pursuant to 42 U.S.C. §300ff-136, each employer of emergency response employees in the State of Maine must have a designated infection control officer (ICO) for the purposes of receiving notifications and responses and making requests under 42 U.S.C. Chapter 6A, Subchapter XXIV, Part G. The licensee shall provide the ICO name and contact information to Maine EMS, and promptly notify Maine EMS of any changes in ICO during the term of its license. Maine EMS will provide this information to the Department of Health and Human Services, Maine Center for Disease Control, Division of Infectious Disease. 9. The applicant complies with the drugs and medication requirements in Chapter 6 of these Rules.

Except as provided in paragraph 3, below, a service license is issued for a period of 12 months. Maine EMS may issue a license that expires prior to the twelfth month and may prorate the licensing fee; if it is determined that such a change is in the best interest of the service and the system.

Effective January 1, 2020, initial and renewal service applications will be issued/renewed with a November 30, 2020 expiration date in order to establish a common month of expiration for all services. Maine EMS will prorate service and vehicle fees during the transition period.

Notwithstanding the notice requirements of §5(C) (1), Maine EMS may issue a temporary service license for up to 60 days to an applicant if Maine EMS determines that issuance of the temporary license will avert the disruption of emergency medical services in the primary service area(s) listed in the applicant’s application.

Licensing Standards for Restricted Response Air Ambulance Services

An application will not be accepted as complete unless it includes all materials required to be evaluated for licensure. To obtain a new license, an applicant must:

1. Apply on forms available from Maine EMS.
2. Demonstrate to Maine EMS that: - 1. The applicant has made a detailed manual of policies and procedures available for reference, which shall include, but not be limited to:

Education, clinical experience, and competency requirements of the medical crew commensurate with the scope of care to be provided;

Notification phone numbers and access dispatch procedure, including identification of those who may request a mission and those who will approve missions;

Type of aircraft vehicle(s) used and operational protocols specific to type;

Coordination of operating practices with hospital and pre-hospital providers and other public safety agencies;

Preparation and stabilization of the patient;

A safety program of policies and procedures specific to patient care;

Procedures for acceptance of requests, referrals, and/or denial of service for medically related reasons;

Criteria for the medical conditions and indications or medical contraindications for flight;

Acceptable destinations and landing areas;

Written policy that ensures that air medical personnel shall not be assigned or assume cockpit duties concurrent with patient care duties and responsibilities; and

Written plan that addresses the actions to be taken in the event of an emergency or patient crisis during transport operations.

• • 1. Applicants for licensure must demonstrate liability coverage for injuries to persons and for loss or property damages resulting from negligence by the service or medical crew. A license holder should immediately notify Maine EMS and cease operations if the coverage required by this section is cancelled or suspended. Maine EMS will not issue a Restricted Response Air Ambulance service license unless the applicant for a license or the licensee has: 1. Evidence of medical professional liability insurance that requires the insurer to compensate for injuries to persons or unintentional damage to property. 2. Worker’s compensation coverage is required as defined by individual state regulating bodies. 2. The applicant meets the quality assurance/quality improvement requirements of Chapter 18 of these Rules. 3. The service has either (1) guaranteed continuity of care for the patient by entering into written agreements with the ambulance services that will transport its patients or (2) otherwise addressed these concerns in a plan approved by Maine EMS that includes as a component a written agreement of this nature with at least one ambulance service.

Except as provided in paragraph 3 below, a service license is issued for a period of 12 months. Maine EMS may issue a license that expires prior to the twelfth month if it is determined that such a change is in the best interest of the service and the system.

Maine EMS may issue a temporary service license for up to 60 days to an applicant if Maine EMS determines that issuance of the temporary license will avert the disruption of emergency medical services in the primary service area(s) listed in the applicant’s application.

Renewal of Service License

Renewal of a service license must be obtained each year, not later than the twelfth month after the license is issued. If Maine EMS and the service agree, a license may be renewed in less than a year, and the licensing fee prorated in order to shift the service's licensing anniversary.

A licensee shall submit an application for renewal prior to the expiration date of the license. An application will not be accepted as complete unless it includes all materials required to be evaluated for licensure. A service may apply for a renewal license for up to ninety (90) days after the date of expiration. The ninety-day period does not postpone the expiration date of the license. An air ambulance service with an expired license cannot provide emergency medical services until a renewed license has been issued. An application submitted more than 90 days after the license expiration date shall be considered an application for a new license and subject to all requirements governing new applications.

In order to obtain and maintain a license renewal, a service must, for each base location:

1. Apply on forms available from Maine EMS

2. Submit a fee of $100.00

3. Demonstrate, as required by Maine EMS, that it meets the licensure requirements called for in these Rules

4. Scene Response and Transfer Air Ambulance Services must be fully accredited by a national or international accreditation service as recognized by the State, provided the accreditation service meets the following minimum standards: - - 1. Provides accreditation for no more than three consecutive years without an updated inspection and reaccreditation. 2. Has a multi-disciplinary Board of Directors representing medical transport organizations. 3. Uses trained site-surveyors with experience in medical transport at the level of accreditation and license. 4. Assures services that have identified standards deficiencies will implement corrective action or improvement plans to correct any deficiencies. 5. Has an open process that encourages and accepts comments on changes to its accreditation standards. 6. Provides transparency to the public on its standards, accreditation process, list of accredited programs, and policies and procedures. 7. Maintains insurance (General liability, Medical Professional Liability, Directors & Officers and Travel) and be able to present its current certificates of insurance to Maine EMS.

5. Scene Response Air Ambulance Services must submit on an annual basis a utilization report to Maine EMS and the Medical Direction and Practices Board (MDPB) that includes at minimum: - 1. Medically related data from all flights discharged from receiving hospitals in less than 24 hours; and 2. Clinical performance data as requested by the MDPB.

Renewal of Service License for a Restricted Response Air Ambulance Service

In order to obtain and maintain a license renewal, a service must, for each base location:

1. Apply on forms available from Maine EMS; and
2. Demonstrate, as required by Maine EMS, that it meets the licensure requirements called for in these Rules.

Personnel Requirements for Air Ambulance Service Licensees

Scene Response Air Ambulance Services and Transfer Air Ambulance Services

The flight medical crew must consist of at least two people medically certified/licensed by the State. One of these crew members must be licensed by Maine EMS or designated as a flight nurse pursuant to 32 M.R.S §83 and must have:

• • 1. Successfully completed a course based upon standards approved by the Board that includes, but is not limited to, altitude physiology; 2. Current certifications in any specialty programs as required, and published, by the Board. 3. Scene Response Air Ambulance Service must provide one crew member licensed at the Paramedic level while responding to scene requests. 4. All paramedics must have completed the Maine EMS Paramedic Interfacility Transport Program training.

Personnel in addition to the Paramedic will be utilized consistent with the patient's needs.

Restricted Response Air Ambulance Service

1. The flight medical crew must consist of at least one EMS Person, Registered Nurse, Advanced Practice Registered Nurse, Physician, or Physician’s Assistant, licensed by the State, at or above the level to which the service is licensed.
2. Personnel in addition to the person identified in §7(2)( A) of this chapter may be utilized consistent with the patient's needs.

A service must report to Maine EMS the addition of any licensed EMS person to its roster of responding personnel prior to that person responding on behalf of the service and must report the termination or resignation of any EMS provider from the service within 5 days of the termination or resignation of the provider. Notification to Maine EMS may be made electronically or by mail.

Pursuant to 42 U.S.C. §300ff-136, each employer of emergency response employees in the State of Maine must have a designated infection control officer (ICO) for the purposes of receiving notifications and responses and making requests under 42 U.S.C. Chapter 6A, Subchapter XXIV, Part G. The licensee shall provide the ICO name and contact information to Maine EMS, and promptly notify Maine EMS of any changes in ICO during the term of its license. Maine EMS will provide this information to the Department of Health and Human Services, Maine Center for Disease Control, Division of Infectious Disease.

Service Availability for Response for Scene Response & Transfer Air Ambulance Services

An air ambulance service must provide prompt notification to the requesting agency of the air ambulance’s estimated time of arrival to the scene of a medical emergency or interfacility transfer pick-up location. Changes in estimated time of arrival will be immediately communicated to the requesting agency by the air ambulance service.

Failure of a service to comply with these response requirements will be reviewed by Maine EMS to determine if corrective action is required. Maine EMS shall notify the service of any required corrective action and shall set a reasonable amount of time for the service to carry out this action.

Patient Care Report

For each request for service, or for each patient when more than one patient is involved in a call, an air ambulance service must complete and submit an electronic Maine EMS patient care report as specified by Maine EMS, within twenty-four hours. Additionally, a Restricted Response Air Ambulance Service must indicate in the electronic run reporting system which responses were air ambulance responses.

Pilot Projects

For the purpose of evaluating the workability and appropriateness of incorporating a particular emergency medical treatment technique or a type of equipment into any licensure level, the Board may elect to exempt a service from the requirements of the relevant licensure level so as to permit the service to utilize the designated techniques or equipment on an experimental basis. Such authorizations may be continued at the discretion of the Board. Such authorizations should not be construed as levels of licensure.

Scene Response & Transfer Air Ambulance Vehicles

Except as otherwise exempted by 32 M.R.S. §82 and §12 of this chapter, no aircraft shall provide emergency medical services within Maine unless it is licensed as an ambulance under these Rules.

An air ambulance vehicle license is valid for a period of one year, starting from the month the service license is issued. Maine EMS will ensure concurrent expiration dates for service and vehicle licenses.

An aircraft licensed as an air ambulance must be maintained in a clean and sanitary condition, free from interior corrosion, dirt, or contaminating foreign matter.

An air ambulance license is issued to a particular service and for a particular vehicle, except as permitted in Chapter 4 §12.2 of these Rules. If a service is required to relicense under Chapter 4 §3 of these Rules because of a change of ownership, then all of the service's vehicle licenses end, and the service must apply for new vehicle licenses. The fee for licensing a vehicle is $60.00.

When a service acquires a new or used air ambulance under Chapter 4 §12 of these Rules, it shall apply to Maine EMS on forms available from Maine EMS and shall pay the vehicle licensing fee necessary to license the vehicle . Within 45 days, Maine EMS shall issue, or decline to issue, a license for the vehicle.

At least once each year, Maine EMS shall inspect each air ambulance aircraft to be sure that it is clean and otherwise in conformity with these Rules. If a vehicle does not pass inspection and its continued operation presents a hazard to health or safety, the Board may suspend its license to provide emergency medical services at once consistent with Maine Law (See 5 M.R.S. §10004 and 4 M.R.S. §184). Alternatively, if the continued operation of the air ambulance aircraft at the level of care for which it is permitted pursuant to Chapter 4 §2(2) of these Rules presents a hazard to health or safety, the Board may immediately suspend the aircraft’s level of care permit consistent with Maine law (see 5 M.R.S. §10004 and 4 M.R.S. §184) and allow the aircraft to operate at the next lowest level of care for which it is properly equipped. If the deficiencies are not such as to require the immediate suspension of the aircraft’s license to provide emergency medical services or the immediate suspension of its level of care permit, then Maine EMS shall notify the operator of the deficiencies and set a reasonable amount of time in which the operator may continue to provide emergency medical services while bringing it into conformity with the law and Rules. If the aircraft is not brought into conformity within the time set, Maine EMS may refuse to renew, or seek revocation of, the aircraft’s license to provide emergency medical services.

Scene Response & Transfer Air Ambulance Vehicle Licensing Requirements

Permanent Air Ambulance Vehicles - Any air ambulance vehicle used by a licensed air ambulance service for providing emergency medical services more than four times in any, one-year period, must be licensed to the respective service. An air ambulance vehicle may be licensed to more than one service, with each service independently responsible for its own licensure and use of the vehicle.

Temporary Air Ambulance Vehicles – Any air ambulance vehicle used for patient transport by a licensed air ambulance service no more than four times in any one-year period will be considered to be duly licensed to that service by the Board if it meets the requirements of this chapter. Within 7 days after such a transport, the service must notify Maine EMS of the date, time, and origin/destination points of the transport as well as the type and registration number of the aircraft and the reason for its use instead of a “permanent” vehicle. Maine EMS will place this information in the service file and may inspect the aircraft.

Scene Response and Transfer Air Ambulance Vehicle Design Requirements

Maine EMS requires that an aircraft licensed by the Board must:

1. Be configured to allow medical attendants to have full-body patient view and access, and access to equipment and supplies in order to initiate both basic and advanced life support emergency procedures;
2. Be designed and configured for patient placement that allows for safe crew egress without compromising patient stability during loading, unloading or in-flight operations;
3. Be configured to allow operation of the aircraft doors from the interior and that the doors be capable of being fully opened and held by a mechanical device;
4. Have sufficient space to accommodate at least one patient on a stretcher, two medical attendants, and the medical equipment required;
5. Be equipped with a patient stretcher and patient securing systems/straps capable of accommodating adult and pediatric patients. The stretcher must be designed to support effective cardiopulmonary resuscitation (CPR) or a backboard or equivalent device to achieve CPR must be readily available; - 1. Patients under 60 pounds (27 kg.) shall be provided with an appropriately sized restraining device (for patient's height and weight) which is further secured by a locking device; 2. All patients under 40 lbs. must be secured in a five-point safety strap device that allows good access to the patients from all sides and permits the patient’s head to be raised at least 30 degrees; 3. There must be some type of restraining device within an isolette to protect the patient in the event of air turbulence and the isolette must be capable of being opened from its secured position in order to provide full access to the infant in the event of complicated airway problems or extrication from the isolette becomes necessary; 4. There shall be access and necessary space to ensure any on-board patient's airway is maintained and to provide adequate ventilatory support from the secured, seat-belted position of medical transport personnel.
6. Be equipped with safety belts and securing restraints adequate to stabilize and secure any patient, medical attendants, and equipment. Medical attendants must be able to wear seat belts while having access to the patient's head and upper body;
7. Be large enough to accommodate loading of a stretcher without rotating it more than 30 degrees about the longitudinal axis or 45 degrees about the lateral axis of the patient and does not compromise functioning of monitoring systems, intravenous lines and manual or mechanical ventilation;
8. Be equipped with climate controls capable of preventing adverse effects on patients or medical personnel on board;
9. Be configured so that operational controls and communications equipment are protected from intended or accidental interference by the patient, medical transport personnel, medical equipment or medical supplies;
10. Be designed and configured so that the head-strike envelope for the patient and medical attendants is clear of objects or surfaces that could cause injury in the event of air turbulence or sudden hard landing. Medical crews in rotorcraft must wear helmets.
11. Be pressurized if an altitude is to be flown which would otherwise compromise the patient's condition.
12. Be equipped with an oxygen system with adequate capacity and available oxygen for every mission. Oxygen tanks must be secured to prevent movement. No oxygen tank may be secured on the area of the stretcher designed for patient placement.

Medical transport personnel will be able to determine if oxygen is “on” by in-line pressure gauges mounted in the patient care area indicating quantity of oxygen remaining and measurement of liter flow;

Each gas outlet will be clearly marked for identification, and oxygen flow can be stopped at or near the oxygen source from inside the aircraft or ambulance;

Oxygen flow meters and outlets must be padded, flush mounted, or so located to prevent injury to medical transport personnel;

There must be a back-up source of oxygen (of sufficient quantity to get safely to a facility for replacements) in the event the main system fails. This back-up source can be the required portable tank as long as the portable tank is accessible in the patient care area during flight and must be located and. Under no circumstances will a portable tank be located between the patient’s legs.

1. Be designed so that hangers/hooks are available to secure IV solutions, or a mechanism is provided for delivery of high flow fluids. IV hooks must be padded, flush mounted, or so located to prevent head trauma to the medical transport personnel in the event of a hard landing in the aircraft;
2. Be designed so that medications, medical supplies and equipment - consistent with the service’s scope of care and necessary for patient medical care - are accessible to the flight medical crew while they are secured in seatbelts;
3. Be designed so that the cardiac monitor, defibrillator and external pacemaker displays are visible and that the equipment is secured and positioned to provide easy access by the flight medical crew while they are secured in seatbelts. Extra batteries or other power source must be available;
4. Be designed and configured so that the service's mission and ability to transport two or more patients does not compromise the airway or stabilization or the ability to perform emergency procedures on any on-board patient, and be designed to provide access for simultaneous airway management if there is a two-patient configuration;
5. Be designed so that the floor, sides, and ceiling in the patient compartment have a surface capable of being cleaned and disinfected in accordance with Occupational Safety and Health Administration regulations.
6. Have overhead illumination at the patient level sufficient for patient care.
7. Carry radios capable of communicating: with all Maine hospitals which may be over flown; Maine EMS Statewide frequency 155.385; with the flight service dispatch; and with personnel on the ground if scene pickups are routinely conducted. Headset equipment for pilot/medical crew communication is required if such communication would not otherwise be possible.
8. Be capable of communications utilizing the designated Maine EMS statewide frequency "155.385".
9. Be equipped with an electrical power source(s) that will accommodate commonly carried medical equipment (AC or DC powered) without compromising the operation of any aircraft electrical equipment and that is not dependent upon a portable battery.
10. Be configured and equipped so as to prevent interference with medical systems.
11. Be equipped with a suction aspirator that must be powered by the aircraft’s electrical or engine-vacuum system and that must be capable of providing a free air flow of at least 20 lpm and achieving a minimum of 300 mm. Hg within 4 seconds after the suction tube is closed.

Air Ambulance Service Equipment Requirements

All medical equipment and medical supplies carried on an air ambulance vehicle shall be latex free.

1. Transfer Air Ambulance Services must utilize equipment consistent with the patient's needs and must carry as a minimum, that equipment listed in these Rules.
2. Scene Response Air Ambulance Services must comply with the air ambulance equipment requirements included in these Rules unless an air ambulance service demonstrates to Maine EMS that such equipment is not practicable for air ambulance services in general or that a substitute piece of equipment would be more appropriate in an air ambulance. All medical equipment and supplies must be secured.
3. Restricted Response Air Ambulance Services must carry with them on the air ambulance any equipment necessary to continue patient care.

Duty to Report

A licensee or an applicant for licensure under this chapter shall notify the Board in writing within 10 days of a:

1. Change of name or address
2. Criminal conviction
3. Revocation, suspension, or other disciplinary action taken in this or any other jurisdiction against any occupational or professional license held by the applicant or licensee; or,
4. Material change in the conditions or qualifications set forth in the original application for licensure submitted to the Board.

AUTHORITY: 32 M.R.S., Chapter 2-B.

EFFECTIVE DATE: July 3, 1978 (EMERGENCY)

AMENDED: April 1, 1982

December 25, 1982 - Sec. 2.31, 3131, 6.311, 6.63 and 6.73

January 1, 1984 - Sec. 1, 2, 3, 5, 6, 8.32, 10.2, 10.3, 11.1066 and 11.1067

April 30, 1985 - Sec. 1, 2.846.222, 6.332, 9.313, 8.3216 and 9.11

January 1, 1986 - Sec. 1, 6. 8.15, 8.2, 8.3, 8.4 and 11.103

September 1, 1986

August 25, 1987 - Sec. 5, 6.011 and 12 (added)

July 1, 1988

March 4, 1992

September 1, 1996

EFFECTIVE DATE (ELECTRONIC CONVERSION): July 1, 2000

REPEALED AND REPLACED: July 1, 2000

July 1, 2003

October 1, 2009

May 1, 2013

January 10, 2021

APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 5 Personnel LicensesCh. 5-A (Word) Emergency Medical Dispatcher LicensureCh. 5-B (Word) Emergency Medical Services Ambulance Operator Licenses

Code Me. R. 16-163 Ch. 5 Personnel Licenses {#sec-16-163-ch.-5 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 5}

Personnel licenses are issued for the following levels of care, in ascending order:

Emergency Medical Responder (EMR)

Emergency Medical Technician (EMT)

Advanced Emergency Medical Technician (AEMT)

Paramedic

Scope of Practice

The scopes of practice for Emergency Medical Responders, Emergency Medical Technicians, Advanced Emergency Medical Technicians, and Paramedics are defined by the U.S. Department of Transportation, National Highway Traffic Safety Administration (NHTSA) document, "National EMS Scope of Practice Model 2019.” (Report No. DOT HS 812-666). Accordingly, the following document is incorporated by reference: National Association of State EMS Officials. National EMS Scope of Practice Model 2019 (Report No. DOT HS 812-666). Washington, DC: National Highway Traffic Safety Administration. Copies of this document are available at Maine EMS.

Licensees may perform the following treatments:

Basic Emergency Medical Treatment: All licensed personnel may perform basic emergency medical treatment within the scope of their practice as defined below, as permitted by protocol and in accordance with this chapter of the Rules.

1. Emergency Medical Responder: NHTSA’s National EMS Scope of Practice Model , 2019 edition, defines the scope of practice for a person licensed at the Emergency Medical Responder level. An Emergency Medical Responder’s clinical practice is defined by Maine EMS protocol. A person licensed at the Emergency Medical Responder level may operate without the supervision of another Maine EMS licensee at the scene of a medical emergency until such time that a person licensed above the Emergency Medical Responder level arrives at the scene. Once on the scene, personnel licensed above the Emergency Medical Responder level are responsible for supervising Emergency Medical Responder licensed personnel, who may not operate without such supervision.

Patient immobilization for transport, patient loading, and patient care during transport must be directly supervised by personnel licensed above the Emergency Medical Responder level. Any basic emergency medical treatments not described in the scope of practice for an Emergency Medical Responder in NHTSA’s National EMS Scope of Practice Model 2019 , may only be performed while assisting, and in the presence of personnel licensed above the Emergency Medical Responder level.

One EMS provider licensed at or above the EMT level must accompany the patient in the patient compartment of the ambulance during transport.

1. Emergency Medical Technician: NHTSA’s National EMS Scope of Practice Model 2019, defines the scope of practice for a person licensed at the Emergency Medical Technician level. An Emergency Medical Technician’s clinical practice is defined by Maine EMS protocol.

Additions for Emergency Medical Technicians with Certification As "Wilderness EMT"

Any licensee certified as a Wilderness Emergency Medical Technician (WEMT), consistent with Chapter 2 of these Rules, may apply WEMT emergency medical care as allowed by the Maine EMS protocol.

Advanced Emergency Medical Treatment: Advanced emergency medical treatments may be provided only by those licensed at, or above, the levels indicated, within the scope their practice as defined below, as permitted by protocol and in accordance with this section of the Rules:

1. Advanced Emergency Medical Technician (AEMT): NHTSA’s National EMS Scope of Practice Model 2019 , defines the scope of practice for a person licensed at the Advanced Emergency Medical Technician level. An Advanced Emergency Medical Technician’s clinical practice is defined by Maine EMS protocol.

2. Paramedic: NHTSA’s National EMS Scope of Practice Model 2019, defines the scope of practice for a person licensed at the Paramedic level. A Paramedic’s clinical practice is defined by Maine EMS protocol.

3. Paramedic Inter-Facility Transfer (PIFT) - In order to practice as a PIFT provider, a Maine licensed Paramedic must:

Complete a Maine EMS approved PIFT provider course; and,

Be affiliated with a Maine EMS licensed service that is approved by the Board to provide PIFT services.

A licensee may perform emergency medical treatment when:

1. The licensee practices in accordance with Maine EMS protocol, and
2. The licensee acts with the approval of the ambulance crew member in charge of the call.
3. The licensee has completed the most recent Maine EMS pre-hospital protocol update, including necessary skills expansion.

A license is valid for three years from the month of issuance unless otherwise specified in these Rules. A license issued on or after November 1, 2022, will be valid for a period of two years from the month of issuance unless otherwise specified in these Rules.

An application will not be accepted as complete unless it includes all materials required to be evaluated for licensure. To obtain a new or renewed license, an applicant must:

Provide proof of parental consent if the applicant is less than 18 years of age. No application for licensure by a person under 18 years of age will be approved unless the service(s) with which the applicant will be practicing emergency medical care submits and maintains a Maine EMS-approved plan for supervision. No one under the age of 16 may be licensed.

1. An applicant must be at least 18 years of age in order to be eligible for licensure above the EMT level.

Not have received a three-year Maine EMS license at the same level within the past year. Effective November 1, 2022 – Not have received a two-year Maine EMS license at the same level within the past year.

Submit the following to Maine EMS:

1. A completed Maine EMS application signed by the applicant.
2. Certification of Board-approved training or training judged by Maine EMS to be equivalent. If the training was completed more than a year prior to application, a license may be issued that is valid for three years (two years after November 1, 2022) from the month of the training completion date (or from the month of the required test if that preceded training completion). Board approved training includes a Board approved initial course at the appropriate level, or a course judged by Maine EMS to be equivalent.
3. Certification of Board-approved continuing education hours (CEH) at the appropriate level, or continuing education hours judged by Maine EMS to be equivalent, in the case of an applicant whose Maine license is current or not expired by more than two years, or who submits a history of training which Maine EMS accepts as qualifying him/her to use continuing education hours for licensure. - 1. CEH must be of the type and amount appropriate to the level, and may be used to fulfill training requirements provided that:

The applicant's Maine license is current or not expired by more than two years; and

Certificates of continuing education hours have not been used for a previous license renewal and have been earned within the current license renewal cycle or the past two years; whichever is greater. "Training completion date" for the purpose of setting a license expiration date will be the date of the most recently completed continuing education program, which is submitted for licensure.

Continuing education hours appropriate to each level are as follows:

Emergency Medical Responder - 32 total hours consisting of: 2 hours in Preparatory and Operations; 8 hours in Airway, Breathing and Cardiac; 2 hours in Patient Assessment; 4 hours in Medical; 4 hours in Trauma; 4 hours in Obstetrics and Pediatrics; and 8 hours in BLS Psychomotor Skills.

EMT - 52 total hours consisting of: 2 hours in Preparatory and Operations; 8 hours in Airway, Breathing and Cardiac; 4 hours in Patient Assessment; 8 hours in Medical; 6 hours in Trauma; 8 hours in Obstetrics and Pediatrics; 8 hours in BLS Psychomotor Skills; and 8 hours in Further Continuing Education.

Advanced Emergency Medical Technician (AEMT) - 56 total hours consisting of: 2 hours in Preparatory and Operations; 12 hours in Airway, Breathing and Cardiac; 4 hours in Patient Assessment; 8 hours in Medical; 6 hours in Trauma; 8 hours in Obstetrics and Pediatrics; 4 hours in BLS Psychomotor Skills; 4 hours in ALS Psychomotor Skills; and 8 hours in Further Continuing Education.

Paramedic - 72 total hours consisting of: 2 hours in Preparatory and Operations; 16 hours in Airway, Breathing and Cardiac; 4 hours in Patient Assessment; 12 hours in Medical; 8 hours in Trauma; 8 hours in Obstetrics and Pediatrics; 4 hours in BLS Psychomotor Skills; 8 hours in ALS Psychomotor Skills; and 10 hours in Further Continuing Education.

For license renewals on or after November 1, 2023, continuing education requirements will be based upon a two-year licensing cycle and shall be in accordance with the National Registry of Emergency Medical Technicians’ 2016 National Continued Competency Program Hour Requirements listed below. This rule incorporates by reference the National Registry of Emergency Medical Technicians’ Recertification Guide (Updated July 15, 2019) . Copies of this standard are available from the National Registry of Emergency Medical Technicians at their website (http://www.nremt.org) or Maine EMS, Department of Public Safety, 45 Commerce Drive, Suite 1, 152 State House Station, Augusta, ME 04333-0152.

Emergency Medical Responder (EMR) - 16 Total Hours consisting of 8 hours in National Continued Competency Requirements (NCCR), 4 hours in Maine-EMS-approved Local Continued Competency Requirements (LCCR), and 4 hours in Individual Continued Competency Requirements.

Emergency Medical Technician (EMT) - 40 Total Hours consisting of 20 hours in National Continued Competency Requirements (NCCR), 10 hours in Maine-EMS-approved Local Continued Competency Requirements (LCCR), and 10 hours in Individual Continued Competency Requirements.

Advanced Emergency Medical Technician (AEMT) - 50 Total Hours consisting of 25 hours in National Continued Competency Requirements (NCCR), 12.5 hours in Maine-EMS-approved Local Continued Competency Requirements (LCCR), and 12.5 hours in Individual Continued Competency Requirements.

Paramedic - 60 Total Hours consisting of 30 hours in National Continued Competency Requirements (NCCR), 15 hours in Maine-EMS-approved Local Continued Competency Requirements (LCCR), and 15 hours in Individual Continued Competency Requirements.

Further Continuing Education as identified in the aforementioned CEH requirements is not a category but represents additional training in categories 1-5. Category 7 CEH (Instructor Coordinator Continuing Education Hours) is not considered Further Continuing Education for purposes of this Chapter.

Nationally standardized training programs may be awarded continuing education hours when that applicant provides proof of current certification at the time of application. Current certification is determined by definition of the national sponsor of the training program.

In lieu of the license renewal continuing education hour requirements of this Chapter, an applicant may submit a current certification card at the license level being renewed from a national EMS certifying entity approved by the Board. Unless Maine EMS determines otherwise, a license renewal based upon a national EMS certifying entity certification shall carry an expiration that is concurrent with the applicant’s national EMS certifying entity certification’s expiration date.

At the time of renewal, each licensee must certify, on an application provided by Maine EMS, the number of continuing education hours completed for license renewal. The licensee shall retain documentation of continuing education hours for two license renewals, including the current renewal period. For purposes of this paragraph, “current renewal period” means the 24-month period prior to the application date. In calculating continuing education hours completed prior to the month of application, the last day of each month shall be considered the completion date for all continuing education completed within a given month.

Applicants for license renewal will be selected by Maine EMS on a random basis for an audit of continuing education compliance. In addition, an individual licensee may be selected for an audit as part of an investigation or if there is reasonable cause to believe the licensee has provided a false certification concerning the completion of continuing education requirements. An audit will review the continuing education hour certifications submitted by the licensee for the past two license renewals, including the current renewal period.

Licensees selected for audit will be notified to submit documentation of the continuing education hours that were certified by the licensee at the time of renewal if they are not already available to Maine EMS. Licensees will have ten (10) business days from the date of notification to submit all requested documentation. Continuing education hours that cannot be verified in accordance with the documentation requirements determined by the Board or that do not satisfy the requirements for continuing education contained in these Rules will be disallowed.

Applicants for license renewal must present proof of satisfactory completion of continuing education in accordance with these Rules. Failure to comply with the continuing education rules may, at Maine EMS’s discretion, result – in accordance with 32 M.R. Chapter 2-B and the Maine EMS Rules - in disciplinary action to deny license renewal or may result in a decision to enter into a consent agreement and probation setting forth terms and conditions to correct the licensee's failure to complete continuing education or may result in any other disciplinary action available to the Board. Terms and conditions of a consent agreement may include requiring completion of increased hours of continuing education, civil penalties, suspension and other terms as the Board, the licensee and the Department of the Attorney General determine appropriate.

1. Board-approved testing certification: - 1. An applicant must demonstrate successful completion of a Board approved cognitive exam and practical skills evaluation - at the license level being sought - within two years of the application date. 2. For applicants whose initial course completion date is on or after March 1, 2016 - an applicant for an initial license at any provider level must successfully complete the Maine-EMS-Board-approved cognitive test and practical skills evaluation – for the license level being sought - within two (2) years of the course completion date of the initial course. 3. Notwithstanding paragraphs 1 and 2 above, an applicant is not required to submit testing certification as part of the license application process if:

An applicant, whose Maine EMS license has expired within two years prior to the application date is applying for a new or renewed license at the license level held within the aforementioned two-year period.

An applicant possesses a current certification or license from another state or territory; or,

An applicant is determined by Maine EMS to be eligible to license based upon current certification from a national EMS certifying entity.

• • 1. For purposes of paragraph 1, above, if the test is more than a year old, a license may be issued that is valid for the licensing period as calculated from the month of the test (or from the month of the required training course if that precedes the test). When practical and written portions of the test are completed in different months, the test date will be the month the first test was completed.

1. A complete history of criminal convictions as well as civil infractions for alcohol or drugs. Maine EMS will consider this to the extent allowed by Maine Law.
2. A complete history of any action taken against any emergency medical services certification or license or professional certification or license that the applicant currently holds or has ever held.

License Expiration and Renewal

1. An application will not be accepted as complete unless it includes all materials required to be evaluated for licensure.
2. A person may apply for a renewal license for up to ninety (90) days after the date of expiration. The ninety-day period does not postpone the expiration date of the license. Licensees whose licenses have lapsed as of the expiration date cannot provide emergency medical treatment until a renewed license has been issued.
3. An application submitted more than 90 days after the license expiration date shall be considered an application for a new license and subject to all requirements governing new applications

Duty to Report

A licensee or an applicant for licensure under this chapter shall notify the Board in writing within 10 days of a:

Change of name or address, including personal email address

Criminal conviction

Revocation, suspension, or other disciplinary action taken in this or any other jurisdiction against any occupational or professional license held by the applicant or licensee or,

Material change in the conditions or qualifications set forth in the original application for licensure submitted to the Board.

History

• STATUTORY AUTHORITY: 32 M.R.S., Chapter 2-B.
• EFFECTIVE DATE: July 3, 1978 (EMERGENCY)
• AMENDED: April 1, 1982
• AMENDED: December 25, 1982 - Sec. 2.31, 3131, 6.311, 6.63 and 6.73
• AMENDED: January 1, 1984 - Sec. 1, 2, 3, 5, 6, 8.32, 10.2, 10.3, 11.1066 and 11.1067
• AMENDED: April 30, 1985 - Sec. 1, 2.846.222, 6.332, 9.313, 8.3216 and 9.11
• AMENDED: January 1, 1986 - Sec. 1, 6. 8.15, 8.2, 8.3, 8.4 and 11.103
• AMENDED: September 1, 1986
• AMENDED: August 25, 1987 - Sec. 5, 6.011 and 12 (added)
• AMENDED: July 1, 1988
• AMENDED: March 4, 1992
• AMENDED: September 1, 1996
• AMENDED: December 24, 2022 – filing 2022-244
• EFFECTIVE DATE (ELECTRONIC CONVERSION): July 1, 2000
• REPEALED AND REPLACED: July 1, 2000
• REPEALED AND REPLACED: July 1, 2003
• REPEALED AND REPLACED: October 1, 2009
• REPEALED AND REPLACED: May 1, 2013
• REPEALED AND REPLACED: January 10, 2021
• REPEALED AND REPLACED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 5 Emergency Medical Dispatcher Licensure

Code Me. R. 16-163 Ch. 5 -A: Emergency Medical Dispatcher Licensure {#sec-16-163-ch.-5 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 5}

Except as provided for in these Rules, no person shall provide emergency medical dispatch services unless the person is licensed as an Emergency Medical Dispatcher by the Board in accordance with 32 M.R.S. §85-A and these Rules.

The type of license issued under this chapter is for an “Emergency Medical Dispatcher.”

Scope of Practice

An Emergency Medical Dispatcher may provide emergency medical dispatching in accordance with the Maine EMS-approved Emergency Medical Dispatch Priority Reference System, within the scope of the dispatcher’s Maine EMS-approved training and in accordance with 32 M.R.S. §85-A and these Rules.

An Emergency Medical Dispatcher may perform emergency medical dispatching services when the Dispatcher:

Holds a current Emergency Medical Dispatcher license issued by the Board;

Is employed by and acts with the approval of an Emergency Medical Dispatch Center licensed by the Board in accordance with 32 M.R.S. 85-A and these Rules;

Practices in accordance with the Maine EMS-approved Emergency Medical Dispatch Priority Reference System and in accordance with 32 M.R.S. §85-A and these Rules;

License

A license issued by the Board under this chapter is valid for twenty-four months from the month of issuance unless earlier suspended or revoked or as otherwise specified in these Rules.

The Board may issue a license valid for twenty–seven months in order to ensure that the applicant’s license expiration date occurs three months after the applicant’s training certification expiration from the entity that provides the Board approved statewide emergency medical dispatch protocols. Once the three-month separation is established, the license issued will be for a period of twenty-four months, unless the Board determines that a license issued for a shorter period of time is in the best interests of the system.

An application will not be accepted as complete unless it includes all materials required to be evaluated for licensure. To obtain a new or renewed license, an applicant must:

Be at least 18 years of age on the date of application;

Not have received a two-year Maine EMS Emergency Medical Dispatcher license within the past year;

Submit the following to Maine EMS:

• • 1. A completed Maine EMS application. 2. Current training certification from the entity that provides the Board approved statewide emergency medical dispatch protocols.

A current training certification or recertification cannot be used more than one time to fulfill Maine EMS Emergency Medical Dispatcher training requirements for a new or renewal license.

If a training certification or recertification was completed more than a year prior to application, a license may be issued that is valid for two years from the certification month.

• • 1. Board-approved testing in accordance with the Maine EMS-approved Emergency Medical Dispatch Priority Reference System. 2. A complete history of criminal convictions, as well as civil infractions involving alcohol or drugs. Maine EMS will consider this to the extent allowed by Maine Law. 3. A complete history of any action taken against any emergency medical dispatch certification or license or any other professional certification or license that the applicant currently holds or has ever held.

License Renewal and Expiration

An application will not be accepted as complete unless it includes all materials required to be evaluated for licensure.

At the time of renewal, each licensee must certify, on an application provided by Maine EMS, the number of continuing education hours completed for license renewal. No additional information or continuing education documentation is required to be submitted at the time of renewal. However, the licensee shall retain documentation of continuing education hours included in the current renewal period. For purposes of this paragraph, “current renewal period” means the 24-month period prior to the application date. In calculating continuing education hours completed prior to the month of application, the last day of each month shall be considered the completion date for all continuing education completed within a given month.

Applicants for license renewal will be selected by Maine EMS on a random basis for audit of continuing education compliance. In addition, an individual licensee may be selected for an audit as part of an investigation or if there is reasonable cause to believe the licensee has provided a false certification concerning the completion of continuing education requirements. An audit will review the continuing education hour certifications used for the past two license renewals submitted by the licensee, including the current renewal period.

Licensees selected for audit will be notified to submit documentation of the continuing education hours that were certified by the licensee at the time of renewal. Continuing education hours that cannot be documented in accordance with the documentation requirements determined by the Board or that do not satisfy the requirements for continuing education contained in these Rules will be disallowed.

Applicants for license renewal must present proof of satisfactory completion of continuing education in accordance with these Rules. Failure to comply with the continuing education rules may, at Maine EMS’s discretion, result – in accordance with 32 M.R.S. Chapter 2-B and the Maine EMS Rules - in disciplinary action to deny license renewal, a decision to enter into a consent agreement and probation setting forth terms and conditions to correct the licensee's failure to complete continuing education or any other disciplinary action available to the Board. Terms and conditions of a consent agreement may include requiring completion of increased hours of continuing education, civil penalties, suspension and other terms as the Board, the licensee and the Department of the Attorney General determine appropriate.

A person may renew a license for up to ninety (90) days after the date of expiration. The ninety-day period does not postpone the expiration date of the license. Emergency Medical Dispatchers whose licenses have lapsed as of the expiration date cannot provide emergency medical dispatch services until a renewed license has been issued.

An application submitted more than 90 days after the license expiration date shall be considered an application for a new license and subject to all requirements governing new applications.

AUTHORITY: 32 M.R.S. 84, §85-A, 88

EFFECTIVE DATE: September 1, 2006 (New)

REPEALED AND REPLACED: October 1, 2009

May 1, 2013

January 10, 2021

Chapter 5 Emergency Medical Services Ambulance Operator Licenses

Code Me. R. 16-163 Ch. 5 -B: Emergency Medical Services Ambulance Operator Licenses {#sec-16-163-ch.-5 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 5}

Persons requiring a license to operate an emergency medical services ambulance:

1. A person not licensed under MRS 32 Chapter 2-B section 85 who is associated with a ground ambulance service shall obtain a license under this chapter to operate an emergency medical services ambulance.

• 1. "Associated with" means a person who has a formal relationship with a transporting EMS agency, such as membership or employment, that creates a reasonable expectation that the person may be tasked with operating an ambulance as part of an emergency response or transport of a patient.

1. This rule does not apply to a person not associated with a ground ambulance service who operates an emergency medical services ambulance.
2. This rule takes effect six (6) months after the publication of this chapter by the Secretary of State.

Requirements for licensure

An application will not be accepted as complete unless it includes all materials required to be evaluated for licensure. To obtain a new license an applicant must

• 1. Have reached their eighteenth birthday. 2. Submit the following to Maine EMS: 1. A completed Maine EMS application signed by the applicant. An application will not be accepted as complete unless it includes all materials required to be evaluated for licensure. 2. Hold a valid state driver’s license pursuant to Title 29-A, chapter 11, subchapter 1. Or qualify for an exemption under MRS 29-A Chapter 11 SS 1251 (6) 3. Provide the following: 1. The state or province of issuance of the driver’s license , 2. The driver’s license number, and 3. The driver’s license expiration date

1. A complete history of criminal convictions as well as civil infractions for alcohol or drugs. Maine EMS will consider this to the extent allowed by Maine Law.
2. A complete history of any action taken against any emergency medical services certification or license or professional certification or license that the applicant currently holds or has ever held.

License Expiration and Renewal

1. A license issued under this chapter will be valid for up to two years. Expiration dates will be set to January 31.
2. A renewal application will not be accepted as complete unless it includes all materials required to be evaluated for licensure. To obtain a renewed license, an applicant must. 1. Submit the following to Maine EMS: 1. A completed Maine EMS application signed by the applicant. An application will not be accepted as complete unless it includes all materials required to be evaluated for licensure.

• • 1. Hold a valid state driver’s license pursuant to Title 29-A, chapter 11, subchapter 1. Or qualify for an exemption under MRS 29-A Chapter 11 § 1251 (6) 2. Provide the following: 1. The state or province of issuance of the driver’s license, 2. The driver’s license number, and 3. The driver’s license expiration date

1. Applicants for license renewal will be selected by Maine EMS on a random basis for an audit of compliance. In addition, an individual licensee may be selected for an audit as part of an investigation or if there is reasonable cause to believe the licensee has provided a false information.
2. A person may apply for a renewal license for up to ninety (90) days after the date of expiration. The ninety-day period does not postpone the expiration date of the license. An application submitted more than 90 days after the license expiration date shall be considered an application for a new license and subject to all requirements governing new applications.

Duty to Report

A licensee or an applicant for licensure under this chapter shall notify the Board in writing within 10 days of a:

1. Change of name or address.
2. Criminal conviction.
3. Change in driver’s license status or conditions resulting from a revocation, suspension, or restriction.
4. A change in the status of the exemption under MRS 29-A Chapter 11 § 1251 (6)
5. Revocation, suspension, or other disciplinary action taken in this or any other jurisdiction against any occupational or professional license held by the applicant or licensee; or,
6. Material change in the conditions or qualifications set forth in the original application for licensure submitted to the Board.

History

• STATUTORY AUTHORITY: 32 M.R.S., Chapter 2-B.
• EFFECTIVE DATE: December 24, 2022 – filing 2022-245
• EFFECTIVE DATE: Corrected: June 19, 2023

Chapter 6 Drugs and Medications

Code Me. R. 16-163 Ch. 6 Drugs and Medications {#sec-16-163-ch.-6 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 6}

GENERAL

For the purpose of this Section, "drugs and medications" include only those substances used by Maine EMS licensed services and persons in the delivery of Emergency Medical Treatment, consistent with Maine EMS Protocols. Maine EMS will maintain a list of approved drugs and medications and will revise and publish the list when changes in protocol dictate.

The administration of drugs or medications to a patient shall be determined by applicable protocols and recorded on the Maine EMS run report.

A service authorized by Board license or permit to obtain, store and administer drugs or medications shall:

Operate consistent with these Rules except when an alternative system for the supply, storage, and logging of drugs and medications has been approved by a licensed pharmacist, by the service-level medical director or the regional medical director, and by Maine EMS. Under any such system, all drugs and medications shall be properly stored with provision for climate control.

Report any instances of missing controlled drugs or medications to Maine EMS within twenty-four (24) hours upon discovery. A full report of the service’s investigation of the missing drugs and any action the service may have taken regarding the incident must be sent to Maine EMS as soon as it is complete.

STORAGE

Drugs and medications must:

Be stored in packaging as dispensed and/or labeled by a pharmacy.

Be properly stored with provision for reasonable climate control.

All controlled substances must be secured in a storage box unless otherwise approved by the Board. The box must be secured with a one-time, pharmacy-type, numbered seal applied. The box must have a label attached indicating the name of the earliest expiring item and its expiration date.

Non-controlled substances may be stored outside a sealed container so long as they are accounted for in accordance with these rules.

A drug/medication log for each vehicle (or, in the case of a non-transporting service, for each drug box) must be kept by the service indicating:

Date the service received the storage box with new seals.

Seal numbers (old and new) whenever seal is broken and replaced.

Use and disposal of drugs/medications including applicable Maine EMS patient/run record number.

Legible signature and license number of persons making the log entry.

To ensure that drugs and medications have not expired or been tampered with, the integrity of the seal and the expiration date must be checked at least daily for scheduled drugs and weekly for nonscheduled drugs and recorded in the drug/medication log. Any service utilizing only one licensee authorized to treat with drugs and medications will ensure that this check of seal integrity is carried out by an authorized official of the service other than this licensee.

The drug/medication log will be checked at the annual service inspection, or as requested by the Board. Services shall maintain drug/medication logs for a minimum of 5 years.

AUTHORITY: 32 M.R.S., Chapter 2-B.

EFFECTIVE DATE: July 3, 1978 (EMERGENCY)

AMENDED: April 1, 1982

December 25, 1982 - Sec. 2.31, 3131, 6.311, 6.63 and 6.73

January 1, 1984 - Sec. 1, 2, 3, 5, 6, 8.32, 10.2, 10.3, 11.1066 , 11.1067

April 30, 1985 - Sec. 1, 2.846.222, 6.332, 9.313, 8.3216 and 9.11

January 1, 1986 - Sec. 1, 6. 8.15, 8.2, 8.3, 8.4 and 11.103

September 1, 1986

August 25, 1987 - Sec. 5, 6.011 and 12 (added)

July 1, 1988

March 4, 1992

September 1, 1996

EFFECTIVE DATE (ELECTRONIC CONVERSION):

July 1, 2000

REPEALED AND REPLACED:

July 1, 2000

July 1, 2003

October 1, 2009

May 1, 2013

January 10, 2021

Chapter 7 State Licensure Examinations

Code Me. R. 16-163 Ch. 7 State Licensure Examinations {#sec-16-163-ch.-7 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 7}

§1. An examination required for EMS licensure in Maine must consist of a Board approved written (cognitive) test for the level of license sought and a Board approved practical (psychomotor) evaluation of emergency medical treatment skills.

§2. Examinations required for licensure will be based upon current standards approved and published by the Board, including, but not limited to the:

1. Types of examinations;

2. Eligibility requirements for persons seeking examination; and,

3. Process and content of examinations.

AUTHORITY: 32 M.R.S., Chapter 2-B.

EFFECTIVE DATE: July 3, 1978 (EMERGENCY)

AMENDED: April 1, 1982

December 25, 1982 - Sec. 2.31, 3131, 6.311, 6.63 and 6.73

January 1, 1984 - Sec. 1, 2, 3, 5, 6, 8.32, 10.2, 10.3, 11.1066, 11.1067

April 30, 1985 - Sec. 1, 2.846.222, 6.332, 9.313, 8.3216 and 9.11

January 1, 1986 - Sec. 1, 6. 8.15, 8.2, 8.3, 8.4 and 11.103

September 1, 1986

August 25, 1987 - Sec. 5, 6.011 and 12 (added)

July 1, 1988

March 4, 1992

September 1, 1996

EFFECTIVE DATE (ELECTRONIC CONVERSION):

July 1, 2000

REPEALED AND REPLACED:

July 1, 2000

July 1, 2003

October 1, 2009

January 10, 2021

Chapter 8 Training Courses and Continuing Education Programs Used for LicensureCh. 8-A (Word) Training Centers

Code Me. R. 16-163 Ch. 8 Training Courses and Continuing Education Programs {#sec-16-163-ch.-8 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 8}

USED FOR LICENSURE

Training Courses

Training courses must be conducted in accordance with the Board-approved Training Center Standards.

The following training courses are approved for licensure at the Emergency Medical Responder (EMR), Emergency Medical Technician (EMT), Advanced EMT (AEMT) and Paramedic levels:

• 1. For initial licensure - A Maine EMS approved course, or any equivalent course which in itself, or with specified supplementary instruction, is approved by the Board as including all of the required objectives for the training. 2. For renewal - Maine EMS approved continuing educations hours in accordance with the licensing requirements of Chapter 5 of these Rules or any other course which is approved by the Board as including all of the required objectives for this training.

Any course (not including continuing education hour programs) leading to certification for EMS provider licensure must be supervised by an instructor/coordinator licensed by Maine EMS for that particular level and must be approved by a Maine EMS Training Center. Out-of-state courses and certifications will be judged on a case-by-case basis using a comparison of Maine EMS approved curricula.

Applicants to conduct courses leading to certification for EMS provider licensure must comply with the requirements for conducting courses as approved and published by Maine EMS.

Candidates must meet the training requirements for licensure at the level from which the course starts.

EMS Continuing Education Programs

A program held in Maine or out of state may be approved for continuing education hours (CEH) if it meets the following conditions:

The sponsor must apply before the program is to begin. Only under unusual circumstances, such as those set forth in Chapter 13 of these Rules, may continuing education hour courses be approved after they have occurred;

The topics to be taught must be relevant to EMS;

The instructor must be qualified by knowledge and/or training in the topic area;

The sponsor must make known to the students those requirements the students must meet in order to receive attendance certification;

The sponsor or designee must submit the Maine EMS-approved attendance roster and course evaluations, or a course evaluation summary document, for the program to Maine EMS within ten days of the date the course was taught. The roster must include the names and license numbers of those attending, attendees’ signatures or the course sponsor’s attestation of remote attendance, the number and type of hours approved, and the approval number. The list must be physically or electronically signed by the sponsor or designee as verification of attendance;

Programs are open to the public unless otherwise approved by Maine EMS, a regional council or a Training Center; and

The sponsor must provide the students an opportunity to comment in writing on the program and must make these comments available to Maine EMS upon request within ten days after the end of the program. Sponsors of CEH offered through publications approved by Maine EMS need not provide this opportunity.

Maine EMS may grant continuing education hours for programs offered through professional journals, audio and visual media, teleconferencing, the Internet, and other forms of distributive learning, or for other educational programs not described in this Chapter, when requested by the applicant. For Maine EMS to consider granting CEH approval the applicant must submit to Maine EMS:

An outline and description of the program, to include program handouts;

The name and address of the program sponsor;

The names of any EMS agencies granting the program continuing education hours;

A contact name and telephone number for attendance verification;

A program completion certificate, or equivalent;

If applicable, approval from the Commission on Accreditation for Pre-Hospital Continuing Education (CAPCE), formerly known as the Continuing Education Coordinating Board for EMS (CECBEMS); and

Proof, if the program was not supervised, that the program required, and the applicant successfully completed, a knowledge test in order to receive a program completion certificate.

Programs that have been previously approved by Maine EMS, a regional council or a Training Center may be approved without further review, provided that:

Maine EMS, a regional council, or a Training Center has not rescinded the program’s approval; and

No significant changes have been made to the program content or faculty.

Maine EMS may delegate approval of continuing education programs that meet the requirements of this chapter to regional councils or a Maine EMS approved Training Center provided that they maintain a system for assuring high quality programs and provide such program information in a timely manner as requested by Maine EMS.

AUTHORITY: 32 M.R.S., Chapter 2-B

EFFECTIVE DATE: July 3, 1978 (EMERGENCY)

AMENDED: April 1, 1982

December 25, 1982 - Sec. 2.31, 3131, 6.311, 6.63 and 6.73

January 1, 1984 - Sec. 1, 2, 3, 5, 6, 8.32, 10.2, 10.3, 11.1066, 11.1067

April 30, 1985 - Sec. 1, 2.846.222, 6.332, 9.313, 8.3216 and 9.11

January 1, 1986 - Sec. 1, 6. 8.15, 8.2, 8.3, 8.4 and 11.103

September 1, 1986

August 25, 1987 - Sec. 5, 6.011 and 12 (added)

July 1, 1988

March 4, 1992

September 1, 1996

EFFECTIVE DATE (ELECTRONIC CONVERSION):

July 1, 2000

REPEALED AND REPLACED: July 1, 2000

July 1, 2003

October 1, 2009

May 1, 2013

January 10, 2021

Chapter 8 Training Centers

Code Me. R. 16-163 Ch. 8 -A: Training Centers­ {#sec-16-163-ch.-8 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 8}

A provider of emergency medical services courses leading to licensure in Maine must be authorized by the Board in accordance with 32 M.R.S. §88(2)(D) and these Rules.

Authorization Factors – The authorization issued under this chapter is for a Training Center

1. Ownership

Upon request of the Board, an applicant or authorized Training Center must provide the Board with the identity and legal status (e.g. municipality, corporation, limited liability company, sole proprietorship) of the person or entity that holds or is making application for the authorization. Failure to provide this information will result in an application being treated as incomplete.

1. Physical address or location

An authorization is issued for a specific physical address or location.

Change in Authorization Factors

A Training Center must receive Board approval to change any of the authorization factors.

Standards

1. An application will not be accepted as complete unless it includes all materials required to be evaluated for authorization. To obtain new authorization, a Training Center applicant must:

Apply in a format prescribed by Maine EMS; and,

Demonstrate to Maine EMS that the applicant complies with the requirements of 32 M.R.S. §88(2)(D), the Rules, and the Board-approved Training Center Standards.

1. A Training Center Authorization is issued for a period of 60 months unless earlier suspended or revoked. An authorization may be issued for a shorter period of time if approved by the Board.
2. A Training Center must demonstrate ongoing compliance with these Rules and the Training Center Standards in order to maintain its authorization.

Renewal

1. An application will not be accepted as complete unless it includes all materials required to be evaluated for authorization.
2. A Training Center may apply for a renewal authorization for up to ninety (90) days after the date of expiration. The ninety-day period does not postpone the expiration date. A Training Center with an expired authorization cannot provide education and training courses pursuant to the Training Center Standards. An application submitted more than 90 days after expiration shall be considered a new application and subject to all requirements governing new applications.
3. In order to obtain an authorization renewal, a Training Center must:

Apply electronically; and,

Demonstrate, as may be required by Maine EMS, that it meets the licensing requirements of 32 M.R.S. §88(2)(D), these Rules and the Training Center Standards.

Termination of Training Center Authorization

Any Training Center intending to terminate its operations must make written notification to Maine EMS at least 30 days prior to the termination date.

AUTHORITY: 32 M.R.S. §84, §88

EFFECTIVE DATE: May 1, 2013 (NEW)

REPEALED AND REPLACED:

January 10, 2021

Chapter 9 Instructor Coordinator LicenseCh. 9-A (Word) Emergency Medical Dispatch Training, Instructors and Continuing Education Programs

Code Me. R. 16-163 Ch. 9 Instructor Coordinator License {#sec-16-163-ch.-9 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 9}

Licenses are issued for the following levels of Instructor Coordinators (I/C):

1. I/C- EMT -a person licensed at the I/C - EMT level may act as the lead instructor in courses leading to licensure at the Emergency Medical Responder, and EMT license levels.
2. I/C- Advanced Emergency Medical Technician (AEMT)- a person licensed at the I/C - AEMT level may act as the lead instructor in courses leading to licensure at the Emergency Medical Responder, EMT and Advanced Emergency Medical Technician (AEMT) license levels.
3. I/C- Paramedic - a person licensed at the I/C- Paramedic level may act as the lead instructor in courses leading to licensure at the Emergency Medical Responder, EMT, Advanced Emergency Medical Technician (AEMT), and Paramedic license levels.

Licensed Instructor Coordinators are responsible for EMS licensure program criteria as approved by the Board. Instructor Coordinator licenses are valid for a period of two years, or as otherwise determined by Maine EMS.

To obtain and maintain a new or renewed Instructor Coordinator license, the applicant must:

Be at least 18 years of age.

Submit the following to Maine EMS:

A completed Maine EMS Instructor Coordinator application signed by the applicant.

Proof of education consistent with current Maine EMS Education Standards at the:

• 1. EMT level, if applying for an I/C-EMT license. 2. Advanced Emergency Medical Technician (AEMT) level, if applying for an I/C – AEMT license. 3. Paramedic level, if applying for an I/C – Paramedic license.

Training Certification, which may be:

• • 1. A Board-approved instructor coordinator training program completed within two years of license application at the appropriate level taught by a Maine EMS licensed I/C following the guidelines set forth by the Training Center or a program judged by Maine EMS to be equivalent; or, 2. For licensees whose Maine Instructor Coordinator license is current or not expired by more than two years - Maine EMS-approved continuing education hours - 16 hours of Maine EMS approved continuing education specifically designed to address educational issues and approved by Maine EMS, provided that:

Certificates of continuing education hours have not been used for a previous license renewal and have been earned within the past two years.

No more than 6 hours of continuing education received by the applicant for instructing Maine EMS licensing courses may be used towards fulfilling license renewal requirements.

A complete history of criminal convictions as well as civil infractions for alcohol or drugs. Maine EMS will consider this to the extent allowed by Maine Law.

A complete history of any action taken against any emergency medical services certification or license or professional certification or license that the applicant currently holds or has ever held.

License Renewal and Expiration

1. An application will not be accepted as complete unless it includes all materials required to be evaluated for licensure.

2. At the time of renewal, each licensee must certify, on an application provided by Maine EMS, the number of continuing education hours completed for license renewal. No additional information or continuing education documentation is required to be submitted at the time of renewal. However, the licensee shall retain documentation of continuing education hours included in the current renewal period. For purposes of this paragraph, “current renewal period” means the 24-month period prior to the application date. In calculating continuing education hours completed prior to the month of application, the last day of each month shall be considered the completion date for all continuing education completed within a given month.

3. Applicants for license renewal will be selected by Maine EMS on a random basis for audit of continuing education compliance. In addition, an individual licensee may be selected for an audit as part of an investigation or if there is reasonable cause to believe the licensee has provided a false certification concerning the completion of continuing education requirements. An audit will review the last two continuing education hour certifications submitted by the licensee, including the current renewal period.

4. Licensees selected for audit will be notified to submit documentation of the continuing education hours that were certified by the licensee at the time of renewal. Licensees will have ten (10) days from the date of notification to submit all requested documentation. Continuing education hours that cannot be documented in accordance with the documentation requirements determined by the Board or that do not satisfy the requirements for continuing education contained in these Rules will be disallowed.

5. Applicants for license renewal must present proof of satisfactory completion of continuing education in accordance with these Rules. Failure to comply with the continuing education rules may, at Maine EMS’s discretion, result – in accordance with 32 M.R.S. Chapter 2B and the Maine EMS Rules - in disciplinary action to deny license renewal or may result in a decision to enter into a consent agreement and probation setting forth terms and conditions to correct the licensee's failure to complete continuing education or may result in any other disciplinary action available to the Board. Terms and conditions of a consent agreement may include requiring completion of increased hours of continuing education, civil penalties, suspension and other terms as the Board, the licensee and the Department of the Attorney General determine appropriate.

6. A person may apply for a renewal license for up to ninety (90) days after the date of expiration. The ninety-day period does not postpone the expiration date of the license.

7. Licensees whose licenses have expired cannot act in an Instructor Coordinator capacity in any class leading to licensure until a renewed license has been issued.

8. An application submitted more than ninety (90) days after the license expiration date shall be considered an application for a new license and subject to all requirements governing new applications.

Duty to Report

1. A licensee or an applicant for licensure under this chapter shall notify the Board in writing within 10 days of a:

Change of name or address;

Criminal conviction;

Revocation, suspension, or other disciplinary action taken in this or any other jurisdiction against any occupational or professional license held by the applicant or licensee; or,

Material change in the conditions or qualifications set forth in the original application for licensure submitted to the Board.

AUTHORITY: 32 M.R.S., Chapter 2-B.

EFFECTIVE DATE: July 3, 1978 (EMERGENCY)

AMENDED: April 1, 1982

December 25, 1982 - Sec. 2.31, 3131, 6.311, 6.63 and 6.73

January 1, 1984 - Sec. 1, 2, 3, 5, 6, 8.32, 10.2, 10.3, 11.1066, 11.1067

April 30, 1985 - Sec. 1, 2.846.222, 6.332, 9.313, 8.3216 and 9.11

January 1, 1986 - Sec. 1, 6. 8.15, 8.2, 8.3, 8.4 and 11.103

September 1, 1986

August 25, 1987 - Sec. 5, 6.011 and 12 (added)

July 1, 1988

March 4, 1992

September 1, 1996

EFFECTIVE DATE (ELECTRONIC CONVERSION):

July 1, 2000

REPEALED AND REPLACED:

July 1, 2000

July 1, 2003

October 1, 2009

May 1, 2013

January 10, 2021

Chapter 9 Emergency Medical Dispatch Training, Instructors and Continuing Education Programs

Code Me. R. 16-163 Ch. 9 -A: Emergency Medical Dispatch Training, Instructors and Continuing Education Programs {#sec-16-163-ch.-9 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 9}

Emergency Medical Dispatch Training Courses

Training courses for certification leading to licensure or license renewal as a Maine Emergency Medical Dispatcher must meet the requirements set forth in the Maine EMS approved Emergency Medical Dispatch Priority Reference System.

Applicants to conduct courses leading to Emergency Medical Dispatcher licensure must comply with requirements set forth in the Maine EMS approved Emergency Medical Dispatch Priority Reference System.

Emergency Medical Dispatch Instructors

Any course leading to certification for licensure must be supervised by an instructor that meets the requirements set forth in the Maine EMS approved Emergency Medical Dispatch Priority Reference System.

Emergency Medical Dispatcher Continuing Education Programs

Emergency Medical Dispatcher continuing education training programs shall be conducted in accordance with the requirements of the Maine EMS Board-approved certifying entity.

The Board may require specific continuing education programs for Maine licensed Emergency Medical Dispatchers, based upon an educational or training need identified by Maine EMS.

AUTHORITY: 32 M.R.S.§§ 84, 85-A, 88

EFFECTIVE DATE: September 1, 2006 (New)

REPEALED AND REPLACED:

October 1, 2009

May 1, 2013

January 10, 2021

Chapter 10 Reciprocity

Code Me. R. 16-163 Ch. 10 Reciprocity {#sec-16-163-ch.-10 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 10}

Any ambulance service, vehicle or person licensed in another state or territory to provide emergency medical treatment and entering Maine in response to a call to assist in a mass-casualty situation, is exempt from the provisions of these Rules requiring licensure in Maine.

If a person holds a valid license or certificate entitling him/her to practice as an EMS provider in another state or territory, he/she may receive reciprocal licensing provided he/she satisfies all the requirements of Chapter 5. Licensure and license expiration date will be based on materials supplied by the applicant which demonstrate the following:

• 1. Certification of training history. 2. Certification of testing history. 3. Certification/licensure in another state or territory. 4. History of criminal convictions and actions taken against professional licenses in accordance with Chapter 5 of these rules. Maine EMS will consider this to the extent allowed by Maine law.

AUTHORITY: 32 M.R.S., Chapter 2-B.

EFFECTIVE DATE: July 3, 1978 (EMERGENCY)

AMENDED: April 1, 1982

December 25, 1982 - Sec. 2.31, 3131, 6.311, 6.63 and 6.73

January 1, 1984 - Sec. 1, 2, 3, 5, 6, 8.32, 10.2, 10.3, 11.1066, 11.1067

April 30, 1985 - Sec. 1, 2.846.222, 6.332, 9.313, 8.3216 and 9.11

January 1, 1986 - Sec. 1, 6. 8.15, 8.2, 8.3, 8.4 and 11.103

September 1, 1986

August 25, 1987 - Sec. 5, 6.011 and 12 (added)

July 1, 1988

March 4, 1992

September 1, 1996

EFFECTIVE DATE (ELECTRONIC CONVERSION):

July 1, 2000

REPEALED AND REPLACED: July 1, 2000

July 1, 2003

January 10, 2021

October 1, 2009

Chapter 11 Standards and Procedures for Refusing To Issue, or Renew, A License, and for Modifying, Suspending, or Revoking a License

Code Me. R. 16-163 Ch. 11 Standards and Procedures for Emergency Medical Services Licensing Board Action {#sec-16-163-ch.-11 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 11}

PURPOSE:

EMS professionals are tasked with entering people’s lives during what may be their worst and most vulnerable times. The public grants EMS professionals near limitless access to their homes, businesses, and personal spaces, all within close proximities to their families, friends, and loved ones. This level of access is essential for EMS professionals to carry out their duties of delivering emergency medical care. The public, therefore, places EMS professionals in the highest level of trust and demands that EMS professionals abide by a strong ethical code and enforce the highest standard of personal and professional conduct. For the Maine EMS system to function properly and serve the public interest in protecting public health, safety, and welfare, it must hold the members of its profession, including Ambulance Services, Non-Transporting Emergency Medical Services, Training Centers, and Emergency Medical Dispatch Centers, accountable to their commitments and duties and ensure that its decisions affecting licensure are based upon evidence and rooted in a foundation of transparency and justice. To this end, it is therefore necessary to set forth the procedures, standards, and grounds for disciplinary and non-disciplinary action involving Maine Emergency Medical Services’ licensees.

Because EMS professionals have specialized medical training that their patients may not fully understand, EMS professionals have a duty to always use that knowledge to act in the best interest of the patient. It is the duty of the EMS professional to not only treat each patient with the most appropriate and competent medical care according to their illness or injury, but also treat each patient, family member, friend, loved one, and caregiver with compassion, respect, and dignity. To make sound ethical and moral decisions, an EMS professional needs to understand and be held accountable to the ethical principles that guide choices made and actions taken, not just at a patient-centric level, but also at a level of professionalism toward fellow EMS professionals, and other healthcare professionals. In the interest of ensuring that an EMS professional has a sufficient understanding of the expectations related to the ethical principles present within the Maine EMS system, it is necessary to set forth a Code of Ethics that represents the values of the Maine EMS system.

DEFINITIONS

1. These terms have the following meanings as used within this chapter: 1. Ambulance Operator means an Emergency Medical Services Ambulance Operator licensed by the Emergency Medical Services Licensing Board pursuant to 32 M.R.S. § 85-B. 2. Ambulance Service has the same meaning as in 32 M.R.S. § 83(5). 3. Board Staff means those employed by the Office of Maine Emergency Medical Services within the Maine Department of Public Safety, assigned by the Director to the Licensing Board. 4. Community Paramedic, as used in this chapter, meansa person licensed or conditionally licensed under Chapter 19 of these rules engaged in Community Paramedicine as defined in Chapter 19 of these rules. 5. Emergency Action means action taken against a license under 5 M.R.S. § 10004. 6. EMS Clinician means an Emergency Medical Services Person licensed by the Emergency Medical Services Licensing Board pursuant to 32 M.R.S. § 85. 7. Emergency Medical Dispatcher means an Emergency Medical Dispatch Person licensed by the Emergency Medical Services Licensing Board pursuant to 32 M.R.S. § 85-A. 8. Emergency Medical Services means the services provided under licensure granted by the Maine Emergency Medical Services Licensing Board or the Maine Emergency Medical Services’ Board, including, but not limited to: emergency medical treatment, interfacility transfer operations, ambulance operation, community paramedicine, and EMS-licensure education. 9. EMS Professional means an EMS Clinician, Ambulance Operator, Emergency Medical Dispatcher, Instructor/Coordinator, or Community Paramedic 10. First Responder means a Law Enforcement Officer as defined by 25 M.R.S. § 2801-A(5), a Municipal Firefighter as defined by 30-A M.R.S. § 3151(2), or any person licensed under Title 32, Chapter 2-B. 11. Instructor/Coordinator means a person licensed under Chapter 9 of these rules acting as the lead instructor in course(s) leading to licensure at the level of licensure held. 12. Licensing Board has the same meaning as in 32 M.R.S. § 83(13-B). 13. Licensed Medical Practitioner means physicians and all others certified, registered, or licensed in the healing arts, including, but not limited to: nurses, podiatrists, pharmacists, optometrists, chiropractors, physical therapists, dentists, psychologists, physician assistants, respiratory therapists, massage therapists, midwives, and veterinarians. 14. Non-Disciplinary Action means a Letter of Guidance/Concern issued pursuant to 32 M.R.S. § 90-A(8). 15. Non-transporting Emergency Medical Service (“NTEMS”) has the same meaning as in 32 M.R.S. § 83(14). 16. Sexual Misconduct means a behavior that exploits an EMS Clinician-Patient relationship, an Ambulance Operator-patient relationship, an Emergency Medical Dispatcher-caller relationship, an Inter-Licensee relationship, an Educator-student relationship, or a Mentor-mentee relationship in a sexual way. This behavior is non-diagnostic and/or non-therapeutic, may be verbal or physical, and may include expressions or gestures that have a sexual connotation or that a reasonable person may construe as such. There are two levels of sexual misconduct: gross misconduct and impropriety, which are described under the applicable grounds for licensing action in Section 3 of this rule. Behavior listed in either category may be the basis for disciplinary action. 17. Work Environment means any location where an EMS licensee is engaged in activities requiring licensure under Title 32, Chapter 2-B, or a location where an EMS licensee is reasonably expected to adhere to the standards of the profession, including but not limited to: an ambulance service or NTEMS base location, a hospital or other health-care facility, a fire-department, an emergency medical dispatch center, an emergency medical services training center, any location where EMS-related education is occurring, an ambulance or emergency medical services vehicle, or the scene of an emergency medical call.

MAINE EMS CODE OF ETHICS

1. As an EMS Professional and by acceptance of licensure in the State of Maine by the Maine Emergency Medical Services Licensing Board or the Emergency Medical Services’ Board, a licensee solemnly pledges to meet the following code of professional ethics: 1. To do no harm, alleviate suffering, and promote the health and welfare of the citizens and visitors of the State of Maine; 2. To safeguard a patient’s dignity and right to privacy in providing services regardless of race, nationality, creed, disability, color, sexual orientation, gender, religion, genetic information, or socio-economic status; 3. To not prejudge the merits of a patient’s request for service; 4. To respect and hold in confidence all information of a confidential nature obtained in the course of professional service, unless required by law to divulge such information; 5. To demonstrate the highest standards of professional conduct in the practice of the profession by: 1. Not using professional knowledge and skills in any enterprise that is detrimental to the public well-being; 2. Caring for all patients with compassion and respect for human dignity, taking care with the demeanor presented; 3. Assuming responsibility for individual professional actions and judgment; 4. Knowing and upholding the laws and rules that affect the practice of EMS; 5. Working cooperatively with EMS associates and other healthcare and public safety professionals in the best interest of patients and the general public; 6. Refusing to participate in unethical procedures or practices; 7. Exposing the incompetence or unethical conduct of others to the appropriate authority in a proper, timely, and professional manner; and 6. To protect the health, safety, and well-being of themselves, their co-workers, patients, and the community by following safety guidelines, principles, and practices. 7. To continually seek to maintain and improve their professional knowledge, skill, and competence by seeking to update their practice by engaging in life-long learning, including engaging in continuing education whenever available

GROUNDS FOR LICENSURE ACTIONS

1. Grounds for Licensure Actions Against Applicants for new or change in licensure as an EMS Clinician, Ambulance Operator, Instructor/Coordinator, Community Paramedic, or Emergency Medical Dispatcher - 1. Criminal History 1. Subject to the limitations of Title 5, Chapter 341, the Licensing Board may take Disciplinary Action or Non-Disciplinary Action against an applicant who:

Was convicted of a crime that involves dishonesty or false statement;

Was convicted of a crime that relates directly to the practice of Emergency Medical Services;

Was convicted of a crime for which incarceration for one year or more may be imposed, whether or not such sanction was imposed;

Was convicted of a crime defined in Title 17-A, Chapter 11, 12, or 45; or

Was convicted of a crime for which incarceration for less than one year may be imposed that involves sexual misconduct.

• • 1. Fraud/Deceit: 1. The Licensing Board may take Disciplinary or Non-Disciplinary Action against an applicant who engages in or attempts to engage in fraud or deceit, including, but not limited to:

Fraud, deceit, or misrepresentation in the application submitted or in any activity or document intended to be used to satisfy a requirement for licensure.

Impersonation of another licensed medical practitioner.

Impersonation of an applicant or licensee or acting as a proxy for an applicant or licensee in any licensing exam.

Uses or attempts to use as a valid certificate or license, one that has been purchased, counterfeited, or materially altered.

• • 1. Legal Incompetence or Impairment: 1. The Licensing Board may take Disciplinary Action or Non-Disciplinary Action against an applicant who:

Has a declaration or claim of legal incompetence that has not been legally terminated.

Has any condition or impairment within the preceding 3 years, including, but not limited to, substance use disorder or a mental, emotional or nervous disorder or condition, that in any way affects, or if untreated could impair, the applicant’s ability to provide emergency medical services

• • 1. Violation of Board Statute: 1. The Licensing Board may take Disciplinary or Non-Disciplinary Action against an applicant who engages in, or attempts to engage in, a violation of the Board’s statute, including, but not limited to:

A failure to notify the Licensing Board in writing within 10 days of a:

Change of name or address;

Criminal conviction

Revocation, suspension, or other disciplinary action taken in this or any other jurisdiction against any occupational or professional license held by the applicant; or

Material change in the conditions or qualifications set forth in the original application for licensure submitted to the Licensing Board.

Activities that require licensure pursuant to 32 M.R.S. § 82(1) when such licensure has not been granted or is not valid.

• • 1. Disqualifying Conduct: 1. The Licensing Board may take Disciplinary or Non-Disciplinary Action against an applicant who engages in or attempts to engage in disqualifying conduct, including, but not limited to:

Sexual Misconduct as described in Section 3(2).

Has disciplinary action against any professional medical licensure by another authority or jurisdiction, or has disciplinary action pending, which constitutes evidence of an inability to respond appropriately to a client, patient, or the general public.

• • • 1. The Licensing Board may take Disciplinary or Non-Disciplinary Action against an applicant when the applicant was previously licensed by the Emergency Medical Services’ Board and the applicant engaged, or attempted to engage in, conduct that would have been a violation of the Board’s Rules or Statutes.

1. Grounds for Licensing Action Against Currently Licensed EMS Clinicians, Ambulance Operators, Instructor/Coordinators, Community Paramedics, or Emergency Medical Dispatchers 1. The Licensing Board may take Disciplinary Action or Non-Disciplinary Action against any licensee whose conduct gives rise to a ground for licensing action. Grounds for licensing action include, but are not limited to, engaging in, or attempting to engage in: fraud or deceit, unprofessional conduct, incompetent professional practice, sexual misconduct, or having legal incompetence or impairment, as defined in the applicable part below. 2. Grounds for Licensing Action Applicable to All Licensees 1. Fraud or Deceit 1. Engaging in, or attempting to engage in, fraud or deceit in obtaining a license or in connection with service rendered within the scope of the license issued, which includes but is not limited to:

Obtaining a license or certification by fraud or deceit

Willfully making a false statement in an application for a license or renewal of a license, or in any activity or documents intended to be used to satisfy a requirement for licensure;

Falsifying or improperly altering a patient or healthcare provider record.

Impersonating another licensed practitioner.

Impersonating any applicant or licensee or acting as a proxy for an applicant or licensee in any licensing exam.

Altering or falsifying documents used or intended to be used to obtain a course card or certificate.

Using or attempting to use as a valid license or certificate, one that has been purchased, counterfeited, materially altered, or obtained by fraud, deceit, or misrepresentation.

• • 1. Legal Incompetence or Impairment 1. Engaging in, the use of any drug, narcotic or substance that is illegal under state or federal law, or to the extent that the licensee’s ability to provide emergency medical services would be impaired, which includes, but is not limited to:

The misuse of drugs, including alcohol or other substances, the use of which has resulted or may result in the licensee performing their duties in a manner that endangers the health or safety of their patients, other first responders, or the general public.

• • • 1. A declaration of or claim pertaining to the licensee of legal incompetence that has not been legally terminated; 1. Unprofessional Conduct 1. Unprofessional conduct includes, but is not limited to, engaging in or attempting to engage in the following:

Obtaining a license by misrepresentation or by concealing material facts;

Failure to comply with a Consent Agreement or Board Order;

Acting in ways that are dangerous or injurious to the licensee or other persons;

Any criminal conviction, subject to the limitations of Maine Statute;

Renting, selling, bartering, or lending a license to another person;

Violation of the Maine EMS’s Code of Ethics;

Disclosing or causing to be disclosed confidential information to an unauthorized person or using confidential information for personal or unauthorized financial benefit;

Failing to participate in Maine EMS-approved quality assurance activities;

• 1. Additional Grounds for Licensing Action Applicable for an EMS Clinician 1. Fraud or Deceit 1. Engaging in, or attempting to engage in, fraud or deceit in obtaining a license or in connection with service rendered within the scope of the license issued, includes but is not limited to:

Initiating the transport of a person, knowing that the person does not need to be transported, or treating a person knowing the person does not need to be treated, when the primary purpose of the action is to collect a fee or charge.

• • 1. Legal Incompetence or Impairment 1. Engaging in, or attempting to engage in, the use of any drug, narcotic or substance that is illegal under state or federal law, or to the extent that the licensee’s ability to provide emergency medical services would be impaired, which includes, but is not limited to:

Responding to the scene of a call while under the influence of drugs or alcohol, whether or not the use of such substances is habitual;

• • • 1. Any condition or impairment within the preceding 3 years, including, but not limited to, substance use disorder or a mental, emotional or nervous disorder or condition, that in any way affects, or if untreated could impair, the licensee’s ability to provide emergency medical services; 1. Incompetent Professional Practice 1. Engaging in, or attempting to engage in, the following shall be considered Incompetent Professional Practice, which includes, but is not limited to:

The demonstration of an inability to respond appropriately to a client, patient or the general public as evidenced by:

Causing a physical or emotional injury to a patient because of a violation of the applicable standard of care;

An inability to apply principles, skills or knowledge necessary to successfully carry out the practice for which the licensee is licensed as evidenced by:

A deviation from the applicable standard of care or failure to perform emergency medical treatment in accordance with the most recent version of Maine EMS’s protocols, after quality assurance/improvement and/or remediative efforts;

A failure to demonstrate entry-level competency with sufficient breadth and depth as outlined in the 2021 National Emergency Medical Services Education Standards as published by the National Highway Traffic Safety Administration, which is incorporated into this rule by reference and a copy of which is available at the Office of Maine Emergency Medical Services, Department of Public Safety, 45 Commerce Dr, Suite 1, Augusta, ME 04333-0152;

• • 1. Unprofessional Conduct 1. Unprofessional conduct includes, but is not limited to, engaging in or attempting to engage in the following:

Responding to the scene of an accident or incident to which the licensee has not been dispatched, when there is reason to believe that another licensee has been or will be called to that scene, and refusing to turn over care of the patient to the responsible service when it arrives;

Failing to provide patient information to a hospital or other health care facility in response to an authorized request;

Inaccurate recording of material information in a patient or healthcare provider record;

Exploiting the provider-patient relationship for the purpose of personal or financial gain by the licensee or by a third party including, but not limited to, promoting or selling services, goods, appliances or drugs;

Diverting drugs, supplies or property of patients, patient’s families, services or healthcare providers;

Possessing, obtaining, furnishing, or administering prescription drugs, equipment or supplies to any person, including one’s self, except as directed by a person authorized by law to prescribe such items;

Acting negligently or neglectfully when caring for or treating a patient;

Operating a vehicle as an Ambulance or Emergency Medical Services Vehicle when it is not licensed or authorized by the Board;

Providing treatment at a level for which a person is not licensed, except:

When the person is a student currently enrolled in a course leading to licensure and is practicing procedures learned in that course; and

The person has received permission to practice those procedures from the Maine EMS-licensed Training Center conducting the course; and

The person is participating in a scheduled field-internship session approved by the course’s clinical coordinator; and

The person is practicing those procedures with a Maine EMS-licensed service that complies with guidelines developed by Maine EMS for conducting field internship sessions; and

The person is supervised by a preceptor licensed to perform those procedures and who is acting in accordance with any requirements or guidelines approved by the Emergency Medical Services Board.

Misrepresentation or concealment of material facts in connection with service(s) rendered, by commission or omission;

Delegation of practice, skills, or treatment to a person who is not licensed and qualified to perform said practice, skills, or treatment contrary to the Rules and Regulations of the Maine Emergency Medical Services’ Board.

Abandonment or neglect of a patient;

Failing to comply with continuing education requirements for license renewal.

• • 1. Sexual Misconduct 1. Gross misconduct

Gross misconduct is any conduct by an EMS Clinician in the Work Environment that is sexual or may be reasonably interpreted as sexual, even when consented to between an EMS Clinician and a patient, between licensees, between an educator and a student, or between a mentor and a mentee. This includes, but is not limited to:

Sexual intercourse, genital to genital contact;

Oral to genital contact;

Oral to anal contact or genital to anal contact;

Kissing;

Any touching or examination of a body part for any purpose other than appropriate examination or treatment during an established EMS clinician-patient interaction without a reported, suspected, or obvious injury or medical condition;

Encouraging an individual to masturbate in the presence of the EMS Clinician or masturbation by an EMS Clinician in the presence of anyone else;

Offering to provide practice-related services or supplies, such as medications, in exchange for sexual favors.

• • • 1. Impropriety

Impropriety is behaviors, gestures, or expressions by an EMS Clinician in the Work Environment that are seductive, sexually suggestive, or sexually demeaning, including but not limited to:

Disrobing, draping practices, or touching of a patient’s clothing that reflect a lack of respect for a patient’s privacy; deliberately watching a patient dress or undress, instead of affording a patient privacy for disrobing to the extent dictated by circumstances on scene;

Inappropriate comments about or to a third party, including but not limited to making sexual comments about their body or underclothing, making sexualized or sexually demeaning comments, criticizing sexual orientation, making comments about potential sexual performance of a patient during an examination or consultation, unnecessarily requesting details of sexual history or requesting information on sexual likes or dislikes;

Using the EMS Clinician-patient relationship to solicit a date or initiate a romantic relationship;

Initiation by an EMS Clinician of conversation regarding sexual problems, preferences, or fantasies of the EMS Clinician, the sexual preferences or fantasies of a patient, or sexual problems of a patient that are not relevant to emergency medical treatment.

• 1. Additional Grounds for Licensing Action Applicable for an Ambulance Operator 1. Fraud or Deceit 1. Engaging in, or attempting to engage in, fraud or deceit in obtaining a license or in connection with service rendered within the scope of the license issued, includes but is not limited to:

Initiating the transport of a person, knowing that the person does not need to be transported, or treating a person knowing the person does not need to be treated, when the primary purpose of the action is to collect a fee or charge.

• • 1. Legal Incompetence or Impairment 1. Engaging in, or attempting to engage in, the use of any drug, narcotic or substance that is illegal under state or federal law, or to the extent that the licensee’s ability to provide emergency medical services would be impaired, which includes, but is not limited to;

Responding to the scene of a call while under the influence of drugs or alcohol, whether or not the use of such substances is habitual;

• • • 1. Any condition or impairment within the preceding 3 years, including, but not limited to, substance use disorder or a mental, emotional or nervous disorder or condition, that in any way affects, or if untreated could impair, the licensee’s ability to operate an ambulance; 1. Unprofessional Conduct 1. Unprofessional conduct includes, but is not limited to, engaging in or attempting to engage in the following:

Responding to the scene of an accident or incident to which the licensee has not been dispatched, when there is reason to believe that another licensee has been or will be called to that scene, and refusing to turn over care of the patient to the responsible service when it arrives;

Exploiting the provider-patient relationship for the purpose of personal or financial gain by the licensee or by a third party, including, but not limited to, promoting or selling services, goods, appliances, or drugs;

Diverting drugs, supplies or property of patients, patient’s families, services or healthcare providers;

Possessing, obtaining, furnishing, or administering prescription drugs, equipment or supplies to any person, including one’s self, except as directed by a person authorized by law to prescribe such items;

Operating a vehicle as an Ambulance or Emergency Medical Services Vehicle when it is not licensed or authorized by the Board;

Providing emergency medical treatment without a clinical license, except:

When the person is a student currently enrolled in a course leading to licensure and is practicing procedures learned in that course; and

The person has received permission to practice those procedures from the Maine EMS-licensed Training Center conducting the course; and

The person is participating in a scheduled field-internship session approved by the course’s clinical coordinator; and

The person is practicing those procedures with a Maine EMS-licensed service that complies with guidelines developed by Maine EMS for conducting field internship sessions; and

The person is supervised by a preceptor licensed to perform those procedures and who is acting in accordance with any requirements or guidelines approved by the Emergency Medical Services Board.

Misrepresentation or concealment of material facts in connection with service(s) rendered, by commission or omission;

• • 1. Sexual Misconduct 1. Gross misconduct

Gross misconduct is any conduct by an Ambulance Operator in the Work Environment that is sexual or may be reasonably interpreted as sexual, even when consented to between an Ambulance Operator and a patient, between licensees, between an educator and a student or between a mentor and a mentee. This includes, but is not limited to:

Sexual intercourse, genital to genital contact;

Oral to genital contact;

Oral to anal contact or genital to anal contact;

Kissing;

Examination or touching of the genitals of a patient without a reported, suspected or obvious injury or medical condition;

Encouraging an individual to masturbate in the presence of the Ambulance Operator or masturbation by an Ambulance Operator in the presence of a third-party;

Offering to provide practice-related services or supplies, such as drugs, in exchange for sexual favors.

• • • 1. Impropriety

Impropriety is behaviors, gestures, or expressions by an Ambulance Operator in the Work Environment that are seductive, sexually suggestive, or sexually demeaning, including but not limited to:

Disrobing, draping practices, or touching of a patient’s clothing that reflect a lack of respect for a patient’s privacy; deliberately watching a patient dress or undress, instead of affording a patient privacy for disrobing to the extent dictated by circumstances on scene;

Any touching of a body part for any purpose other than appropriate examination or treatment of a patient;

Inappropriate comments about or to a third party, including but not limited to making sexual comments about their body or underclothing, making sexualized or sexually demeaning comments, criticizing sexual orientation, making comments about potential sexual performance of a patient during an examination or consultation, unnecessarily requesting details of sexual history or requesting information on sexual likes or dislikes;

Using the Ambulance Operator-patient relationship to solicit a date or initiate a romantic relationship;

Initiation by an Ambulance Operator of conversation regarding sexual problems, preferences, or fantasies of the Ambulance Operator, the sexual preferences or fantasies of a patient, or sexual problems of a patient that are not relevant to emergency medical treatment.

• 1. Additional Grounds for Licensing Actions Applicable for an Emergency Medical Dispatcher 1. Legal Incompetence or Impairment 1. Engaging in, or attempting to engage in, the use of any drug, narcotic or substance that is illegal under state or federal law, or to the extent that the licensee’s ability to provide emergency medical dispatch services would be impaired, which includes, but is not limited to;

Providing emergency medical dispatch services while under the influence of drugs or alcohol, whether or not the use of such substances is habitual;

• • • 1. Any condition or impairment within the preceding 3 years, including, but not limited to, substance use disorder or a mental, emotional, or nervous disorder or condition, that in any way affects, or if untreated could impair, the licensee’s ability to provide emergency medical dispatch services; 1. Incompetent Professional Practice 1. Engaging in, or attempting to engage in, the following shall be considered Incompetent Professional Practice, which includes, but is not limited to:

The demonstration of an inability to respond appropriately to a client, patient or the general public as evidenced by:

Causing a physical or emotional injury to a patient because of a violation of the applicable standard of care;

An inability to apply principles, skills or knowledge necessary to successfully carry out the practice for which the licensee is licensed as evidenced by:

A deviation from the applicable standard of care or failure to perform emergency medical dispatch services in accordance with the most recent version of Emergency Medical Dispatch protocols, after quality assurance/improvement and/or remediative efforts;

• • 1. Unprofessional Conduct 1. Unprofessional conduct includes, but is not limited to, engaging in or attempting to engage in the following:

Inaccurate recording of material information in a patient or healthcare provider record;

Exploiting the Emergency Medical Dispatcher-caller relationship for the purpose of personal or financial gain by the licensee or by a third party including, but not limited to, promoting or selling services, goods, appliances or drugs;

Acting negligently or neglectfully when caring for or treating a patient;

Providing services at a level for which a person is not licensed, except:

When the person is a dispatcher-in-training, under direct supervision of a Maine EMS licensed emergency medical dispatcher designated by the EMD Center director; and

For purposes of this paragraph, direct supervision means that the designated licensed emergency medical dispatcher is contemporaneously listening to the call for medical assistance being processed by the dispatcher-in-training and is able to assume control of the call and provide emergency medical dispatch, if the dispatcher-in training is unable to process the call in accordance with protocol.

Processes calls using the emergency medical dispatch protocol after the dispatcher-in-training has attended the Maine EMS-approved certification course for emergency medical dispatch.

Misrepresentation or concealment of material facts in connection with service(s) rendered, by commission or omission;

Delegation of practice, skills, or treatment to a person who is not licensed and qualified to perform said practice, skills, or treatment;

Abandonment or neglect of a patient;

Failing to comply with continuing education requirements for license renewal.

• • 1. Sexual Misconduct 1. Gross misconduct

Gross misconduct is any conduct by an Emergency Medical Dispatcher in the Work Environment that is sexual or may be reasonably interpreted as sexual, even when consented to between an Emergency Medical Dispatcher and a patient or caller, between licensees, between an educator and a student, or between a mentor and a mentee. This includes, but is not limited to:

Sexual intercourse, genital to genital contact;

Oral to genital contact;

Oral to anal contact or genital to anal contact;

Kissing;

Any examination of a body part for any purpose other than appropriate examination or treatment during an established Emergency Medical Dispatcher-patient/caller interaction without a reported, suspected, or obvious injury or medical condition;

Encouraging an individual to masturbate in the presence of the Emergency Medical Dispatcher or masturbation by an Emergency Medical Dispatcher in the presence of anyone else;

Offering to provide practice-related services or supplies, such as medications, in exchange for sexual favors.

• • • 1. Impropriety

Impropriety is behaviors, gestures, or expressions by an Emergency Medical Dispatcher in the Work Environment that are seductive, sexually suggestive, or sexually demeaning, including but not limited to:

Disrobing that reflects a lack of respect for a patient or caller’s privacy; deliberately watching a patient or caller dress or undress, instead of affording a patient or caller privacy for disrobing to the extent dictated by circumstances on scene;

Inappropriate comments about or to a third party, including but not limited to making sexual comments about their body or underclothing, making sexualized or sexually demeaning comments, criticizing sexual orientation, making comments about potential sexual performance of a patient or caller, unnecessarily requesting details of sexual history or requesting information on sexual likes or dislikes;

Using the Emergency Medical Dispatcher-patient or caller relationship to solicit a date or initiate a romantic relationship;

Initiation by an Emergency Medical Dispatcher of conversation regarding sexual problems, preferences, or fantasies of the Emergency Medical Dispatcher, the sexual preferences or fantasies of a patient or caller, or sexual problems of a patient or caller that are not relevant to emergency medical dispatcher services.

• 1. Additional Grounds for Licensing Actions Applicable for an Instructor/Coordinator 1. Fraud or Deceit 1. Engaging in, or attempting to engage in, fraud or deceit in obtaining a license or in connection with service rendered within the scope of the license issued, includes but is not limited to:

Falsification of any educational record.

• • 1. Legal Incompetence or Impairment 1. Engaging in, or attempting to engage in, the use of any drug, narcotic or substance that is illegal under state or federal law, or to the extent that the licensee’s ability to provide emergency medical dispatch services would be impaired, which includes, but is not limited to;

Providing licensure course instruction while under the influence of drugs or alcohol, whether or not the use of such substances is habitual;

• • • 1. Any condition or impairment within the preceding 3 years, including, but not limited to, substance use disorder or a mental, emotional or nervous disorder or condition, that in any way affects, or if untreated could impair, the licensee’s ability to provide emergency medical services; 1. Incompetent Professional Practice 1. Engaging in, or attempting to engage in, the following shall be considered Incompetent Professional Practice, which includes, but is not limited to:

An inability to apply principles, skills or knowledge necessary to successfully carry out the practice for which the licensee is licensed, evidence of which includes, but is not limited to:

A deviation by the licensee, from the applicable educational standards for entry-level instruction as outlined in the 2021 National Emergency Medical Services Education Standards as published by the National Highway Traffic Safety Administration, which is incorporated into this rule by reference and a copy of which is available at the Office of Maine Emergency Medical Services, Department of Public Safety, 45 Commerce Dr, Suite 1, Augusta, ME 04333-0152;

A deviation by the licensee, from the applicable educational standards for entry-level instruction as outlined in the June 30, 2024, Maine Community Paramedicine Education Standards, as published by the Office of Maine Emergency Medical Services, which is incorporated into this rule by reference and a copy of which is available at the Office of Maine Emergency Medical Services, Department of Public Safety, 45 Commerce Dr, Suite 1, Augusta, Me 04333-0152;

A deviation by the licensee from the applicable guidelines for educating EMS Instructors as outlined in the 2002 National Guidelines for Educating EMS Instructors, as published by the National Highway Traffic Safety Administration, which is incorporated into this rule by reference and a copy of which is available at the Office of Maine Emergency Medical Services, Department of Public Safety, 45 Commerce Dr, Suite 1, Augusta, ME 04333-0152.

• • 1. Unprofessional Conduct 1. Unprofessional conduct includes, but is not limited to, engaging in or attempting to engage in the following:

Diverting drugs, supplies or property of healthcare institutions or Maine EMS Training Centers;

Possessing, obtaining, furnishing, or administering prescription drugs, equipment or supplies to any person, including one’s self, except as directed by a person authorized by law to prescribe such items;

Providing instruction at a level for which a person is not licensed;

Providing instruction at a level for which a Training Center is not authorized or licensed to provide.

Delegation of educational instruction to a person who is not licensed and qualified to perform said educational instruction;

Failure to provide program or course documentation when required or requested by Maine EMS.

Failing to comply with continuing education requirements for license renewal.

• • 1. Sexual Misconduct 1. Gross misconduct

Gross misconduct is any conduct by an Instructor/Coordinator in the Work Environment that is sexual or may be reasonably interpreted as sexual, even when consented to between an Instructor/Coordinator and a student, between Training Center Staff, or between licensees. This includes, but is not limited to:

Sexual intercourse, genital to genital contact;

Oral to genital contact;

Oral to anal contact or genital to anal contact;

Kissing;

Any touching or examination of a body part for any purpose other than appropriate examination or treatment during an established educational interaction.

Encouraging an individual to masturbate in the presence of the Instructor/Coordinator or masturbation by an Instructor/Coordinator in the presence of anyone else;

Offering to provide practice-related services or supplies, such as medications, in exchange for sexual favors.

• • • 1. Impropriety

Impropriety is behaviors, gestures, or expressions by an Instructor/Coordinator in the Work Environment that are seductive, sexually suggestive, or sexually demeaning, including but not limited to:

Disrobing, draping practices, or touching of a student’s clothing that reflect a lack of respect for a student’s privacy or deliberately watching a student dress or undress;

Inappropriate comments about or to a third party, including but not limited to making sexual comments about their body or underclothing, making sexualized or sexually demeaning comments, criticizing sexual orientation, inappropriately requesting details of sexual history, or requesting information on sexual likes or dislikes;

Using the Instructor/Coordinator-student relationship to solicit a date or initiate a romantic relationship;

Initiation by an Instructor/Coordinator of conversation regarding sexual problems, preferences, or fantasies of the Instructor/Coordinator, the sexual preferences or fantasies of a student, or sexual problems of a student.

• 1. Additional Grounds for Licensing Actions Applicable for a Community Paramedicine Licensee 1. Any of the grounds separately identified in Section 3(2)(B) of this rule are also grounds for licensing actions against Community Paramedicine licensees, with the addition of the following: 1. Incompetent professional practice

Engaging in, or attempting to engage in, the following shall be considered Incompetent Professional Practice, which includes, but is not limited to:

An inability to apply principles, skills or knowledge necessary to successfully carry out the practice for which the licensee is licensed as evidenced by:

A failure to demonstrate entry-level competency with sufficient breadth and depth as outlined in the June 30, 2024, Maine Community Paramedicine Education Standards, which is incorporated into this rule by reference and a copy of which is available at the Office of Maine Emergency Medical Services, Department of Public Safety, 45 Commerce Dr, Suite 1, Augusta, ME 04333-0152;

1. Grounds for Licensure Action Against Ambulance Services, NTEMS, Emergency Medical Dispatch Centers, and Training Centers. 1. The Licensing Board may take Disciplinary or Non-Disciplinary Action against any licensee whose conduct gives rise to a ground for licensing action. Grounds for Licensing Action include, but are not limited to, engaging in, or attempting to engage in: Fraud or Deceit, Unprofessional Conduct, or Incompetent Professional Practice, as defined in the applicable part below. 2. Grounds for Licensing Action Against All Licensees 1. Fraud or Deceit 1. Engaging in, or attempting to engage in, fraud or deceit in obtaining a license or in connection with service rendered within the scope of the license issued, includes but is not limited to:

Obtaining a license or certification by fraud or deceit

Willfully making a false statement in an application for a license or renewal of a license, or in any activity or documents intended to be used to satisfy a requirement for licensure;

Obtaining a fee by fraud or deceit.

Using or attempting to use as a valid license one that has been purchased, counterfeited, materially altered, or obtained by fraud, deceit, or misrepresentation.

• • 1. Unprofessional Conduct 1. Unprofessional conduct includes, but is not limited to, engaging in or attempting to engage in the following:

Obtaining a license by misrepresentation or by concealing material facts;

Failure to comply with a Consent Agreement or Board Order;

Acting in ways that are dangerous or injurious to the licensee or other persons;

Renting, selling, bartering, or lending a license to another person;

Obtaining a fee by misrepresentation, including negligent misrepresentation;

Disclosing or causing to be disclosed confidential information to an unauthorized person or using confidential information for personal or unauthorized financial benefit;

Misrepresentation or concealment of material facts in connection with service(s) rendered, by commission or omission;

Failure to participate in Maine EMS-approved quality assurance activities.

Failure to report a termination, separation, or resignation from an agency or training center, related to the following grounds for licensure action:

Sexual Misconduct

Criminal Charge, Conviction, or Arrest

Incompetent Professional Practice

• 1. Additional Grounds for Licensing Action Against Ambulance Services and Non-Transporting Emergency Medical Services 1. Fraud or Deceit 1. Engaging in, or attempting to engage in, fraud or deceit in obtaining a license or in connection with service rendered within the scope of the license issued, includes but is not limited to:

Initiating the transport of a person, knowing that the person does not need to be transported, or treating a person knowing the person does not need to be treated, when the primary purpose of the action is to collect a fee or charge.

Aiding or abetting the practice of emergency care by a person not duly licensed under this chapter who purports to be so.

• • 1. Incompetent Professional Practice 1. Engaging in, or attempting to engage in, the following shall be considered Incompetent Professional Practice, which includes, but is not limited to:

A demonstration of an inability to respond appropriately to a client, patient or the general public as evidenced by:

A failure to effect, or have effected, a response to an emergency medical call when the emergency medical call is in the service’s primary 9-1-1 response area, as required within Chapter 3 of these rules;

• • 1. Unprofessional Conduct 1. Unprofessional conduct includes, but is not limited to, engaging in or attempting to engage in the following:

Failing to provide patient information to a hospital or other health care facility in response to an authorized request;

Acting negligently or neglectfully in conducting an ambulance or non-transporting emergency medical service;

Possessing, obtaining, or furnishing prescription drugs, equipment, or supplies to any person, except as directed by a person authorized by law to prescribe such items;

Permitting the operation of a vehicle as an Ambulance or Emergency Medical Services Vehicle when it is not licensed or authorized by the Board;

Transferring a license from one vehicle to another without the consent of the Board;

Providing emergency medical services at a level for which the service does not have a valid license or permit for;

Permitting the practice of emergency medical treatment by a person not duly licensed as an EMS Clinician, except those exempted from licensure as defined within Chapter 2 of these rules;

Permitting, by a Ground Ambulance Service, the operation of an ambulance in emergency mode or during the transport of a patient by an individual associated with that service, who does not hold valid licensure as an EMS Clinician or Ambulance Operator. This provision is not applicable to an individual operating while engaged in initial training consistent with the training requirements as set forth in Chapter 3 of these rules.

• 1. Additional Grounds for Licensing Action Against Emergency Medical Dispatch Centers 1. Fraud or Deceit 1. Engaging in, or attempting to engage in, fraud or deceit in obtaining a license or in connection with service rendered within the scope of the license issued, includes but is not limited to:

Aiding or abetting the practice of emergency medical dispatch by a person not duly licensed under this chapter who purports to be so.

• • 1. Incompetent Professional Practice 1. Engaging in, or attempting to engage in, the following shall be considered Incompetent Professional Practice, which includes, but is not limited to:

A demonstration of an inability to respond appropriately to a client, patient or the general public as evidenced by:

A failure to provide emergency medical dispatch services on every emergency medical call;

A failure to provide emergency medical dispatch services in compliance with the Emergency Medical Dispatch Priority Reference System, as defined in 32 M.R.S. § 85-A(1)(B).

• • 1. Unprofessional Conduct 1. Engaging in, or attempting to engage in, the following is considered unprofessional conduct:

Acting negligently or neglectfully in conducting an emergency medical dispatch center;

Providing emergency medical dispatch services without valid licensure;

Permitting the practice of emergency medical dispatch services by a person not licensed to provide those services, except;

When the person is a dispatcher-in-training, under direct supervision of a Maine EMS licensed emergency medical dispatcher designated by the EMD Center director; and

For purposes of this paragraph, direct supervision means that the designated licensed emergency medical dispatcher is contemporaneously listening to the call for medical assistance being processed by the dispatcher-in-training and is able to assume control of the call and provide emergency medical dispatch, if the dispatcher-in training is unable to process the call in accordance with protocol.

• 1. Additional Grounds for Licensing Action Against Training Centers 1. Unprofessional Conduct 1. Engaging in, or attempting to engage in, the following is considered unprofessional conduct:

Providing instruction at a level for which a Training Center is not authorized or licensed to provide.

Violating any of the requirements of the Training Center Standards.

Failure to provide program or course documentation when required or requested by Maine EMS.

LICENSING ACTIONS FOR AN APPLICANT FOR EMS CLINICIAN, AMBULANCE OPERATOR, INSTRUCTOR/COORDINATOR, COMMUNITY PARAMEDIC, OR EMERGENCY MEDICAL DISPATCHER LICENSURE.

1. Applications for Initial Licensure 1. Application Review 1. Upon the receipt of a complete application for licensure for which there is no cause for concern related to a potential violation of Maine EMS’s Rules and/or Statutes, Board Staff may issue the licensure application. 2. Upon the receipt of a complete application for licensure that raises any concern related to a potential violation of Maine EMS’s Rules and/or Maine State Statutes, Board Staff shall investigate. 3. After such investigation that Board Staff deems appropriate, a complete application with concerns will either: 1. Be scheduled for review by the Licensing Board; or 2. Have the matter resolved by Board Staff, in accordance with these rules. Board Staff will prepare a report for the Licensing Board on matters it has resolved for their awareness. 2. Notice to Applicant of Investigation 1. Upon the initiation of an investigation into an application, Board Staff shall send Notice of that Investigation to the applicant. This Notice should include a description of the concern investigated and an opportunity to provide additional information in writing. 3. Review and Preliminary Finding(s) of Ground(s) for Licensing Action(s) 1. Notice of Scheduling shall be sent to the applicant that their application has been scheduled for review by the Licensing Board at least ten (10) business days prior to the date of the review. This notice shall include a statement reflecting the ability of an applicant to request a copy of the investigative file. Additional case information may be accepted from an applicant up to five (5) business days prior to the date the case is scheduled for review. A case scheduled for review may be rescheduled or postponed at the discretion of Board Staff. 2. At the meeting during which an application has been scheduled for review, the Licensing Board shall consider the application, the concern, and additional information presented, and, based upon the information presented, determine by majority vote, if there are preliminary grounds for licensing action as outlined in this rule, Section 3(1), or under 32 M.R.S. § 90-A(5). The Licensing Board shall identify the specific preliminary grounds for licensing action in its motion. 3. The Licensing Board may table any application to a future meeting and request that Board Staff obtain additional information. 4. If the Licensing Board, by majority vote, does not see any preliminary grounds for licensing action, the Licensing Board shall issue the license. 5. After review, if the Licensing Board, by majority vote, sees preliminary grounds for a licensing action pursuant to Section 3(1) of this rule, or 32 M.R.S. § 90-A(5), the Licensing Board may issue licensure with Non-Disciplinary or Disciplinary Action, and/or refuse to issue licensure. 4. Delegation of Authority to Board Staff 1. Upon the receipt of a complete application for licensure, Board Staff may issue licensure with a Non-Disciplinary Action in the following circumstances: 1. Limited Delegation Order:

The Licensing Board has issued an Order of Limited Delegation of Authority for Board Staff to take Non-Disciplinary Action according to that order, provided that the delegation has not expired.

A Limited Delegation of Authority issued by the Licensing Board must be reviewed and renewed at least every three (3) years.

Board Staff cannot take Non-Disciplinary Action when:

The ground(s) for licensing action include Sexual Misconduct;

The ground(s) for licensing action include a declaration of or claim pertaining to the EMS Clinician, Ambulance Operator, Instructor/Coordinator, Community Paramedic, or Emergency Medical Dispatcher, of legal incompetence that has not been legally terminated;

There is a related Non-Disciplinary Action on file with the Licensing Board;

There is a related Disciplinary Action on file with the Licensing Board.

• • 1. Upon receipt of a complete application for licensure, Board Staff may preliminarily deny EMS Clinician, Emergency Medical Dispatcher, Instructor/Coordinator, Community Paramedic, or Ambulance Operator licensure in the following circumstances: 1. Revocation of EMS professional licensure in a foreign Jurisdiction or another U.S. State; 2. Surrender in lieu of disciplinary action and/or investigation of EMS professional licensure in a foreign Jurisdiction or another U.S. State; 2. If Board Staff deny licensure, they must provide a written decision that reflects the grounds for the denial and that informs the applicant of the right to appeal the decision to the Licensing Board in accordance with 32 M.R.S. § 90-A(10) (hereafter called a “Preliminary Notice of Denial”). 3. A person wishing to appeal the decision of Board Staff to deny licensure may appeal this decision to the Licensing Board. If no appeal is requested within twenty-one (21) business days of the date of service of the Preliminary Notice Denial, the Board Staff’s decision becomes final agency action appealable to the Superior Court in accordance with the Maine Administrative Procedure Act, Title 5 Chapter 375 Subchapter 7. For an appeal to the Board to be considered, the person must: 1. Be the applicant or their authorized representative; 2. Submit a written request for a hearing before the board; 3. This written request for hearing must be received by the Office of Maine Emergency Medical Services within twenty-one (21) business days of the date the Preliminary Notice Denial is sent to the applicant. 4. Service of the request for hearing is complete when received by Maine EMS by mail, in-hand delivery, or electronic mail. A request for hearing may be accepted at the discretion of the Licensing Board after this timeframe if the petitioner later provides satisfactory justification as to why a timely submission was not made. 4. The Board Staff’s decision to refuse to issue licensure stands until the Licensing Board issues a decision to uphold, modify, or overrule the staff’s decision. 1. Non-Disciplinary Action 1. Non-Disciplinary Action constitutes a Letter of Guidance, and is used when the Board does not see evidence of potential violations of Board law or rule, or the matter does not rise to a level requiring Disciplinary Action. A Letter of Guidance may be placed on file for a period of time not to exceed ten (10) years. 2. The Licensing Board may resolve a complaint with Non-Disciplinary Action except when: 1. The ground(s) for licensing action include Sexual Misconduct; 2. The ground(s) for licensing action include a declaration of or claim pertaining to the EMS Clinician, Ambulance Operator, Instructor/Coordinator, Community Paramedic, or Emergency Medical Dispatcher, of legal incompetence that has not been legally terminated; 3. There is a related Non-Disciplinary Action on file with the Licensing Board; 4. There is a related Disciplinary Action on file with the Licensing Board. 2. Disciplinary Action 1. Any of the following sanctions may be taken with the issuance of the licensure application: 1. Execution of a Consent Agreement that includes any or all of the following:

The Issuance of a Warning, Censure, or Reprimand;

Each warning, censure, or reprimand must be based upon violations of different applicable laws, rules, or conditions of licensure, or upon separate instances of actionable conduct or activity.

Conditions of Probation;

Probation may be for a time period that the Licensing Board determines appropriate.

Probation may include conditions such as: additional continuing education; medical, psychiatric or mental health consultations or evaluations; mandatory professional or occupational supervision; and other conditions as the Licensing Board determines appropriate.

Costs incurred in the performance of terms of probation are borne by the licensee.

Any other remedy, penalty, fine, or cost recovery that is otherwise available by law, even if only in the jurisdiction of the District Court.

• • 1. Denial of Licensure Issuance 1. A refusal to issue licensure may only be predicated upon the grounds cited in Section 3 of this rule or upon grounds found in 32 M.R.S. § 90-A(5). 1. Appeal of Non-Disciplinary Action with Issuance of Licensure 1. A person wishing to appeal the decision of Board Staff to issue licensure with Non-Disciplinary Action may appeal this decision to the Licensing Board. If a petition for appeal does not meet the criteria for consideration below, or if no petition is submitted, the Board Staff’s decision becomes final agency action appealable to the Superior Court in accordance with the Maine Administrative Procedure Act, 5 M.R.S. Chapter 375 Subchapter 7. For an appeal to the Board to be considered, the person must: 1. Be the same individual or their authorized representative, against whom the Non-Disciplinary action was taken; 2. Submit a written petition; such petition should have sufficient information to explain the rationale for the appeal, including, but not limited to:

The name of the individual against whom the action was taken;

The specific nature of the appeal (e.g., an appeal to reduce the time frame of the action, or an appeal against the action in its entirety); and

The rationale supporting the grant of the appeal by the Licensing Board.

• • • 1. This written petition must be received by the Office of Maine Emergency Medical Services within twenty-one (21) business days of the date the action was taken. Service of the petition is complete when received by Maine EMS by mail, in-hand delivery, or electronic mail. A petition may be accepted at the discretion of the Licensing Board after this timeframe if the petitioner later provides satisfactory justification as to why a timely submission was not made. 1. The Board Staff’s decision to take Non-Disciplinary Action stands until the Licensing Board issues a decision to uphold, modify, or revoke the staff’s decision. 2. The Licensing Board will review the action and information provided to determine if the Non-Disciplinary Action will be upheld, modified, or revoked. 3. The Licensing Board, at its discretion, may entertain additional information or argument from the parties. 4. The decision of the Board shall be in writing or stated on the record and contain or reflect the Board’s reasoning in a manner sufficient to inform the parties and the public of the basis for the Board’s decision. 5. The decision of the Board is considered Final Agency Action, appealable to the Superior Court in accordance with the Maine Administrative Procedure Act, 5 M.R.S. Chapter 375 Subchapter 7.

1. Applications for Renewal of Licensure 1. Upon the receipt of a complete application for licensure renewal where there is a pending complaint or that raises any concern related to a potential violation of Maine EMS’s Rules and/or Statutes, Board Staff shall proceed in accordance with Section 4 of this rule. 2. The application will remain pending until the pending complaint or concern is resolved. 3. An applicant who has submitted a complete application for licensure renewal prior to the expiration date of their licensure, and whose application is pending due to a pending complaint or a concern related to a potential violation of Maine EMS’s Rules and/or Statutes, shall not have their existing licensure expire until the application has been finally determined by the Licensing Board or Board Staff pursuant to Title 5, Chapter 375. 4. Delegation of Authority to Board Staff 1. Upon the receipt of a complete application for licensure, Board Staff may issue licensure with a Non-Disciplinary Action in the following circumstances: 1. Limited Delegation Order:

The Licensing Board has issued an Order of Limited Delegation of Authority for Board Staff to take Non-Disciplinary Action according to that order, provided that the delegation has not expired.

Licensing Actions for EMS Clinician, Emergency Medical Dispatcher, Instructor/Coordinator, Community Paramedicine, and Ambulance Operator Licensees

1. Investigation 1. A complaint against an EMS Clinician’s, Emergency Medical Dispatcher’s, Instructor/Coordinator, Community Paramedicine, or Ambulance Operator’s licensure shall be investigated by the Licensing Board or Board Staff in accordance with 32 M.R.S. § 90-A(1).
2. Notice of Complaint 1. Board Staff shall notify an EMS Clinician, Emergency Medical Dispatcher, Instructor/Coordinator, Community Paramedicine, or Ambulance Operator licensee in accordance with 32 M.R.S. § 90-A(2). 1. Initial Pertinent Information Necessary to send a Notice is: 1. A copy of the concern expressed or the information underlying the concern. 2. Notice shall be in writing. Service of the Notice shall be complete upon the licensee upon mailing to the licensee or the licensee’s attorney or by in-hand delivery to the licensee.
3. Response to Complaint 1. If the licensee wishes to contest the complaint or dispute the information that forms the basis of the complaint, the licensee must respond in writing to the Licensing Board within thirty (30) calendar days of service of Notice of Complaint. Service of the licensee’s response is complete when received by Maine EMS by mail, in-hand delivery, or electronic mail. 2. If the licensee does not wish to contest the complaint or dispute the information that forms the basis of the complaint but does wish to provide additional information or context for consideration, the licensee must respond in writing to the Licensing Board within thirty (30) calendar days of service of Notice of Complaint. Service of the licensee’s response is complete when received by Maine EMS by mail, in-hand delivery, or electronic mail. If a licensee responds in this manner, the provisions of paragraph C, below, do not apply. 3. If no response to the complaint from the licensee is received in writing within thirty (30) calendar days, the matter will be presented to the Licensing Board without the licensee’s response.
4. Preliminary Review of a Concern of Physical or Mental Impairment by the Licensing Board 1. Any investigation involving a complaint where there is a concern, or where information generates a concern during the investigation of a complaint, of a mental illness that may be interfering with the competent practice of emergency medical services or emergency medical dispatcher services, or from the use of intoxicants or drugs to an extent that they are preventing the licensee from practicing competently and with safety to patients shall, after appropriate investigation by Board Staff, be brought before the Licensing Board for consideration of an order for the licensee to submit to an examination pursuant to 32 M.R.S. § 90-A(9). 2. Any investigation involving a complaint where there is a concern, or where information generates a concern during the investigation of a complaint, that a licensee may have diminished physical capability to an extent that it is preventing the licensee from practicing competently and with safety to patients, after appropriate investigation by Board Staff, shall be brought before the Licensing Board for consideration of an order for the licensee to submit to an examination pursuant to 32 M.R.S. § 90-A(9). 3. The ability to order a licensee to submit to an examination under this section may not be delegated by the Licensing Board. 4. The Licensing Board, or as delegated Board Staff, shall select the evaluator as appropriate for the examination ordered. 5. All costs of any examination are the responsibility of the licensee; a licensee may petition the Licensing Board to waive the expense on the affirmative demonstration of hardship.
5. Review and Preliminary Finding(s) of Ground(s) for Licensing Action(s) 1. After Board Staff has determined that sufficient information have been obtained, a complaint shall be scheduled for review by the Licensing Board. 2. Notice of Scheduling shall be sent to the licensee under investigation that their case has been scheduled for review by the Licensing Board at least ten (10) business days prior to the date of the review. This notice shall include a statement reflecting the ability of a licensee to request a copy of the investigative file. Additional case information may be accepted from a licensee up to five (5) business days prior to the date the case is scheduled for review. A case scheduled for review may be rescheduled or postponed at the discretion of Board Staff. 3. At the meeting during which a complaint has been scheduled for review, the Licensing Board shall consider the complaint and, based upon the information presented, determine by majority vote, if there are preliminary grounds for licensing action as outlined in this rule, Section 3, or under 32 M.R.S. §90-A(5). The Licensing Board shall identify the specific preliminary grounds for licensing action in its motion. 1. The Licensing Board may table any complaint to a future meeting and request that Board Staff obtain additional information. 4. If the Licensing Board, by majority vote, sees there are no preliminary grounds for licensing action, the complaint shall be dismissed, and a Notice of Dismissal shall be sent to the complainant, if any. 5. If the Licensing Board sees that there are preliminary grounds for licensing action, the complaint shall be scheduled for review at the Licensing Board’s next meeting for determination of appropriate disciplinary or non-disciplinary action. This provision may be waived on the motion of any member present and voting, and the Licensing Board may proceed directly into the preliminary determination of Disciplinary or Non-Disciplinary Action. 6. A motion to reconsider the preliminary grounds for licensing action may only be made during the meeting in which the complaint is reviewed for preliminary grounds for licensing action and may only be made by a member present and voting on the prevailing side of the initial motion. The motion to reconsider must pass by majority vote, and there may be no subsequent reconsideration of the same preliminary ground for licensing action.
6. Preliminary Determination of Disciplinary or Non-Disciplinary Action 1. At the meeting for which a complaint with preliminary ground(s) for licensing action is scheduled for determination of appropriate Disciplinary or Non-Disciplinary Action, or upon immediate consideration in accordance with these rules, the Licensing Board shall determine by majority vote, appropriate action in accordance with 32 M.R.S. § 90-A (7) & (8), and these rules. This action may consist of: 1. Non-Disciplinary Action 1. Non-Disciplinary Action constitutes a Letter of Guidance and is used when the Board does not see evidence of potential violations of Board law or rule, or the matter does not rise to a level requiring Disciplinary Action. A Letter of Guidance may be placed on file for a period of time not to exceed ten (10) years. 2. The Licensing Board may resolve a complaint with Non-Disciplinary Action except when:

The ground(s) for licensing action include Sexual Misconduct;

The ground(s) for licensing action include a declaration of or claim pertaining to the EMS Clinician of legal incompetence that has not been legally terminated;

There is a related Non-Disciplinary Action on file with the Licensing Board;

There is a related Disciplinary Action on file with the Licensing Board.

• • 1. Disciplinary Action 1. The Licensing Board may resolve a complaint with Disciplinary Action if the Board determines there are preliminary grounds for action pursuant to Section 3 of this rule, or pursuant to 32 M.R.S. § 90-A(5). 2. Any of the following sanctions may be taken pursuant to 32 M.R.S. § 90-A(7).

Execution of a Consent Agreement that includes any or all of the following:

The issuance of a Warning, Censure, or Reprimand

Each warning, censure, or reprimand must be based upon violations of different applicable laws, rules, or conditions of licensure, or upon separate instances of actionable conduct or activity.

Conditions of probation

Probation may be imposed for a time period that the Licensing Board determines appropriate.

Probation may include conditions such as: additional continuing education; medical, psychiatric or mental health consultations or evaluations; mandatory professional or occupational supervision; and other conditions as the Licensing Board determines appropriate.

Costs incurred in the performance of terms of probation are borne by the licensee.

Suspension of licensure

Suspensions may be set to run consecutively or concurrently.

The execution of all or any portion of a term of suspension may be stayed pending successful completion of conditions of probation.

Surrender of Licensure

Revocation of Licensure

Any other remedy, penalty, fine, or cost recovery that is otherwise available by law, even if only in the jurisdiction of the District Court.

Imposition of a suspension of licensure for up to 90 calendar days for each violation or for each instance of actionable conduct or activity

Suspensions may be set to run consecutively or concurrently.

Imposition of a civil penalty of up to $1,500.00 for each violation of applicable laws, rules, and conditions of licensure or for each instance of actionable conduct or activity.

• • • 1. All sanctions must include notice to an EMS Clinician, Ambulance Operator, Instructor/Coordinator, Community Paramedicine-licensee, or Emergency Medical Dispatcher of their right to request an adjudicatory hearing.

1. Delegation 1. Board Staff may resolve a case with Non-Disciplinary Action in the following circumstances: 1. Limited Delegation Order 1. The Licensing Board has issued an Order of Limited Delegation of Authority for Board Staff to take Non-Disciplinary Action according to that order, provided that the delegation has not expired. 2. Board Staff may resolve a case with Disciplinary Action in the following circumstances: 1. Voluntary Surrender of Licensure 1. If a licensee seeks to voluntarily surrender licensure in lieu of further proceedings, Board Staff are authorized to negotiate and enter into a Consent Agreement on behalf of the Licensing Board, with stipulations as necessary to ensure the protection of the public health and safety and the rehabilitation or education of the licensee seeking surrender.
2. Appeal of Non-Disciplinary Action 1. A person wishing to appeal the decision of Board Staff to take Non-Disciplinary Action may appeal this decision to the Licensing Board. If a petition for appeal does not meet the criteria for consideration below, or if no petition is submitted, the Board Staff’s decision becomes final agency action appealable to the Superior Court in accordance with the Maine Administrative Procedure Act, 5 M.R.S. Chapter 375 Subchapter 7. For an appeal to the Licensing Board to be considered, the person must: 1. Be the same individual or their authorized representative, against whom the Non-Disciplinary Action was taken, or the original complainant in the matter, or their authorized representative. 2. Submit a written petition; such petition should have sufficient information to explain the rationale for the appeal, including but not limited to: 1. The name of the individual against whom the action was taken; 2. The specific nature of the appeal (e.g., an appeal to take disciplinary action, an appeal to reduce the time frame of the action, or an appeal against the action in its entirety); and 3. The rationale that supports the Licensing Boards’ grant of the appeal. 3. This written petition must be received by the Office of Maine Emergency Medical Services within twenty-one (21) business days of the date the action was taken. Service of the petition is complete when received by Maine EMS by mail, in-hand delivery, or electronic mail. A petition may be accepted at the discretion of the Licensing Board after this timeframe if the petitioner later provides satisfactory justification as to why a timely submission was not made. 2. The Board Staff’s decision to take Non-Disciplinary Action stands until the Licensing Board issues a decision to uphold, modify, or overrule the staff’s decision. 3. The Licensing Board, at its discretion, may entertain additional information or argument from the parties. 4. The decision of the Licensing Board shall be in writing or stated on the record and contain or reflect the Board’s reasoning in a manner sufficient to inform the parties and the public of the basis for the Licensing Board’s decision.
3. Adjudicatory Hearing 1. In the case where the discipline involves nonrenewal of licensure, suspension, or the imposition of a civil penalty, an EMS Clinician, Ambulance Operator, Instructor/Coordinator, Community Paramedicine-licensee, or Emergency Medical Dispatcher who fails to make a request for a hearing within thirty (30) calendar days from receipt of the Licensing Board’s Notice of Preliminary Action, waives their right to request a hearing, and the Disciplinary Action sought by the Licensing Board is imposed and becomes final agency action, appealable pursuant to 5 M.R.S. Ch. 375, Subchapter 7. A request for a hearing must be made in writing and must be received by the Office of Maine EMS via electronic mail, certified mail, or in-person delivery. 2. If the Board seeks to impose discipline other than nonrenewal, suspension, or the imposition of a civil penalty, and a Consent Agreement is not executed resolving the complaint, the matter shall be scheduled for an adjudicatory hearing.
4. Notification of Final Agency Action 1. Upon Disciplinary Action becoming Final Agency Action, Board Staff shall send a notice containing only publicly available information to the complainant, if any. 2. Upon Disciplinary Action becoming Final Agency Action, Board Staff shall send only publicly available information to the National Practitioner Data Bank as required by federal law. 3. Upon Disciplinary Action becoming Final Agency Action, Board Staff shall send publicly available information to any State Jurisdiction, or National Certifying Body that the licensee is reasonably believed to hold licensure or certification with. 4. Upon Disciplinary Action becoming Final Agency Action, Board Staff shall send only publicly available information to any Maine-EMS licensed service, or Emergency Medical Dispatch Center that the licensee is affiliated with.

LICENSING ACTIONS FOR AMBULANCE SERVICES, NON-TRANSPORTING EMERGENCY MEDICAL SERVICES, TRAINING CENTERS, OR EMERGENCY MEDICAL DISPATCH CENTER.

1. Investigation 1. A complaint against an Ambulance Service, a Non-transporting Emergency Medical Service (“NTEMS”), Training Center, or Emergency Medical Dispatcher Center’s licensure shall be investigated by the Licensing Board or Board Staff in accordance with 32 M.R.S. § 90-A(1).
2. Notice of Complaint 1. Board Staff shall notify an Ambulance Service, NTEMS, Training Center, or Emergency Medical Dispatch Center in accordance with 32 M.R.S. § 90-A(2). 1. Initial Pertinent Information Necessary to send Notice is: 1. A copy of the concern expressed or the information underlying the concern. 2. Notice shall be in writing. Service of the Notice shall be complete upon the licensee upon mailing to the licensee or the licensee’s attorney, by in-hand delivery to the licensee, or by delivery to the licensee’s principal office or place of business.
3. Response to Complaint 1. If the licensee wishes to contest the complaint or dispute the information that forms the basis of the complaint, the licensee must respond in writing to the Licensing Board within thirty (30) calendar days of service of Notice of Complaint. Service of the licensee’s response is complete when received by Maine EMS by mail, in-hand delivery, or electronic mail. 2. If the licensee does not wish to contest the complaint or dispute the information that forms the basis of the complaint but does wish to provide additional information or context for consideration, the licensee must respond in writing to the Licensing Board within thirty (30) calendar days of service of Notice of Complaint. Service of the licensee’s response is complete when received by Maine EMS by mail, in-hand delivery, or electronic mail. If a licensee responds in this manner, the provisions of paragraph C, below, do not apply. 3. If no response to the complaint from the licensee is received in writing within thirty (30) calendar days, the matter will be presented to the Licensing Board without the licensee’s response.
4. Review and Preliminary Finding(s) of Ground(s) for Licensing Action(s) 1. After Board Staff has determined that sufficient information has been obtained, a complaint shall be scheduled for review by the Licensing Board. 2. Notice of Scheduling shall be sent to the licensee under investigation that their case has been scheduled for review by the Licensing Board at least ten (10) business days prior to the date of the review. This notice shall include a statement reflecting the ability of a licensee to request a copy of the investigative file. Additional case information may be accepted from a licensee up to five (5) business days prior to the date the case is scheduled for review. A case scheduled for review may be rescheduled or postponed at the discretion of Board Staff. 3. At the meeting during which a complaint has been scheduled for review, the Licensing Board shall consider the complaint and, based upon the information presented, determine by majority vote of members present and voting, if there are preliminary grounds for licensing action as outlined in this rule, Section 3, or under 32 M.R.S. §90-A(5). The Licensing Board shall identify the specific preliminary grounds for licensing action in its motion. 1. The Licensing Board may table any complaint to a future meeting and request that Board Staff obtain additional information. 4. If the Licensing Board, by majority vote, sees that there are no preliminary grounds for licensing action, the complaint shall be dismissed, and a Notice of Dismissal shall be sent to the complainant, if any. 5. If the Licensing Board sees that there are preliminary grounds for licensing action, the complaint shall be scheduled for review at the Licensing Board’s next meeting for determination of appropriate Disciplinary or Non-Disciplinary Action. This provision may be waived on the motion of any member present and voting, and the Licensing Board may proceed directly into the preliminary determination of Disciplinary or Non-Disciplinary Action. 6. A motion to reconsider the preliminary grounds for licensing action may only be made during the meeting in which the complaint is reviewed for preliminary grounds for licensing action and may only be made by a member present and voting on the prevailing side of the initial motion. The motion to reconsider must pass by majority vote of those present and voting, and there may be no subsequent reconsideration of the same preliminary ground for licensing action.
5. Preliminary Determination of Disciplinary or Non-Disciplinary Action 1. At the meeting for which a complaint with preliminary ground(s) for licensing action is scheduled for determination of appropriate disciplinary or non-disciplinary action, or upon immediate consideration in accordance with these rules, the Licensing Board shall determine by majority vote of those present and voting, appropriate action in accordance with 32 M.R.S. § 90-A (7) & (8), and these rules. This action may consist of: 1. Non-Disciplinary Action 1. Non-Disciplinary Action constitutes a Letter of Guidance and is used when the Board does not see evidence of potential violations of Board law or rule or the matter does not rise to a level requiring Disciplinary Action.. A Letter of Guidance may be placed on file for a period of time not to exceed ten (10) years. 2. The Licensing Board may resolve a complaint with Non-Disciplinary Action except when:

There is a related Non-Disciplinary Action on file with the Licensing Board;

There is a related Disciplinary Action on file with the Licensing Board.

• • 1. Disciplinary Action 1. The Licensing Board may resolve a complaint with Disciplinary Action if grounds for action are found pursuant to Section 3 of this Rule or pursuant to 32 M.R.S. § 90-A(5). 2. Any of the following sanctions may be taken pursuant to 32 M.R.S. § 90-A(7):

Execution of a Consent Agreement that includes any or all of the following:

The issuance of a Warning, Censure, or Reprimand;

Each warning, censure, or reprimand must be based upon violations of different applicable laws, rules, or conditions of licensure, or upon separate instances of actionable conduct or activity.

Conditions of probation;

Probation may be imposed for a time period that the Licensing Board determines appropriate.

Probation may include conditions such as: additional continuing education; medical, psychiatric or mental health consultations or evaluations; mandatory professional or occupational supervision; and other conditions as the Licensing Board determines appropriate.

Costs incurred in the performance of terms of probation are borne by the licensee.

Suspension of licensure

Suspensions may be set to run consecutively or concurrently.

The execution of all or any portion of a term of suspension may be stayed pending successful completion of conditions of probation.

Prior to seeking to impose a suspension of licensure of an Emergency Medical Dispatch Center, the Licensing Board shall table the matter and contact the Emergency Services Communication Bureau within the Public Utilities Commission for input on the effect of such an action on the E-9-1-1 system.

Prior to seeking to impose a suspension of licensure of an Ambulance Service or NTEMS, the Licensing Board shall table the matter and contact the Emergency Medical Services Board for input on the effect of such action on the Maine EMS system.

Surrender or Revocation of Licensure.

Prior to seeking to impose a surrender or revocation of licensure of an Emergency Medical Dispatch Center, the Licensing Board shall table the matter and contact the Emergency Services Communication Bureau within the Public Utilities Commission for input on the effect of such an action on the E-9-1-1 system.

Prior to seeking to impose a surrender or revocation of licensure of an Ambulance Service, NTEMS, or Training Center, the Licensing Board shall table the matter and contact the Emergency Medical Services Board for input on the effect of such action on the Maine EMS system.

Any other remedy, penalty, fine, or cost recovery that is otherwise available by law, even if only in the jurisdiction of the District Court.

Impose a suspension of licensure for up to 90 calendar days for each violation or for each instance of actionable conduct or activity;

Suspensions may be set to run consecutively or concurrently.

Prior to seeking to impose a suspension of licensure of an Emergency Medical Dispatch Center, the Licensing Board shall table the matter and contact the Emergency Services Communication Bureau within the Public Utilities Commission for input on the effect of such an action on the E-9-1-1 system.

Prior to seeking to impose a suspension of licensure of an Ambulance Service, NTEMS, or Training Center, the Licensing Board shall table the matter and contact the Emergency Medical Services Board for input on the effect of such action on the Maine EMS system.

Impose a civil penalty of up to $1,500.00 for each violation of applicable laws, rules, and conditions of licensure or for each instance of actionable conduct or activity;

• • • 1. All sanctions must include notice to an Ambulance Service, NTEMS, Training Center, or Emergency Medical Dispatch Center of their right to request an adjudicatory hearing.

1. Delegation 1. Board Staff may resolve a case with Non-Disciplinary Action in the following circumstances: 1. Limited Delegation Order: 1. The Licensing Board has issued an Order of Limited Delegation of Authority for Board Staff to take Non-Disciplinary Action according to that order, provided that the delegation has not expired.
2. Appeal of Non-Disciplinary Action 1. A person wishing to appeal the decision of Board Staff to take Non-Disciplinary Action may appeal this decision to the Licensing Board. If a petition for appeal does not meet the criteria for consideration below, or if no petition is submitted, the Board Staff’s decision becomes final agency action appealable to the Superior Court in accordance with the Maine Administrative Procedure Act, 5 M.R.S. Chapter 375 Subchapter 7. For an appeal to the Licensing Board to be considered, the person must: 1. Be the same Ambulance Service, NTEMS, Training Center, or Emergency Medical Dispatch Center, or their authorized representative, against whom the Non-Disciplinary Action was taken, or the original complainant in the matter, or their authorized representative; 2. Submit a written petition; such petition should have sufficient information to explain the rationale for the appeal, including but not limited to: 1. The name of the Ambulance Service, NTEMS, Training Center, or Emergency Medical Dispatch Center, against whom the action was taken; 2. The specific nature of the appeal (e.g., an appeal to take disciplinary action, an appeal to reduce the time frame of the action, or an appeal against the action in its entirety); and 3. The rationale that supports the Licensing Boards’ grant of the appeal. 3. This written petition must be received by the Office of Maine Emergency Medical Services within twenty-one (21) business days of the date the action was taken. Service of the petition is complete when received by Maine EMS by mail, in-hand delivery, or electronic mail. A petition may be accepted at the discretion of the Licensing Board after this timeframe if the petitioner later provides satisfactory justification as to why a timely submission was not made. 2. The Board Staff’s decision to take Non-Disciplinary Action stands until the Licensing Board issues a decision to uphold, modify, or overrule the staff’s decision. 3. The Licensing Board, at its discretion, may entertain additional information or argument from the parties. 4. The decision of the Licensing Board shall be in writing or stated on the record and contain or reflect the Board’s reasoning in a manner sufficient to inform the parties and the public of the basis for the Licensing Board’s decision.
3. Adjudicatory Hearing 1. In the case where the discipline involves nonrenewal of licensure, suspension, or the imposition of a civil penalty, an Ambulance Service, NTEMS, or Emergency Medical Dispatch Center who fails to make a request for a hearing within thirty (30) calendar days from receipt of the Licensing Board’s Notice of Preliminary Action, waives their right to request a hearing, and the Disciplinary Action sought by the Licensing Board is imposed and becomes final agency action, appealable pursuant to 5 M.R.S. Ch. 375, Subchapter 7. A request for a hearing must be made in writing and must be received by the Office of Maine EMS via electronic mail, certified mail, or in-person delivery. 2. If the Board seeks to impose discipline other than nonrenewal, suspension, or the imposition of a civil penalty, and a Consent Agreement is not executed resolving the complaint, the matter shall be scheduled for an adjudicatory hearing.
4. Notification of Final Agency Action 1. Upon Disciplinary Action becoming Final Agency Action, Board Staff shall send a notice containing only publicly available information to the complainant, if any. 2. Upon Disciplinary Action becoming Final Agency Action, Board Staff shall send only publicly available information to the National Practitioners Data Bank as required by federal law. 3. Upon Disciplinary Action becoming Final Agency Action, Board Staff shall send notice in writing the town manager or city manager and the municipal officers of the municipality that owns and operates or contracts with the ambulance service within 5 business days of taking the action.

AUTHORITY: 32 M.R.S. § 84(1) (A), (G), & (H); 32 M.R.S. § 88(2); 32 M.R.S. § 90-A (7), (8), & (9).

EFFECTIVE DATE: July 3, 1978 (EMERGENCY)

AMENDED: April 1, 1982

December 25, 1982 – Sec. 2.31, 3131, 6.311, 6.63, and 6.73

January 1, 1984 – Sec. 1, 2, 3, 4, 5, 6, 8.32, 10.2, 10.3, 11.1066, and 11.1067

April 30, 1985 – Sec 1, 2.846.222, 6.332, 9.313, 8.3216, and 9.11

January 1, 1986 – Sec. 1, 6, 8.15, 8.2, 8.3, 8.4, and 11.103

September 1, 1986

August 25, 1987 – Sec 5, 6.011 and 12 (added)

July 1, 1988

March 4, 1992

September 1, 1996

EFFECTIVE DATE (ELECTRONIC CONVERSION):

July 1, 2000

REPEALED AND REPLACED:

July 1, 2000

July 1, 2003

May 1, 2013

January 10, 2021

APAO ACCESSIBILITY CHECK (Word):

April 2, 2026

REPEALED AND REPLACED:

April 6, 2026 – filing 2026-077

Chapter 12 Procedures for Licensing Actions and Board Actions

Code Me. R. 16-163 Ch. 12 Emergency Medical Services Licensing Board {#sec-16-163-ch.-12 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 12}

PURPOSE: The purpose of this chapter is to outline the operation of the Emergency Medical Services Licensing Board (hereafter “Licensing Board”), including the terms of service of a Licensing Board appointee, the selection of a Chair and Chair-elect, the calling and frequency of meetings, and explanation of the consultation process during rulemaking on licensure functions required by statute.

Licensing Board Operations

1. Delegation of Authority to Issue Licensure 1. The Licensing Board and its staff are hereby delegated the authority, pursuant to 32 M.R.S. § 88(2)(C) and 32 M.R.S. § 88(2)(H) to issue licensure to Emergency Medical Services Persons, Ambulances and Emergency Medical Services Vehicles, Emergency Medical Services Ambulance Operators, Emergency Medical Services Dispatchers, Emergency Medical Services Instructor/Coordinators, and Emergency Medical Services Training Centers.
2. Appointment to Licensing Board and Selection of Chair and Vice-Chair. 1. The Licensing Board is appointed in accordance with 32 M.R.S. § 84(1)(H). 2. If the Director of Maine EMS selects a designee for appointment to the Licensing Board, that designee must be an employee of Maine Emergency Medical Services, in the Department of Public Safety. The Designee’s appointment must be confirmed by the Emergency Medical Services Board. 3. No more than two (2) current members of the Emergency Medical Services Board may serve on the Licensing Board. 4. The Emergency Medical Services Board must make a reasonable effort to fill a vacancy of a position with a suitable candidate within one (1) calendar year of the vacancy. 1. A “reasonable effort” means that the Emergency Medical Services Board must advertise the vacancy of the position on its website, and consider any applications received within such time as the Emergency Medical Services Board considers appropriate. It does not require the Emergency Medical Services Board to appoint any applicant to the position upon the elapse of one (1) calendar year 5. The Licensing Board may, by majority vote, elect a chair and a chair-elect. The Director of Maine Emergency Medical Services or the director’s designee may not serve as chair or chair-elect. In the event of a tie for chair or chair-elect, the Director of Maine Emergency Medical Services or the director’s designee may cast the deciding vote; the Director or the Director’s designee may not otherwise participate in the election of a Chair or Chair-elect of the Licensing Board. 6. The Chair-elect serves for a term of two (2) years, after which they will become the Chair. 7. The Chair serves for a term of up to two (2) years. 8. Upon the resignation or departure of a Chair who has not completed their term, the Chair-elect shall become the Chair. A Chair-elect shall serve the remainder of the resigning or departing Chair’s term, plus their own, but in no case may their term as Chair exceed the term limit of their appointment to the Licensing Board.
3. Terms, Term Limits, and Removal for Cause 1. A member is appointed to the Licensing Board for a term of four (4) years. Three (3) of the appointed members may be appointed to a single term of five (5) years upon the inaugural appointment of members to the Licensing Board for the purpose of ensuring that terms of the members are staggered so that no more than half of the appointed members’ terms expire in any given year. 2. If a designee is appointed by the Director to the Licensing Board, confirmed by the Emergency Medical Services Board, their term shall be four (4) years. 3. Terms shall be staggered so that no more than half of the appointed members’ terms expire in any given year. 4. A member appointed to the Licensing Board may not serve for more than two (2) consecutive terms, excluding the director or the director’s designee. 1. A member appointed may continue to serve in their position at the discretion of the current Chair of the Emergency Medical Services Board until a new member is appointed to their position. 2. A member whose term has expired may not serve in this manner longer than one (1) calendar year from the date of expiration of their term. 5. A member who resigns may have their term completed by the appointment of an appropriate person who is not already serving on the Licensing Board, to the resigning member’s position by the Emergency Medical Services Board Chair. This person may not be a member of the Maine Emergency Medical Services Board. A person appointed in this manner does not have this term counted as consecutive. 6. Any member, except the Director of Maine Emergency Medical Services, may be removed for cause by a 2/3 majority vote of the Emergency Medical Services Board. In the event the Director’s designee is removed for cause or resigns, the Director shall serve the remainder of the term. 7. Once the Director, or the Director’s designee is appointed to the Licensing Board, that individual shall be considered the appointee to serve the designated term; a designee currently serving on the Licensing Board may not be substituted by the Director.
4. Meetings 1. The Licensing Board shall meet at least monthly unless there is no business to come before the Licensing Board, at the call of its chair, or at the request of four (4) of its currently appointed and serving members. The Licensing Board may meet more frequently should sufficient need arise. 2. The Licensing Board may only conduct its business with a quorum of members; a quorum is a majority of the members currently appointed and serving. 3. Public input into the public proceedings of the Licensing Board is not permitted when considering a complaint during an initial presentation or preliminary review. 4. All members shall identify conflicts of interest related to agenda items at the beginning of each meeting. Should an additional item be added to the agenda, members shall acknowledge any potential conflicts of interest for transparency in process. Those with conflicts that have the potential to impact their decision-making on the matter at hand shall recuse themselves from the matter.
5. Remote Meetings 1. This section of rule covers the use of remote methods of participation in a public proceeding by a member of the Licensing Board. The Emergency Medical Services Board recognizes that there are benefits to meeting in-person. It further recognizes that in-person participation can be challenging for various members who have impediments to meeting in-person at each meeting and those impediments may, over time, discourage people from participating on the Licensing Board. Accordingly, Licensing Board members are encouraged to attend in person but are permitted to participate remotely. 2. The Licensing Board may hold a virtual meeting, meaning a meeting where there is no physical location where either the public or Licensing Board members can attend, if an emergency or urgent issue exists as determined by the Licensing Board Chair, or if the Chair is unavailable, the Chair-elect. 3. An “emergency” or “urgent issue” includes, but is not limited to: 1. A declaration of emergency issued by the Governor of the State of Maine, the President of the United States, or by an applicable state or federal agency; 2. Circumstances that required an immediate meeting such as an imminent risk of harm to person or property; or 3. Conduct or condition of a licensee or any other person that places the health or physical safety of the Licensing Board or any other person in immediate jeopardy by holding an in-person meeting. 4. Access to virtual meetings due to an emergency or urgent issue shall be provided by the Licensing Board to members of the public to permit a meaningful opportunity to attend. 5. The Licensing Board may not limit the public’s ability to attend a public proceeding in person except when the existence of an emergency or urgent issue is determined pursuant to paragraph C of this rule; 6. The Licensing Board shall identify a physical location for members of the public to attend in person, except when the existence of an emergency or urgent issue is determined pursuant to paragraph C of this rule. 7. The Licensing Board shall provide remote methods for the public to attend whenever members of the Licensing Board participate by remote methods, and reasonable accommodations may be provided when necessary to provide access to individuals with disabilities. 8. Any Licensing Board member who participates remotely must have the technology, including internet access, in their remote location sufficient to be seen and heard during the meeting and participate in the same capacity as those members physically present. Licensing Board members shall be responsible for any costs associated with obtaining and maintaining the technology and equipment necessary to participate remotely. 9. In the event that technical difficulties preclude any member of the Licensing Board from participating in a meaningful way, then the Licensing Board members shall determine whether the member may continue to participate remotely. 10. A member of the Licensing board who participates remotely in a public Board proceeding is present for the purposes of quorum and voting. 11. All votes taken by the Licensing Board during a public Board proceeding using remote methods for participation by any Licensing Board member must be taken by roll call vote that can be seen and heard by the other members of the Licensing Board and the public.
6. Emergency Medical Services Board Consultation 1. Consultation 1. When the Emergency Medical Services Board initiates the drafting of a rule for which consultation with the Licensing Board is required, the Emergency Medical Services Board will, prior to the proposal of the rule for public comment, send the draft to the Licensing Board for their review and advice. 2. After the conclusion of a public comment period and review by the Emergency Medical Services Board, for any rule for which consultation with the Licensing Board is required, the Emergency Medical Services Board will send a copy of the proposed rule with any changes resulting from the public comment period, a copy of those public comments and the Emergency Medical Services Board’s Responses to those comments, to the Licensing Board for their review and advice on any proposed changes to the rule as a result of public comments, and the Emergency Medical Services Board’s responses to those comments. 2. Timeline 1. When the Licensing Board has been sent rulemaking documents for its consultation prior to proposal for public comment, the Licensing Board has thirty (30) calendar days to complete its review and provide advice. 1. The Licensing Board shall notify the Chair of the Emergency Medical Services Board if more time is needed, and an extension may be granted by the Chair, not to exceed a total of ninety (90) calendar days.

The Chair of the Emergency Medical Services Board may choose, in the case where an extension has been requested, to hold a joint meeting with the Licensing Board, during which the rule may be debated, and after which the Emergency Medical Services Board may determine the grant of the extension.

• • 1. When the Licensing Board has been sent rulemaking documents after the public comment period and review by the Emergency Medical Services Board for its consultation, the Licensing Board has no more than thirty (30) business days to complete its review and provide advice. 1. Record 1. The Licensing Board’s advice on a rule shall be in writing and shall advise the Board on the policy as it pertains to the proper execution of the Licensing Board’s duties. 2. The Licensing Board’s written advice shall be made part of the rulemaking record. 2. Authority 1. The phrase “consultation with” does not authorize or grant permission to the Licensing Board to veto or override any rule of the Emergency Medical Services Board.

AUTHORITY: 32 M.R.S. § 84(1)(A) & (H), 32 M.R.S. § 88(2)(C)

EFFECTIVE DATE: July 3, 1978 (EMERGENCY)

AMENDED: April 1, 1982

December 25, 1982 - Sec. 2.31, 3131, 6.311, 6.63 and 6.73

January 1, 1984 - Sec. 1, 2, 3, 5, 6, 8.32, 10.2, 10.3, 11.1066, 11.1067

April 30, 1985 - Sec. 1, 2.846.222, 6.332, 9.313, 8.3216 and 9.11

January 1, 1986 - Sec. 1, 6. 8.15, 8.2, 8.3, 8.4 and 11.103

September 1, 1986

August 25, 1987 - Sec. 5, 6.011 and 12 (added)

July 1, 1988

March 4, 1992

September 1, 1996

EFFECTIVE DATE (ELECTRONIC CONVERSION):

July 1, 2000

REPEALED AND REPLACED:

July 1, 2000

July 1, 2003

January 10, 2021

APAO ACCESSIBILITY CHECK (Word):

April 1, 2026

REPEALED AND REPLACED:

April 6, 2026 – filing 2026-078

Chapter 13 Waiver of Rules

Code Me. R. 16-163 Ch. 13 Waiver of Rules {#sec-16-163-ch.-13 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 13}

Upon the request of an individual, organization or on the Board's own initiative, the Board may waive any of these Rules by a two-thirds majority vote of those present and voting and by no less than a majority of the appointed and currently serving members, if it determines that such a waiver would avert a significant injustice while preserving the public safety and the integrity of the statutory and regulatory components of the State's EMS system.

When determining whether to waive a rule, the Board will consider a number of factors including, but not necessarily limited to, the following:

1. Whether the person or organization seeking the waiver took reasonable steps to ascertain the rule and comply with it;
2. Whether the person or organization seeking the waiver was given inaccurate information by an agent or employee of the State EMS program;
3. Whether the person or organization seeking the waiver, or any other individual or group, would be significantly injured or harmed if the rule were not waived;
4. Whether waiver of the rule in the particular case would pose a health or safety risk to the public at large or a particular individual or community; and
5. Whether waiver of the rule in the particular case would establish a precedent that would unduly hinder the Board or office of EMS in its administration of Maine's EMS system.

A waiver is to be granted only under extraordinary circumstances. This means that the Board must find a number of the above factors weighing in favor of a waiver before it is granted.

The Board shall notify any person or organization requesting a waiver of its decision to grant or deny this request. The notice shall include a brief summary of the reasons for the Board’s decision.

Any decision by the Board to deny a waiver may be appealed by the person or organization seeking the waiver, in the manner prescribed in Chapter 12 of the Rules.

AUTHORITY: 32 M.R.S., Chapter 2-B.

EFFECTIVE DATE: July 3, 1978 (EMERGENCY)

AMENDED: April 1, 1982

December 25, 1982 - Sec. 2.31, 3131, 6.311, 6.63 and 6.73

January 1, 1984 - Sec. 1, 2, 3, 5, 6, 8.32, 10.2, 10.3, 11.1066, 11.1067

April 30, 1985 - Sec. 1, 2.846.222, 6.332, 9.313, 8.3216 and 9.11

January 1, 1986 - Sec. 1, 6. 8.15, 8.2, 8.3, 8.4 and 11.103

September 1, 1986

August 25, 1987 - Sec. 5, 6.011 and 12 (added)

July 1, 1988

March 4, 1992

September 1, 1996

EFFECTIVE DATE (ELECTRONIC CONVERSION):

July 1, 2000

REPEALED AND REPLACED:

July 1, 2000

July 1, 2003

January 10, 2021

Chapter 15 Maine EMS Regions and Regional Councils

Code Me. R. 16-163 Ch. 15 Maine Ems Regions and Regional Councils {#sec-16-163-ch.-15 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 15}

Regions

1. The State of Maine shall be divided into four distinct EMS regions based on geographical county boundaries. Those regions shall be: 1. Region One: Cumberland and York Counties. 2. Region Two: Androscoggin, Franklin, Kennebec, Oxford, Sagadahoc, and Somerset Counties. 3. Region Three: Hancock, Knox, Lincoln, Penobscot, Piscataquis, Waldo, and Washington Counties. 4. Region Four: Aroostook County.

Regional Councils

1. Designation 1. Each Region shall have one (1) Regional Council; an entity may not serve more than one region. 2. The Board shall designate regional emergency medical services councils, but in no event shall the number of regional councils exceed four (4). 3. Such regional councils shall be established by application for designation to be submitted by a business entity. Such application shall describe, at minimum, the region to be served and contain a list of nominees for appointment to voting membership of the council, on an application approved by the Board. 4. The Board, upon a finding that the regional council has failed to execute its duties, may designate another business entity, with a two-thirds majority vote 1. If an entity serving as the regional council is terminated for cause, the board may designate an entity to serve as the regional council until the Board designates a new entity through the designation process described in this sub-section. The temporarily appointed entity may be an entity that serves a separate region.

2. Roles and Responsibilities 1. The Regional Council and its representative to the Board shall ensure information is shared between the Board, Committees, Entities of the Board, and Office, with the local agencies and stakeholders within the region served. 2. The Regional Council shall appoint, subject to approval by the board, a Regional Medical Director, in accordance with §3(1) of this chapter. 3. The Regional Council shall nominate candidates in accordance with 32 M.R.S. §89. 4. The Regional Council shall establish a committee to carry out a plan of quality improvement approved by the Board. 5. Each region shall have one (1) Regional Coordinator, who shall be responsible to the Regional Council. This Coordinator shall, with the advice and knowledge of the Regional Council, be responsible for the administration of regional plans, goals, and operations as defined in this rule. 1. The Regional Coordinator shall be an ex-officio non-voting member of the Regional Council. 2. The Regional Coordinator shall interface with and provide monthly updates to the Office of EMS. 3. The vacancy of this position shall be reported to the Office of EMS within seven (7) calendar days.

3. Composition 1. The regional council shall consist of the following voting members. No single Ambulance Service or Non-Transporting Emergency Medical Service shall have more than one voting representative on the council. A regional council shall, at a minimum, consist of: 1. Three (3) representatives from Hospital(s) located within the region. Three (3) representatives from Maine EMS-licensed Ambulance Services or Non-Transporting Emergency Medical Services located within the region. One (1) representative of Emergency Medical Dispatch Services who is currently licensed by the Board. Seven (7) representatives currently residing within the region, one of whom is not licensed by the Maine EMS Board. There must, at minimum, be a member chosen from each county represented within the region 2. A Regional Council shall have no more than 17 voting members. 3. Voting members of the regional councils shall be limited by terms defined by the Regional Council bylaws. 4. The names and public contact information for the voting members of the regional council shall be published digitally, and maintained by the regional council. Any changes in name or public contact information shall be published within seven (7) business days.

4. Duties 1. Make and alter by-laws for its organization and internal management. 2. Convene a meeting no less than four (4) times annually. Draft minutes will be recorded for each of these meetings, which will become final upon a vote of the council. Maine EMS-licensed entities within the region shall receive written notice no later than seven (7) days prior to the meeting. Finalized minutes will be provided within five (5) business days after council approval to the Office of EMS and any Maine EMS-licensed entities within the region. 3. Develop and submit to the Board a comprehensive Regional Plan that provides for the organization and implementation of regional goals and strategies in alignment with the goals and objectives defined by the Board and as defined in the Request for Proposal, if applicable. This plan shall identify how the Regional Council will provide support to Ambulance Services and Non-Transporting services, and be accompanied by an analysis of regional operations that includes the identification of resources needed to meet the goals and strategies identified within the plan. This plan shall be subject to annual approval by the Board; submission shall be no later than August 15 of each calendar year. The Board will approve or reject the submitted plan within 70 calendar days after the deadline for submission. If a plan is rejected, a Regional Council shall be afforded 60 calendar days to submit a modified plan to the Board for approval. 4. Develop a comprehensive Quality Assurance and Improvement plan approved by the Board. This plan must be reviewed and approved by the Board at a minimum every three (3) years. 1. The plan shall be based on an ongoing region-wide assessment of EMS and EMD services operating within the region, and the quality of service-level quality assurance/quality improvement efforts. 5. Undertake or cause to be undertaken plans, surveys, analyses and studies necessary, convenient or desirable for the effectuation of its purposes and powers, and to prepare recommendations and reports in regard thereto.

Regional Medical Director

1. Each region shall have one (1) Regional Medical Director, who shall be a Maine licensed physician affiliated with a hospital within the region they serve.
2. Appointment 1. Upon appointment by the region, the qualifications and experience of the licensed physician will be submitted to the Board. The Board, in consultation with the Medical Direction and Practices Board, shall vote to confirm the appointment.
3. Duties 1. A Regional Medical Director shall serve as a point of contact, coordination, and advice for Service-Level Medical Directors. A Regional Medical Director may, at their discretion, serve as a Service-Level Medical Director. 2. Attend 75% of Regional Quality Assurance and Improvement Committee Meetings. 3. Serve as the regional representative to the Medical Direction and Practices Board, maintaining compliance with that board’s bylaws. 4. Will refer, as appropriate, cases to the Office of EMS for investigation, and after adjudication by the Board of EMS, will serve as a coordinator for referred matters. A Regional Medical Director may not be referred a matter that involves a Maine-EMS licensed entity for which they serve as a Service-Level Medical Director; the matter should be directed to the Associate Regional Medical Director, or if one isn’t available, a Regional Medical Director in another Region.
4. Delegation of Duties 1. The Regional Medical Director may delegate in writing to other licensed physicians the responsibilities of their position. This written delegation must be submitted to the Office of EMS prior to the delegation’s effect. 2. The Regional Medical Director may not delegate their representation on the Medical Direction and Practices Board.

Associate Regional Medical Director

1. Each region may have one (1) Associate Regional Medical Director, who shall be a Maine-licensed physician.
2. Appointment 1. The Associate Regional Medical Director shall be designated by, with the advice of the Regional Medical Director, the Regional Council.
3. Duties 1. The Associate Regional Medical Director may assist the Regional Medical Director in carrying out their duties. 2. The Associate Regional Medical Director may perform the functions of the Regional Medical Director as delegated in writing and after submission of such delegation to the Office of EMS.

AUTHORITY: 32 M.R.S., Chapter 2-B.

EFFECTIVE DATE: July 3, 1978 (EMERGENCY)

AMENDED: April 1, 1982

December 25, 1982 - Sec. 2.31, 3131, 6.311, 6.63 and 6.73

January 1, 1984 - Sec. 1, 2, 3, 5, 6, 8.32, 10.2, 10.3, 11.1066, 11.1067

April 30, 1985 - Sec. 1, 2.846.222, 6.332, 9.313, 8.3216 and 9.11

January 1, 1986 - Sec. 1, 6. 8.15, 8.2, 8.3, 8.4 and 11.103

September 1, 1986

August 25, 1987 - Sec. 5, 6.011 and 12 (added)

July 1, 1988

March 4, 1992

September 1, 1996

EFFECTIVE DATE (ELECTRONIC CONVERSION):

July 1, 2000

REPEALED AND REPLACED:

July 1, 2000

July 1, 2003

October 1, 2009

May 1, 2013

January 10, 2021

April 7, 2024 – filing 2024-082

Chapter 16 Death Benefits for Emergency Medical Services Persons Who Die in The Line Of Duty

Code Me. R. 16-163 Ch. 16 Death Benefits for Emergency Medical Services Persons Who Die in the Line of Duty. {#sec-16-163-ch.-16 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 16}

Summary: This chapter outlines the procedures governing the award of death benefits to the child, spouse or parent of an emergency medical services person who dies while in the line of duty.

Definitions

1. “Child” means any natural born or unborn child, legally adopted child, or stepchild of an emergency medical services person who, at the time of the emergency medical services person’s death, is:

Conceived or less than 19 years of age

19 or more years of age, but less than 25 years of age, and accepted for admission or enrolled in a full-time postsecondary educational institution or

19 or more years of age and is incapable of self-support because of a physical or mental disability.

1. “Died while in the line of duty” means to cease to be alive or to sustain an injury or illness that results in death as a result of the performance of an emergency medical services person’s official duty.
2. “Director” means the Director of Maine Emergency Medical Services as defined in 32 M.R.S. §83, sub-§10-A.
3. “Emergency medical services person” has the same meaning as in 20-A M.R.S. Sec 12552, §1-C with 25 M.R.S. Sec 1611, §3.
4. “Official duty” means an action that an emergency medical services person is authorized or obligated by law, rule, regulation or condition of employment or service to perform.
5. “Parent” means the natural or adoptive mother or father, or the stepmother or stepfather, whose parental rights have not been terminated and who contributed significantly to the upbringing of an emergency medical services person.
6. “Spouse” means a person who is legally married to an emergency medical services person at the time of the emergency medical services person’s death.
7. “Under the influence” means under the influence of alcohol, a drug other than alcohol, a combination of drugs or a combination of alcohol and drugs or having a blood alcohol level of .08% or more.

Death Benefit – Amount and Receipt

1. If the Director determines that an emergency medical services person died while in the line of duty, the State shall pay a benefit of such an amount as pursuant to M.R.S. 25 §1612 as follows:

If there is no surviving child of the emergency medical services person, to the surviving spouse;

If there is a surviving child or children and a surviving spouse of the emergency medical services person, 1/2 to the surviving child or children in equal shares and 1/2 to the surviving spouse;

If there is no surviving spouse of the emergency medical services person, to the child or children in equal shares; or

If there is no surviving child or spouse, to the parent or parents of the emergency medical services person, in equal shares.

Limitation on Benefit

1. Notwithstanding a determination by the Director that an emergency medical services person died while in the line of duty, a benefit may not be paid:

If the death or the injury or illness that resulted in the death was caused by the intentional misconduct of the emergency medical services person or by the emergency medical services person’s intention to bring about the death or the injury or illness that resulted in the death;

If the emergency medical services person was voluntarily under the influence at the time of the death or the injury or illness that resulted in the death and being under the influence was a substantial contributing factor in the death or the injury or illness that resulted in the death;

If the emergency medical services person was performing in a grossly negligent manner at the time of the death or the injury or illness that resulted in the death;

To any person who would otherwise be entitled to a benefit pursuant to 25 M.R.S. c. 195-A and this chapter, if the person’s actions were a substantial contributing factor to the death of the emergency medical services person; or

If the potentially eligible child, spouse, or parent dies prior to actual receipt of this death benefit.

Filing Request for Benefit

1. A person who is potentially eligible to receive these benefits, or a person authorized to request benefits acting as an agent of a potentially eligible person, must forward a written request to the Director for a State of Maine Application for Line of Duty Death Benefit within 90 days of the emergency medical services person’s death. The 90-day period may be extended by the Director for good cause shown.
2. Upon receipt of the written request for a State of Maine Application for Line of Duty Death Benefit, the Director shall provide an application package and questionnaire that must be completed and returned within 30 days of receipt by the applicant. The 30-day period may be extended by the Director for good cause shown.

Determination of Eligibility for Benefit

1. Upon receipt of a completed State of Maine Application for Line of Duty Death Benefit, the Director shall appoint a review panel consisting of at least three, but not more than five, persons knowledgeable in the emergency medical services person’s official duties.
2. The review panel shall convene to review the application, investigate the circumstances surrounding the death and make a written recommendation to approve or deny the application to the Director within 30 days. If the Director determines that further investigation is necessary, the Director may extend the review period.
3. The Director, after review of the recommendation, shall make the determination to approve or deny the application in a timely manner. The Director’s determination is the final agency decision.

Interim Benefits

The Director may make interim benefits payments in accordance with and subject to the limitations outlined in 25 M.R.S. §1612.

Appeal

An appeal of the final agency decision may be filed in accordance with the Administrative Procedure Act , 5 M.R.S. Chapter 375 Subchapter VII.

AUTHORITY: 25 M.R.S., Chapter 195-A.

EFFECTIVE DATE: July 3, 1978 (EMERGENCY)

AMENDED: April 1, 1982

December 25, 1982 - Sec. 2.31, 3131, 6.311, 6.63 and 6.73

January 1, 1984 - Sec. 1, 2, 3, 5, 6, 8.32, 10.2, 10.3, 11.1066, 11.1067

April 30, 1985 - Sec. 1, 2.846.222, 6.332, 9.313, 8.3216 and 9.11

January 1, 1986 - Sec. 1, 6. 8.15, 8.2, 8.3, 8.4 and 11.103

September 1, 1986

August 25, 1987 - Sec. 5, 6.011 and 12 (added)

July 1, 1988

March 4, 1992

September 1, 1996

EFFECTIVE DATE (ELECTRONIC CONVERSION):

July 1, 2000

REPEALED AND REPLACED:

July 1, 2000

July 1, 2003

January 10, 2021

Chapter 17 Minimum Required Equipment Lists for Maine EMS Services and Regional EMS Radio Frequencies

Code Me. R. 16-163 Ch. 17 Minimum Required Equipment Lists for Maine Ems Services and Regional Ems Radio Frequencies {#sec-16-163-ch.-17 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 17}

Maine EMS may accept other equipment or supplies that it judges to be equivalent to these listed, however, specific approval from Maine EMS must be obtained before such a substitution is made. There may be instances where the Maine EMS Prehospital Treatment Protocols allow for additional skills or therapies not listed in this chapter.

Required Equipment List for Non-Transporting Services, Ground Ambulance Services, Transfer Air Ambulance Services and Scene Response Air Ambulance Services.

Any Non-Transporting Service, Ground Ambulance Service, Transfer Air Ambulance Service or Scene Response Air Ambulance Service must possess, at a minimum, the equipment listed in this section and must maintain a system to ensure the availability of this equipment on any call.

All medical equipment and medical supplies required in this section must be latex free.

Each ground ambulance vehicle must carry the equipment and medical supplies listed in this chapter.

The Emergency Medical Technician (EMT) set of equipment is the minimum set of required equipment for a Ground Ambulance Service.

The Emergency Medical Responder (EMR) set of equipment is the minimum set of required equipment for a Non-Transporting Service.

If a Ground Ambulance Service is licensed at the Advanced Emergency Medical Technician (AEMT) or Paramedic level, any ground ambulance vehicle of that service responding on an emergency medical call will be equipped on those calls with the equipment and supplies pursuant to these Rules.

If a Non-Transporting Service or a Ground Ambulance Service is permitted to a given level, it must possess at least one set of equipment and supplies required for that level pursuant to these Rules.

Airway management supplies

§2. Airway Management

Minimum Required Quantities for Service License or Permit Level

Item

Description

EMR

EMT

AEMT

Paramedic

Air Transfer Ambulance

Scene Response Air Ambulance

Airways, Nasal

20 French

1

1

1

1

1

1

Airways, Nasal

22 French

1

1

1

1

1

1

Airways, Nasal

24 French

1

1

1

1

1

1

Airways, Nasal

26 French

1

1

1

1

1

1

Airways, Nasal

28 French

1

1

1

1

1

1

Airways, Nasal

30 French

1

1

1

1

1

1

Airways, Nasal

32 French

1

1

1

1

1

1

Airways, Oral

40 mm

1

1

1

1

1

1

Airways, Oral

50 mm

1

1

1

1

1

1

Airways, Oral

60 mm

1

1

1

1

1

1

Airways, Oral

70 mm

1

1

1

1

1

1

Airways, Oral

80 mm

1

1

1

1

1

1

Airways, Oral

90 mm

1

1

1

1

1

1

Airways, Oral

100 mm

1

1

1

1

1

1

Airways, Oral

110 mm

1

1

1

1

1

1

Aspirator, Bulb

Small

1

1

1

1

1

1

Meconium Aspirator

1

1

1

Bag Valve Mask 0F[1]

Adult, Child, Infant

1

1

1

1

1

1

Bougie

Adult & Pediatric

1

1

1

Continuous Positive Airway Pressure (CPAP) Device 1F[2]

1 (Optional)

1

1

1

1

Endotracheal Tube, 1 Set

Cuffed, 1 of Each Size (2.5, 3, 3.5, 4, 4.5, 5, 5.5, 6, 6.5, 7, 7.5, 8, 8.5)

1

1

1

Tube Securing Device or Umbilical tape

Adult and Pediatric

1

1

1

Gastric Tubes, One set

1 of Each Size (5, 6, 8, 10, 12, 14, 18)

1

1

1

Magill Forceps

Large & Small

1

1

1

§2. Airway Management Continued

Minimum Required Quantities for Service License or Permit Level

Item

Description

EMR

EMT

AEMT

Paramedic

Air Transfer Ambulance

Scene Response Air Ambulance

Laryngoscope Handle

Large & Small

1

1

1

Laryngoscope Blades - Straight

1 Each Size (0, 1, 2, 3, 4)

1

1

1

Laryngoscope Blades - Curved 2F[3]

1 Each Size ( 1, 2, 3, 4)

1

1

1

Lubricating Jelly

1

1

1

1

1

1

CPR Pocket Masks

1

1

1

1

1

1

Nebulizers 3F[4]

2

2

2

2

2

Oxygen Masks

Adult non-rebreather

2

2

2

2

2

2

Oxygen Masks

Adult Nasal Cannula

2

2

2

2

2

2

Oxygen Masks

Pediatric non-rebreather

2

2

2

2

2

2

Oxygen Masks

Pediatric Nasal Cannula

2

2

2

2

2

2

Oxygen Masks

Infant non-rebreather

2

2

2

2

2

2

Stylet

Pediatric

1

1

1

Suction Apparatus4F[5]

Manual

1

Suction Catheter, Flexible, one set

Flexible all sizes (6, 8, 10, 12, 14) Fr

1

1

1

1

1

Suction Catheter

Rigid Tip

1

1

1

1

1

Suction Device

Portable5F[6]

1

1

1

1

1

Surgical Airway Set 6F[7]-7F[8]

Cuffed Tracheostomy Tube 8F[9]

1

1

1

Tracheal Hook

1

1

1

Kelly Clamp

1

1

1

§2. Airway Management Continued

Minimum Required Quantities for Service License or Permit Level

Item

Description

EMR

EMT

AEMT

Paramedic

Air Transfer Ambulance

Scene Response Air Ambulance

4” X 4” Sterile Sponges

6

6

6

#10 or #11 Scalpel Blade

2

2

2

Povidone Iodine/Chlorohexidine 9F[10]

1

1

1

Scalpel Blade Handle

1

1

1

Sterile Surgical Gloves, Pair

2

2

2

10 mL Syringe

1

1

1

Transtracheal inflation tubing

1

1

1

14 ga. 2” IV Catheters

2

2

2

Chest Decompression Set 10F[11]

14 ga. 3.25” IV Catheters

2

2

2

Surgical Antiseptic Swabs

4

4

4

20 mL Syringe

2

2

2

One-way Type Valve Assembly

2

2

2

One set of option “A” or option “B”

Option A

Periglottic devices, one set 11F[12]

All Sizes

(1, 1.5, 2, 2.5, 3, 4, 5)

1

1

1

1

Option B

Transglottic Device, one set 12F[13]

All Sizes

(0, 1, 2, 2.5, 3, 4, 5)

1

1

1

1

Diagnostic and Monitoring Equipment

§3 Diagnostic & Monitoring

Minimum Required Quantities for Service License or Permit Level

Item

Description

EMR

EMT

AEMT

Paramedic

Air Transfer Ambulance

Scene Response Air Ambulance

Automatic External Defibrillator (AED)

1

1

AED Pads

Adult

2

2

AED Pads

Pediatric

2

2

Cardiac Monitor/Defibrillator capable of & including:

Pediatric and adult defibrillation

1

1

Cardioversion

Pacing

Manually selectable joule settings

1

12 Lead Electrocardiogram (ECG) Monitoring

1 (Optional)

Paper strip ECG recordings

ECG Electrodes

30 (Optional)

30

Defibrillator Pads, Adult

2

Defibrillator Pads, Pediatric

1

Disaster Tags

24

24

24

24

24

24

Doppler

1

1

End Tidal CO2 monitor with waveform display

1

1

1

1

End Tidal CO2 Nasal

Adult

2

2

2

2

End Tidal CO2 Nasal

Pediatric & Infant

2

2

2

2

End Tidal CO2 Inline Adapters

Adult

2

2

2

2

End Tidal CO2 Inline Adapters

Pediatric & Infant

2

2

2

2

Glucometer

1

1

1

1

1

Glucometer Test Strips

1

1

1

1

1

Pulse Oximeter13F[14]

1

1

1

1

1

1

Thermometer

Non-Glass

1

1

1

1

1

1

Sphygmomanometer

Infant Size

1

1

1

1

1

1

Sphygmomanometer

Child Size

1

1

1

1

1

1

Sphygmomanometer

Adult Size

1

1

1

1

1

1

Sphygmomanometer

Large Adult Size

1

1

1

1

1

1

Stethoscope

Adult

1

1

1

1

1

1

Stethoscope

Pediatric

1

1

1

1

1

1

Dressings & Bandages

§4 Dressings & Bandages

Minimum Required Quantities for Service License or Permit Level

Item

Description

EMR

EMT

AEMT

Paramedic

Air Transfer Ambulance

Scene Response Air Ambulance

Aluminum Foil 14F[15]

1

1

1

1

1

1

Adhesive Bandages

Assorted Sizes

1

1

1

1

1

1

Bandages

Triangular

4

4

4

4

4

4

Bandages 15F[16]

Roller

4

4

4

4

4

4

Burn Sheet

Sterile

2

2

2

2

2

2

Occlusive Dressing

2

2

2

2

2

2

§4 Dressings & Bandages continued

Minimum Required Quantities for Service License or Permit Level

Item

Description

EMR

EMT

AEMT

Paramedic

Air Transfer Ambulance

Scene Response Air Ambulance

Universal Dressing

8” X 30” Minimum

3

3

3

3

3

3

Surgical Dressings

Minimum 5” X 9”

4

4

4

4

4

Hemostatic Agent 16F[17]

Gauze Format

1

1

1

1

1

Obstetrical Kit

1

Sterile Gloves, Pair

2

Scissors

1

Umbilical Cord Clamp

2

Sterile Dressings

2

Towel

1

Small Bulb Aspirator

1

Plastic Bag

1

Receiving Blanket

1

Trauma Shears

2

2

2

2

2

2

Sterile Sponge

4” X 4”

12

12

12

12

12

12

Adhesive Tape

Assorted Sizes

2

2

2

2

2

2

Tourniquet 17F[18]

2

2

2

2

2

2

Fluids & Medications

§5 Fluids & Medications

Minimum Required Quantities for Service License or Permit Level

Item

Description

EMR

EMT

AEMT

Paramedic

Air Transfer Ambulance

Scene Response Air Ambulance

Drug Storage Container 18F[19]

1

1

1

1

1

1

Logbook

Drug Storage Container

1

1

1

1

1

1

Saline, Sterile 19F[20]

2

2

2

2

2

2

Intraosseous Needles20F[21]

15 ga. Or equivalent

2

2

2

2

Intravenous Administration Set

Macro-Drip

2

2

2

2

§5 Fluids & Medications continued

Minimum Required Quantities for Service License or Permit Level

Item

Description

EMR

EMT

AEMT

Paramedic

Air Transfer Ambulance

Scene Response Air Ambulance

IV Fluid

D5W

1

1

1

IV Fluid

Volume Replacement

6000 mL

6000 mL

6000 mL

6000 mL

IV Needle Catheter 21F[22]

Size 14

2

2

2

2

IV Needle Catheter

Size 16

2

2

2

2

IV Needle Catheter

Size 18

2

2

2

2

IV Needle Catheter

Size 20

2

2

2

2

IV Needle Catheter

Size 22

2

2

2

2

IV Needle Catheter

Size 24

2

2

2

2

Oxygen

“D” Cylinder (410 Liters)

2

2

2

2

See Chapter 4

Mucosal Atomization Device

For IN medication administration

1

1

1

1

1

1

Pediatric Length/Weight Based Tape

1

1

1

1

1

1

Pump 22F[23]

Intravenous

1

1

1

Administration Set

Intravenous

2

2

2

2

Pressure Bag

IV

2

2

2

2

Immobilization

§ 6. Immobilization

Minimum Required Quantities for Service License or Permit Level

Item

Description

EMR

EMT

AEMT

Paramedic

Air Transfer Ambulance

Scene Response Air Ambulance

Restraints, one set23F[24]

Soft

1

1

1

1

1

Rigid Extrication Collar 24F[25]

Adjustable to small, medium, and large

2

2

2

2

2

2

Rigid Extrication Collar

Pediatric Size

2

2

2

2

2

Immobilization Device

Head

1

1

1

1

1

Spinal immobilization Device 25F[26]

Long

1

1

1

1

1

Spinal Immobilization device

Short

1

1

1

Splint, Traction 26F[27]

Adult Size

1

1

1

1

Splints, Padded Board 27F[28]

3” X 36”

4

4

4

2

Splints, Padded Board

3” X 15”

4

4

4

2

Patient Comfort

§7. Patient Comfort

Minimum Required Quantities for Service License or Permit Level

Item

EMR

EMT

AEMT

Paramedic

Air Transfer Service

Scene Response Air Ambulance

Blankets

2

2

2

2

2

2

Emesis Basins

2

2

2

2

2

2

Pillows

2

2

2

Sheets

2

2

2

Towels

4

4

4

4

Personal Protective & Safety Equipment

§8 Personal Protective & Safety Equipment

Minimum Required Quantities for Service License or Permit Level

Item

Description

EMR

EMT

AEMT

Paramedic

Air Transfer Ambulance

Scene Response Air Ambulance

Fire Extinguisher 28F[29]

1

1

1

1

Flashlight

1

2

2

2

2

2

Gloves 29F[30]

Non-latex

10

10

10

10

10

10

Protective Goggles

Pair

4

4

4

4

4

4

Gowns/Overalls 30F[31]

4

4

4

4

4

4

Masks

N-95 Small

4

4

4

4

4

4

Masks

N-95 Large

4

4

4

4

4

4

Masks

Surgical

4

4

4

4

4

4

Reflective Safety Vest

2

2

2

2

Sharps Container

1

1

1

1

1

Transporting Equipment

§9. Transporting Equipment

Minimum Required Quantities for Service License or Permit Level

Item

Description

EMT

AEMT

Paramedic

Air Transfer Ambulance

Scene Response Air Ambulance

Pediatric Transport Device

1

1

1

1

1

Stretcher 31F[32]

Folding

1

1

1

Straps 32F[33]

3

3

3

3

3

Ventilator 33F[34]

1

1

Hospital Frequencies

Region 1 Southern Maine 155.325

Region 2 Tri County 155.340

Region 3 Kennebec Valley 155.400

Region 4 Northeast 155.355

Region 5 Aroostook 155.340

Region 6 Mid-Coast 155.340

"Statewide Net" 155.385

(Maine EMS mobile-to-mobile)

History

• STATUTORY AUTHORITY: 32 M.R.S., Chapter 2-B.
• EFFECTIVE DATE: July 3, 1978 (EMERGENCY)
• AMENDED: April 1, 1982
• AMENDED: December 25, 1982 - Sec. 2.31, 3131, 6.311, 6.63 and 6.73
• AMENDED: January 1, 1984 - Sec. 1, 2, 3, 5, 6, 8.32, 10.2, 10.3, 11.1066 and 11.1067
• AMENDED: April 30, 1985 - Sec. 1, 2.846.222, 6.332, 9.313, 8.3216 and 9.11
• AMENDED: January 1, 1986 - Sec. 1, 6. 8.15, 8.2, 8.3, 8.4 and 11.103
• AMENDED: September 1, 1986
• AMENDED: August 25, 1987 - Sec. 5, 6.011 and 12 (added)
• AMENDED: July 1, 1988
• AMENDED: March 4, 1992
• AMENDED: September 1, 1996
• AMENDED: December 24, 2022 – filing 2022-246
• EFFECTIVE DATE (ELECTRONIC CONVERSION): July 1, 2000
• REPEALED AND REPLACED: July 1, 2000
• REPEALED AND REPLACED: July 1, 2003
• REPEALED AND REPLACED: January 1, 2010
• REPEALED AND REPLACED: May 1, 2013
• REPEALED AND REPLACED: January 10, 2021
• REPEALED AND REPLACED: Automatic, pressure cycled resuscitators are not acceptable. ↑ CPAP Device Requirements: Full face mask, continuous flow device, capable of adjusting FiO2, capable of regulating Positive End Expiratory Pressure (PEEP), latex-free, and the ability to attach a nebulizer. ↑ Hyperangulated blades are not accepted ↑ Suitable for use with adult and pediatric patients ↑ Portable unit to provide pharyngeal suction of at least 11.8 inches mercury (300mm Hg) within 4 seconds after the suction tube is clamped closed. Unit must have trap bottle, and be equipped with rigid pharyngeal suction tip and appropriate catheters ↑ Capable to provide pharyngeal suction of at least 11.8 inches mercury (300mm Hg) within 4 seconds after the suction tube is clamped closed. Unit must have trap bottle and be equipped with rigid pharyngeal suction tip and appropriate catheters. The unit must be electrically powered - capable of operating from its own (internal) battery. ↑ May be commercially prepared, but must contain items listed ↑ MDPB approved percutaneous cricothyroidotomy kits only if they follow the method of piercing the cricothyroid membrane ↑ recommended 6.0 internal diameter for adults ↑ Or other FDA Approved Patient Antiseptic Skin Preparations as a means to prep and cleanse the skin ↑ May be commercially prepared, but must contain items listed ↑ It is recommended to have NO MORE THAN one device per class (periglottic and transglottic). ↑ It is recommended to have NO MORE THAN one device per class (periglottic and transglottic). ↑ Suitable for use with adult and pediatric patients ↑ Acceptable Alternative - An occlusive dressing as well as a device for wrapping a newborn, such as a space blanket, must be present. ↑ Roller Bandages must be self-adhering and 3 inches minimum width. ↑ Must support wound packing ↑ Must be a commercially manufactured device in its original packaging, be a minimum of one inch wide, be latex free, and use a windlass or mechanical advantage to tighten the device. ↑ As necessary to secure drugs in a manner consistent with Chapter 6 of these Rules. ↑ Must be unexpired, in commercially sealed container(s), and total no less than 500 ml (multiple smaller size containers are acceptable). ↑ Suitable for use with adult and pediatric patients ↑ All IV catheters must be "over the needle" type catheters. ↑ Pump must be: U.S. Food and Drug Administration approved, have a customizable drug library, use latex-free tubing, have needle-free tubing/ports, and have both an AC and battery power source. ↑ Commercially available ↑ Soft collars are not acceptable ↑ A rigid Flight Frame is an acceptable alternative to a long and short spinal immobilization device ↑ Pediatric size is recommended ↑ Similar splints such as cardboard, plastic, wire-ladder, or canvas with rigid inserts of like length and width may be carried in place of the 36” and 15” boards. Air splints or vacuum splints may be carried in place of one of the required padded board splints of each length. ↑ A-B-C or B-C five-pound size or larger, must be secured in vehicle, and professionally inspected on an annual basis ↑ Small, Medium, Large & Extra-Large Sizes ↑ Material and design must provide a protective barrier against contact with patient's body fluids. ↑ Any of the following are acceptable: Stair chair, army D-ring stretcher, ambulance folding stretcher, scoop stretcher. ↑ 9' Length, 2" wide with buckles. Quick-clip and other commercial straps are acceptable; however, at least three 9-foot straps are required. ↑ Must have external continuous waveform end-tidal Carbon Dioxide monitoring. ↑

Chapter 18 Quality Assurance and Improvement

Code Me. R. 16-163 Ch. 18 Quality Assurance and Improvement {#sec-16-163-ch.-18 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 18}

Definitions

Emergency Medical Services (EMS) Quality Assurance Committee means a quality assurance committee approved by the Board or Maine EMS pursuant to 32 M.R.S. §92-A, including but not limited to service-level quality assurance committees.

Maine EMS Quality Assurance and Improvement Committee mean the standing committee established by the Board pursuant to 32 M.R.S. §88(2)(J).

Quality Improvement Initiative means review and assessment of Maine EMS system data by Maine-EMS-approved quality assurance committees for the purpose of improving patient care.

Quality Improvement Marker means a measurable standard within a Maine EMS protocol established by an emergency medical services quality assurance committee.

Maine EMS Quality Assurance and Improvement Committee

The Maine EMS Quality Assurance and Improvement Committee is authorized by the Board to perform EMS system quality assurance and improvement, including, but not limited to:

Creating statewide quality improvement markers;

Conducting Quality Improvement Initiatives, as approved by the Board;

Receiving and interpreting results of quality marker reports;

Responding, in concert with regional medical directors and regional coordinators, to requests for assistance regarding local services’ sub regional quality assurance and improvement plans;

Publishing and updating the Maine EMS Quality Assurance and Improvement Manual;

Leading or participating in state-based quality management education; and,

Reviewing quality assurance and improvement management of Board-approved pilot projects when requested by the Board, the Medical Direction and Practices Board or the pilot project participant(s).

Emergency Medical Services Quality Assurance Committees

A Board or Maine EMS -approved emergency medical services quality assurance committee must participate in EMS quality assurance activities, including, but not limited to:

Gathering and submitting data as part of a Maine EMS Quality Assurance and Improvement Committee Quality Improvement Initiative; and,

Conducting a program of quality assurance and improvement in accordance with 32 M.R.S.A Chapter 2-B, and these Rules.

Emergency Medical Services Persons and EMS Services

Licensed emergency medical services personnel and licensed EMS services shall participate in Maine EMS quality assurance activities in accordance with 32 M.R.S.A Chapter 2-B and these Rules.

Emergency Medical Dispatchers and Emergency Medical Dispatch Centers

Emergency Medical Dispatchers and Emergency Medical Dispatch Centers shall participate in Maine EMS quality assurance activities in accordance with 32 M.R.S.A Chapter 2-B and these Rules.

AUTHORITY: 32 M.R.S. §§ 84(1), 88(2)(J) & 92-A(1).

EFFECTIVE DATE: February 1, 2015

ADOPTED: December 3, 2014

REPEALED AND REPLACED:

January 10, 2021

Chapter 19 Community Paramedicine

Code Me. R. 16-163 Ch. 19 Community Paramedicine {#sec-16-163-ch.-19 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 19}

DEFINITIONS

1. “Community Paramedicine” means the practice by an emergency medical services provider primarily in an out-of-hospital setting of providing episodic patient evaluation, advice, and treatment directed at preventing or improving a particular medical condition within the scope of practice of the emergency medical services provider as specifically requested or directed by a physician.
2. “Episodic ” means an encounter with a patient focused on presenting concerns and an identified medical condition in which neither the community paramedic nor the patient has the expectation of an ongoing general home care relationship;"
3. “Formulary” means a list of substances that may and may not be administered, and the routes available for their administration in the context of Community Paramedicine.
4. “Community Paramedicine Affiliate” means an emergency medical services person with active, unrestricted licensure, at minimum at the EMT level, who is licensed by the Board to provide community paramedicine according to the affiliate-level scope-of-practice, this chapter of rules, and the scope of practice to which they are otherwise licensed by the Board.
5. “Community Paramedicine Technician” means an emergency medical services person with active, unrestricted licensure, at minimum at the AEMT level, who is licensed by the Board to provide community paramedicine according to the affiliate-level scope-of-practice, this chapter of rules, and the scope of practice to which they are otherwise licensed by the Board.
6. “Community Paramedic” means an emergency medical services person with active, unrestricted licensure, at minimum at the Paramedic level, who is licensed by the Board to provide community paramedicine according to the affiliate-level scope-of-practice, this chapter of rules, and the scope of practice to which they are otherwise licensed by the Board.
7. “Community Paramedicine Personnel” means an emergency medical services person licensed as a Community Paramedicine Affiliate, Community Paramedicine Technician, or Community Paramedic.
8. “IBSC” means the International Board of Specialty Certification.
9. “CP-C” means Certified Community Paramedic through the IBSC.
10. “Primary Care Medical Director” means a a physician or a nurse practitioner who has completed the required clinical experience pursuant to 32 M.R.S. §2102(2- A), who assumes primary responsibility to ensure quality medical care for community paramedicine program. A physician assistant may assist in this role under the direct supervision of a physician; however, the supervising physician must be identified to Maine EMS as the medical director. A Primary Care Medical Director must be licensed and practicing in a primary care capacity within the State of Maine.
11. “Business Records” meansany document or record associated with doing business in the State of Maine, including, but not limited to: Insurance documents, office space leases, ownership/incorporation documents, business bank records, municipal permits or approvals, infectious waste agreements, business policies/procedures, and personnel files.

COMMUNITY PARAMEDICINE PERSONNEL CONDITIONAL LICENSURE

1. Conditional Licensure 1. Any person licensed in Maine to provide emergency medical treatment and who actively practiced community paramedicine prior to July 1, 2024, may be eligible to apply for conditional licensure. Applicants must demonstrate the following: 1. Active community paramedicine practice in the State of Maine prior to July 1, 2024, as evidenced by a minimum of 10 community paramedicine patient care reports in the Maine EMS and Fire Incident Reporting System, completed within the past year. 2. Proof of initial education received and completion of a Maine EMS evaluation of said education: 1. The education received must relate to the provision of Community Paramedicine. 3. Proof of eight (8) hours of continued education related to community paramedicine.
2. Those conditionally licensed under this subsection, may only provide community paramedicine according to the scope of practice for the level of licensure they are licensed at per Chapter 5 §2.

COMMUNITY PARAMEDICINE PERSONNEL LICENSURE LEVELS

1. Community Paramedicine Personnel Licenses are issued for the following levels of care in ascending order. To be eligible to receive licensure , an applicant must meet the standards as defined below: 1. Community Paramedicine Affiliate 1. Current active and unrestricted licensure as an EMT, AEMT, or Paramedic. 2. Community Paramedicine Technician 1. Current active and unrestricted licensure as an AEMT or Paramedic. 3. Community Paramedic 1. Current active and unrestricted licensure as a Paramedic 2. CP-C Certificate from the IBSC or an equivalent as judged by Maine EMS.
2. Community Paramedicine Personnel licensed under this chapter are not permitted to exceed the scope of Community Paramedicine care at their agency’s level or permitted level of licensure.
3. Licensure 1. To obtain and maintain a new or renewed Community Paramedicine license, the applicant must: 1. At the time of initial application, be affiliated with a Maine EMS licensed service approved by the Board to provide Community Paramedicine Services. 2. At the time of application, the applicant must have held personnel licensure at the level that makes them eligible for the community paramedicine licensure level for greater than two years, or one licensure cycle, whichever is greater, and the applicant must be documented in a caregiver role at the EMT, AEMT, or Paramedic level on at least 24 electronic patient care reports in the Maine EMS Fire and Incident Reporting System involving contact with a patient while licensed at that level. 3. Possess and maintain active, unrestricted licensure at the level appropriate for the desired license level: 1. For the Community Paramedicine Affiliate level license, the applicant must have an EMT, AEMT, or Paramedic license. 2. For the Community Paramedicine Technician level license, the applicant must have an AEMT or Paramedic level license. 3. For the Community Paramedic level license, the applicant must have a Paramedic license as well as a Board-approved CP-C certificate or an equivalent, as determined by the Office of EMS. 4. Submit the following to Maine EMS: 1. A completed Maine EMS Community Paramedicine application provided by the Office of Maine EMS that is signed by the applicant. 2. For initial licensure, the applicant must provide a verifiable copy of a transcript showing the successful completion of Maine EMS-approved training as described in Maine Community Paramedicine Education Standards, dated June 30, 2024, at a level appropriate for the desired level of licensure, or education judged as equivalent by Maine EMS, obtained within two years of the date of application.

Education should include both didactic instruction and clinical hours.

• • • 1. A Certificate of Completion of State of Maine Mandated Reporter Training. 2. In the case of an applicant whose Community Paramedicine license is current or not expired by more than two years, proof of completion of Board approved continuing education hours.

For all levels of licensure, the applicant must submit proof of completion of 16 hours of Maine EMS-approved continuing education in community paramedicine topics, as specified by Maine EMS, provided that:

Certificates of continuing education hours have not been used for a previous license renewal and have been earned within their licensure cycle

Include a minimum 1 hour of mandated reporter training.

• • 1. Submit a complete history of any action taken against any emergency medical services certification or license or professional certification or license that the applicant currently holds or has ever held.

SCOPE OF PRACTICE

1. The Community Paramedicine scope of practice is considered to be additive to the applicant's primary Maine EMS clinician level of licensure.
2. The scope of practice for the Community Paramedicine Affiliate, Community Paramedicine Technician, and Community Paramedic is defined within the Community Paramedicine Scope of Practice Document, dated December 20, 2022, and which is incorporated by reference. Copies of this document are available at Maine EMS, 152 State House Station, Augusta, ME 04333-0152.

COMMUNITY PARAMEDICINE FORMULARY

1. The Formulary identifies what medications may or may not be administered following a physician order for a Community Paramedicine provider. The formulary will act as an expansion of existing protocols. The formulary is defined within Community Paramedic or Technician at the Paramedic Level Formulary, dated May 2, 2023, and which is incorporated by reference. Copies of this document are available at Maine EMS, 152 State House Station, Augusta, ME 04333-0152.

EDUCATIONAL REQUIREMENTS FOR LICENSURE

1. A Training Center currently licensed by Maine EMS in accordance with Chapter 8-A, is approved to conduct training programs that qualify an individual for licensure under this chapter.
2. An educational program that qualifies an individual for licensure under this chapter must: 1. Test student proficiency and periodically measure student learning; 2. Maintain records of student attendance at didactic sessions, practical laboratory requirements, and performance of clinical requirements; 3. Provide, by policy, for the removal of a student from the course for unsatisfactory performance; and 4. Demonstrate that the program has adequate training space, equipment and other resources to conduct the particular level of instruction.
3. Community Paramedicine Affiliate 1. Programs qualifying an individual for licensure at the Community Paramedicine Affiliate level must: 1. Consist of a minimum of 32 hours of didactic, hands-on, and clinical rotations addressing the following topics: 1. The social determinants of health model; 2. The role of a Community Paramedicine Affiliate in public health and primary care; 3. Developing cultural competency; 4. Chronic disease management; 5. Recognition and treatment of mental health; and 6. Personal safety and wellness of the Community Paramedicine affiliate.
4. Community Paramedicine Technician 1. Programs qualifying an individual for licensure at the Community Paramedicine Technician level must: 1. Consist of a minimum of 96 hours of didactic, hands-on, and clinical rotations addressing the following topics: 1. The social determinants of health model; 2. The role of a Community Paramedicine Technician in public health and primary care; 3. Developing cultural competency: 4. Personal safety and wellness of the Community Paramedicine Technician; 5. Chronic disease management; and 6. Recognition and treatment of mental health.
5. Community Paramedic 1. A minimum of 1800 hours of didactic, hands-on, and clinical rotations addressing the following topics: 1. The social determinants of health model; 2. The role of a Community Paramedic in public health and primary care; 3. Developing cultural competency; 4. Personal safety and wellness of the Community Paramedic; 5. Systems of Care; 6. Chronic disease management; 7. Recognition and treatment of mental health; and 8. Pandemic response.
6. The education standards identify the standards Community Paramedicine education must follow. This is inclusive of minimum hours, initial education, and continuing education The standards are defined within Maine Community Paramedicine Education Standards, dated June 30, 2024, and which is incorporated by reference. Copies of this document are available at Maine EMS, 152 State House Station, Augusta, ME 04333-0152.

COMMUNITY PARAMEDICINE AGENCY DESIGNATION

1. Agency Designations will only be valid until November 30, 2025, and will not be issued after that date. Following November 30, 2025, agencies will need to obtain a Community Paramedicine license as described in section 8 of this Chapter in order to provide Community Paramedicine in the State of Maine.
2. To obtain a new Community Paramedicine designation prior to November 30, 2025, an emergency medical services provider, including but not limited to an ambulance service or non-transporting emergency medical service, must apply to Maine EMS for approval. In order to obtain this designation, the provider must: 1. Apply on forms available from the Office of Maine EMS; 2. Provide a description of the intended Community Paramedicine plan to be approved by the Board or Maine EMS staff; 3. Provide a quality assurance and quality improvement plan that directly addresses Community Paramedicine; 4. Identify a primary care medical director with whom it plans to work. The Primary Care Medical Director may serve as the Service-level medical director. An individual serving in both capacities must be clearly identified to Maine EMS as fulfilling both roles; and 5. Demonstrate to Maine EMS that it has designated an emergency medical services medical director.
3. Once an application for a new Community Paramedicine designation has been accepted as complete by Maine EMS, Maine EMS shall grant, refuse, or conditionally grant the designation within 70 days. Applications for a new Community Paramedicine designation will only be accepted until 70 days before November 30, 2025.
4. All designations will be issued with an expiration date of November 30. Designations active as of November 30, 2025, will be issued Community Paramedicine licensure at their level, with an expiration date of November 30, 2026. Designations issued licensure in this fashion will be required to meet the provisions of section 7 of this rule to renew their licensure.

COMMUNITY PARAMEDICINE SERVICE LICENSURE

1. To obtain a new Community Paramedicine service license, an emergency medical services provider, including but not limited to an ambulance service or non-transporting emergency medical service, must apply to Maine EMS for approval. In order for the application to be considered complete, the applicant must: 1. Apply on forms available from the Office of Maine Maine EMS; 2. Provide a description of the intended Community Paramedicine Plan to be approved by the Board or the Office of Maine EMS addressing at a minimum: 1. A training plan 2. Referral process 3. Agency-specific protocols 4. Service Area 5. Pharmacy Agreements 3. Provide a quality assurance and quality improvement plan that directly addresses Community Paramedicine; 4. Identify a Primary Care Medical Director with whom it plans to work; the Primary Care Medical Director may serve as the Service-Level Medical Director. An individual serving in both capacities must be clearly identified to Maine EMS as fulfilling both roles.; and 5. Demonstrate to Maine EMS that it has designated a Service Level Medical Director.
2. A Community Paramedicine Service licensed under this chapter, is required to have any individual who is providing Community Paramedicine services, complete a background check through the Maine Background Check Center for their Community Paramedicine Personnel and must ensure that their Community Paramedicine Personnel maintain enrollment.
3. Any licensed service must conduct mandatory reporter training during the onboarding of any Community Paramedicine Personnel, and annually, for anyone providing community paramedicine services or overseeing the program.
4. Patient Records 1. For each request for service, or for each patient when more than one patient is involved, the individual licensed under this chapter who is primarily responsible for providing Community Paramedicine services must complete and submit an electronic Maine EMS patient care report, as specified by Office of Maine EMS, within twenty-four hours from the time they arrived at patient’s location.
5. Business records 1. Business records of the Community Paramedicine Licensed Service shall be kept and retained in a manner consistent with all applicable city, state and federal laws, ordinances and regulations with proper audit trails available. Business records, contracts, and newspaper advertisements will be retained for a minimum of five (5) years. 2. A Community Paramedicine Licensed Service must make its records available for inspection at the request of the Maine EMS Office. 3. Proof of current licensure of all licensed community paramedicine personnel employed directly by the agency. 4. The Community Paramedicine Licensed service shall keep a personnel file for each community paramedicine personnel employed which shall include, but not be limited to: 1. Their application for employment; 2. Evidence of current qualifications; 3. Evidence of orientation and in-service training; and 4. Periodic evaluations.
6. Any licensed service shall work to coordinate and communicate with local Home Health Agencies, Hospice, other community, and social services, and local ED providers within the area served. In coordination of services they shall work to avoid any duplication of services.
7. Once an application for a new Community Paramedicine Service license has been accepted as complete by Maine EMS, Maine EMS shall grant, refuse, or conditionally grant the license within 70 days.
8. Any actively licensed Community Paramedicine Agency that wishes to change their Community Paramedicine Plan approved by the Board and/or the Office of Maine EMS, must submit a formal request to the Office of Maine EMS prior to effecting those changes. 1. If the change is deemed a significant change in the scope of work the agency may be required to submit a new application. 2. If the change is deemed a minor change the agency will just need to submit an addendum for review by the office. Following review and approval the agency can implement said change.
9. All Community Paramedicine Agency Licenses will be issued for up to 13 months, with an expiration date of November 30.

This section of the rule is effective 70 days prior to November 30, 2025.

COMMUNITY PARAMEDICINE SERVICE LICENSURE RENEWAL

1. A service applying for renewal of their Community Paramedicine Service Licensure must demonstrate, as specified by the Office of Maine EMS, that they have provided Community Paramedicine services at least once (1) within the preceding licensure term.
2. Once an application for a renewed Community Paramedicine Service license has been accepted as complete by Maine EMS, Maine EMS shall grant, refuse, or conditionally grant the license within 70 days.
3. To obtain a renewed Community Paramedicine service license, an emergency medical services provider, including but not limited to an ambulance service or non-transporting emergency medical service, must apply to Maine EMS for approval. In order for an application to be considered complete, the applicant must: 1. Apply on forms available from the Office of Maine EMS; 2. Demonstrate, as required by the Office of Maine EMS, that they continue to meet the requirements of Section 7 of this rule.

COMMUNITY PARAMEDICINE SERVICE REQUIREMENTS

1. A service licensed to provide community paramedicine services must ensure its employees have received and documented training to the standard within its Community Paramedicine Plan prior to those employees providing community paramedicine services. Proof of documented training must be provided to Maine EMS upon request.

History

• STATUTORY AUTHORITY: 32 M.R.S. §§ 84(1) & 84(4)
• ADOPTED: August 7, 2019
• EFFECTIVE DATE: August 26, 2019
• REPEALED AND REPLACED: January 10, 2021
• REPEALED AND REPLACED: January 20, 2025 – filing 2025-007 (Nonsubstantive correction to rule history section to indicate repeal and replacement of the rule, not an amendment of it as previously indicated.)
• REPEALED AND REPLACED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 21 Immunization Requirements

Code Me. R. 16-163 Ch. 21 Immunization Requirements {#sec-16-163-ch.-21 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 21}

Definitions

1. “Certificate of Immunization” means documentation from a health official of the administration of an immunization, specifying the vaccine administered and the date it was administered. Electronic health records, having been compiled and maintained as an official document based on certificates of immunization, which provide at a minimum the month and year that the immunization was administered may also be accepted as proof of immunization.
2. “Covered Emergency Medical Services Person” means a licensed ambulance operator, basic emergency medical services person, an advanced emergency medical services person, or any person licensed by this Board who routinely provides Direct Patient Care. For the purposes of this definition, EMS students that provide Direct Patient Care are Covered Emergency Medical Services Persons.
3. “Direct Patient Care” means any activity that places an individual within six (6) feet of a patient for a period of 15 minutes or more.
4. “Disease” means the following conditions which may be preventable by immunization: 1. Influenza (Seasonal Influenza), 2. Mumps, 3. Rubella (German Measles), 4. Rubeola (Measles), 5. Pertussis, and 6. Varicella (Chicken Pox).
5. “Effective Date” means November 1, 2023, for Influenza, and at the time a Covered Emergency Medical Services Person is added to the entity’s roster for all other required vaccinations.
6. “Entity” means an organization that holds a license issued by the Board authorizing it as an organization to provide emergency medical services or a training center licensed by the Board.
7. “Masking Agreement” means a signed, voluntary agreement between an Entity and a Covered Emergency Medical Services Person obligating the Covered Emergency Medical Services Person to wear at minimum a procedural/surgical mask while providing direct patient care between November 30th and March 31st. This agreement expires annually on November 30th.
8. “Medical Exemption” means a formal procedure to procure discharge from the requirement to vaccinate under this rulein accordance with Section 3 below.
9. “Immunization” means a vaccine, antitoxin, or other substance used to increase an individual’s immunity to a specific Disease.
10. “Proof of Immunity” means laboratory evidence demonstrating immunity or other acceptable evidence of immunity. No Proof of Immunity is available for Influenza.

Immunization Required

Each Entity with which a Covered Emergency Medical Services Person is associated shall ensure that the Covered Emergency Medical Services Person providing Direct Patient Care on behalf of the entity has a valid Certificate of Immunization, Proof of Immunity, or documentation of a Medical Exemption pertaining to each of the diseases enumerated in this chapter. Covered Emergency Medical Services Persons may refuse seasonal immunization for influenza when in compliance with this chapter.

1. No Entity shall permit a Covered Emergency Medical Services Person to provide Direct Patient Care without a Certificate of Immunization, Proof of Immunity, Medical Exemption, and/or a Masking Agreement (only applicable to influenza) for the diseases enumerated in this chapter.
2. Vaccination Schedule 1. Table 1: Immunization Requirements by Disease

Disease

Vaccination

Proof of Immunity

Schedule

Influenza

Current annual dose of FDA-approved seasonal influenza vaccine

Not Applicable

Annual

Mumps

Two doses of live Rubeola or MMR Vaccine

Laboratory Evidence of Immunity

One time

Rubella (German Measles)

One dose of live Rubeola or MMR Vaccine

Laboratory Evidence of Immunity

One time

Rubeola (Measles)

Two doses of live Rubeola or MMR Vaccine

Laboratory Evidence of Immunity

One time

Pertussis

Tdap Vaccination

Laboratory Evidence of Immunity (Every 10 years)

Every ten (10) years

Varicella

Two doses of live Varivax or MMRV Vaccine

Laboratory Evidence of Immunity

One time

• 1. The Influenza vaccine is required annually by November 30th, or as otherwise recommended by the US Centers for Disease Control and Prevention. 2. The Tdap vaccination, which includes Pertussis, is required every ten (10) years.

1. Any such immunization must meet the standards for biological products which are approved by the US Public Health Service.

Exemptions

1. A Medical Exemption is available to a Covered Emergency Medical Services Person who provides a written statement from a licensed physician, nurse practitioner or physician assistant that, in the clinician’s professional judgment, immunization against a disease enumerated in this chapter may be medically inadvisable. To be valid, Medical Exemptions must originate from a physician, nurse practitioner, or physician assistant with whom the Covered Emergency Medical Services Person has an established patient- provider relationship with the clinician issuing the written statement. An exemption is considered permanent unless otherwise denoted in the exemption from the authorized healthcare professional.
2. A Covered Emergency Medical Services Person without a Certificate of Immunization, or valid Proof of Immunity, but in possession of a Medical Exemption may provide Direct Patient Care. If the Medical Exemption is related to seasonal influenza immunization, the Covered Emergency Medical Services Person must complete a Masking Agreement and comply with Section 4 of this chapter to provide Direct Patient Care.

Masking

1. Covered Emergency Medical Services Persons who refuse immunization for influenza or have a medical exemption for an influenza vaccination are required to wear, at minimum, a procedural/surgical mask, as specified in the Masking Agreement.
2. An Entity must obtain and maintain a Masking Agreement for those associated Covered Emergency Medical Services Persons who are required to wear a mask prior to allowing those persons to provide Direct Patient Care on their behalf.
3. Failure of an Entity to ensure that an associated Covered Emergency Medical Services Person complies with this section is considered unprofessional conduct subject to disciplinary action by the Board.
4. Failure of a Covered Emergency Medical Services Person to comply with this section is considered unprofessional conduct subject to disciplinary action by the Board.

Record Keeping

1. An entity must ensure a record of the immunization status of each Covered Emergency Medical Services Person for the Diseases enumerated in this chapter, with the exception of Influenza, is submitted through the system prescribed by the Office of Emergency Medical Services, at the time a Covered Emergency Medical Services Person is added to the entity’s roster.
2. An entity must ensure that the immunization status for Influenza of each Covered Emergency Medical Services Person on the entity’s roster is submitted annually on or before November 30th, through the system prescribed by the Office of Emergency Medical Services.
3. Entities must review submissions made by Covered Emergency Medical Services Persons on the Entity’s roster in the system, and attest to valid documentation of Certificate(s) of Immunization, Proof of Immunity, Medical Exemption(s), and Masking Agreement (where applicable).

All records required under this chapter shall be deemed, for the purposes of public access, confidential medical records under 22 M.R.S. §1711-C. Notwithstanding this statement, the Board may obtain and disclose records required under this chapter in accordance with 32 M.R.S. § 91-B.

History

• STATUTORY AUTHORITY: 32 M.R.S. §84(1)(A)
• STATUTORY AUTHORITY: This rule was newly ADOPTED on June 1, 2022, and became EFFECTIVE on August 19, 2022 – filing 2022-132 [Note: The effective date information was corrected on May 16, 2024, by the Office of Secretary of State following communication with Maine Emergency Medical Services. Previously, the effective date listed was August 7, 2022.]
• AMENDED: January 10, 2024 – filing 2024-004
• AMENDED: September 28, 2024 – filing 2024-218

Chapter 22 Emergency Medical Services Data

Code Me. R. 16-163 Ch. 22 Emergency Medical Services Data {#sec-16-163-ch.-22 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 22}

Definitions

“National data elements” means the specific EMS data elements defined by the national emergency medical services information system (NEMSIS).

“National emergency medical services information system (NEMSIS)” means the national EMS electronic database, as developed, and published by USDOT, NHTSA.

“Maine EMS patient care reporting System” means the Maine EMS electronic database, that meets the requirements of NEMSIS, provided by Maine EMS to all EMS agencies and EMS clinicians to record EMS incidents.

“Receiving Facility” means the hospital or any other facility the patient was transported to.

“Health Info Net (HIN)” means the independent, nonprofit information services organization that manages the statewide health information exchange (HIE) in Maine.

“Health Information Exchange (HIE)” is the statewide HIE designed to link an individual’s clinical information from unaffiliated healthcare sites to create a single electronic health record, allowing authorized providers across the state to better support and coordinate patient care.

Data Ownership

Data collected in the patient care reporting system is the property of the EMS submitting the data.

1. Maine EMS shall have unrestricted access to the data within the patient care system.
2. EMS agencies are responsible for the accuracy of the information entered into patient care and retain access to the data for the purpose of patient care. Moreover, EMS agencies may request data access logs for their data, which Maine EMS will provide within 14 days.

Patient Care Report Required

For each request for service, or for each patient when more than one patient is involved in a call, a service will require their EMS clinician primarily responsible for patient care to complete and submit an electronic Maine EMS patient care report, as specified by Maine EMS, within twenty-four hours from the incident completion date and time.

For each request for service, or for each patient when more than one patient is involved in a call, an EMS clinician who participated in the response must submit a completed electronic Maine EMS patient care report, as specified by Maine EMS, within twenty-four hours from the incident completion date and time .

Patient Care Report Requirements and Reporting Timeframe

Patient care reporting of EMS incidents by an EMS clinician or unit shall be made by providing the information in the Maine EMS Data Dictionary, as applicable, electronically, using software developed or purchased through contract, and distributed by Maine EMS.

When a patient is transported to a hospital/facility, the EMS clinician shall complete a patient care report and submit it within 24 hours of arriving at the destination facility and in accordance with the Maine EMS Protocols.

1. A copy of the complete patient care report should be eft at the receiving facility whenever possible. In the event a complete patient care report cannot be left at the receiving facility prior to the departure of the ambulance crew, a Maine EMS approved hand-written short form must be left in all circumstances

Maine EMS shall provide non-mobile access to the electronic patient care reporting system at no cost to an EMS Agency.

Emergency Medical Services Monitoring of Health Outcomes

Maine Emergency Medical Services electronically transmits EMS patient care reports to Maine Health Info Net (HIN) for storage in the State of Maine Health Information Exchange (HIE).

1. The following data elements will be requested from hospitals or physicians on all patients receiving emergency medical treatment as defined in Chapter 2 of these rules: 1. Emergency Department Disposition 2. Hospital Disposition 3. External Report ID/Number Type 4. External Report ID/Number 5. Other Report Registry Type 6. Emergency Department Chief Complaint 7. First ED Systolic Blood Pressure 8. Emergency Department Recorded Cause of Injury 9. Emergency Department Procedures 10. Emergency Department Diagnosis 11. Date/Time of Hospital Admission 12. Hospital Procedures 13. Hospital Diagnosis 14. Total ICU Length of Stay 15. Total Ventilator Days 16. Date/Time of Hospital Discharge 17. Outcome at Hospital Discharge (e.g., Cerebral Performance Category Score or Scale at Hospital Discharge)
2. records identifying a patient, in any format, that include HIV or AIDS status or test results, or that relate to referral, treatment or services for a behavioral or mental health disorder or substance use disorder are excluded from this requested data.

Hospitals and Physicians providing data to the state-designated statewide health information exchange as described in Title 22, section 1711-C, may notify the board of their decision to do so by submitting an authorization letter to each provider (i.e., hospital, physician) participating in the Health Information Exchange (HIE) with language to the effect of: “[Provider Entity Name] is a participant in the state-designated statewide Health Information Exchange as described in Title 22 MRSA §1711-C. By signing below, [Provider Entity Name] hereby authorizes the Board to receive [Provider Entity Name’s] healthcare information or records in accordance with Title 32 MRSA §96 (2)(A).”

1. Providers may choose to not authorize the Board to retrieve their data from the HIE, those Hospitals and Physicians, must then provide the data directly to the Board

Hospitals and Physicians providing data to the state-designated statewide health information exchange as described in Title 22, section 1711-C may revoke that authorization by submitting a letter to the state-designated statewide health information exchange as described in Title 22, section 1711-C, revoking the Hospitals and Physicians previous authorization.

Maine EMS Posts all data requests received on the Maine EMS Website:

1. The information shared will include the following: 1. Date of request 2. Date request was fulfilled 3. The data elements that were requested 4. The data elements that were provided 5. The requestor 6. The purpose of the request 7. A copy of any agreement regarding the data release, if applicable 8. Board of EMS authorization information, if applicable

Quality Assurance & Improvement

Quality initiatives are adopted in the following process:

1. The Maine EMS Quality Assurance & Improvement Committee promulgates statewide quality initiatives for review and adoption by the Maine EMS Board,

Notification to providers regarding quality initiatives:

1. Maine EMS shall provide a public list of Maine EMS Board approved quality initiatives on the website.

History

• STATUTORY AUTHORITY: 32 M.R.S. § 96
• EFFECTIVE DATE: December 24, 2022 – filing 2022-247

Chapter 23 Registry of Automated External Defibrillators

Code Me. R. 16-163 Ch. 23 Registry of Automated External Defibrillators {#sec-16-163-ch.-23 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 23}

§1. Definitions

"Automated external defibrillator" or "AED" means a medical device that combines a heart monitor and a defibrillator approved by the United States Food and Drug Administration that:

1. Is capable of recognizing the presence or absence of ventricular fibrillation or rapid ventricular tachycardia.
2. Is capable of determining, without intervention by an operator, whether defibrillation should be performed on an individual; and
3. Upon determination that defibrillation should be performed, automatically charges and requests delivery of an electrical impulse to an individual's heart.

“Automated external defibrillator registry” means a registry of publicly accessible automated external defibrillators, as defined above, that are located within the State for the purpose of assisting a person or a law enforcement officer, firefighter or emergency medical services person who calls for assistance in an emergency situation.

“Registrant” means the individual that has the responsibility of maintaining the functionality of the fullyautomated external defibrillator entered into the registry.

§2. Minimum Information Collected

For entities wishing to have their fullyautomated external defibrillator in the registry, the following is the minimum information that must be collected and entered into the automated external defibrillator registry identified by Maine EMS.

The name of the registrant of an automated external defibrillator; and

Email address of the registrant, and

Telephone contact information of the registrant; and

The precise location of the automated external defibrillator, including the address and the place in which the automated external defibrillator is stored; and

The make and model number of the automated external defibrillator; and

The expiration date and type of each automated external defibrillator pad stored with the automated external defibrillator; and

The expiration date of each automated external defibrillator battery

§3. Automated external defibrillator Registry Maintenance

Each Public Safety Answering Point (PSAP) shall designate a point of contact who shall ensure the registry data is complete and accurate for AED use within the jurisdiction of the PSAP in the following manner:

Automated external defibrillator points of contact shall be reported to Maine EMSon forms provided by Maine EMS

1. On the initial application; and
2. On subsequent renewal applications; and
3. Anytime a new automated external defibrillator point of contact is established.

Each PSAP must provide a policy addressing or establishing the frequency and method with which the data contained within the automated external defibrillator registry is reviewed for accuracy and completeness.

The effective date of this rule is ninety (90) days after the publishing of this rule by the Secretary of State.

§4. Automated External Defibrillator Registry Use in Emergency Medical Dispatch

The information maintained in the automated external defibrillator registry may be provided for the purpose of assisting a person or a law enforcement officer, firefighter or emergency medical services person who calls for assistance in an emergency situation.

Emergency Medical Dispatch Centers shall use the Maine EMS approved automated external defibrillator registry when engaged in emergency medical dispatch.

Emergency Medical Dispatch centers shall obtain the electronic interface between the board approved software used for emergency medical dispatch and the board approved automated external defibrillator registry software.

§5. Effective Date

The effective date of this chapter is ninety (90) days after the publishing of this rule by the Secretary of State.

History

• STATUTORY AUTHORITY: 32 M.R.S. § 88-C
• EFFECTIVE DATE: March 19, 2023 – filing 2022-248

Chapter 25 Implementing the Maine EMS Stabilization Program

Code Me. R. 16-163 Ch. 25 Implementing the Maine Ems Stabilization Program {#sec-16-163-ch.-25 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 25}

Purpose. The purpose of this rule is to implement procedures for allocating stabilization funds

totaling $12,000,000 to emergency medical services entities from the Emergency Medical Services

Stabilization and Sustainability Program created by 32 M.R.S. § 98 and referred to herein as “the

Program.” These funds are intended to provide financial assistance to emergency medical services

entities at immediate risk of failing and leaving their communities without access to adequate

emergency medical services.

Definitions

1. “Eligible emergency medical services entity” or “eligible EMS entity” means an actively licensed ground ambulance service or non-transporting ground emergency medical service.
2. “Qualified applicant” means an eligible EMS entity that has applied for and qualified to receive stabilization funding from the Program.

Applications

1. Eligible Entities. Only eligible EMS entities may apply for stabilization funding from the Program. All eligible EMS entities that apply for funding and meet all the following criteria shall receive funding from the Program: 1. Risk of Imminent Failure. An applicant must demonstrate an immediate risk of failing either by an inability to finance daily operations or due to recruitment and retention issues. All applicants for funding must complete the assessment for their ability to finance daily operations as part of the application even if they do not seek eligibility under that pathway. 1. Assessment of an Applicant’s Ability to Finance Daily Operations. If an applicant’s Operating Margin is less than or equal to 10% of its Total Revenue it will be considered to be at immediate risk of failing due to an inability to finance daily operations. Each applicant shall provide the following information to determine if its Operating Margin is at or below 10% of its Total Revenue. 1. “Total Expenses” equals the sum of the following expenses.

Labor costs.

If the eligible EMS entity is staffed with volunteers or a combination of volunteer staff persons, labor costs should be estimated based on a rate of $28.89 for volunteer hours. That amount should also be included as revenue as an in-kind donation of volunteer labor.

If the service’s average compensation, including benefits, for an actively licensed EMS person, is below $28.89, regardless of licensure level, the actual labor costs should be calculated and disclosed; however, the agency may use the rate of $28.89 for the determination of eligibility calculation.

Non-labor/equipment costs. This includes supplies and materials (e.g., equipment costs, consumables/disposable equipment, and other associated costs).

Purchased services costs. This includes service-level medical director contracting, quality assurance and improvement, training support, etc.

• • • 1. “Total Revenue” equals the sum of the following revenues.

Transport revenue, if applicable.

Local subsidy or subsidies. This includes any funds generated from tax revenues received by the EMS entity.

Hospital subsidy or subsidies. This includes any funds hospitals or other entities provide for services rendered for that facility or health system outside of transporting revenue. For example, if a hospital reimburses an EMS entity for an interfacility transport and provides a $100,000 contractual fee, only the $100,000 would be represented here.

Subscription services, if applicable.

Grant funding, if applicable.

Donations. This includes in-kind donations of labor from volunteers. Volunteer hours should be calculated using the rate of $28.89 per hour, irrespective of the EMS person’s licensure level.

Any additional revenue.

• • • 1. Calculations

For purposes of this rule, Operating Margin is calculated by subtracting Donations and Total Expenses from Total Revenue.

• • • 1. Determination

If an applicant’s Operating Margin is less than or equal to 10% of its Total Revenue, the applicant will have demonstrated an immediate risk of failing due to an inability to finance daily operations and thereby qualify to receive funding.

If an applicant’s Operating Margin is greater than 10% of its Total Revenue, the applicant is not eligible for funding based on an inability to finance daily operations. The applicant may still receive funding based on Employee Recruitment and Retention (see II).

• • 1. Employee Recruitment and Retention. If an applicant is not eligible for funding based on its current financial situation, it still may seek funding based on potential workforce recruitment and retention concerns. Such applicants shall provide employee data on a form and in a manner prescribed by the Director. 1. Applicants utilizing a volunteer or augmented voluntary staffing model (i.e., stipend, per call pay, etc.).

An applicant with a monthly average of fewer than fourteen (14) actively licensed emergency medical services persons providing clinical care as documented within the Maine EMS and Fire Incident Reporting System (MEFIRS) over the past three years for each response unit (Maine EMS-licensed emergency response vehicle) that is available for at least 60 hours per week shall be considered at immediate risk of failing due to employee recruitment or retention issues and thereby qualify to receive funding.

• • • 1. Applicants utilizing a paid staffing model.

An applicant with a monthly average of fewer than seven (7) actively licensed emergency medical services persons providing clinical care as documented within the Maine EMS and Fire Incident Reporting System (MEFIRS) over the past three years for each response unit (Maine EMS-licensed emergency response vehicle) that is available for at least 60 hours per week shall be considered at immediate risk of failing due to employee recruitment or retention issues and thereby qualify to receive funding.

• 1. An applicant must submit financial statements covering the most recent complete fiscal year and the current fiscal year to date as part of its application. 1. These statements must include a balance sheet and income statement from the most recent complete fiscal year and the current fiscal year to date, which may be used to verify financial information provided in the application to demonstrate financial hardship. 2. An applicant must demonstrate that it provided 9-1-1 emergency medical services to its community during the previous calendar year, including as follows; 1. If an applicant underwent a merger in 2022 or 2023, it must also provide proof of consolidation of operations. For such an applicant, the combined volumes of the merged entities will be used for calculations. 3. An applicant must currently provide and intend to continue to provide emergency medical services coverage to the community it serves. 4. If the applicant is a transporting ambulance service, it must participate in the MaineCare Program and maintain an electronic funds account with the Maine Department of Health and Human Services.

1. Announcement of Funding Opportunity 1. The Director shall announce via electronic communication pathways, at a time to be determined by the Director, that the application is available for completion, including instructions on how it can be accessed. The application shall be made available for at least 30 days and can be extended at the discretion of the Director.
2. Application Form 1. The Director shall develop an application to ensure compliance with this rule. 2. All applications for funding must comply with this rule, all instructions provided in the Announcement of Funding Opportunity, and any instructions and formatting requirements within the application. 3. All applicants shall submit the following additional documents to the Director based on instructions provided within the Announcement of Funding Opportunity and Application Form. 1. Current fiscal (year to date) income statement 2. Current fiscal (year to date) balance sheet 3. Most recently completed fiscal year income statement 4. Most recently completed fiscal year balance sheet

EMS Entity Funding Allocation

1. Maximum and Minimum Allocations 1. Transporting EMS Entities 1. Minimum allocation shall be no less than $15,000 per qualified applicant that functions as a transporting ambulance service. 2. Maximum allocation shall not exceed $200,000 per qualified applicant that functions as a transporting ambulance service. 2. Non-Transporting EMS Entities 1. Minimum allocation shall be no less than $5,000 per qualified applicant that functions as a non-transporting service. 2. Maximum allocation shall not exceed $50,000 per qualified applicant that functions as a non-transporting service.
2. Allocation Algorithm. The Director shall use the following algorithm to determine the allocation for each qualified applicant: 1. Components 1. Rurality Score by Zip Code. 1. The Director shall use the Frontier and Remote Area Codes published by the United States Department of Agriculture’s Economic Research Service (updated April 15, 2015), which this rule incorporates by reference. However, in situations where there is no score for a specific zip code, or the data is older than ten (10) years at the time of calculating the algorithm, the Director shall formulate the rurality score using the “Rural Indicators” in the Ambulance Fee Schedule and ZIP Code Files published by the US Centers for Medicare and Medicaid Services (published December 2023), which is incorporated into this rule by reference.

United States Department of Agriculture’s Frontier and Remote Area Codes: “EXCEL file containing ZIP-code-level FAR codes and related data”, last updated on April 15, 2015, which is available for download from https://www.ers.usda.gov/webdocs/DataFiles/51020/FARcodesZIPdata2010WithAKandHI.xlsx?v=6390.1

Centers for Medicare and Medicaid Services’ Ambulance Fee Schedule and ZIP Code Files: “2023 End of Year Zip Code File (ZIP)”, published in December 2023, which is available for download from https://www.cms.gov/files/zip/2023-end-year-zip-code-file.zip

• • • 1. If using the Frontier and Remote Area Codes, the Director shall assign the following scores based on the Frontier and Remote (FAR) classification for each zip code:

No FAR Classification: Score of One (1)

FAR Classification of One (1): Score of Two (2)

FAR Classification of Two (2): Score of Three (3)

FAR Classification of Three (3): Score of Four (4)

FAR Classification of Four (4): Score of Five (5)

• • • 1. If using the Ambulance Fee Schedule and ZIP Code Files, the Director shall assign the following scores based on the Rural Indicator field for each zip code:

Blank/Urban: Score of One (1)

R (Rural): Score of Three (3)

B (Super Rural): Score of Five (5)

• • 1. Call Volume 1. The Director shall query de-identified electronic patient care reporting information from the Maine EMS and Fire Incident Reporting System (MEFIRS) to determine the number of 9-1-1 activations, including scene responses, mutual aid requests, and ambulance intercepts that each eligible EMS entity experienced for each zip code. 1. Calculations 1. The Director shall perform the calculations below to determine the distribution percentage or “DP” for each eligible EMS entity. These calculations shall be performed separately for transporting and nontransporting eligible EMS entities. 2. A rurality-weighted call volume or “RWCV” will be calculated for each eligible EMS entity by multiplying the number of activations the entity experienced for each zip code by each zip code’s rurality score and then totaling the resulting products.
• • 1. The total rurality-weighted call volume or “TRWCV” for each category (transporting and nontransporting) will be the sum of the RWCVs of all the eligible EMS entities in the respective category. 2. An eligible EMS entity’s distribution percentage or “DP” will equal the eligible EMS entity’s RWCV divided by the TRWCV of the eligible entity’s respective category (transporting or nontransporting). 1. Allocation Process 1. The Director shall identify all transporting and non-transporting eligible EMS entities based on the information available to the Bureau of Emergency Medical Services and determine the final maximum allocation or “FMA” for each of these entities. The Director shall provide a list of these entities and their corresponding FMAs in the Announcement of Funding Opportunity. 1. Nontransporting Eligible EMS Entities.

Initial maximum allocations or “IMAs” for all nontransporting eligible EMS entities will be calculated by multiplying the entity’s distribution percentage by the total amount of stabilization funds available for nontransporting entities.

If an entity’s IMA is less than or equal to $5,000, the entity’s FMA will be $5,000.

If an entity’s IMA is greater than or equal to $50,000, the entity’s FMA will be $50,000.

If an entity’s IMA is greater than $5,000 but less than $50,000, its IMA will be recalculated by multiplying the entity’s distribution percentage by the total amount of stabilization funds available for nontransporting entities minus the amounts applied as FMAs to entities pursuant to subsections ii and iii above.

If the recalculation of IMAs in subsection iv above generates IMAs that are either less than or equal to $5,000 or greater than or equal to $50,000, FMAs will be assigned to those applicable entities in accordance with subsections ii and iii above.

IMAs greater than $5,000 but less than $50,000 will continue to be recalculated in accordance with subsections iv and v above until no IMAs are less than or equal to $5,000 or greater than or equal to $50,000. At that point, the entity’s last recalculated IMA will become its FMA.

• • • 1. Transporting EMS Entities

Initial maximum allocations or “IMAs” for all transporting eligible EMS entities will be calculated by multiplying the entity’s distribution percentage by the total amount of stabilization funds available for transporting entities.

If an entity’s IMA is less than or equal to $15,000, the entity’s FMA will be $15,000.

If an entity’s IMA is greater than or equal to $200,000, the entity’s FMA will be $200,000.

If an entity’s IMA is greater than $15,000 but less than $200,000, its IMA will be recalculated by multiplying the entity’s distribution percentage by the total amount of stabilization funds available for transporting entities minus the amounts applied as FMAs to entities pursuant to ii and iii above.

If the recalculation of IMAs in subsection iv above generates IMAs that are either less than or equal to $15,000, or greater than or equal to $200,000, FMAs will be assigned to those applicable entities in accordance with subsections ii and iii above.

IMAs greater than $15,000 but less than $200,000 will continue to be recalculated in accordance with subsections iv and v above until no IMAs are less than or equal to $15,000 or greater than or equal to $200,000. At that point, the entity's last recalculated IMA will become its FMA.

• 1. Posting. The Director shall provide the final maximum allocation for each EMS entity as determined by this algorithm as a component of the Announcement of Funding Opportunity.

Requirements, Criteria, and Unauthorized Uses of Funds

1. Requirements. An application must: 1. Be completed and submitted by an eligible EMS entity and its agent. 2. Be completed in accordance with this rule and any guidance provided by the Director through Announcement of Funding Opportunity and Application. 3. Include a project plan that meets the standards for the use of the funding; those standards are: 1. The funding shall only be utilized for the following activities: 1. Supplementing wages, benefits, stipends, and incentives for actively licensed emergency medical services persons; 2. Supporting training directly related to the provision of clinical care, leadership, or management of EMS; 3. Supplementing wages, benefits, stipends, and incentives for administrative support staff (e.g., service-level medical director, quality assurance and improvement officer, infection control officer, and training officer); 4. Implementation of programming directly related to the Maine EMS Plan for a Sustainable EMS System in the State of Maine: A Vision for 2035 , with this incorporated by reference and available for download online from https://www.maine.gov/ems/sites/maine.gov.ems/files/inline-files/20230522-Maine-EMS-Vision-and-Plan.pdf; and 5. Investment in capital expenditures not to exceed $50,000 in the aggregate. 4. Include a project budget that meets the standards for use of the funding.
2. Programmatic Criteria for Evaluating Applications. An application that meets the requirements of subsection one must be evaluated based on the following programmatic criteria: 1. Based on the proposed programming, whether it aligns with the activities authorized in the previous section and whether the action will likely result in improved financial stability or workforce resiliency. 2. If supplementing wages, ensure that EMS entities are not paying any individual staff member more than $76,500 annually with the awarded funding. This is not inclusive of associated standard employee benefits. 3. If utilizing funding for programming related to the Maine EMS Plan for a Sustainable EMS System in the State of Maine: A Vision for 2035 , ensuring that there is clear alignment with the vision document and/or any associated guidance, agenda, or action plan that has been published related to this document. 4. If making a capital expenditure, ensure that all capital expenditures collectively do not exceed $50,000 in total. 1. Only purchases valued at $5,000 or more are considered capital expenditures for the purposes of this rule.
3. Unauthorized Uses of Funds. Applications shall also be reviewed for potential unauthorized uses of funding. Applications may be denied should it be determined that the applicant EMS entity intends to use the funding for unauthorized uses. The following are unauthorized uses of the funding: 1. Expenses or losses reimbursed from any other source(s) or that other sources are obligated to repay. 2. Expenses related to staffing needs that exceed an annual salary of $76,500, as prorated over the applicable period. This limit does not include standard employee benefit offerings (i.e., the cost of a staff member may be higher because the cost of benefits and salary exceeds $76,500). 3. Construction, renovation, purchase, or acquisition costs for facilities. 4. Payment for existing indebtedness. 5. Payment on obligations incurred prior to the award of funds. 6. Supplanting existing local subsidies or funding sources except if they replace volunteer labor, donated services, donated goods, or funds raised through community fundraising efforts (e.g., bake sales, dinners, etc.)

Evaluation of Applications

1. Evaluation Panel. The Director shall establish an evaluation panel of at least three people who will serve to evaluate each of the applications to ensure compliance with the requirements, programmatic criteria, and to screen for identifiable unauthorized uses of the funding.
2. Process. Each panel member shall review each application separately and determine if the proposed programming and budget align with the previous section. 1. If a single member of the panel, following their review, believes that an application is out of compliance with any component of Section Five of this rule, all members of the evaluation panel shall meet to discuss. 1. If it is determined by a majority of the evaluation panel that the application is or may be out of compliance with one or more components outlined in Section Five of this rule, they may take any or all, of the following actions: 1. Request additional information from the applicant 2. Offer the applicant an opportunity to modify its application within 15 calendar days to come into compliance with the Announcement of Funding Opportunity. 2. If following these actions, the majority of the evaluation panel determines that all or part of the application remains out of compliance, they may deny all or part of the proposed programming and its associated budget line. This is considered final agency action. 2. If all members of the evaluation panel determine separately that the application is compliant with all components of Section Five of this rule, they shall inform the Director and the Director shall offer a funding agreement to the qualified applicant that conforms with the requirements of 32 M.R.S. § 98(3)(B) and allows for the transfer of funds to the recipient organization in the amount it requested or the applicant’s potential maximum allocation, whichever is lower. 3. If the committee fails to reach a resolution within 30 calendar days following the initiation of the review, the Director may act on the application and take any of the actions afforded to the committee as described above. That action is considered final agency action. 4. If an application is denied in totality, the applicant will not be eligible for funding under the applicable Announcement of Funding Opportunity. Funds comprising the denied applicants potential maximum allocation shall be retained for future stabilization funding opportunities under the Program.

Reporting

1. Reporting Requirements. The Director shall define the reporting requirements for this funding opportunity and incorporate them into the funding agreements with qualified applicants. The agreement shall detail specific due dates and expectations for reporting. At a minimum, qualified applicants should anticipate providing quarterly and annual updates no later than 60 days following the specific reporting period. Recipients must track expenditures, detail their purpose, and provide evidence of the impact of the funding on the stability of the agency. The Director shall also include the following as part of any resultant funding agreement: 1. Sustainability Planning.All recipients shall submit a sustainability plan within 180 calendar days of receiving the funds detailing how they intend to sustain the programming and projects initiated using the funds afforded by this rule. 1. Workforce Sustainability. Recipients that were made eligible for this funding in part by workforce challenges as defined in Section Three covering Employee Recruitment and Retention, shall detail their staffing sustainability plan in their plan.

Dispensing Funds

1. Awards. After review, the Director shall enter into an agreement with each qualified applicant in the amount of the pre-determined allocation or their requested amount, whichever is lower.
2. Delegation. The Board delegates authority to the Director to enter agreements with qualified applicants for the disbursement of stabilization funds in amounts totaling no more than $200,000 for any eligible EMS entity. Following approval of an application by the evaluation panel or the Director, as the case may be, the Director may enter the agreement without any additional authorization from the Board.

AUTHORITY: 32 MRSA §84(1), 32 MRSA §98

ADOPTED: March 11, 2024

EFFECTIVE DATE:

March 18, 2024 - filing 2024-062

APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 26 Community Grant Program

Code Me. R. 16-163 Ch. 26 Community Grant Program {#sec-16-163-ch.-26 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 26}

Purpose. The purpose of this rule is to establish a grant application and selection process for the EMS Community Grant Program as established by 32 M.R.S. § 97 and a process by which the Board shall administer those grants.

Definitions.

1. “Community” as used in this chapter has the same meaning as 32 M.R.S. § 97(1)(A).
2. “Program” as used in this chapter has the same meaning as 32 M.R.S. § 97(1)(B).
3. “Application Cycle” as used in this chapter means a period designated by the Board during which the Board will accept grant applications for program funds.
4. “Evaluation Panel” as used in this chapter means the panel of Board members who evaluate grant applications for an application cycle.
5. “Evaluation Criteria” as used in this chapter means the criteria established by this rule that communities must address in their applications and that the evaluation panel and Board will use to evaluate applications.

Application Cycle. The Board will announce and post on its website notice of any application cycle that it designates. The notice will include the dates and manner by which communities may submit grant applications for program funds.

Evaluation Panel.

1. Upon announcing an application cycle, the Board will create an ad hoc subcommittee to serve as an evaluation panel for that application cycle.
2. The Board Chair, in consultation with the Director of Maine EMS, will select between three and six Board members to serve on the evaluation panel.
3. A Board member who is affiliated with or has a financial interest in any community that intends to submit an application or in an ambulance service currently serving or being considered to serve any community that intends to submit an application may not serve on the evaluation panel for the corresponding application cycle.

Application Process.

1. Requirements. Communities seeking to obtain program funds shall submit grant applications to the Board during the times and in a manner specified by the Board in its announcement of an application cycle and in accordance with the minimum requirements listed below. The evaluation panel may reject as incomplete any application that fails to comply with all of these requirements.
2. At a minimum, an application must include: - 1. The names of all municipalities comprising the applicant community 2. A signed debarment, performance, and non-collusion certification

• • 1. A detailed plan that addresses the evaluation criteria 2. A projected timeline on fund expenditures that specifies the estimated dates on which the monies will be used 3. A projected budget 4. Names of any contractors engaged with any associated quotes received with a statement of work 5. Expected deliverables resulting from the use of grant funds (e.g., a written report produced from surveys/studies undertaken) 6. A detailed list of sources and uses of any other monies associated with the project; and 7. An agreement to return any unobligated funds to the State of Maine in accordance with agreements established to facilitate the initial transfer of funds.

Evaluation Criteria. The evaluation panel and Board will examine the following criteria when evaluating a grant application:

1. The extent to which the applicant performs surveys or studies that enhance understanding of the current level of financial health of a community’s existing emergency medical services.
2. The extent to which the applicant performs surveys or studies that enhance understanding of the structure, delivery, and financing of the community's emergency medical services.
3. The extent to which the applicant performs surveys or studies that enhance understanding of the issues that challenge or improve the community’s provision of emergency medical services.
4. The extent to which the applicant engages with disinterested third-party consultant(s) to identify and stratify a community’s options for the level and/or model of emergency medical services to be delivered to a community and/or the financial impact(s) and long-term fiscal stability of those options.

Evaluation Process.

1. Evaluation Panel Review. - 1. The evaluation panel will review applications for completeness and satisfaction of evaluation criteria. 2. Applications will be evaluated in the order they are received, and awards will continue until either one of the following occurs: 3. All applications received within the application period have received awarded funds; or 4. All allocated funds have been awarded . 5. If a majority of the evaluation panel determines that an application meets the application requirements and satisfactorily addresses the evaluation criteria, the evaluation panel shall forward to the Board the application and all materials compiled during the application review along with a written recommendation for the Board to approve the application and award a grant in a specific sum. 6. If a majority of the evaluation panel fails to determine that an application should be approved, the evaluation panel may: 1. Request additional information from the applicant; 2. Offer the applicant an opportunity to modify its application within 30 business days to resolve identified concerns or to complete its application; or 3. Preliminarily deny the application by issuing a written statement that contains the panel’s reasoning in a manner sufficient to inform the applicant and the public of the basis for the panel’s decision. An applicant may appeal the preliminary denial of that applicant’s application by submitting a written request for a hearing within 30 business days of receipt of the written statement of preliminary denial issued by the evaluation panel. Failure to submit a request for hearing within 30 business days will result in final denial of the application.
2. Board Review. 1. The Board shall reviewall materials forwarded to it by the evaluation panel regarding an application the evaluation panelhas recommended the Board approve. 2. The Board shall hold a hearing on any preliminarily denied applications that have been appealed to the Board. 3. If a majority of the Board determines that an application should be approved and a grant in a specific sum should be awarded to the applicant, it shall direct Maine EMS to facilitate the provision of those funds to the community. 4. If a majority of the Board fails to determine that an application should be approved and a grant in a specific sum should be awarded to the applicant, the Board may direct the evaluation panel to request additional information from the applicant or the Board may deny the application. 5. The Board’s decision shall be in writing and contain the Board’s reasoning in a manner sufficient to inform the applicant and the public of the basis for the Board’s decision. 6. The Board’s decision constitutes final agency action, appealable to the Superior Court in accordance with the Maine Administrative Procedure Act, 5 M.R.S. Ch. 375 Subchapter VII.

Reporting. Any recipient who has been awarded funds must provide:

1. Quarterly reports to the Board on the expenditure and use of those funds that address the activities within the approved application. These reports shall continue until the activities within the approved application have been completed .
2. A final report within three (3) calendar months of expenditure of all funds, or all activities within the approved application have been completed, whichever is earlier.

AUTHORITY: 32 M.R.S. §84(1)(A), 32 M.R.S. §97(4)

ADOPTION: August 7, 2024

EFFECTIVE DATE: October 16, 2024 – filing 2024-236

Chapter 27 Implementation of EMS Sustainability Program

Code Me. R. 16-163 Ch. 27 Implementation of Ems Sustainability Program {#sec-16-163-ch.-27 omnilex-key=us-me-regs-official--dept-public-safety--16-163 Ch. 27}

PURPOSE

The purpose of this rule is to implement procedures for allocating sustainability funds totaling $19,308,000.00 to emergency medical services entities from the Emergency Medical Services Stabilization and Sustainability Program created by 32 M.R.S. § 98(4) and referred to herein as “the Program”. These Funds are intended to increase financial support and planning for sustainability, collaboration, and the enhancement of efficiency in the delivery of emergency medical services in the State.

DEFINITIONS

1. “Eligible emergency medical services entity” or “eligible EMS entity” has the same meaning as 32 M.R.S. § 98(1)(B).

APPLICATIONS

1. Eligibility 1. Eligible Entities. Only eligible EMS entities may apply for sustainability funding from the Program. All eligible EMS entities that apply for funding and meet all the following criteria, as applicable, shall be eligible to receive funding from the Program. 1. If the applicant is an Ambulance Service or Non-Transporting Emergency Medical Service, the applicant must currently provide and intend to continue to provide emergency medical services to the community it services. 2. If the applicant is an Ambulance Service, it must participate in the MaineCare Program and maintain an electronic funds account with the Maine Department of Health and Human Services. 3. If the applicant is a licensed emergency medical services training center, the applicant must currently provide and intend to continue to provide EMS licensure courses to students. 4. If the applicant is a regional council, the applicant must be in compliance with Chapter 15 of these Rules.
2. Announcement of Funding Opportunity 1. Application Period 1. Initial Application Period 1. The Application Period will open 5 days after the publication of the Announcement of Funding Opportunity. 2. The Application Period will be open for 60 calendar days. 3. At the discretion of the Board, the initial application period may be extended by additional 60-day period(s). 2. Subsequent Application Period(s). 1. No more than 45 days after the final disbursement of awards has been made for applications received during the Initial Application Period, a Subsequent Application Period may open, during which remaining funds shall be reallocated in accordance with this rule for which eligible entities may apply. This will continue until all funds allocated have been disbursed. 2. The Director shall develop an application, approved by the Board, to ensure compliance with this rule. 3. All applications for funding must comply with this rule, all instructions provided in the Announcement of Funding Opportunity, and any instructions and formatting requirements within the application.

FUNDING POOL

1. The total amount of funds available for award during the initial application period is $10,808,000.00 for Ambulance Services and Non-Transporting Services. 1. The total amount for Ambulance Services is $7,515,600.00. 2. The total amount for Non-Transporting Services is $3,292,400.00.
2. The total amount of funds available for award during the initial application period is $7,500,000.00 for Maine EMS-licensed Training Centers.
3. The total amount of funds available for award during the initial application period is $1,000,000.00 for Board-Designated Regional Councils.
4. Unawarded Funds. This section is to be utilized in subsequent application periods. 1. Subsequent application periods are open to eligible Ambulance Services and Non-Transporting Services who were not awarded their maximum allocated amount, and to Maine EMS-licensed Training Centers and Board-Designated Regional Councils. 2. Subsequent application period(s) may be offered if there are funds not otherwise awarded after the closure of the initial application period. The unawarded funds will be pooled, and redistributed with eighty-percent (80%) of the pooled funds available to be reallocated to Ambulance Services and Non-Transporting Services, not to be awarded in excess of an entity’s maximum allocation amount, until there are no eligible Ambulance Services and Non-Transporting Services that can receive funds. The remaining twenty percent (20%) of those funds will be available to be reallocated to Maine EMS-licensed Training Centers and Board-Designated Regional Councils. 3. When there are no eligible Ambulance Services and Non-Transporting Services that can be awarded funds, the remaining funds are reallocated to Maine EMS-licensed Training Centers and Board-Designated Regional Councils. 4. Funds reallocated to Maine EMS-licensed Training Centers and Board-Designated Regional Councils may be allocated in a similar fashion to the initial award, as determined by the Director.

FUNDING ALLOCATION FOR AMBULANCE SERVICECS AND NON-TRANSPORTING SERVICES

1. Maximum and Minimum Allocations 1. Ambulance Services 1. Minimum allocation shall be no less than $15,000.00 per qualified applicant who functions as an Ambulance Service. 2. Maximum allocation shall not exceed $200,000.00 per qualified applicant who functions as an Ambulance Service. 2. Non-Transporting Services 1. Minimum allocation shall be no less than $5,000.00 per qualified applicant who functions as a Non-Transporting Service. 2. Maximum allocation shall not exceed $50,000.00 per qualified applicant who functions as a Non-Transporting E Service.
2. Allocation Algorithm. The Director shall use the following algorithm to determine the allocation for each qualified applicant: 1. Components 1. Rurality Score by Zip Code 1. The Director shall use the Frontier and Remote Area Codes published by the United States Department of Agriculture’s Economic Research Service (updated April 15, 2015), which this rule incorporated by reference. However, in situations where there is no score for a specific zip code, or the date is older than ten (10) years at the time of calculating the algorithm, the Director shall formulate the rurality score using the “Rural Indicators” in the Ambulance Fee Schedule and ZIP Code Files published by the US Centers for Medicare and Medicaid Services (published December 2023), which this rule incorporates by reference.

United States Department of Agriculture’s Frontier and Remote Area Codes: “EXCEL file containing ZIP-code-level FAR codes and related data”, last updated on April 15, 2015, which is available for download from https://www.ers.usda.gov/webdocs/DataFiles/51020/FARcodesZIPdata2010WithAKandHI.xlsx?v=6390.1

Centers for Medicare and Medicaid Services’ Ambulance Fee Schedule and ZIP Code Files: “2023 End of Year Zip Code File (ZIP)”, published in December 2023, which is available for download from https://www.cms.gov/files/zip/2023-end-year-zip-code-file.zip

• • • 1. If using the Frontier and Remote Area Codes, the Director shall assign the following scores based on the Frontier and Remote (“FAR”) classification for each zip code:

No FAR Classification: Score of One (1)

FAR Classification of One: Score of Two (2)

FAR Classification of Two: Score of Three (3)

FAR Classification of Three: Score of Four (4)

FAR Classification of Four: Score of Five (5)

• • • 1. If using the Ambulance Fee Schedule and Zip Code Files, the Director shall assign the following scores based on the Rural Indicator field for each zip code:

Blank/Urban: Score of One (1)

R (Rural): Score of Three (3)

B (Super Rural): Score of Five (5)

• • 1. Call Volume

The Director shall query de-identified electronic patient care reporting information from the Maine EMS and Fire Incident Reporting System (“MEFIRS”) to determine the number of 9-1-1 activations, including scene responses, mutual aid requests, and ambulance intercepts that each eligible EMS entity experienced for each zip code, for the previous calendar year.

• 1. Calculations 1. The Director shall perform the calculations below to determine the distribution percentage or “DP” for each eligible EMS entity. These calculations shall be performed separately for Ambulance Services and Non-Transporting Services. 2. A rurality-weighted call volume or “RWCV” will be calculated for each eligible EMS Service by multiplying the number of activations the entity experienced for each zip code by each zip code’s rurality score and then totaling the resulting products. 3. The total rurality-weighted call volume, or “TRWCV” for each category (Ambulance Services and Non-Transporting Services) will be the sum of the RWCVs of all eligible EMS entities in the respective category. 4. An eligible EMS Service’s distribution percentage or “DP” will equal the eligible EMS Service’s RWCV divided by the TRWCV of the eligible entity’s respective category (Ambulance Services or Non-Transporting Services). 2. Allocation Process 1. The Director shall identify all eligible Ambulance Services and Non-Transporting Services based on the information available to the Office of Emergency Medical Services and determine the final maximum allocation or “FMA” for each of these entities. The Director shall provide a list of these entities and their corresponding FMAs in the Announcement of Funding Opportunity. 1. Non-Transporting Services.

Initial maximum allocations or “IMAs” for all Non-Transporting Services will be calculated by multiplying the service’s distribution percentage by the total amount of sustainability funds available for non-transporting services.

If a service’s IMA is less than or equal to $5,000.00, the service’s FMA will be $5,000.00.

If a service’s IMA is greater than or equal to $50,000.00, the service’s FMA will be $50,000.00.

If a service’s IMA is greater than $5,000.00 but less than $50,000.00, its IMA will be recalculated by multiplying the service’s distribution percentage by the total amount of stabilization funds available for Non-Transporting Services, minus the amounts applied as FMAs to services pursuant to §1 and §2 above.

If the recalculation of IMAs in §4 above generates IMAs that are either less than or equal to $5,000.00 or greater than or equal to $50,000.00, FMAs will be assigned to those applicable services in accordance with §1 and 2 above.

IMAs greater than $5,000.00 but less than $50,000.00 will continue to be recalculated in accordance with §3 and §4 above until no IMAs are less than or equal to $5,000.00 or greater than or equal to $50,000.00. At that point, the service’s last recalculated IMA will become its FMA.

• • • 1. Ambulance Services

Initial maximum allocations or “IMAs” for all Ambulance Services will be calculated by multiplying the services distribution percentage by the total amount of stabilization funds available for Ambulance Services.

If an Ambulance Service’s IMA is less than or equal to $15,000.00, the service’s FMA will be $15,000.00.

If an Ambulance Service’s IMA is greater than or equal to $200,000.00, the service’s FMA will be $200,000.00.

If an Ambulance Service’s IMA is greater than $15,000.00 but less than $200,000.00, its IMA will be recalculated by multiplying the service’s distribution percentage by the total amount of stabilization funds available for Ambulance Services, minus the amounts applied as an FMA to services pursuant to §1 and §2 above.

If the recalculation of IMAs in §3 above generates IMAs that are either less than or equal to $15,000.00 or greater than or equal to $200,000.00, FMAs will be assigned to those applicable services in accordance with §1 and 2 above.

IMAs greater than $15,000.00 but less than $200,000.00 will continue to be recalculated in accordance with §3 and §4 above until no IMAs are less than or equal to $15,000.00 or greater than or equal to $200,000.00. At that point, the service’s last recalculated IMA will become its FMA.

• 1. Posting. The Director shall provide the final maximum allocation (“FMA”) for each eligible EMS service as determined by the algorithm as a component of the Announcement of Funding Opportunity.

FUNDING ALLOCATION FOR MAINE EMS-LICENSED TRAINING CENTERS AND BOARD-DESIGNATED REGIONAL COUNCILS

1. Emergency Medical Services Training Centers 1. Maximum and Minimum Allocation for initial awards 1. The minimum allocation for the initial award of funds shall be $50,000, and the maximum allocation for the initial award of funds shall be $833,000.00 for entities eligible as Maine EMS-Licensed Training Centers. 2. The Director shall use the following algorithm to determine the award for each qualified applicant, up to the maximum allocation above for the initial award of funds.

Total available at each level: $300,000.00

Number of EMT

Students

1-20

$50,000.00

21-40

$100,000.00

41-60

$150,000.00

61-80

$200,000.00

81 or greater

$300,000.00

Number of AEMT Students

1-5

$50,000.00

6-10

$100,000.00

11-15

$150,000.00

16-20

$200,000.00

21 or greater

$300,000.00

Number of Paramedic Students

1-10

$100,000.00

11 or greater

$300,000.00

This algorithm is based on the number of students who obtained their training from the applicant, and who passed within six attempts at the National Registry Certification Examination in the last calendar year calculated from January 1, 2024-December 31st, 2024.

1. Board-Designated Regional Councils 1. Maximum and Minimum Allocation for initial awards - 1. The maximum and minimum allocation for the initial award of funds shall be $250,000.00 for entities eligible as Board-Designated Regional Councils.

$150,000.00 shall be allocated to each Board-Designated Regional Council from the above amount to be used by each Regional Council to meet the requirements of this chapter, Section 7(1)(D).

REQUIREMENTS, CRITERIA, AND UNAUTHORIZED USES OF FUNDS

1. Requirements. For an application to be considered complete, an application must: 1. Be completed and submitted by an eligible EMS entity or its agent. 2. Be completed in accordance with this rule and any guidance provided by the Director through the Announcement of Funding Opportunity and within the application. 3. Include, attached, a project plan that meets the standards for the use of funding; those standards, which describe the only activities for which funds may be used, are: 1. The initiation or support of programs, applications, or the use of consultants or experts to establish or support an ongoing mental health and wellness program; 2. The consolidation and/or regionalization of the delivery of emergency medical services; 3. Inter-municipality EMS planning for rural patient transport; 4. Supporting training directly related to the provision of clinical care, safety, leadership, or management of EMS; 5. Supplementing wages, benefits, stipends, and incentives for EMS clinicians, Ambulance Operators, and/or administrative support staff (e.g. service-level medical director, quality assurance and improvement officer, infection control officer, training officer, and administrative aide); 6. Implementation of other programming directly related to the Maine EMS Plan for a Sustainable EMS System in the State of Maine: A Vision for 2035, as published on May 22, 2023, which is incorporated into this rule by reference and available for download online: https://www.maine.gov/ems/sites/maine.gov.ems/files/inline-files/20230522-Maine-EMS-Vision-and-Plan.pdf; 7. Investment in capital expenditures not to exceed $100,000.00 in the aggregate; 8. Board-Licensed Training Centers only: 1. Support the hiring of qualified and credentialed instructors to adequately cover course administration and demand for delivery over the three year grant period. 2. Supplement the cost(s) of program administration and maintenance over the three year grant period. 3. Increase licensure classes offered over the three-year grant period. 4. Increase total number of EMS students over the three-year grant period. 5. Create new hybrid course offerings over the three-year grant period. 6. Offer learning opportunities at a reduced cost over the three-year grant period. 7. Increase non-licensure – EMS Professional Development offerings (Leadership training, safety Officer Courses, Continuous Quality Improvement, EMS Business Training) over the three-year grant period.

and

• • 1. If the applicant is a Board-Designated Regional Council, the application must contain an agreement that $150,000.00 of the allocated amount shall be used to provide Regional Medical Director and Associate Regional Medical Director services for at minimum of a three (3) year period following the disbursement of funds.

1. Programmatic Criteria for Evaluating Applications. An application that meets the requirements of §1 must be evaluated based on the following programmatic criteria: 1. Based on the proposed programming, whether it aligns with the activities authorized in §1 above and whether the action will likely result in increasing the sustainability of local EMS entities, regional EMS entities, or the Maine EMS system’s sustainability. 2. If supplementing wages, ensure that EMS entities are not paying any individual staff member more than $76,500.00 annually with the awarded funding. This is not inclusive of associated standard employee benefits. 3. If an Ambulance Service or Non-Transporting Service was awarded funds under the Maine EMS Stabilization Program, the Service is in compliance with the program contract for their agency. Non-compliance with the Maine EMS Stabilization Program Contract is grounds for application denial in addition to any penalties or remedies provided for under Chapter 25 of these Rules and the Service’s Maine EMS Stabilization Program Contract. 4. If an Ambulance Service or Non-Transporting Service, and if the application is not an initial application, the amount sought does not exceed the entity’s FMA. 5. If making a capital expenditure, ensure that all capital expenditures collectively do not exceed $100,000.00 in total. 1. Only purchases valued at $5,000.00 or more are considered capital expenditures for the purposes of this rule.
2. Unauthorized Uses of Funds. Applications shall also be reviewed for potential unauthorized uses of funding. Applications may be denied should it be determined that the applicant EMS entity intends to use the funding for unauthorized uses. The following are unauthorized uses of the funding: 1. Expenses or losses reimbursed from any other source(s) or that other sources are obligated to repay. 2. Expenses related to staffing needs exceeding an annual salary of $76,500.00, as prorated over the applicable period. This limit does not include standard employee benefit offerings (i.e., the cost of a staff member may be higher because the cost of benefits and salary exceeds $76,500.00.). 3. Construction, renovation, purchase, or acquisition costs for facilities. 4. Payment for existing indebtedness. 5. Payment on obligations incurred prior to the award of funds. 6. Supplanting existing local subsidies or funding sources except if they replace volunteer labor, donated services, donated goods, or funds raised through community fundraising efforts (e.g., bake sales, dinners, etc.).

EVALUATION OF APPLICATIONS

1. Evaluation Panel. The Director shall establish an evaluation panel of at least three people who will serve to evaluate each of the applications to ensure compliance with the requirements, programmatic criteria, and to screen for identifiable unauthorized uses of the funding.
2. Process. Each panel member shall review each application separately and determine if the proposed programming and budget align with the previous section. 1. If a single member of the panel, following their review, believes that an application is out of compliance with any component of Section seven (7) of this rule, all members of the evaluation panel shall meet to discuss. 2. If it is determined by a majority of the evaluation panel that the application is or may be out of compliance with one or more of the components outlined in Section seven (7) of this rule, they may take any, or all, of the following actions: 1. Request additional information from the applicant. 2. Offer the applicant the opportunity to modify its application within 15 calendar days to come into compliance with Section seven (7) of this rule. 3. If, following these actions, the majority of the evaluation panel determines that all or part of the application remains out of compliance, they may deny all or part of the proposed programming and its associated budget line. This denial is considered Final Agency Action, appealable to the Superior Court in accordance with the Maine Administrative Procedure Act, 5 M.R.S. Ch. 375 Subchapter VII. 4. If an application is denied in totality, the applicant will not be eligible for funding under the applicable Announcement of Funding Opportunity. Funds comprising the denied applicant’s potential maximum allocation shall be retained for future funding opportunities in accordance with this rule.

REPORTING

1. Requirements. 1. The Director shall define the reporting requirements for this funding opportunity and incorporate them into the funding agreements with qualified applications. 2. Recipients of funds must track expenditures, detail their purpose, and provide evidence of the impact of the funding on the sustainability of their Service, Maine-licensed Training Center, Board-Designated Regional Council, Region, and/or the Maine EMS System.
2. Reporting Frequency. 1. The minimum frequency of a report shall be at least quarterly, with an annual update. The frequency of reporting required shall be defined in the funding agreement.

DISPENSING FUNDS

1. After review, the Director shall enter into an agreement with each qualified applicant for the amount awarded.
2. Delegation. The Board delegates authority to the Director to enter into agreements with qualified applicants for the disbursement of sustainability funds in amounts totaling no more than $900,000.00 for any eligible EMS entity. Following approval of an application by the evaluation panel, the Director may enter into the agreement without any additional authorization from the Board.

History

• STATUTORY AUTHORITY: 32 M.R.S. §84(1)(A), 32 M.R.S. §98(4)
• EFFECTIVE: February 25, 2025 – filing 2025-038

16-219 Office of the Commissioner

Chapter 39 Adjudicatory and Licensing Proceedings

Code Me. R. 16-219 Ch. 39 Adjudicatory and Licensing Proceedings {#sec-16-219-ch.-39 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 39}

SUMMARY: The following are rules of practice governing the conduct of all adjudicatory and licensing proceedings conducted before the Commissioner of Public Safety.

1. Notice of Hearing

Notice of all adjudicatory and licensing proceedings shall be given in accordance with the applicable statute. In the event that such statute does not specify the manner and method of notice, section 9052 of the Administrative Procedure Act shall apply.

2. Contents of Notice

Notice shall consist of the following:

A. A statement of the legal authority and jurisdiction under which the proceeding is being conducted;

B. A reference to the particular substantive statutory and rule provisions involved;

C. A short and plain statement of the nature and purpose of the proceeding and of the matters asserted;

D. A statement of the time and place of the hearing, or the time within which a hearing may be requested;

E. A statement of the manner and time within which evidence and argument may be submitted to the agency for consideration, whether or not a hearing has been set; and

F. When a hearing has been set, a statement of the manner and time within which applications for intervention under section 9054 may be filed.

3. Conduct of Hearings

A. Hearings shall be scheduled by the Commissioner without undue delay.

B. Continuances of hearings may be granted only for good cause and are discretionary with the Commissioner.

C. The conduct and decorum of hearings shall be under the full and exclusive control of the Commissioner.

D. Persons may be represented by counsel or other representative in a hearing before the Commissioner and any of his deputies or designees.

4. Hearings Recorded

All hearings shall be recorded in a form susceptible to transcription.

5. Ex Parte Communication

No hearing officer shall communicate directly or indirectly, in connection with any issue involved in a hearing, with any person, except upon notice and opportunity for all parties to participate.

6. Presentation of Evidence, Official Notice

A. Persons may present evidence bearing directly on the issues involved in the hearing, may call and examine witnesses and make oral cross-examination.

B. All witnesses shall be sworn.

C. The Maine Rules of Evidence shall not control the admissibility of evidence at these hearings, but evidence shall be admitted if it is the kind of evidence upon which reasonable persons are accustomed to rely on in the conduct of serious affairs. The rules of privilege recognized by law shall be observed.

D. Hearsay is admissible, but cannot serve as the sole basis of a decision.

E. The hearing officer may take official notice of nonconfidential records maintained by the Commissioner, e.g. accident reports, affidavits, etc. 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.

7. Right of Subpoena

A person shall be entitled to the issuance of subpoena in the name of the Commissioner to require the attendance and testimony of witnesses and the production of evidence relating to an issue of fact.

8. Record

A. The hearing officer shall make a record consisting of:

1. A brief statement by the hearing officer of the issues involved;

2. Evidence received or considered;

3. A statement of facts officially noticed;

4. offers of proof, objections and rulings thereon;

5. Proposed findings and exceptions, if any;

6. The recommended decision, opinion or report, if any, by the presiding officer;

7. Staff memoranda;

8. The decision of the agency.

B. Copies of recordings, transcriptions of recordings and copies of the full record shall be available to any person at actual cost.

C. All material, including records, reports and documents in the possession of the Commissioner, which the hearing officer utilizes 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.

9. Decisions

A. 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.

B. A copy of the decision shall be delivered or promptly mailed to the person involved and his representative.

10. Notice of Right to Appeal

Whenever a party has a statutory right of appeal to the Superior Court of an adverse decision by the Commissioner, such right of appeal shall be stated in the Commissioner's decision.

AUTHORITY: 5. M.R.S.A. Sec. 8051

EFFECTIVE DATE: July 24, 1978

EFFECTIVE DATE (ELECTRONIC CONVERSION): MAY 15, 1996

Chapter 51 Polygraph Examiner License Regulation

Code Me. R. 16-219 Ch. 51 Polygraph Examiner License Regulation {#sec-16-219-ch.-51 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 51}

SUMMARY: This chapter, which repeals and replaces the prior version of the chapter, establishes rules to ensure for the effective administration of the Maine Polygraph Examiners Act , 32 M.R.S. c. 86.

§1. DEFINITIONS

A. As used in this chapter, unless the context otherwise indicates, the following terms have the following meanings.

1. Commissioner. "Commissioner" means the Commissioner of the Department of Public Safety.

2. Department. "Department" means the Department of Public Safety.

3. Instrument. “Instrument” means a device used to test a subject to directly or indirectly detect deception or verify the truth of a statement by, at a minimum, recording visually, permanently and simultaneously a subject's cardiovascular, respiratory and electrodermal patterns.

4. Intern. "Intern" means a person who holds a polygraph examiner intern license under 32 M.R.S. c. 86.

5. Polygraph examination. "Polygraph examination" means an examination conducted by a polygraph examiner that consists of a pre-test phase, an in-test phase, and a post-test phase.

6. Polygraph examiner. "Polygraph examiner" means a person licensed under 32 M.R.S. c. 86 to use an instrument, as that word is defined in subsection 3.

7. Polygraph examiner internship. "Polygraph examiner internship" means a course of study of polygraph examinations and of the administration of polygraph examinations by an intern under the supervision and control of a polygraph examiner.

§2. COMMISSIONER-APPROVED POLYGRAPH EXAMINER COURSES

A. For the purposes of 32 M.R.S. §7382(1)(C), the Commissioner-approved polygraph examiner courses are those that were accredited by the American Polygraph Association at the time a person participated in and completed the courses.

§3. POLYGRAPH EXAMINER INTERN LICENSE

A. Qualifications. A person is qualified to be issued a polygraph examiner intern license if he or she:

1. Has not been convicted of a crime for which a license may be denied under 5 M.R.S. ch. 341;

2. Either:

(1) Holds a baccalaureate degree from an accredited college or university; or

(2) Has at least 5 years of experience , including 3 years on a full-time basis, as a sworn member of an investigative service of a branch of the United States Armed Forces, a federal investigative agency or a law enforcement agency;

3. Is a graduate of a Commissioner-approved polygraph examiner course; and

4. Has arranged to participate in a polygraph examiner internship that will be supervised by a sponsor.

Documentation to substantiate that a person meets those qualifications may be requested by the Department.

B. Application. A person applying for a polygraph examiner intern license shall complete and submit to the Office of the Commissioner an application form for such a license. The application must be accompanied by the appropriate application fee, as set forth in 32 M.R.S. §7381(1)(B)(3), and any documentation requested by the Department to substantiate information provided in the application form.

C. Intern polygraph examiner sponsor. As a condition of licensure, a polygraph examiner intern license applicant shall arrange to participate in, and must satisfactorily complete, a polygraph examiner internship that will be supervised by a sponsor.

1. To be eligible to be a sponsor for an intern polygraph examiner, a person shall have held a polygraph examiner license for at least twenty-four (24) months.

2. A polygraph examiner only may sponsor up to two (2) interns at any given time.

3. A polygraph examiner who has agreed to serve as a sponsor shall notify the Department in writing that he or she has agreed to do so. Such notification must include the name of the intern who is being sponsored and the date on which the internship will begin.

4. During the term of a polygraph examiner internship, a sponsor shall:

(A) Supervise each polygraph examination conducted by each intern with whom he or she is working;

(B) Speak at least once a month with each intern whom he or she is sponsoring, to discuss each intern’s proficiency in administering polygraph examinations and interpreting charts.

5. At the conclusion of the internship, the sponsor must submit to the Department a report that states:

(A) The dates on which the internship began and ended;

(B) The number of polygraph examinations conducted by the intern that were personally supervised by the sponsor;

(C) The number of times the sponsor spoke with the intern to discuss the intern’s proficiency in administering polygraph examinations and interpreting charts; and

(D) The sponsor’s professional opinion of whether the intern has satisfactorily completed the internship.

§4. POLYGRAPH EXAMINER LICENSE

A. Qualifications. A person is qualified to be issued a polygraph examiner license if he or she meets the qualifications set forth in 32 M.R.S. §7382. Documentation to substantiate that a person meets those qualifications may be requested by the Department.

B. Application. A person applying for a polygraph examiner license shall complete and submit to the Office of the Commissioner an application form for such a license, and applies for a license prior to the expiration of his or her intern license, or within 12 months after the expiration of such license. The application must be accompanied by the appropriate application fee, as set forth in 32 M.R.S. §7381(1)(B)(1), and any documentation requested by the Department to substantiate information provided in the application form.

§5. CONTINUING EDUCATION REQUIREMENT

A. A licensed polygraph examiner shall attend at least twelve (12) hours of polygraph examination-related coursework during his or her initial two-year licensure period, and then at least twenty-four (24) hours of polygraph examination-related coursework during each subsequent four-year licensure period.

1. Such coursework may include, but is not limited to, classes, seminars, and lectures, whether conducted in-person, via video and/or audio transmission, or online.

B. Before or by the date on which a licensed examiner applies for her or his license to be renewed, the examiner shall submit documentation to the Office of the Commissioner that substantiates that, in the case of the first renewal of the license, the examiner attended at least twelve (12) hours of polygraph examination-related course work during his or her initial two-year licensure period and, in the case of subsequent renewals, that the examiner attended at least twenty-four (24) hours of polygraph examination-related coursework during the preceding four-year licensure period.

1. Such documentation may include, as examples only, certificates of class completion and course transcripts.

2. To supplement, or in lieu of, such documentation, a polygraph examiner may compose and submit a letter certifying that he or she has completed the required number of hours of continuing education. Such a letter must be signed by the examiner, and also bear the printed name and signature of a person who witnessed the examiner signing the certification letter.

C. The failure of a polygraph examiner to meet his or her continuing education obligation during the preceding (as applicable) two-year or four-year licensure period is grounds for nonrenewal of the examiner’s polygraph examiner license.

§6. DUTY TO COMPLY WITH STANDARDS OF ACCEPTABLE PROFESSIONAL CONDUCT

A. In conducting their work, licensed polygraph examiners and intern polygraph examiners shall abide by the provisions of 32 M.R.S. c. 86 and this regulation.

B. In addition, licensed polygraph examiners and intern polygraph examiners shall abide by following standards of acceptable professional conduct:

1. A licensee shall not engage in any activity or activities intended to encourage, instruct, or persuade an examinee, or a potential examinee, to engage in any behaviors designed or intended either:

(A) To fabricate or manufacture the person’s physiological activity during a polygraph examination; or

(B) To lie or conceal any relevant information during a polygraph examination.

History

• STATUTORY AUTHORITY: 32 M.R.S. §7353(2)
• EFFECTIVE DATE: November 25, 1979 – filing 79-529
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996 – filing 96-218
• REPEALED AND REPLACED: February 22, 2017 – filing 2017-026

Chapter 60 Transportation of Hazardous Materials in Maine (transferred from 16-222 c.6)

Code Me. R. 16-219 Ch. 60 TRANSPORTATION OF HAZARDOUS MATERIALS in maine {#sec-16-219-ch.-60 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 60}

(Cite as 16-219 CMR c. 60)

§ 1. Adoption and Incorporation by Reference of Federal Regulations

§ 2. Federal Exemptions

§ 3. Source of Federal Regulations

§ 1. Adoption and Incorporation by Reference of Federal Regulations

No person may offer, accept, or transport a hazardous material in commerce in the State of Maine unless the material is properly classed, described, packaged, marked, labeled, handled, placarded, and in proper condition for shipment in accordance with the Federal regulations adopted and incorporated by reference into this chapter, namely Parts 107, 171, 172, 173, 174, 177, 178, 179, 180, 387, and 397 of Title 49 Code of Federal Regulations , as amended.

§ 2. Federal Exemptions

The Department hereby accepts the validity of any exemption or renewal thereof issued by the United States Department of Transportation under Section 107, Subpart B of Title 49 Code of Federal Regulations. Any person operating under a current, valid exemption or renewal thereof under Section 107 shall be deemed to be in compliance with those portions of these regulations to which this exemption applies, provided that the person is complying with the terms of the exemption.

§ 3. Source of Federal Regulations

Copies of the Federal rules adopted and incorporated by reference herein may be obtained from the following agencies:

Superintendent of Documents

U.S. Government Printing Office

Washington, D.C. 20402

Maine Department of Public Safety

Bureau of Maine State Police

20 State House Station

Augusta, ME 04333-0020

History

• STATUTORY AUTHORITY: 25 MRSA §2103-A
• STATUTORY AUTHORITY: RULE HISTORY
• STATUTORY AUTHORITY: Under 16-222 c.6, Bureau of State Police
• EFFECTIVE DATE: September 28, 1984
• AMENDED: January 1, 1985
• AMENDED: January 30, 1991
• AMENDED: March 27, 1993
• AMENDED: March 27, 1993
• AMENDED: March 1, 1995
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• AMENDED: November 17, 1997
• AMENDED: April 17, 2000
• AMENDED: July 9, 2001
• AMENDED: June 21, 2003 - filing 2003-190
• AMENDED: July 29, 2006 – filing 2006-341
• REPEALED AND REPLACED: May 3, 2008 – filing 2008-177
• REPEALED AND REPLACED: Under 16-219, Office of the Commissioner
• REPEALED AND REPLACED: May 18, 2010 – filing 2010-168
• REPEALED AND REPLACED: July 27, 2010 – chapter number changed to Ch. 60
• REPEALED AND REPLACED: June 19, 2012 – filing 2012-167
• REPEALED AND REPLACED: May 28, 2013 – filing 2013-119
• REPEALED AND REPLACED: 16-219 Chapter 60 page 2
• REPEALED AND REPLACED: Page 2 of 2

Chapter 70 Regulation Establishing Critical Incident Stress Management Team Training Standards

Code Me. R. 16-219 Ch. 70 Regulation Establishing Critical Incident Stress Management Team Training Standards {#sec-16-219-ch.-70 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 70}

BASIS STATEMENT: The principal reason for proposing this amendment to the existing regulation is to ensure that the regulation is consistent with the statutes amended by PL 2019, c. 89, An Act To Amend the Laws Governing Critical Incident Stress Management Teams.

DEFINITIONS

For the purposes of this regulation, the terms included in this section are defined as follows, unless otherwise indicated in the regulation.

Critical incident. "Critical incident" has the same meaning as in 25 M.R.S.A. §4201, sub-§1.

Critical incident stress management peer support. "Critical incident stress management peer support" has the same meaning as in 25 M.R.S.A. §4201, sub-§1-A

Critical incident stress management peer support person. "Critical incident stress management peer support person" has the same meaning as in 25 M.R.S.A. §201, sub-§1-B.

Critical incident stress management team. "Critical incident stress management team" has the same meaning as in 25 M.R.S.A. §4201, sub-§2.

Public safety agency. "Public safety agency" has the same meaning as in 25 M.R.S.A. §2921, sub-§6-B.

CRITERIA

Each member of a critical incident stress management team, as well as each volunteer team coordinator, must have the following training, at a minimum:

Sixteen (16) hours or more of basic critical incident stress management training by a certified CISMT trainer or through a nationally recognized organization, such as the International Critical Incident Stress Foundation.

An aggregate of twenty (20) hours of annual in-service training in CISM or behavioral health. Time spent in actual deployment as a member of CISMT may be credited to this twenty (20) hours of annual in-service training requirement.

History

• STATUTORY AUTHORITY: 25 M.R.S. §4201(2), (1-A), (1-B)
• EFFECTIVE DATE: August 10, 2014 – filing 2014-156
• AMENDED: December 25, 2019 – filing 2019-244
• AMENDED: 16-219 Chapter 70 page 2

Chapter 71 Uniform Standardized Forensic Examination Kit for Gross Sexual Assault Evidence Collection (formerly 16-222 Ch. 20)

Code Me. R. 16-219 Ch. 71 Uniform Standardized Forensic Examination Kit for Sexual Assault Evidence Collection {#sec-16-219-ch.-71 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 71}

Summary: This chapter defines the uniform forensic examination kit to be used by licensed medical facilities and health care practitioners for evidence collection in alleged cases of sexual assault.

Purpose: This rule will define the contents of the uniform standardized examination kit to be used for forensic evidence collection in alleged cases of sexual assault. The rule will list the contents of the kit, include instructions for administering the kit, and will include a checklist for examiners to follow and enclose with the completed kit.

§ 1. Initial Instructions

The forensic examination kit shall include initial instructions to notify the health care provider utilizing the kit of suggestions and precautions to take during the use of the kit. The instructions shall include contact information for both the Maine State Police Crime Laboratory and the Health and Environmental Testing Laboratory. The general instructions are located in Appendix A, which is a part of these rules (16-222 CMR Ch. 20 Appendix A).

§ 2. Adult Examination Instructions

The forensic examination kit shall include step-by-step instructions for the collection of evidentiary specimens from alleged adult victims of sexual assault, including how to collect, mark, preserve, and package the evidence. The step-by-step instructions for adults are located in Appendix B, which is part of these rules (16-222 CMR Ch. 20 Appendix B).

§ 3. Prepubertal Children Instructions

The forensic examination kit shall include step-by-step instructions for the collection of evidentiary specimens from prepubertal children who are alleged victims of sexual assault and to notify the health care provider utilizing the kit of suggestions and precautions to take during collection of sexual assault evidence from prepubertal children. The step-by-step instructions for prepubertal children are located in Appendix C, which is part of these rules (16‑222 CMR Ch. 20 Appendix C).

§ 4. Final Instructions

The forensic examination kit shall include a list of final instructions for sealing and marking the completed kit. The final instructions are located in Appendix D, which is part of these rules (16-222 CMR Ch. 20 Appendix D).

§ 5. Patient Information Card

A patient information card shall be included as part of the kit, and shall be distributed to the patient upon leaving the medical facility after the forensic examination. The card shall include instructions for tracking the location of the kit, including a space to affix a tracking label, and the statewide sexual assault crisis hotline telephone number.

§ 6. Contents

The forensic examination kit shall include the contents necessary to complete the evidence collection steps described in the previous sections. These contents include but are not limited to instructions, envelopes, swab boxes, sterile swabs, paper bags, evidence tape, nail clippers, labels, tracking labels, drying rack, patient instruction card, and examination checklists.

§ 7. Examination Checklists

1. The forensic examination kit shall include an evidence collection inventory form for examiners to follow when administering the kit. This form will list the contents of the kit and allow the examiner to indicate, where applicable, if an item was collected, and to make any additional notes necessary. This form will be available in triplicate with one copy designated for the medical facility, one copy for the law enforcement agency, and one copy for the crime laboratory.

The forensic examination kit shall include a patient’s assault information form for examiners to complete when executing the kit. This form will allow the examiner to note the patient’s description of the assault, including specific information about the assault, the date and time of the assault, information about the patient, and information regarding the perpetrator. This form will be available in triplicate with one copy designated for the medical facility, one copy for the law enforcement agency, and one copy for the crime laboratory.

3. The forensic examination kit shall include a Victim’s Compensation Board forensic examination claim form for examiners to complete. This form will be available in duplicate with one copy designated for the Victims’ Compensation Board of the Office of the Attorney General and one copy for the medical facility.

History

History

• STATUTORY AUTHORITY: 25 M.R.S.A. §2915
• STATUTORY AUTHORITY: Filed as 16-222 Chapter 20, Bureau of State Police:
• EFFECTIVE DATE: October 17, 2001 - replaces repealed Chapter 13, "Gross Sexual Assault Standardized Evidence Collection Kit" – filing 2001-434
• NON-SUBSTANTIVE CORRECTIONS: March 17, 2004 - added "C" to last line of Section 9.3.
• REPEALED AND REPLACED: November 28, 2004 – filing 2004-548
• REPEALED AND REPLACED: November 18, 2009 – filing 2009-588
• CORRECTION: March 22, 2010 – grammatical corrections to Appendices B and C
• CORRECTION: Moved to 16-219 Chapter 71, Office of the Commissioner:
• REPEALED AND REPLACED: July 3, 2016 – filing 2016-109
• AMENDED: July 17, 2018 – filing 2018-167
• AMENDED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 22, 2025
• AMENDED: This kit is designed to assist the examining health care provider in the collection and preservation of evidentiary specimens from alleged victims of sexual assault for analysis by the appropriate laboratory. The health care provider should use best judgment if deviation from the instructions is necessary. Separate instructions are provided for evidence collection on pre-pubertal children.
• AMENDED: When a forensic examination is performed, it is vital that the medical examination and evidence collection procedures be integrated at all times in order to minimize trauma to the patient. The patient may decline any evidence collection step and has the right to stop the examination at any point during the process.
• AMENDED: If the examiner suspects that drugs may have been used to facilitate the alleged assault, the patient should be asked for consent to have a blood and / or a urine sample collected for identification of “rape drugs.” Such suspicion may be based on observations or report of drowsiness, memory loss, impaired motor skills, or other symptoms consistent with drug or alcohol ingestion. Due to the time-sensitive nature of these sample types, this sample collection should be given priority. If the ingestion is believed to have occurred within 96 hours prior to the hospital examination, collect both urine and blood specimens. After 96 hours, no urine or blood specimens are necessary. Prior to collecting the urine sample, or if the patient should need to use the restroom at any point during the examination, first collect genital / penile swabs, anal swabs, vaginal / cervical swabs, pubic combings, or any other evidence that may be lost during urination and / or defecation.
• AMENDED: When collecting evidence with swabs, make sure to rotate the swabs to ensure that all areas of the swab head come into contact with the surface being swabbed. Swabs must be air dried prior to packaging, with the exception of the Known DNA Collection, which may be packaged immediately using the plastic aerated cap provided. Air drying takes at least 1 hour. Do not use heat. A disposable drying rack is provided to facilitate the drying process. Samples should be dried completely. The time for this process will vary depending on the sample type; however, minimal use of sterile distilled water will improve drying time.
• AMENDED: Do not place specimens collected for the medical facility in this kit.
• AMENDED: If any of the components have expired prior to the use of the kit, replace with equivalent items from facility stock.
• AMENDED: For tracking purposes, each kit is assigned a unique tracking number and contains a group of labels printed with that number. One label should go on each component of the kit for chain of custody purposes. Do not identify any component of the kit with the patient’s name; use only the tracking labels provided. The patient’s name should be written in the space provided on the outer kit container ONLY if the patient has reported the alleged offense to law enforcement (or plans to file a report) and has chosen to not have an “anonymous” kit done.
• AMENDED: The health care provider should wear disposable gloves at all times during the examination to minimize the possibility of contamination. Gloves need to be changed and disposed of appropriately throughout the examination to avoid any cross contamination.
• AMENDED: If you have any questions concerning the use of this kit, contact the Maine State Police Crime Laboratory in Augusta at 624-7100. Questions concerning the collection of specimens for drug or alcohol testing should be referred to the Health and Environmental Testing Laboratory (HETL) in Augusta at 287-2727.
• AMENDED: The evidence collected in this evidence collection kit will only be examined after the patient files a report with law enforcement. If the patient decides not to report, or is unsure whether to file a report, local law enforcement will hold the kit for at least 90 days. Please make the patient aware of the potential deleterious effects of time on specimens collected for detecting drugs and / or alcohol. If the samples are not stored appropriately or examined immediately, scientifically accurate results may not be obtained.
• FORMS: Complete the authorization form for collection of evidence and have the patient sign it. The form should be retained by the medical facility and included in the patient’s medical records.Fill out all information requested on the Patient’s Assault Information Form and the Evidence Collection Inventory Form. One copy should go to each of the following: medical facility, law enforcement officer, crime laboratory.A Victims’ Compensation Board Sexual Assault Forensic Examination Claim Form is included in this kit. This form must be completed and submitted to the Victims’ Compensation Board if compensation is desired. The original should be mailed to the Victims’ Compensation Board at the address provided on the form and a copy retained for the medical facility.
• PLEASE NOTE: Unless otherwise noted, do not moisten swabs prior to sample collection. If moistening is required, use only sterile / distilled water.All swabs should be air dried prior to packaging, with the exception of the Known DNA Collection swab, which may be packaged immediately using the plastic aerated cap provided. Unless otherwise noted, place the evidence collection specimens back into the envelope or bag from which they came.All envelopes and bags containing evidence should be sealed. Attach a tracking label to the outside of each envelope or bag and fill out all information requested.
• CLOTHING COLLECTION: Clothing may be removed and collected at any point during the examination process. When the patient is ready to disrobe, use the paper sheet from the Foreign Material Collection bag to collect any foreign material by placing the sheet on the floor over a clean facility bed sheet and instructing the patient to stand on it while removing each item of clothing. Collect each clothing item as it is removed and place it in the appropriate clothing bag. Do not shake out the clothing or cut through any existing holes, rips, or stains in the clothing. Air dry any wet or damp clothing if secure facilities are available; otherwise, notify law enforcement personnel that the clothing is wet or damp.Refold the Foreign Material Collection sheet in such a manner as to retain any material present and place it in the Foreign Material Collection bag.If the patient changed his or her clothing after the assault, notify law enforcement personnel so the clothing worn at the time of the assault may be collected.
• CLOTHING COLLECTION: Step 1. ORAL SWABS
• CLOTHING COLLECTION: Carefully swab the buccal area and gum line using the two swabs simultaneously. Be sure to collect the swabs from the upper and lower buccal areas and the gum line, rotating the swabs during collection.
• CLOTHING COLLECTION: Allow the swabs to air dry, then place the swabs in the swab box and check “Oral”.
• CLOTHING COLLECTION: Step 2. KNOWN DNA COLLECTION
• NOTE: Have the patient rinse his / her mouth with water prior to completing this step.
• NOTE: Remove the components from the envelope. Open the swab protector and slide the protector back to expose the swab head.
• NOTE: Using the swab, vigorously swab the inside of both of the patient’s cheeks for 5 to 10 seconds.
• NOTE: Pull the swab head back into the protector and re-close the protector around the swab head.
• NOTE: Step 3. FINGERNAIL CLIPPINGS / SWABS
• NOTE: Remove the folded paper from the envelope and place, unfolded, on a flat surface.
• NOTE: Hold the patient’s hands over the paper and gently clip the entire nail, allowing the clippings to fall on the paper.
• NOTE: Refold the paper so as to retain the fingernail clippings.
• NOTE: If the patient declines clippings, use one of the swabs to swab under the fingernails of the right hand and the other swab to swab under the fingernails of the left hand. Allow the swabs to air dry, then place the swabs in the swab box and check “Fingernails”.
• NOTE: Step 4. KNOWN HEAD HAIR SAMPLE
• NOTE: Remove the folded paper from the envelope and place, unfolded, on a flat surface.
• NOTE: Run a gloved hand through the patient’s hair, gently removing 10-12 hairs (total) from various scalp locations (front, top, sides, and back of head). The patient may be more comfortable performing this step himself or herself. If the required number of hairs is not collected, have the patient pull the additional required hairs. Alternatively, the hairs may be cut close to the scalp.
• NOTE: Place the hairs in the center of the paper and refold so as to retain the hairs.
• NOTE: Step 5. DEBRIS COLLECTION
• NOTE: This step is provided for the collection of debris such as foreign hairs, fibers, etc. from the patient’s body. Do not package debris from different areas of the patient’s body in the same envelope; if necessary, use a separate clean facility envelope and make a druggist fold.
• NOTE: Remove the folded paper from the envelope and place, unfolded, on a flat surface.
• NOTE: Collect any debris present on the patient and place in the center of the paper. Fold the paper so as to retain the debris.
• NOTE: Identify the location from which the samples were removed on the anatomical drawings on the envelope.
• NOTE: Step 6. DRIED SECRETIONS / MISCELLANEOUS SWABS
• NOTE: This step is provided for the collection of suspected blood, semen, or saliva which may be present on the patient’s body. Carefully examine areas of kissing, sucking, or biting for saliva, and other body areas for ejaculate or other dried secretions. An alternate light source is helpful for locating secretions. Do not package swabs from different areas of the patient’s body in the same swab box; if necessary, use separate swab boxes or clean envelopes from facility stock. Additional swabs are provided in this step for the collection of evidence not covered elsewhere in this kit (e.g. nasal swabs, strangulation swabs).
• NOTE: Lightly moisten two of the provided swabs with sterile / distilled water and thoroughly swab the dried secretion with both swabs.
• NOTE: Allow the swabs to air dry, then place the swabs in one of the swab boxes provided.
• NOTE: Mark on the swab box if the swabs are suspected semen, saliva, blood, or other. If other, please describe.
• NOTE: Identify the location from which the samples were removed on the anatomical drawings on the envelope.
• NOTE: If additional swabs are necessary, lightly moisten the other swabs with a minimal amount of sterile / distilled water and thoroughly swab the area making sure to rotate the swabs during the collection procedure. Allow the swabs to air dry, then place the swabs in the other swab box and check “Other”. Identify the sample on the line provided and write the area of the patient’s body from which the sample was obtained.
• NOTE: Step 7. PUBIC COMBING
• NOTE: Remove the folded paper and comb. Unfold the paper and place it under the patient’s buttocks.
• NOTE: Comb the pubic hair in downward strokes to allow any debris or loose hairs to fall onto the paper.
• NOTE: Remove the paper from under the patient, place the comb in the center of the paper, and refold so as to retain the comb and any evidence collected.
• NOTE: If the patient has a shaved pubic area, DO NOT pluck the hair. Observe the area carefully for any pubic hairs. If found, place in the folded paper and document on the envelope that a foreign pubic hair was found on the patient’s shaved pubic area.
• NOTE: Step 8. KNOWN PUBIC HAIR SAMPLE
• NOTE: Skip this step if the patient shaves his or her pubic area.
• NOTE: Remove the folded paper from the envelope and place, unfolded, on a flat surface.
• NOTE: Remove 3-5 hairs (total) from various regions of the pubic area by cutting the hairs close to the skin. The patient may be more comfortable performing this step himself or herself.
• NOTE: Place the hairs in the center of the paper and refold so as to retain the hairs.
• NOTE: Step 9. GENITAL / PENILE SWABS
• NOTE: Lightly moisten the swabs provided with 1-2 drops of sterile / distilled water.
• NOTE: Holding the swabs together, briskly swab the external genitalia from the mons to the perineum, including along the folds between the labia majora and the labia minora in the female patient. Be sure to rotate the swabs during the collection procedure. With the male patient, swab the entire penis and scrotum. Retract the foreskin if uncircumcised.
• NOTE: Allow the swabs to air dry, then place the swabs in the box and check “Genital / Penile”.
• NOTE: Step 10. ANAL SWABS
• NOTE: If necessary, lightly moisten the swabs with a minimal amount of sterile / distilled water for the comfort of the patient.
• NOTE: Carefully swab the anus using the two swabs simultaneously.
• NOTE: Allow the swabs to air dry, then place the swabs in the swab box and check “Anal”.
• NOTE: Step 11. VAGINAL / CERVICAL SWABS
• NOTE: Carefully swab the vaginal vault (including the fornix) and cervix using the two swabs simultaneously. Swabbing the cervix is particularly important if more than 12 hours have passed since the assault. Do not swab the os. 
• NOTE: Place the swabs in the swab box and check “Vaginal / Cervical.”
• NOTE: Step 12. MISCELLANEOUS EVIDENCE
• NOTE: This step is provided for the collection of miscellaneous evidence not covered elsewhere in this kit, such as tampons, sanitary pads, condoms, etc. Do not package multiple items together in the same bag. Use a separate facility paper bag or one of the clothing bags if available.
• NOTE: Collect the item and allow it to air dry if necessary. When dry, place in the paper bag.
• NOTE: Step 13. URINE SPECIMEN
• NOTE: If the patient presents with drowsiness, memory loss, impaired motor skills, etc. or there is a suspicion of a drug used to facilitate rape, and the ingestion is suspected to have occurred within 96 hours of the hospital examination, the patient should be asked for consent to have a urine sample collected for identification of “rape drugs.” If consent is given, immediately collect urine as specified below. To assist the toxicologist, document the date and time when the drug was probably ingested, the date and time the specimen was collected, and any drugs or alcohol voluntarily ingested in the last five days.
• NOTE: Using normal medical procedure and one 100 ml sterile urine collection container from facility stock, collect a 100 ml urine sample.
• NOTE: Attach a tracking label to the container and close it tightly.
• NOTE: Seal the container with evidence tape, place the container in the ziplock bag, and close the bag.
• NOTE: Place on ice until the packaging of specimens is done at the end of the forensic examination.
• NOTE: When packaging, place the ziplock bag with the urine container in the urine collection box.
• NOTE: Seal the box, attach a tracking label and the biohazard and urine stickers, and fill out all information requested.
• NOTE: DO NOT PLACE THE BOX CONTAINING THE URINE SPECIMEN BACK IN THE KIT. Instead, use the packaging materials provided. Instruct law enforcement to freeze the urine until transport to HETL for analysis.
• NOTE: Step 14. BLOOD SPECIMEN
• NOTE: If the patient presents with drowsiness, memory loss, impaired motor skills, etc. or there is a suspicion of a drug used to facilitate rape, and the ingestion is suspected to have occurred within 96 hours of the hospital examination, the patient should be asked for consent to have a blood sample collected for identification of “rape drugs”. If consent is given, immediately collect a blood sample as specified below. Use two 10 ml gray-topped blood tubes or four 5ml gray-topped blood tubes (potassium oxalate and sodium fluoride). To assist the toxicologist, document the date and time when the drug was probably ingested, the date and time the specimens were collected, and any drugs or alcohol voluntarily ingested in the last five days.
• NOTE: Using normal medical procedure and appropriate blood collection tubes, withdraw a sample from the patient allowing the blood tubes to fill to maximum volume. Attach a tracking label to the blood tubes.
• NOTE: Place the tubes in the enclosed bubble pack and seal.
• NOTE: Place on ice until the packaging of specimens is done at the end of the forensic examination.
• NOTE: When packaging, place the bubble pack in the blood collection box.
• NOTE: Seal the box, attach a tracking label and the biohazard and blood stickers, and fill out all information requested.
• NOTE: DO NOT PLACE THE BOX CONTAINING THE BLOOD SPECIMENS BACK IN THE KIT. Instead, use the packaging materials provided. Instruct law enforcement to refrigerate (not freeze) the blood until transport to HETL for analysis.
• NOTE: If questions arise during the collection of evidence from prepubertal children, please contact the Spurwink Child Abuse Program at 1-800-260-6160.
• NOTE: When a forensic examination is performed, it is vital that the medical examination and evidence collection procedures be integrated at all times in order to minimize trauma to the child.
• NOTE: If the alleged perpetrator is a pre-pubertal child, the Office of Child and Family Services should be notified at 1-800-452-1999 (Voice) 711 (TTY). The State of Maine's child abuse hotline is staffed 24 hours a day.
• NOTE: If the assault or last sexual contact occurred within 72 hours prior to the hospital visit, or if the time frame cannot be determined, physical evidence from adolescents (13 years or older) can be collected utilizing the uniform standardized forensic examination kit, according to the instructions given for adults. However, physical evidence from pre-pubertal children should be collected using the following instructions:
• NOTE: If it is determined that the last sexual contact took place more than 72 hours prior to the hospital visit, it is extremely unlikely that trace evidence will still be present on the child’s body. This is most common in situations involving long-term abuse. Therefore, a careful evaluation of each case must be made to decide which, if any, evidence collection procedures should be implemented. Regardless of when the last sexual contact might have occurred, valuable evidence can still be obtained through a medical / forensic examination of the child and history from the caregiver and / or child. However, it is important that a child not be asked questions by multiple providers / people. A Sexual Assault Forensic Examiner is the most appropriate provider to care for the child, in consultation with the ED physician and the Spurwink Child Abuse Program medical staff. Do not force any steps of the examination and / or evidence collection process.The collection of specimens for drug testing is not generally necessary for pre-pubertal children unless they provide a history consistent with drug ingestion, including drowsiness, altered consciousness, memory loss, impaired motor skills, or other symptoms consistent with drug ingestion. If the child presents with these symptoms, head trauma should be considered.
• PLEASE NOTE: Unless otherwise noted, do not moisten swabs prior to sample collection. If moistening is required, use only sterile / distilled water.All swabs should be air dried prior to packaging, with the exception of the Known DNA Collection swab, which may be packaged immediately using the plastic aerated cap provided. Unless otherwise noted, place the evidence collection specimens back into the envelope or bag from which they came.All envelopes and bags containing evidence should be sealed. Attach a tracking label to the outside of each envelope or bag and fill out all information requested.
• CLOTHING COLLECTION: Clothing may be removed and collected at any point during the examination process. When the patient is ready to disrobe, use the paper sheet from the Foreign Material Collection bag to collect any foreign material by placing the sheet on the floor over a clean facility bed sheet and instructing the patient to stand on it while removing each item of clothing. Collect each clothing item as it is removed and place it in the appropriate clothing bag. Do not shake out the clothing or cut through any existing holes, rips, or stains in the clothing. Air dry any wet or damp clothing if secure facilities are available; otherwise, notify law enforcement personnel that the clothing is wet or damp.Refold the Foreign Material Collection sheet in such a manner as to retain any material present and place it in the Foreign Material Collection bag.If the patient changed his or her clothing after the assault, notify law enforcement personnel so the clothing worn at the time of the assault may be collected.
• CLOTHING COLLECTION: Step 1. ORAL SWABS
• NOTE: Oral swabs should only be collected if the case history indicates oral contact. Oral swabs may be difficult to obtain from very young children.
• NOTE: Carefully swab the buccal area and gum line using the two swabs simultaneously. Be sure to collect the swabs from the upper and lower buccal areas and the gum line, rotating the swabs during collection.
• NOTE: Place the swabs in the swab box and check “Oral”.
• NOTE: Step 2. KNOWN DNA COLLECTION
• NOTE: Have the patient rinse his / her mouth with water prior to completing this step.
• NOTE: Open the swab protector and slide the protector back to expose the swab head.
• NOTE: Using the swab, vigorously swab the inside of both cheeks for 5 to 10 seconds.
• NOTE: Pull the swab head back into the protector and re-close the protector around the swab head.
• NOTE: Step 3. FINGERNAIL CLIPPINGS / SWABS
• NOTE: Do not collect fingernail clippings from young children unless the examination is performed under anesthesia. The fingernails may be swabbed instead.
• NOTE: Remove the folded paper from the envelope and place, unfolded, on a flat surface.
• NOTE: Hold the patient’s hands over the paper and gently clip the entire nail, allowing the clippings to fall on the paper.
• NOTE: Refold the paper so as to retain the fingernail clippings.
• NOTE: For young children, use one of the swabs to swab under the fingernails of the right hand and the other swab to swab under the fingernails of the left hand. Allow the swabs to air dry, then place the swabs in the swab box and check “Fingernails”.
• NOTE: Step 4. KNOWN HEAD HAIR SAMPLE
• NOTE: It is recommended that head hair standards not be taken from pre-pubertal children at the time of the initial examination.
• NOTE: Step 5. DEBRIS COLLECTION
• NOTE: This step is provided for the collection of debris such as foreign hairs, fibers, etc. from the patient’s body. Do not package debris from different areas of the patient’s body in the same envelope; if necessary, use a separate clean facility envelope and make a druggist fold.
• NOTE: Remove the folded paper from the envelope and place, unfolded, on a flat surface.
• NOTE: Collect any debris present on the patient (including the thighs and external genitalia) and place in the center of the paper. Fold the paper so as to retain the debris.
• NOTE: Identify the location from which the samples were removed on the anatomical drawings on the envelope.
• NOTE: Step 6. DRIED SECRETIONS / MISCELLANEOUS SWABS
• NOTE: This step is provided for the collection of suspected blood, semen, or saliva which may be present on the patient’s body. Carefully examine areas of kissing, sucking, or biting for saliva, and other body areas for ejaculate or other dried secretions. An alternate light source is helpful for locating secretions. Do not package swabs from different areas of the patient’s body in the same swab box; use separate swab boxes or clean envelopes from facility stock. Additional swabs are provided in this step for the collection of evidence not covered elsewhere in this kit (e.g. nasal swabs, strangulation swabs).
• NOTE: Lightly moisten two of the provided swabs with sterile / distilled water and thoroughly swab the dried secretion with both swabs.
• NOTE: Allow swabs to air dry, then place the swabs in one of the swab boxes provided.
• NOTE: Mark on the swab box if the swabs are suspected semen, saliva, blood, or other. If other, please describe.
• NOTE: Identify the location from which the samples were removed on the anatomical drawings on the envelope.
• NOTE: If additional swabs are necessary, lightly moisten the other swabs with a minimal amount of sterile / distilled water and thoroughly swab the area making sure to rotate the swabs during the collection procedure. Place the swabs in the other swab box and check “Other”. Identify the sample on the line provided and write the area of the patient’s body from which the sample was obtained.
• NOTE: Step 7. PUBIC COMBING
• NOTE: Instead of collecting pubic hair combings from pre-pubertal children, carefully examine the thighs and external genitalia for any loose hairs or fibers. If any are found, collect according to the instructions given in Step 5 of these instructions.
• NOTE: Step 8. KNOWN PUBIC HAIR SAMPLE
• NOTE: It is recommended that pubic hair standards (if present) not be taken from pre-pubertal children at the time of the initial examination.
• NOTE: Step 9. GENITAL / PENILE SWABS
• NOTE: Lightly moisten the swabs provided with 1-2 drops of sterile / distilled water.
• NOTE: Holding the swabs together, gently swab the external genitalia from the mons to the perineum, including along the folds between the labia majora and the labia minora in the female patient. Be sure to rotate the swabs during the collection procedure. With the male patient, swab the entire penis and scrotum. Retract the foreskin if uncircumcised.
• NOTE: Allow the swabs to air dry, then place the swabs in the swab box and check “Genital / Penile”.
• NOTE: Step 10. ANAL SWABS
• NOTE: If necessary, lightly moisten the swabs with a minimal amount of sterile / distilled water for the comfort of the patient.
• NOTE: Carefully swab the anus using the two swabs simultaneously.
• NOTE: Allow the swabs to air dry, then place the swabs in the swab box and check “Anal”.
• NOTE: Step 11. VAGINAL SWABS
• NOTE: NEVER use a speculum of any size on a pre-pubertal child.
• NOTE: For pre-pubertal females, some young adolescent females, and for the female patient who is too traumatized or anxious to have a vaginal examination, evidence specimens can be obtained by gently swabbing the perineum, inner thighs, and external genitalia (including the sulcus, fossa navicularis, and posterior fourchette) using two swabs slightly moistened with sterile / distilled water.
• NOTE: Unless there is evidence of penetrating trauma in the pre-pubertal female, it is not necessary to collect vaginal swabs. If there has been penetrating trauma, vaginal swabs can be obtained during the repair of the trauma while the child is anesthetized. Attempts to collect vaginal swabs on the pre-pubertal female can result in hymenal and / or vaginal trauma that may mimic abuse.
• NOTE: Carefully swab the vaginal vault using the two swabs simultaneously.
• NOTE: Allow the swabs to air dry, then place the swabs in the swab box and check “Vaginal / Cervical.”
• NOTE: Step 12. MISCELLANEOUS EVIDENCE
• NOTE: This step is provided for the collection of miscellaneous evidence not covered elsewhere in this kit. Do not package multiple miscellaneous items together in the same bag. Use a separate facility paper bag or one of the clothing bags if available.
• NOTE: Collect the item and allow it to air dry if necessary. When dry, place in the paper bag.
• NOTE: Steps 13 and 14. URINE and BLOOD SPECIMENS
• NOTE: Generally these specimens will not need to be collected; however, if the patient presents with drowsiness, memory loss, impaired motor skills, etc. or there is a suspicion of a drug used to facilitate rape, follow the instructions provided in the adult instructions.
• NOTE: Attach a tracking label to the patient information card and give it to the patient prior to discharge.
• NOTE: Ensure all forms have been filled out completely. Separate the forms, retaining the appropriate copies for the medical facility records. The law enforcement copies and the crime laboratory copies of the forms should be sealed in the container attached to the back of the kit.
• NOTE: Check all envelopes and clothing bags to ensure they are sealed and labeled, and all information requested has been completed.
• NOTE: Do not use staples to seal any evidence containers.
• NOTE: Do not lick the seals of the envelopes. All envelopes are self-sealing.
• NOTE: Return the envelopes and small bags containing collected evidence items to the kit box. The large bags containing collected evidence items should be packaged separately. Foreign material collection may be packaged in the kit box if there is sufficient space; otherwise package this item separately with the large bags.
• NOTE: DO NOT PLACE UNUSED COMPONENTS IN THE KIT BOX.
• NOTE: Fill out all requested information in the “For Medical Facility Personnel” section on the kit box top. If the patient has decided not to report the alleged assault to law enforcement, do not fill in the patient’s name.
• NOTE: Affix the “Biohazard” label where indicated.
• NOTE: Affix the “Minor” label where indicated if the kit was collected from a minor.
• NOTE: Affix the “Evidence” seals where indicated on the sides of the box. Initial and date partially on and partially off the seal.
• NOTE: Give the clothing bags, urine / blood specimens if collected, and the sealed kit to the law enforcement officer as follows:
• NOTE: If the patient has made a report to law enforcement, these items should be given to the officer representing the investigating agency.If the patient has not made a report to law enforcement, these items should be given to the law enforcement agency with jurisdiction over the medical facility.
• NOTE: Notify the law enforcement officer if any components of the kit, specifically tampons or sanitary napkins, have not been air-dried completely. Such items should be frozen for long-term storage.

16-219 Bureau of Capitol Police

Chapter 41 Capitol Area Security Rules

Code Me. R. 16-219 Ch. 41 Capitol Area Security Rules {#sec-16-219-ch.-41 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 41}

1. Definitions

The following words and phrases, when used in these regulations, shall have the following meanings, unless a different meaning is plainly required by the context:

A. "Capitol Area" when used in these regulations shall mean the land, building, personal property and facilities owned, leased, occupied, used or possessed by the State in or at:

(1) The Capitol Area described in I M.R.S.A., Section 814, and

(2) The District Court Building on State Street, and

(3) The State Police Barracks and Garage on Hospital Street, and

(4) Blaine House Complex, and

(5) Blaine Memorial, and

(6) The Augusta Mental Health Institute Complex, and

(7) ANY OTHER STATE CONTROLLED LOCATIONS, WHETHER ITS OWNED, LEASED, OR JUST USED BY THE STATE WITHIN THE CITY LIMITS OF AUGUSTA, MAINE.

B. "Time" whenever certain hours of time are named here in shall mean Standard Time or Daylight Time as may be in current use in this State.

C. "Mini-bike" shall mean any motor operated two wheel vehicle not licensed by the Secretary of State, Division of Motor Vehicles.

D. "Person" every natural person, firm, partnership, association or corporation.

E. "Police Officer" every sworn officer of the Bureau of Capitol Security or any law enforcement officer authorized to issue process for civil or criminal violations.

F. "Snowmobile" means any vehicle propelled by mechanical power that is primarily designed to travel over ice or snow supported in part by skis, belts or cleats.

2. Regulations

A. The COMMISSIONER OF PUBLIC SAFETY is empowered to close, secure and limit access to all or a portion of the Capitol Area at stated times during hours when the state offices are closed, or, without prior notice, at any other time should a situation develop wherein all or a portion of the Capitol Area becomes jeopardized by the actions of any person or persons.

B. No person shall cause or participate in a demonstration of any nature in the Capitol Area unless written permission for such demonstration has been obtained from the COMMISSIONER OF PUBLIC SAFETY or his Designee. An application, in writing setting forth information as may be required, is necessary prior to the granting of any permit.

C. No person shall cause injury or damage to the trees, shrubbery or flowers in the Capitol Area, or damage, mar or deface the buildings, personal property or facilities thereon in any way.

D. No person shall attach or place a handbill or advertising material on any vehicle parking in the Capitol Area.

E. No person shall allow a pet to enter the Capitol Area without a physical restraint.

F. No person, except a police officer on duty, shall carry firearms, dangerous weapons, explosives, incendiary devices, or implements which by their nature are capable of being used to destroy or injure a person or property in the Capitol Area.

G. No person shall possess or consume any alcoholic beverage in the Capitol Area, except at the Blaine House Complex with the Governor's permission.

H. No person shall discard litter, as defined in 17 M.R.S.A., Section 2263, sub-section 2, in the Capitol Area except in the containers provided therefor.

I. No person shall, without the prior written authorization of the CHIEF OF CAPITOL SECURITY light or add fuel to an outdoor fire in the Capitol Area, except one which is confined to a fireplace furnished for the purpose by the DIRECTOR OF PUBLIC IMPROVEMENTS.

J. No person shall solicit, give away, canvass, sell or offer for sale items or materials or make collections for past or current obligations in the Capitol Area without written authorization from the Bureau of Capitol security.

K. No person shall operate a mini-bike, snowmobile, all terrain vehicle or unregistered vehicle in the Capitol Area.

L. No person shall utilize the Capitol Area for any type of sports or athletic events, either formal or informal, except in those sections designed by the DIRECTOR OF PUBLIC IMPROVEMENTS or SUPERINTENDENT OF AUGUSTA MENTAL HEALTH INSTITUTE or with permission from the CHIEF OF CAPITOL SECURITY.

M. Persons or organizations seeking to use a designated portion of the Capitol Area must obtain a written permit by applying, in writing, to the COMMISSIONER OF PUBLIC SAFETY or his designee, and specifying the use intended and the persons responsible for the supervision of the activity.

3. Penalties

Any person found guilty of violating any of these regulations shall, upon conviction, be punished as provided in Revised Statutes, Title 25, Section 2910.

AUTHORITY: 25 M.R.S.A., Section 2904

EFFECTIVE DATE: June 11, 1979 (Filed 7-31-79)

AMENDED: October 15, 1980

January 11, 1988

July 3, 1988

EFFECTIVE DATE (ELECTRONIC CONVERSION): MAY 15, 1996

Chapter 42 Rules Relating to Parking on State Property

Code Me. R. 16-219 Ch. 42 Rules Relating to Parking on State Property {#sec-16-219-ch.-42 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 42}

1. Definitions

A. "Public way" or "public ways". All roads and driveways on lands maintained for the State Government at the Capitol area or other state controlled locations in Augusta.

B. "Parking area" or "parking areas". All lands maintained by the State within the City of Augusta which may be designated as parking areas by the DIRECTOR OF General Services or by the SUPERINTENDENT OF AUGUSTA MENTAL HEALTH INSTITUTE, with prior approval of the COMMISSIONER OF PUBLIC SAFETY.

C. "Curb" The outer edge of a defined sidewalk, on either edge of the route and usually traveled part of the street or public way.

D. "Loading Zone" A space adjacent to a curb, loading platform or building reserved for the exclusive use of motor vehicles during the loading or unloading of passengers or materials.

E. "Driver" Every person who is driving or is in actual physical control of a motor vehicle.

F. "Motor Vehicle" Any self-propelled vehicle not operated exclusively on tracks, including motorcycles, motor driven cycles, mopeds, and snow traveling vehicles.

G. "Pedestrian" Any person afoot.

H. "Person" Every natural person, firm, partnership, association. or corporation.

I. "Police officer" Every sworn officer of the Bureau of Capitol Security or any law enforcement officer authorized to issue process for civil or criminal violations.

J. "Right of Way" The privilege of the immediate use of the roadway.

K. "Stop" Complete cessation of movement.

L. "Time" Whenever certain hours are named herein they shall mean Standard Time or Daylight Time as may be in current use in this State.

M. "Traffic" Pedestrians, ridden or herded animals, vehicles, and other conveyances either singly or together, while using ways.

N. "Traffic Control Devices" All signs, signals, markings and devices, whether immovable or whether manually, electrically or mechanically operated, placed or erected by authority of the DIRECTOR OF General Services or by the SUPERINTENDENT OF AUGUSTA MENTAL HEALTH INSTITUTE, with prior approval of the COMMISSIONER OF PUBLIC SAFETY, by which traffic is alternately directed to stop and proceed or for the purpose of regulating, warning or guiding traffic.

0. "Individual Parking Space" A portion of the surface of the street or parking area of sufficient length and width to accommodate a motor vehicle to be parking.

P. "Abandoned Motor Vehicle" A vehicle which has remained parked for more than twenty-four (24) hours on any State-owned parking area without authority of the Bureau of Capitol Security.

Q. "Travel lane" That portion of a street or parking area designed to allow motor vehicles to pass through.

2. Parking Provisions

A. "Prima Facie" A vehicle unlawfully parking shall be prima facie evidence of the unlawful parking of the vehicle by the person in whose name the vehicle is registered.

B. Signs are posted at parking areas prohibiting, restricting, or indicating the length of time that a motor vehicle may remain parked, and no person shall park or allow a motor vehicle to remain standing except as provided on such signs and otherwise in this section.

C. Each motor vehicle shall be parked wholly within the lines as provided and not otherwise.

D. No motor vehicle shall be parked or permitted to remain parking in a parking area between the hours of twelve (12) midnight and 6 a.m. without the authorization of the Bureau of Capitol Security.

E. No motor vehicle shall be parked or allowed to remain standing in a public way or parking area where parking is prohibited as indicated by posted signs nor shall a motor vehicle be parked in a public way or parking area for a period of time longer than the length of time indicated on the posted signs at the public way or area.

F. No motor vehicle shall be operated, parked or allowed to remain standing at any time on the grassy portions of Capitol Park or on the grounds of the State House Complex, Blaine House Complex, Augusta Mental Health Institute, District Court or any other State controlled Building in the City of Augusta.

G. No person shall stop, stand or park a motor vehicle, except when necessary to avoid conflict with other traffic or in compliance with law or at the directions of a police office or traffic control device, in any of the following spaces:

(1) On a sidewalk;

(2) within an intersection;

(3) Within fifteen (15) feet of a hydrant;

(4) Within twenty-five (25) feet of the nearest corner of curbs at an intersection, except as otherwise indicated;

(5) Within fifteen (15) feet upon the approach to any traffic control device located at the side of the public way*

(6) Alongside or opposite any street excavation;

(7) On any public wayside of any motor vehicle stopped or parked at the edge of the curb of a street or public way;

(8) Within the travel lanes of any streets or parking area, in such a manner as to prevent the free flow of traffic in or out.

H. No person shall park a motor vehicle upon a public way or parking area for the principal purpose of advertising or displaying such vehicle for sale; or washing, greasing or repairing such motor vehicle, except repairs necessitated by an emergency.

I. No person shall stop, stand, or park or leave any motor vehicle in an area designated as a loading zone space except for the purpose of, and while engaged in the unloading or loading of passengers or personal property of any nature.

J. The operator of a motor vehicle shall bring said motor vehicle to a stop, yielding the right of way to all motor vehicles or pedestrians and other conveyances approaching from either direction on the intersecting public way, immediately before entering or crossing an intersection at which a traffic control device has been erected, provided, however, that when an officer is stationed at such an intersection said officer shall have the right to regulate traffic at that intersection.

K. The DIRECTOR OF General Services and the SUPERINTENDENT OF AUGUSTA MENTAL HEALTH INSTITUTE, with prior approval of the COMMISSIONER OF PUBLIC SAFETY shall have the power to designate public ways or parts thereof as subject to one-way traffic, such designation to be effective only if suitable signs are conspicuously placed on or about the entrance to and from the effected areas, in the event of an emergency requiring such one-way traffic for the avoidance of traffic congestion which would be prejudicial to the safety, health and welfare of the public or property of the State located therein. In addition to the emergency conditions, the following occasions shall be proper f or the application of the foregoing power to designate temporary one-way traffic in areas affected by such occasion;

a. Excavation or other repairs to public ways or streets

b. Parades or Commemorative Services

All signs designating one-way traffic shall be removed at the termination of the emergency or occasion listed above.

L. No person shall remove from any motor vehicle a traffic violation ticket, notice of citation placed on or in such motor vehicle by a police officer, except for the purpose of answering such notice or citation as required therein.

M. No person shall abandon or illegally park any vehicle of any kind upon any of the State-owned parking areas. The Bureau of Capitol Security may authorize the removal of such abandoned or illegally parked vehicle from said State owned premises or parking areas at the owner's expense. Neither the State nor political subdivisions thereof, nor the officer, shall be liable for any damage that may be caused by such removal.

3. Required obedience to Traffic Regulations

A. Sworn officers of the Bureau of Capitol Security, or such other officers as are assigned by the COMMISSIONER OF PUBLIC SAFETY, are hereby authorized to direct all traffic by voice, hand or any other signal in conformance with traffic laws, provided that in the event of a fire or other emergency, or to safeguard pedestrians, they may direct traffic as conditions may require notwithstanding the provisions of these rules and regulations.

B. No person shall willfully fail or refuse to comply with a lawful order or direction of a police officer.

4. Parking Violations

A person charged with a violation of parking regulations may waive court action by making payment of appropriate fee. Appropriate parking violation fees will be set at the following:

Parking in Legislative area $15.00 fee

Parking in Handicapped area $25.00 fee..

Parking in Reserved area $14.00 fee.

Parking in Travel lane $12.00 fee.

Overtime parking $10.00 fee.

Improper parking $10.00 fee.

No Parking zone $10.00 fee.

All other violations will carry a $10.00 fee.

All fees not paid within seventy-two (72) hours of date of issue will increase violations fee charge by $5.00. Parking fees are due and payable within 14 days of receipt of a ticket by the violator. Failure to pay such fees within the applicable specified time without approval of the CHIEF OF CAPITOL SECURITY may void the waiver of court action provision of this article and the penalties stipulated under 25 M.R.S.A. Section 2910 shall be invoked.

5. Penalties

Any person found guilty of violating any rule made pursuant to sections 2904 to 2907 shall, upon conviction, pay a fine of not less than $50.00 for each offense.

6. Unlawful Parking

Any vehicle unlawfully parked shall subject the owner or operator, or both, to the penalties provided for in Section 5.

AUTHORITY: 25 M.R.S.A. Sec. 2906

EFFECTIVE DATE: October 24, 1979

AMENDED: October 15, 1980

May 20, 1985

January 11, 1988

December 21, 1991

November 1, 1992 - Section 4

EFFECTIVE DATE: MAY 15, 1996

16-219 Office of the State Fire Marshal

Chapter 1 Fee Schedule for Plans Examination

Code Me. R. 16-219 Ch. 1 Fee Schedules for Plans Examination {#sec-16-219-ch.-1 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 1}

SUMMARY: This rule establishes the fees for examination of plans for construction, reconstruction, repair, renovation, sprinkler systems, and barrier-free construction. The fee schedules established by this rule cover the following areas:

1. SCHEDULE A: PERMIT FEE SCHEDULE FOR PLANS EXAMINATION OF CONSTRUCTION, RECONSTRUCTION, REPAIRS AND RENOVATIONS

The fee schedule for new construction, reconstruction, repairs or renovations is 1.5/10 of 1% of the cost to construct or reconstruct the portion of the project that is subject to State Fire Marshal review.

The fee for review of a plan for new construction, reconstruction, repairs or renovations of a public school may not exceed $450.00 and is set forth in the following rule.

Due to limited storage space and to further local, state and national security and safety interests, electronic submission is encouraged.

2. SCHEDULE B: PERMIT FEE SCHEDULE FOR PLANS EXAMINATION OF FIRE SPRINKLER SYSTEMS

$ 25.00 for each dwelling unit of each NFPA 13D system.

$ 100.00 for each fire pump installation, where the fire pump is listed for fire service

$ 1.00 for each fire sprinkler head in new systems or addition to existing systems

$ .50 for each relocated sprinkler head

$ 50.00 extra for preliminary permission to begin installation before the full submittal can be received

$ 100.00 minimum for permits other than for NFPA 13D systems and preliminary permission

Permits are not required for maintenance replacement of heads, including recall programs, where there is no change to the pipe length, pipe type, system type or occupancy / hazard. If a job involves more than this, then the fee applies only to the other work. Plan reviews will not begin until the appropriate fee is received.

RESUBMITTAL FEE

An additional fee of $ 50.00 will be charged for every submittal that is required to follow-up with information that was incomplete and/or inaccurate in the original submittal, either of which delays the permitting process. (This may be due to critical information that is lacking or in error on the blueprints/CAD drawings, hydraulic calculations, or application form. This fee is not to be charged for missing "non-essential information" or when there is a note explaining why the critical information is missing, and when it will be supplied.) It is also to be paid when "as-built" drawings are required upon job completion, or when a permit has been amended, because both of these require additional processing. If a full submittal is required because the original submittal is rejected, then another full permit fee will be required instead of the $ 50.00 resubmittal fee.

Any commercial or industrial installation over $ 1,000,000.00 shall require review by a fire protection engineer at additional expense to the fire sprinkler contractor.

ARCHIVE / STORAGE FEE

An additional fee of $ 50.00 will be charged for each submittal after the fourth submission per license year (per contractor) that is not submitted in electronic format. Fire sprinkler permit submittals are stored for reference, and because of limited storage space, the electronic submission is encouraged.

Drawings may be submitted as e-mail attachments in AutoCAD as dwg files. Larger files can be zipped, or mailed on CD disc. Calc's may be sent as pdf files, or as Hydratec files. The application form may be sent as an e-mail attachment in AutoCAD as a dwg file, or it may be sent as a hardcopy without this storage fee. The check may only be received through the mail.

3. SCHEDULE C: PERMIT FEE SCHEDULE FOR PLANS EXAMINATION OF BARRIER FREE CONSTRUCTION

FEE AMOUNT CONSTRUCTION COST

$ 25.00 UNDER $ 100,000.00

50.00 OVER 100,000.00

BUT LESS THAN 350,000.00

150.00 OVER 350,000.00

BUT LESS THAN 600,000.00

200.00 OVER 600,000.00

BUT LESS THAN 2,000,000.00

250.00 OVER 2,000,000.00

CHECKS PAYABLE TO: TREASURER, STATE OF MAINE

History

• STATUTORY AUTHORITY: 25 M.R.S.§§ 2450, 2452; 32 M.R.S.§1374
• EFFECTIVE DATE: November 5, 1983 - filing 83-303
• EFFECTIVE DATE: July 28, 1993 - filing 93-275 (EMERGENCY)
• EFFECTIVE DATE: May 6, 1995 - filing 95-193
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• REPEALED AND REPLACED: August 17, 2002 - filing 2002-308; includes additional subject matter from repealed Chapters 247 and 249.
• AMENDED: June 1, 2003 - filing 2003-165
• NON-SUBSTANTIVE CHANGES: March 3, 2004 - Explanatory Note on page 1, title wording for table on page 2
• AMENDED: April 23, 2006 – filing 2006-151
• AMENDED: October 28, 2019 – filing 2019-181

Chapter 2 Rules Establishing Criteria for Approval of Smoke Detectors

Code Me. R. 16-219 Ch. 2 Rules Establishing Criteria for Approval of Smoke Detectors {#sec-16-219-ch.-2 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 2}

SUMMARY: These rules require that all smoke detectors used in the State of Maine be tested and listed by Underwriters' Laboratories Inc., or Factory Mutual Research Inc.

1. RULE NUMBER F.M. 84-2464-1 CRITERIA FOR APPROVAL

Smoke detectors which have secured an approved listing from Underwriters' Laboratories Inc., or Factory Mutual Research Inc., shall be approved for use in the State of Maine.

History

• STATUTORY AUTHORITY: 25 M.R.S.A. §2464 sub-§4-A
• EFFECTIVE DATE: March 27, 1984 - filing 84-86
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• AMENDED: August 17, 2002 - filing 2002-309
• AMENDED: Proofed
• AMENDED: 10/22/02

Chapter 3 Fire Prevention Code

Code Me. R. 16-219 Ch. 3 Fire Prevention Code {#sec-16-219-ch.-3 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 3}

SUMMARY: This chapter establishes the rules and regulations prescribing the minimum requirements necessary to establish a reasonable level of fire safety and property protection from the hazards created by fire and explosion.

1. This rule incorporates by reference the following National Fire Protection Association standard, available from the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269: NFPA #1, Uniform Fire Code, 2018 edition.

2. The following chapters and sections of NFPA #1, Uniform Fire Code, shall not be incorporated in the State of Maine:

Chapter 13, Section 3.2.20.1 shall be removed with no substitution.

3. The following chapter and section shall be amended to read:

Chapter 13, Section 3.2.3 New buildings housing emergency fire, rescue or ambulance services shall be protected throughout by approved supervised automatic sprinkler systems. Sprinklers shall be permitted to be omitted from emergency fire, rescue or ambulance services that are storing behicles or equipment only and are not part of a multiple mixed occupancy.

History

• STATUTORY AUTHORITY: 25 MRS §2452
• EFFECTIVE DATE: August 17, 2002 - filing 2002-310
• AMENDED: August 18, 2004 - filing 2004-339
• AMENDED: September 3, 2007 – filing 2007-363
• AMENDED: November 27, 2019 – filing 2019-207
• AMENDED: 16-219 Chapter 3 page 2

Chapter 4 Water-based Fire Protection Systems

Code Me. R. 16-219 Ch. 4 Water-Based Fire Protection Systems {#sec-16-219-ch.-4 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 4}

SUMMARY: This rule establishes the design, installation, operation, maintenance, inspection, testing and all other aspects of water-based fire protection systems for occupancies and structures with water-based fire protection system measures.

SECTION 1. This rule incorporates by reference the NFPA standards indicated. All rights reserved by the NFPA. Copies of these standards are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

NFPA #13 Standard for the Installation of Sprinkler Systems , 2016 edition

NFPA #13D Standard for the Installation of Sprinkler Systems in One and Two Family Dwellings and Manufactured Homes , 2016 edition

NFPA #13R Standard for the Installation of Sprinkler Systems in Residential Occupancies Up To and Including Four Stories in Height , 2016 edition

NFPA #14 Standard for the Installation of Standpipe, Private Hydrants and Hose Systems , 2013 edition

NFPA #15 Standard for Water Spray Fixed Systems for Fire Protection , 2012 edition

NFPA #16 Standard for the Installation of Foam-Water Sprinkler and Foam-Water Spray Systems , 2011 edition

NFPA #20 Standard for the Installation of Stationary Fire Pumps for Fire Protection , 2013 edition

NFPA #22 Standard for Water Tanks for Private Fire Protection , 2013 edition

NFPA #24 Standard for the Installation of Private Fire Service Mains and Their Appurtenances , 2013 edition

NFPA #25 Standard for the Inspection, Testing and Maintenance of Water-Based Fire Protection Systems , 2014 edition

NFPA #214 Standard on Water Cooling Towers , 2011 edition

NFPA #318 Standard for the Protection of Semiconductor Fabrication Facilities , 2015 edition

NFPA #409 Standard on Aircraft Hangers , 2011 edition

NFPA #418 Standard for Heliports , 2011 edition

NFPA #750 Standard on Water Mist Fire Protection Systems , 2015 edition

SECTION 2. The text of this subsection (2) is comprised of the text of Chapter 4, State of Maine Standard for the Design and Installation of Life Safety Sprinkler Systems, attached. Copies of this subsection are available through the Office of State Fire Marshal, 52 State House Station, Augusta, ME 04333.

SECTION 3. Fees and Requirements for Sprinkler Certification, Licensing, Registration and Renewals

The fee for the certification of a “Responsible Managing Supervisor” (“RMS”) is $ 300.00. All initial RMS certifications and renewals will expire on the second June 30^th (at midnight) from the time of the issuing of the license, with the following exception: initial licenses issued between April 1^st and midnight June 29th inclusive shall expire on the third June 30^th from the date of issue.

2. The fee for the license required by a “Fire Sprinkler System Contractor” is $ 300.00. The Fire Sprinkler System Contractor’s initial and renewal license(s) will expire on the second June 30^th (at midnight) from the time of the issuing of the license, with the following exception: initial licenses issued between April 1^st and midnight June 29th inclusive shall expire on the third June 30^th from the date of issue.

3. The fee for the license of a Fire Sprinkler Inspection Technician is $ 100.00. The Fire Sprinkler Inspection Technician’s initial and renewal license(s) will expire on the second June 30^th (at midnight) from the time of the issuing of the license with the following exception: initial licenses issued between April 1^st and midnight June 29^thinclusive shall expire on the third June 30^th from the date of issue.

4. In order to be licensed as a Fire Sprinkler Inspection Technician, the applicant must provide proof of qualification, to the satisfaction of the State Fire Marshal, such as a National Institute for Certification in Engineering Technologies (N.I.C.E.T.) Level II certification or the successful completion of a nationally recognized training course in the area of fire sprinkler inspection.

5. Renewals: All licenses, certificates and registrations shall be renewed on or before midnight, June 30^th, of the year of expiration. A $100.00 reinstatement fee will apply to renewing a license, certificate or registration that has expired.

6. Certified Responsible Managing Supervisors are not required to register as Inspection Technicians but must apply if they want an inspection Technician license number.

7. A Responsible Managing Supervisor does not have to pay for a Contractor’s license if the Contractor’s license name is the same as the name of the Responsible Managing Supervisor, (as opposed to a company or business name).

SECTION 3-A. Roles and responsibilities of Responsible Managing Supervisors

The responsible managing supervisor or any duly authorized representative acting on his behalf shall bear all responsibilities contained in this subsection and the statutes of the State of Maine.

The responsible managing supervisor, or duly authorized representative who is acting on behalf of the responsible managing supervisor, shall personally appear at the site of the installation and verify correct installation of the system.

• 1. Verification by the responsible managing supervisor or duly authorized representative shall at a minimum occur upon completion of rough pipe installation and acceptance testing of the completed system.

Qualifications of responsible managing supervisor duly authorized representative

1. Any person acting as the duly authorized representative of a responsible managing supervisor under this section shall demonstrate experience and knowledge through one of the following means: 1. At least five years of continuous experience installing sprinkler systems. 2. Certification at the NICET II or NICET III level through the National Institute for Certification in Engineering Technologies in inspection and testing of water based systems. 3. Certification at the NICET II or NICET III level through the National Institute for Certification in Engineering Technologies in water based fire protection system layout.

Registration of duly authorized representatives by responsible managing supervisors

1. Upon application of renewal, or at any other time during the licensing period for annual licensing, the responsible managing supervisor shall provide a list of duly authorized representatives to the Office of the State Fire Marshal along with written documentation of qualifications required in section 3.

Written documentation of fire sprinkler installation verification shall be provided to the Office of the State Fire Marshal within 30 days of completion of installation.

SECTION 4. Design Requirements

1. Fire sprinkler systems required by any internationally or nationally recognized building code, or required by any local ordinance or required by any insurance company must be approved by the Office of State Fire Marshal and shall meet the currently adopted editions of National Fire Protection Association Standards #13, #13R, #13D or Maine Life Safety System criteria.

2. Prior to construction of any new fire sprinkler system over 6 heads, or any addition to an existing fire sprinkler system of more than 20 heads, a fire sprinkler permit shall be required in accordance with 32 M.R.S.A. §1371-1382. [Relocated heads shall count toward the 20 heads, but the replacement of existing heads without a change in pipe length shall not.]

3. Fire pumps and standpipes shall be considered part of the sprinkler system and subject to review and permitting.

4. The type of and location of the fire department connection and of the standpipe connection are subject to approval by the local fire department.

5. Fire sprinkler heads shall be used within their listings in Maine Life Safety standard.

6. Low-water alarms or automatic fills are required for stored water sources in all life-safety fire sprinkler standards other than NFPA Standard #13D systems.

7. Pump power monitoring is required in all life-safety fire sprinkler systems other than NFPA Standard #13D systems.

8. Fire pumps used in the Maine Life Safety standard are not required to be listed for fire service.

9. The required water volumes for Maine Life Safety systems may be increased depending upon the occupancy type, occupant load, construction type, building height and other related factors. Prior approval must be granted by the Office of the State Fire Marshal.

History

• STATUTORY AUTHORITY: 25 M.R.S. § 2452; 32 M.R.S. §§ 1373, 1374, 1382
• STATUTORY AUTHORITY: Chapter 4 History:
• EFFECTIVE DATE: September 1, 1988 - filing 88-281 as "State of Maine Standard for the Design and Installation of Life-Safety Sprinkler Systems"
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• REPEALED AND REPLACED: August 7, 2001 - filing 2001-290 as "Sprinkler Systems." Incorporates subject matter from former Chapters 4, 8, 9, 10, 12, 13, 14, 241, 243, 245, and 248.
• AMENDED: August 17, 2002 - filing 2002-311, Section 1 (NFPA #15 and NFPA #409 updated)
• AMENDED: June 1, 2003 - filing 2003-166
• AMENDED: August 18, 2004 - filing 2004-340, updates NFPA #20 to 2003 edition
• AMENDED: April 23, 2006 – filing 2006-152, updates title of NFPA #318, updates NFPA #409 to 2004 edition, updates NFPA #418 to 2001 edition
• AMENDED: August 29, 2007 - filing 2007-364
• AMENDED: June 26, 2009 - filing 2009-206 as “Water-Based Fire Protection Systems”
• AMENDED: June 4, 2016 - filing 2016-084 (Final adoption, major substantive)
• AMENDED: 16 DEPARTMENT OF PUBLIC SAFETY
• AMENDED: 219 OFFICE OF STATE FIRE MARSHAL
• AMENDED: STATE OF MAINE STANDARD FOR THE DESIGN AND INSTALLATION OF LIFE-SAFETY SPRINKLER SYSTEMS
• AMENDED: DESIGN AND INSTALLATION OF LIFE-SAFETY SPRINKLER SYSTEMS
• AMENDED: Preface
• AMENDED: Section 1 General Information 3
• AMENDED: 1-1 Application 3
• AMENDED: 1-2 Scope 3
• AMENDED: 1-3 Levels of Protection 3
• AMENDED: 1-4 Purpose 4
• AMENDED: 1-5 Definitions 4
• AMENDED: Section 2 Installation 6
• AMENDED: 2-1 Devices and Materials 6
• AMENDED: 2-2 Acceptance Tests 6
• AMENDED: Section 3 Water Supply 7
• AMENDED: 3-1 General Provisions 7
• AMENDED: 3-2 Water Supply Sources 7
• AMENDED: 3-3 Combined Piping Systems 7
• AMENDED: 3-4 Water Utility 8
• AMENDED: Section 4 System Components 8
• AMENDED: 4-1 Valves and Drains 8
• AMENDED: 4-2 Pipe and Fittings 9
• AMENDED: 4-3 Piping Support 9
• AMENDED: 4-4 Sprinklers 9
• AMENDED: 4-5 Alarms 10
• AMENDED: 4-6 Spare Sprinklers 10
• AMENDED: 4-7 Fire Department Connection 10
• AMENDED: 4-8 Electrical Wiring 10
• AMENDED: 4-9 Electrical Supervision/Pump Motor 10
• AMENDED: Section 5 System Design 11
• AMENDED: 5-1 Design Criteria 11
• AMENDED: 5-2 System Types 12
• AMENDED: 5-3 Pipe Sizing 12
• AMENDED: 5-4 Piping Configurations 12
• AMENDED: 5-5 Location of Sprinklers 12
• AMENDED: 5-6 Drawings and Calculations 13
• AMENDED: Section 6 Maintenance 13
• AMENDED: Section 7 Referenced Publications 14
• AMENDED: PREFACE
• AMENDED: The intent of this design standard is to define an alternative sprinkler system installation which offers an enhanced level of life-safety to occupants evacuating a structure during the first minutes of a detected fire. The system design is not primarily intended to adequately protect the structure itself from fire loss or damage. A complete sprinkler system designed and installed in accordance with the currently adopted edition of NFPA #13 may offer superior protection to the structure and contents.
• AMENDED: SECTION 1 GENERAL INFORMATION
• AMENDED: 1-1 Application
• AMENDED: 1-1.1 The sprinkler system herein described is an alternative standard subject to permission for its use by the office of State Fire Marshal exclusively. The system may at the discretion of the State Fire Marshal be permitted in buildings up to four stories in height, which must fall into one the following categories: apartment buildings, condominiums, hotels, motels, inns, low-rise office buildings, existing or new places of assembly with an established occupant load of 300 persons or less, class "C" mercantile occupancies. The lack of a water supply of sufficient capacity to support the normally installed NFPA #13 sprinkler system may be a determining factor in obtaining permission to use this alternative standard. Approval may also be required in those municipalities who have adopted sprinkler system requirements.
• AMENDED: 1-1.2 Application for the installation of a Maine Life Safety designed sprinkler system shall be obtained from the State Fire Marshal's Office prior to preparation of plans and hydraulic calculations.
• AMENDED: 1-2 Scope
• AMENDED: This standard deals with the alternative design and installation of automatic sprinkler systems as permitted by the State Fire Marshal.
• AMENDED: 1-3 Levels of Protection
• AMENDED: 1-3.1 Fire sprinkler coverage pursuant to this standard shall be throughout the building except as otherwise modified under section 5-5.1.
• AMENDED: 1-3.2 This standard assumes that one or more smoke detectors will be installed in accordance with the appropriate standard for the installation, maintenance and use of fire warning equipment.
• AMENDED: 1-4 Purpose
• AMENDED: 1-4.1 The purpose of this standard is to provide a sprinkler system that will aid in the detection and control of fires in occupancies where the quantity and/or combustibility of contents is low and fires with relatively low rates of heat release are expected, An operating sprinkler system installed in accordance with this standard is expected to prevent flashover (total involvement) in the room of fire origin, and increase the chances for occupants to escape or to be evacuated.
• AMENDED: 1-5 Definitions
• AMENDED: Approved. Acceptable to the State Fire Marshal.
• AMENDED: Automatic Sprinkler. A fire suppression device which operates automatically, when its heat actuated element is heated to or above its thermal rating, allowing water to discharge over a specific area.
• AMENDED: Backflow Prevention Device. A device that does not allow liquid to flow back to the supply and thus cause contamination.
• AMENDED: Check Valve. A valve that allows flow in one direction only.
• AMENDED: Control Valve. A valve employed to control (shut off or turn on) a supply of water to a sprinkler system.
• AMENDED: Density. The quantity of water discharged by automatic sprinklers over a specific area expressed as gallons per minute per square foot (GPM/FT²).
• AMENDED: Design Area. An area expressed in sq. ft. having a number of sprinklers, all flowing at or above the minimum required application rate.
• AMENDED: Fire Department Connection. A threaded inlet connection located on the exterior of a building, arranged to enable the Fire Department to pressurize and supply the sprinkler system, bypassing the system control valves and supply main.
• AMENDED: Labeled. Equipment or materials which has attached a label, symbol or other identifying mark of an organization acceptable to the State Fire Marshal and concerned with product evaluation, that maintains periodic inspection of production of labeled equipment or materials and by whose labeling the manufacturer indicates compliance with appropriate standards or performance in a specified manner.
• AMENDED: Listed. Equipment or materials included in a list published by an organization acceptable to the State Fire Marshal and concerned with product evaluation, that maintains periodic inspection of production of listed equipment or material and whose listing states either that the equipment or material meets appropriate standards or has been tested and found suitable for use in a specified manner.
• AMENDED: Pre-engineered System. A packaged sprinkler system including all components, designed to be installed according to pretested limitations.
• AMENDED: Pump. A mechanical device that transfers and/or raises the pressure of a fluid (water).
• AMENDED: Residential Sprinkler Head. An automatic sprinkler specifically listed for use in residential occupancies.
• AMENDED: Sprinkler System. An integrated system of piping connected to a water supply, with listed sprinklers which automatically initiate water discharge over a fire area. This Design Guide requires sprinkler systems to include a control valve and a device for actuating an alarm upon system operation.
• AMENDED: Supply Pressure. Pressure within the water supply system (i.e., city or private water source).
• AMENDED: System Pressure. Pressure within the sprinkler system (i.e., above the check valve or other backflow prevention device).
• AMENDED: Water Flow Alarm. An electrical sounding device activated by a water flow detector arranged to sound an alarm audible in all occupied areas over background noise levels with all intervening doors closed.
• AMENDED: Wet System. A system employing automatic sprinklers attached to a piping system filled with water and connected to a water supply so that water discharges immediately from sprinklers opened by fire.
• AMENDED: SECTION 2 INSTALLATION
• AMENDED: 2-1 Devices and Materials
• AMENDED: 2-1.1 Only listed new residential sprinklers shall be employed in the installation of life-safety sprinkler systems. Standard sprinklers or fast-response sprinklers of intermediate or high temperature rating may be installed in areas of high ambient temperature. Sprinklers shall be listed.
• AMENDED: 2-1.2 Only listed or approved materials and devices shall be used in sprinkler systems.
• AMENDED: 2-1.3 Pre-engineered systems shall be installed within the limitations which have been established by the testing laboratories where listed.
• AMENDED: 2-2 Acceptance Tests
• AMENDED: 2-2.1 The installer shall perform all required acceptance tests,, complete the Contractor's Material and Test Certificate(s), and forward the certificates to the State Fire Marshal, prior to asking for approval of the installation.
• AMENDED: 2-2.l.l When the State Fire Marshal desires to be present during the conducting of acceptance tests, the installer shall give advance notification of the- time and date the testing will be performed.
• AMENDED: 2-2.2 All aboveground piping shall be hydrostatically tested at 200 p.s.i. for two hours, in accordance with the currently adopted edition of N.F.P.A. #13, Standard for the Installation of Sprinkler Systems.
• AMENDED: SECTION 3 WATER SUPPLY
• AMENDED: 3-1 General Provisions
• AMENDED: 3-1.1 Every automatic sprinkler system shall have at least one reliable water supply.
• AMENDED: 3-2 Water Supply Sources
• AMENDED: 3-2.1 The following water supply sources are acceptable:
• AMENDED: 3-2.1.1 A connection to a reliable water supply
• AMENDED: 3-2.1.2 An elevated tank.
• AMENDED: 3-2.1.3 A pressure tank installed in accordance with the currently adopted editions of NFPA #13, Standard for the Installation of Sprinkler Systems, and NFPA #22, Standard for Water Tanks for Private Fire Protection.
• AMENDED: 3-2.1.4 A stored water source with an automatically operated pump on a dedicated circuit of proper size and capacity, Pumps shall not cycle on and off during minimum flow situations, i.e., one sprinkler flowing.
• AMENDED: 3-2.2 All stored water sources shall have an automatic filling mechanism set to regulate the available water supply volume from a minimum low water level equal to 110% of the calculated volume to a minimum high water level of 125% of the calculated volume, or, an audible water level alarm set to give a steady signal when the water level falls below 125% of the calculated volume. Tanks shall be covered and protected against freezing. When stored water is used as the sole source of supply, the minimum calculated volume shall equal the water required to flow 3 sprinklers for 10 minutes (see 5-1.3)
• AMENDED: 3-3 Combined Piping System
• AMENDED: 3-3.1 A piping system serving both sprinkler and domestic needs shall be acceptable when:
• AMENDED: 3-3.1.1 A demand flow of 5 gal/min is included for domestic use. The domestic use shall be added to the sprinkler system in determining the size of common piping and the size of the total water supply requirement. In multiple occupancies, 2.5 GPM for each living unit up to a maximum of 50 GPM shall be added to the calculated system demand.
• AMENDED: 3-3-1.2 All piping in the system conforms to the piping specifications of this standard.
• AMENDED: 3-3.1.3 Permitted by the local plumbing or health authority.
• AMENDED: 3-4 Water Utility
• AMENDED: 3-4.1 Every Life-Safety Sprinkler System supplied by a water utility shall be provided with the following:
• AMENDED: 3-4.1.1 A State Department of Human Services approved and local utility accepted backflow prevention device arranged to prevent non-potable water from entering the domestic water supply of the distribution system. Connection for fire protection to city mains is often subject to local regulation concerning metering and backflow prevention requirements. The flow characteristics of the meter and/or backflow prevention device must be included in the hydraulic calculation of the system.
• AMENDED: 3-4.1.2 An approved pressure reducing valve in those locations where water utility pressure exceeds 120 p.s.i.
• AMENDED: 3-4.1.3 A service line to support a Life-Safety Sprinkler System shall be installed to the utilities specifications.
• AMENDED: 3-4.1.4 The local water utility shall comply with the local fire department requirements concerning notification of the disruption of water service to properties protected by Life Safety Sprinkler Systems, The local water utility and local fire department will be notified by the State Fire Marshal's Office of any Life Safety Sprinkler System installed within their jurisdictions
• AMENDED: SECTION 4 SYSTEM COMPONENTS
• AMENDED: 4-1 Valves and Drains
• AMENDED: 4-1.1 Each system shall have a control valve. Control valve shall be an indicating type that is supervised in accordance with the currently adopted edition of NFPA 13, Standard for the Installation of Sprinkler Systems.
• AMENDED: 4-1.2 Each sprinkler system shall have a 1/2" or larger drain and test connection with valve on the system side of the control valve and flow alarm device. The test orifice size shall be equal to the sprinklers installed. Drain shall discharge to the atmosphere or to a suitable interior sanitary drain with air gap, as required by local/state plumbing codes.
• AMENDED: 4-1.3 A pressure gage shall be installed on the system side of the check valve or backflow prevention device, in an accessible and visible-location.
• AMENDED: 4-2 Pipe and fittings
• AMENDED: 4-2.1 Pipe used in sprinkler systems shall be as permitted by the currently adopted edition of NFPA #13.
• AMENDED: 4-2.2 CPVC fire sprinkler pipe listed for exposed systems may be installed with the following restrictions:
• AMENDED: 4-2.2.1 Listed residential sprinklers shall be used in conjunction with exposed CPVC pipe and fittings.
• AMENDED: 4-2.2.2 Exposed CPVC piping shall only be installed under flat ceiling construction.
• AMENDED: 4-2.2.3 Deflectors of sprinklers in systems with exposed CPVC pipe and fittings shall be located in accordance with Section 5-1.5 or special listing limitations, but never more than eight inches below the ceiling.
• AMENDED: 4-2.3 Fittings used in sprinkler system shall be as permitted by the currently adopted edition of NFPA #13.
• AMENDED: 4-2.4 Joints for the connection of copper pipe may be soldered when used for wet pipe systems. Solder used shall conform to local plumbing codes.
• AMENDED: 4-2.5 Fittings for CPVC or Polybutylene piping shall be compatible with, and capable of withstanding the same working pressure as the piping being joined.
• AMENDED: 4-3 Piping Support
• AMENDED: 4-3.1 Piping shall be supported in accordance with the currently adopted NFPA standards.
• AMENDED: 4-3.2 Piping laid on open joists or rafters shall be secured to prevent lateral movement.
• AMENDED: 4-4 Sprinklers
• AMENDED: 4-4.1 Only residential/commercial quick response sprinkler heads tested and listed by a recognized testing agency shall be used.
• AMENDED: 4-4.2 The sprinklers shall have fusing temperatures not less than 35 degrees F above maximum expected ambient temperature.
• AMENDED: 4-4.3 Fused, damaged or painted sprinklers shall be replaced with sprinklers having the same performance characteristics as original equipment.
• AMENDED: 4-5 Alarms
• AMENDED: 4-5.1 Local water flow alarms shall be installed on all sprinkler systems.
• AMENDED: 4-6 Spare Sprinklers
• AMENDED: 4-6.1 At least 3 spare sprinklers of each type, temperature rating and orifice size used in the system shall be kept on the premises.
• AMENDED: 4-7 Fire Department Connection
• AMENDED: 4-7.1 Each sprinkler system shall include a fire department connection of the size and type of connection specified by the local fire department. The minimum size of connection shall not be less than 2 ½ inches.
• AMENDED: 4-8 Electrical Wiring
• AMENDED: 4-8.1 All electrical wiring for pump motors, magnetic contactors, switches, circuit breakers, alarms, etc. shall be in compliance with the currently adopted edition of NEC 70 National Electrical Code. Pump motor bases shall be at least 6" above the floor. Starting loads and operating loads of pump motors must be considered in determining sizing of electrical feeds, breakers and starting devices.
• AMENDED: 4-9 Electrical Supervision/Pump, Motor
• AMENDED: 4-9.1 The pump power circuit shall be monitored.
• AMENDED: 4-9.2 Methods of monitoring the pump power circuit condition shall be one of the following:
• AMENDED: 4-9.2.1 Installation of a power alarm relay connected to the pump power circuit and to a separately controlled power circuit, in such a manner as to activate an audio/visual alarm in the event of interruption of the pump power circuit, which will be promptly noticed.
• AMENDED: 4-9.2.2 Interconnection of a frequently used light or appliance with the pump power circuit, so that interruption of the pump power circuit will be promptly noticed.
• AMENDED: 4-9.3 The pump power failure alarm shall be wired so that an alarm indicator must remain "ON" until the pump power is restored. A silencing switch which deactivates an audible alarm, but simultaneously activates a visual indicating light until the pump power is restored, is allowed.
• AMENDED: SECTION 5 SYSTEM DESIGN
• AMENDED: 5-1 Design Criteria
• AMENDED: 5-1.1 Design Discharge. The system shall provide a discharge of not less than 13 gal/min per sprinkler to three operating sprinklers in the design area.
• AMENDED: 5-1.2 Number of Design Sprinklers. The number of design sprinklers shall be 3. If a compartment contains more than 3 sprinklers, only 3 must be calculated and those sprinklers must be adjacent to one another.
• AMENDED: 5-1.2.1 The design area shall be that compartment or section of the building which is most hydraulically remote from the water supply.
• AMENDED: 5-1.2.2 The definition of compartment for use in determining the number and location of design sprinklers, is a space which is completely enclosed by walls and a ceiling. The compartment enclosure may have openings to an adjoining space if the openings have a minimum lintel depth of 8" below the ceiling.
• AMENDED: 5-1.3 Water Demand. The water demand for the system shall be determined through hydraulic calculation of the 3 most hydraulically demanding adjacent sprinklers, in accordance with section 5-1.2.
• AMENDED: 5-1.4 Sprinkler Coverage. Residential sprinklers shall be spaced so that the maximum area protected by a single sprinkler does not exceed 144 sq. ft.
• AMENDED: 5-l.4.1 Maximum distance between sprinklers shall not exceed 12 ft. on or between pipe lines and the maximum distance to a wall or partition shall not exceed 6 ft. The minimum distance between sprinklers within a compartment shall be 8 ft.
• AMENDED: 5-1.4.2 The minimum operating pressure of any sprinkler shall be in accordance with the listing information of the sprinkler and provide the minimum flow rates specified in 5-1.1. Application rates, design areas, areas of coverage, and minimum design pressures other than those specified may be used with special sprinklers which have been listed for such specific installation conditions.
• AMENDED: 5-1.5 Position of Sprinkler. Sprinklers shall be positioned so that deflectors are within 4 in. of a ceiling.
• AMENDED: Exception: Special residential sprinklers shall be installed in accordance with listing limitations.
• AMENDED: 5-1.5.1 Sprinklers shall be positioned so that the discharge is not obstructed by beams, light fixtures or other obstructions. When tests are performed which show that sprinklers are positioned so that the discharge is not obstructed, sprinklers may be installed in accordance with the test results.
• AMENDED: 5-2 System Types
• AMENDED: 5-2.1 Wet-Pipe Systems. A sprinkler system which is filled with water at all times and protected against freezing.
• AMENDED: 5-2.2 Dry Systems and pre-action systems shall be prohibited in Maine Life Safety fire sprinkler systems.
• AMENDED: 5-3 Pipe Sizing
• AMENDED: 5-3.1 Piping shall be sized hydraulically in accordance with the methods described in the currently adopted edition of NFPA #13.
• AMENDED: 5-3.2 The minimum pipe size shall be 3/4" on all systems using copper, CPVC and shall be 1" for steel.
• AMENDED: 5-4 Piping Configurations
• AMENDED: 5-4.1 Piping configurations may be looped, gridded, straight run or combinations thereof.
• AMENDED: 5-5 Location of Sprinklers
• AMENDED: 5-5.1 Sprinklers shall be installed in all areas.
• AMENDED: Exception No. 1: Sprinklers may be omitted from all closets where the least dimension does not exceed 3 ft. and the area does not exceed 24 sq. ft. and the walls and ceilings are surfaced with non-combustible materials.
• AMENDED: Exception No. 2: Sprinklers may be omitted from open attached porches.
• AMENDED: Exception No. 3: Sprinklers may be omitted from carports, garages and similar structures. If such spaces are considered hazardous areas in accordance with the currently adopted edition of NFPA 101 Life Safety Code, fire resistive separation having a recognized rating of at least one-hour must be provided to separate the space from the remainder of the building.
• AMENDED: Exception No. 4: Sprinklers may be omitted from attics and accessible crawl spaces which are not used or intended for living purposes or storage.
• AMENDED: Exception No. 5: Sprinklers may be omitted from entrance foyers where a second remotely located means of egress is provided.
• AMENDED: 5-6 Drawings and Calculations
• AMENDED: 5-6.1 Scaled and dimensioned drawings showing building and system layout, pipe sizing, ceiling heights and similar construction features shall be signed and submitted along with hydraulic calculations and manufacturers data on sprinklers and plastic piping products to the State Fire Marshal for review and approval prior to installation. Pump performance data and manufacturers' data shall be included in submittal.
• AMENDED: 5-6.2 Drawings and calculations shall be signed by a person holding at least a Level III certification with the National layout of sprinkler systems, or equivalent competency as evidenced by a nationally recognized organization. Certification or registration numbers of the science shall be included with each submittal. Submittals shall bear the wording:
• AMENDED: “Reviewed and Submitted By:” Date of Review; “N.I.C.E.T. Certification Number:” “Other Certification Type and Applicable Registration”
• AMENDED: 5-6.3 Proof of certification or registration shall be submitted to, and kept on file at, the State Fire Marshal's Office. Expiration dates shall be clearly indicated on submitted documents. Drawings and calculations signed by a person whose submitted qualification has expired will be rejected without review.
• AMENDED: SECTION 6 MAINTENANCE
• AMENDED: 6-1 The responsibility for properly maintaining a sprinkler system is the obligation of the property owner. Inspection, testing, and maintenance of Maine Life Safety fire sprinkler systems shall be in accordance with the currently adopted edition of NFPA 25.
• AMENDED: SECTION 7 REFERENCED PUBLICATIONS
• AMENDED: 7-1 The following documents or portions thereof are referenced within this document and shall be considered part of the requirements of this document. The edition indicated for each reference is the current edition as of the date of issuance of this document.
• AMENDED: 7-1.1 NFPA Publications. The following publications are available from the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.
• AMENDED: NFPA 13 - 2016- Standard for the Installation of Sprinkler Systems
• AMENDED: NFPA 25 - 2014 - Standards for the Inspection, Testing and Maintenance of Water-Based Fire Protection Systems
• AMENDED: NFPA 20 - 2013 - Standard for the Installation of Stationary Fire Pumps for Fire Protection
• AMENDED: NFPA 22 - 2013 - Standard for Water Tanks for Private Fire Protection
• AMENDED: NFPA 101 - 2015- Life Safety Code

Chapter 5 Portable Fire Extinguishers

Code Me. R. 16-219 Ch. 5 Portable Fire Extinguishers {#sec-16-219-ch.-5 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 5}

SUMMARY: This summary is taken from the incorporated materials. “The provisions of this standard apply to the selection, installation, inspection, maintenance, and testing of portable extinguishing equipment. The requirements given herein are minimum. Portable extinguishers are intended as a first line of defense to cope with fires of limited size. They are needed even though the property is equipped with automatic sprinklers, standpipe and hose, or other fixed protection equipment. They do not apply to permanently installed systems for fire extinguishment, even though portions of such systems are portable (such as hose and nozzles attached to a fixed supply of extinguishing agent).”

1. This agency incorporates by reference the National Fire Protection Association (NFPA) Standard # 10, Standard for Portable Fire Extinguishers , 2018 edition. All rights reserved by the National Fire Protection Association. Copies of NFPA Standard #10 are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

History

• STATUTORY AUTHORITY: 25 M.R.S.A. §2452
• EFFECTIVE DATE: December 22, 1977 (filed September 27, 1978)
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• REPEALED AND REPLACED: August 7, 2001
• AMENDED: September 1, 2003 - filing 2003-293
• AMENDED: March 17, 2009 – filing 2009-103, NFPA Standard #10 updated to 2007 edition
• AMENDED: April 17, 2021 – filing 2021-074, NFPA Standard #10 updated to 2018 edition

Chapter 6 Fire Extinguishing Systems

Code Me. R. 16-219 Ch. 6 Fire Extinguishing Systems {#sec-16-219-ch.-6 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 6}

SUMMARY: This chapter establishes the rules for the installation, operation, maintenance and all other aspects of fire protection systems for occupancies that require such fire protection measures and incorporates by reference the applicable National Fire Protection Association (NFPA) Standards.

1. The rule is an agency incorporation of the following NFPA standards. All rights reserved by the NFPA. Copies of standards are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269. The standards are as follows:

NFPA #11, Standard for Low, Medium, and High- Expansion Foam Systems, 2005 Edition

NFPA #12, Standard on Carbon Dioxide Extinguishing Systems, 2008 Edition

NFPA #17, Standard for Dry Chemical Extinguishing Systems, 2009 Edition

NFPA #17A, Standard for Wet Chemical Extinguishing Systems, 2009 Edition

NFPA #18, Standard on Wetting Agents, 2006 Edition

NFPA #2001, Standard on Clean Agent Fire Extinguishing Systems, 2008 Edition

2. The following sections of NFPA #17, Standard for Dry Chemical Extinguishing Systems, 2009 Edition, shall not be incorporated:

3. Section 11.1.3 Training and testing of service technicians

4. Section 11.1.3.1 Service technicians certification of training and testing

5. Section 11.4.1 Service technicians manufacturers installation and maintenance manual

6. Section 11.2.2.1 Requires service technician meet the requirements of sections excluded above

7. The following sections of NFPA #17A, Standard for Wet Chemical Extinguishing Systems, 2009 Edition shall not be incorporated:

8. Section 7.3.1 Training and testing of service technicians

9. Section 7.3.1.1 Service technicians certification of training and testing

10. Section 7.3.2 Service technicians manufacturers installation and maintenance manual

History

• STATUTORY AUTHORITY: Title 25 M.R.S.A. §2452; Title 32 M.R.S.A. §1382
• EFFECTIVE DATE: October 4, 1972 – as "Foam Extinguishing Systems"
• EFFECTIVE DATE: September 27, 1978 – refiling as "Rules and Regulations Relating to Foam Extinguishing Systems," filing 78-177
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• REPEALED AND REPLACED: August 7, 2001 – as "Fire Extinguishing Systems", incorporating subject matter of former Chapters 6, 7 and 11
• AMENDED: August 17, 2002 – filing 2002-312
• AMENDED: September 1, 2003 – filing 2003-294
• AMENDED: April 23, 2006 – filing 2006-153
• AMENDED: September 3, 2007 – filing 2007-365
• AMENDED: March 17, 2009 – filing 2009-104
• AMENDED: November 24, 2010 – filing 2010-596
• AMENDED: 16-219 Chapter 6 page 2

Chapter 10 Stationary Combustion Engines and Gas Turbines

Code Me. R. 16-219 Ch. 10 Stationary Combustion Engines and Gas Turbines {#sec-16-219-ch.-10 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 10}

SUMMARY: This rule applies to stationary combustion engines and gas turbines. This standard also applies to portable engines that remain connected for use in the same location for a period of one week or more.

1. This agency incorporates by reference the National Fire Protection Association Standard #37, Stationary Combustion Engines and Gas Turbines , 2021 edition. All rights reserved by the National Fire Protection Association. Copies of NFPA Standards are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

History

• STATUTORY AUTHORITY: 25 M.R.S. §2452
• EFFECTIVE DATE: October 4, 1972 (filed September 27, 1978)
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• REPEALED AND REPLACED: August 7, 2001 - (formerly Ch. 18)
• AMENDED: September 1, 2003 - filing 2003-295
• CORRECTION: September 23, 2003
• AMENDED: March 17, 2009 – filing 2009-108, NFPA #37 updated to 2006 edition
• AMENDED: August 23, 2022 – filing 2022-170, NFPA #37 updated to 2021 edition

Chapter 14 National Fuel Gas Code

Code Me. R. 16-219 Ch. 14 National Fuel Gas Code {#sec-16-219-ch.-14 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 14}

SUMMARY: This rule incorporates by reference the National Fire Protection Association Code #54, National Fuel Gas Code.

1. This rule incorporates by reference the National Fire Protection Association (NFPA) Code #54, National Fuel Gas Code, 2021 Edition. All rights reserved by the National Fire Protection Association. Copies of NFPA Standards are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

2. Exclusions & Amendments

A. Section 12.6.5.1 shall be amended by adding the following language: “An existing connection of a solid fuel burning appliance to a chimney flue to which another appliance burning oil or solid fuel is connected for any chimney existing and in use prior to February 2, 1998 shall be permitted as long as sufficient draft is available for each appliance, the chimney is lined and structurally intact and a carbon monoxide detector is installed in the building near a bedroom.”

History

• STATUTORY AUTHORITY: 25 M.R.S. §2452
• EFFECTIVE DATE: September 17, 1986
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• REPEALED AND REPLACED: August 7, 2001 – formerly Ch. 22
• AMENDED: September 1, 2003 – filing 2003-298
• AMENDED: September 3, 2007 – filing 2007-368
• AMENDED: November 24, 2010 – filing 2010-598
• AMENDED: August 23, 2022 – filing 2022-171

Chapter 15 Fire Protection Rules for Medical Facilities and Equipment

Code Me. R. 16-219 Ch. 15 Fire Protection Rules for Medical Facilities and Equipment {#sec-16-219-ch.-15 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 15}

SUMMARY: This chapter contains specific information, regulations and minimum requirements relating to: inhalation anesthetics, respiratory therapy, laboratories in health related institutions, hyporbaric facilities, nonflammable medical gas systems; and inhalation anesthetics in ambulatory care facilities.

1. This rule incorporates by reference the National Fire Protection Association Standard # 99, Standard for Health Care Facilities , 2021 edition.

2. This rule incorporates by reference the National Fire Protection Association Standard # 99B, Standard for Hyporbaric Facilities , 2021 edition.

3. This rule incorporates by reference the National Fire Protection Association Standard # 110, Standard for Emergency and Standby Power Systems , 2022 edition.

All rights reserved by the National Fire Protection Association. Copies of standards are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

History

• STATUTORY AUTHORITY: 25 M.R.S. §2452
• EFFECTIVE DATE: October 4, 1972
• EFFECTIVE DATE: December 22, 1997 - filed September 27, 1978
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• REPEALED AND REPLACED: August 7, 2001 - formerly Ch. 23
• AMENDED: September 1, 2003 - filing 2003-299
• AMENDED: September 3, 2007 – filing 2007-369
• AMENDED: January 18, 2022 – filing 2022-008

Chapter 16 Storage and Handling of Liquefied Petroleum Gases

Code Me. R. 16-219 Ch. 16 Storage and Handling of Liquefied Petroleum Gases {#sec-16-219-ch.-16 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 16}

SUMMARY: This rule applies to the storage, handling, transportation, and use of LP-Gas and the design, construction, location, installation, operation, and maintenance of refrigerated and nonrefrigerated utility gas plants.

1. This rule incorporates by reference the NFPA Standard #58, Liquefied Petroleum Gas Code , 2020 edition; and Standard #59, Utility LP-Gas Plant Code , 2021 edition. All rights reserved by the National Fire Protection Association. Copies of NFPA standards are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

History

• STATUTORY AUTHORITY: 25 M.R.S. §§ 2452, 2482
• STATUTORY AUTHORITY: EFFECTIVE DATE (subject matter under Chapter 24):
• STATUTORY AUTHORITY: December 22, 1977 - Section 1
• STATUTORY AUTHORITY: October 4, 1972 - Section 2
• REFILED: September 27, 1978 - as Chapter 24, "Liquefied Petroleum Gases," filing 78-195
• AMENDED: September 14, 1986 - filing 86-344
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• REPEALED AND REPLACED: August 7, 2001 - Chapter 24 repealed by filing 2001-327; subject matter moved to Chapter 16 by filing 2001-312 with the title, "Storage and Handling of Liquefied Petroleum Gases."
• AMENDED: August 7, 2002 - filing 2002-313
• AMENDED: April 23, 2006 - filing 2006-155, updated NFPA Standards #58 and #59 to 2004 edition, updated Standard #59’s title
• AMENDED: March 17, 2009 – filing 2009-110, updated NFPA #58 to 2008 edition, NFPA #59 to 2008 edition
• AMENDED: August 23, 2022 - filing 2022-172, updated NFPA #58 to 2020 edition, NFPA #59 to 2021 edition

Chapter 17 National Fire Alarm and Signaling Code

Code Me. R. 16-219 Ch. 17 National Fire Alarm and Signaling Code, N.f.p.a. #72 {#sec-16-219-ch.-17 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 17}

1. This agency incorporates by reference N.F.P.A. #72, National Fire Alarm and Signaling Code, 2019 edition. All rights reserved by The National Fire Protection Association. Copies of standards are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

History

• STATUTORY AUTHORITY: 25 M.R.S. §§ 2396, 2452
• EFFECTIVE DATE: December 22, 1977
• RE-ADOPTED: September 27 1978
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• REPEALED AND REPLACED: June 1, 1997
• CORRECTION: November 11, 1999 - updated to June 1, 1997 filing
• RENUMBERED: August 7, 2001 - formerly Ch. 25
• AMENDED: September 1, 2003 - filing 2003-300
• AMENDED: September 3, 2007 – filing 2007-370
• AMENDED: November 27, 2019 – filing 2019-208

Chapter 19 Standard for Ventilation Control and Fire Protection of Commercial Cooking Operations

Code Me. R. 16-219 Ch. 19 Standard for Ventilation Control and Fire Protection of Commercial Cooking Operations {#sec-16-219-ch.-19 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 19}

SUMMARY: This rule provides minimum fire safety requirements (preventative and operative) related to the design, installation, operation, inspection, and maintenance of public and private cooking operations.

1. This rule incorporates by reference the National Fire Protection Association Standard #96, Standard for the Ventilation Control and Fire Protection of Commercial Cooking Operations , 2021 Edition. All rights reserved by the National Fire Protection Association. Copies of NFPA Standard #96 are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

History

• STATUTORY AUTHORITY: 25 M.R.S. §2452
• EFFECTIVE DATE: December 22, 1977 – (filed September 27, 1978)
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• CORRECTION: November 11, 1999
• REPEALED AND REPLACED: August 7, 2001 – (formerly Chapter 28)
• AMENDED: August 17, 2002 – filing 2002-314
• AMENDED: April 23, 2006 – filing 2006-156, updated NFPA #96 to 2004 Edition
• AMENDED: March 17, 2009 – filing 2009-111, updated NFPA #96 to 2008 Edition
• AMENDED: November 24, 2010 – filing 2010-600
• AMENDED: January 18, 2022 – filing 2022-009 (including title change from “Vapor Removal from Cooking Equipment” to “Standard for Ventilation Control and Fire Protection of Commercial Cooking Operations”)

Chapter 20 Fire Safety in Buildings and Structures

Code Me. R. 16-219 Ch. 20 Fire Safety in Buildings and Structures {#sec-16-219-ch.-20 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 20}

SUMMARY: This rule incorporates by reference National Fire Protection Association (NFPA) #101, Life Safety Code, 2018 edition; NFPA #80, Standard for Fire Doors and other Opening Protectives, 2019 edition; NFPA #220, Standard on Types of Building Construction , 2018 edition; NFPA #221 Standard for High Challenge Fire Walls, Fire Walls and Fire Barrier Walls , 2018 edition; and NFPA #241, Standard for Safeguarding Construction, Alteration, and Demolition Operations , 2019 edition. Specific provisions of the Life Safety Code have been excluded to avoid conflict with the Maine Uniform Building and Energy Code , and several provisions have been modified to make the provisions specific to Maine. This chapter also includes rules governing portable classrooms and indoor and special pyrotechnic events.

1. This rule incorporates by reference National Fire Protection Association Standard #101, Life Safety Code , 2018 edition. All rights reserved by the National Fire Protection Association. Copies of this standard are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

A. Unvented fuel-fired heaters. Unvented fuel-fired heaters shall not be used in a bedroom or bathroom or in a manufactured home.

B. Extinguishment Requirements in One- and Two- Family Dwellings. Section 24.3.5.1 of NFPA #101, the Life Safety Code , 2018 edition, is not incorporated by reference.

C. Stair risers, guards, treads, and tread nosing. The following provisions of NFPA #101, Life Safety Code , 2018 edition, are modified as indicated: The maximum height of risers as prescribed in Chapter 24, Section 24.2.5 is modified to permit a maximum 7 ¾” riser for newly constructed stairs in one- and two family dwellings only. The minimum height of guards as prescribed in Chapter 24, Section 24.2.5 is modified to permit a minimum guard height of 36” for newly constructed stairs in one- and two family dwellings only. The minimum tread depth as prescribed in Chapter 24, Section 24.2.5 shall be amended to permit a 10” tread depth for newly constructed stairs in one-and two family dwellings only. Tread nosing as prescribed in Chapter 7, Section 7.2.2.3.3.2 is modified to permit a nosing at least ¾” but not more than 1 ¼” in depth for newly constructed one-and two family dwellings. Nosings are not required where tread depth is not less than 11 inches.

D. Separated Occupancies. Tables 6.1.14.4.1 Part 1 &2, “ Required Separation of Occupancies (hours.)” shall be crossed referenced with Table 508.4 Required Separation of Occupancies of the 2015 International Building Code (IBC). Where separation requirements in the two tables conflict, separation requirements set forth in the IBC table control.

E. Accessory Occupancies. Chapter 6, Section 6.1.14.1.3 of NFPA #101, Life Safety Code , 2018 edition, is not incorporated. Section 508.2 Accessory Occupancies, of the 2015 International Building Code governs .

F. Dead End Corridors. The following provisions of NFPA #101, Life Safety Code , 2018 edition, are modified as indicated: Chapter 18, Section 18.2.5.2 is modified to require dead end corridors not to exceed 20 feet. Chapter 32, Section 32.3.2.5.4 is modified to require dead end corridors not to exceed 50 feet. Chapter 42, Table 42.2.5 is modified to require that a dead end corridor in an ordinary hazard storage occupancy protected by a sprinkler system not exceed 50 feet. A dead end corridor in an ordinary hazard storage occupancy not protected by a sprinkler shall not exceed 20 ft.

G. Chapter 33.7.3.6 Add. Section 19.7 shall apply in such instances.

H. Until the end of the State of Emergency declared by Governor Janet T. Mills on March 15, 2020 (due to COVID-19) and amended and extended by subsequent executive orders issued on or before January 1, 2022, whichever occurs first, NFPA #101, Section 3.3.282.9, is partially amended with the words “180 days” replaced with the words “364 days”. During any other time period, NFPA #101, Section 3.3.282.9 is fully adopted without amendment.

2. This rule incorporates by reference the National Fire Protection Association Standard #80, Standard for Fire Doors and other Opening Protectives , 2019 edition. All rights reserved by the National Fire Protection Association. Copies of this standard are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

3. This rule incorporates by reference the National Fire Protection Association Standard #220, Standard for Types of Building Construction , 2018 edition. All rights reserved by the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

4. This rule incorporates by reference the National Fire Protection Association Standard #221, Standard for High Challenge Fire Walls, Fire Walls and Fire Barrier Walls , 2018 edition. All rights reserved by the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

5. This rule incorporates by reference the National Fire Protection Association Standard #241, Standard for Safeguarding Construction, Alterations, and Demolition Operations , 2019 edition. All rights reserved by the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

6. Portable Classrooms

Portable Classrooms shall mean buildings manufactured and moved to a site to provide educational space for educational facilities. Similar portable classrooms may be site built if the installation follows these requirements and a construction permit is obtained in accordance with Title 25 M.R.S. §2448.

A. All portable classrooms shall be placed in such a manner that no part of the portable classroom is within 20 feet horizontally to any other building.

B. Groups of portable classrooms shall maintain 20 feet of clearance between individual buildings.

C. All groups of buildings under this construction shall have a construction permit issued by the Office of State Fire Marshal as required by Title 25 M.R.S. §2448.

D. Buildings and groups of buildings on the same property shall have fire alarm systems as required (NFPA 101, 2018 edition, Sections 14.3.4 and 15.3.4) and all systems shall be interconnected.

E. Fire Drills shall be conducted in conjunction with drills in main educational buildings.

F. Portable classrooms shall meet all egress requirements of the adopted National Fire Protection Association Standard #101, Life Safety Code , 2018 edition.

G. No installation shall be completed unless a letter from the municipal fire authority has been received by the Office of State Fire Marshal. This letter must indicate that the fire authority's ability to respond to fire emergencies will not be hindered by the placement of the portable classrooms and that the installations of the portable classrooms do not violate local ordinances.

7. Announcement required

At every event with a defined start time, where an assembly occupancy can accommodate 300 occupants or more, the event manager, operator, sponsor, or a designee shall make an audio announcement to all occupants, prior to the commencement of the event, regarding the following:

A. Location of exits;

B. Smoking rules and regulations;

C. Use of open flame devices;

D. What to do in case of emergency evacuation; and

E. Location of any first aid stations.

Such events include but are not limited to those held at armories, assembly halls, auditoriums, dance halls, exhibition halls, gymnasiums, special amusement buildings regardless of occupant load, and theaters.

History

• STATUTORY AUTHORITY: 25 M.R.S. §2452 and 8 M.R.S. §236
• EFFECTIVE DATE: December 22, 1977 - filed September 27, 1978
• AMENDED: October 24, 1982
• AMENDED: September 30, 1985
• AMENDED: September 1, 1988
• AMENDED: September 1, 1991
• AMENDED: September 1, 1994
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• AMENDED: January 2, 1999
• REPEALED AND REPLACED: August 7, 2001 - formerly Ch. 29
• AMENDED: March 11, 2003 - filing 2003-67 (EMERGENCY, expires June 9, 2003)
• AMENDED: September 1, 2003 - filing 2003-302
• AMENDED: August 18, 2004 - filing 2004-345
• NON-SUBSTANTIVE CORRECTIONS: September 13, 2004 - corrected section numbering
• AMENDED: September 21, 2004 - filing 2004-409, section 1.B reinserted
• AMENDED: September 3, 2007 – filing 2007-371
• AMENDED: July 27, 2011 – filing 2011-250
• AMENDED: November 27, 2019 – filing 2019-210
• AMENDED: January 25, 2021 – filing 2021-030 (EMERGENCY)

Chapter 21 Tents Grandstands, Air Supported Structures for Places of Assembly

Code Me. R. 16-219 Ch. 21 Tents Grandstands, Air Supported Structures for Places of Assembly {#sec-16-219-ch.-21 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 21}

SUMMARY: This rule outlines minimum requirements for life safety in relation to fire, storm, collapse, and crowd behavior in tents, membrane structures, and assembly seating.

1. This rule incorporates by reference the National Fire Protection Association Standard #102, Standard for Grandstands, Folding and Telescoping Seating, Tents and Membrane Structures , 2021 edition. All rights reserved by the National Fire Protection Association. Copies of this standard are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269

History

• STATUTORY AUTHORITY: 25 M.R.S. §2452
• EFFECTIVE DATE: "Welding and Cutting Processes and Acetylene Cylinder Charging Plants"
• EFFECTIVE DATE: October 4, 1972 - Sec. 2, "Cutting and Welding Process"
• EFFECTIVE DATE: December 22, 1977 - Sec. 1, "Oxygen Fuel Gas Systems for Welding and Cutting"
• EFFECTIVE DATE: Sec. 3, "Acetylene Cylinder Charging Plants"
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• REPEALED AND REPLACED: August 7, 2001 - as "Tents, Grandstands and Air Supported Structures for Places of Assembly". Subject matter of former Chapter 21 moved to Chapter 13. New Chapter 21 incorporates the subject matter of former Chapter 30.
• AMENDED: March 17, 2009 – filing 2009-112, updated NFPA #102 to 2006 edition
• AMENDED: August 23, 2022 - filing 2022-173, updated NFPA #102 to 2021 edition

Chapter 22 Chimneys, Fireplaces, Vents and Solid Fuel Burning Appliances

Code Me. R. 16-219 Ch. 22 Chimneys, Fireplaces, Vents and Solid Fuel Burning Appliances {#sec-16-219-ch.-22 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 22}

SUMMARY: This rule is an agency incorporation by reference to the National Fire Protection Association Standard #211, Standard for Chimneys, Fireplaces, Vents and Solid Fuel-Burning Appliances , 2019 edition. The primary focus of this standard is the removal of waste gases, the reduction of fire hazards associated with construction and installation of chimneys, fireplaces and venting systems for residential, commercial and industrial appliances and the installation of solid fuel burning appliances.

1. This rule incorporates by reference, the National Fire Protection Association Standard #211, Standard for Chimneys, Fireplaces, Vents and Solid Fuel-Burning Appliances , 2019 edition. All rights reserved by the National Fire Protection Association. Copies of NFPA Standards are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

All references to circumstances requiring a level II inspection of existing chimneys upon sale and transfer of property shall be excluded from this rule. Therefore, the following section and identified language of a table contained in the National Fire Protection Association Standard for Chimneys, Fireplaces, Vents and Solid Fuel-Burning Appliances, 2019 edition shall not be included in this incorporation by reference:

Section 15.4.1(3)

Table 15.2.1. Delete language “upon sale and transfer of property;” only.

History

• STATUTORY AUTHORITY: 25 M.R.S. §§ 2452, 2465
• EFFECTIVE DATE: December 22, 1977 (1972 edition) (filed September 27, 1978)
• AMENDED: October 24, 1982 (1980 edition)
• AMENDED: September 14, 1986 (1984 edition)
• AMENDED: August 22, 1988 (1987 edition)
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• REPEALED AND REPLACED: August 7, 2001 - (1996 edition) formerly Chapter 31
• AMENDED: August 17, 2002 - filing 2002-315 (2000 edition)
• AMENDED: September 1, 2003 - filing 2003-303 (2003 edition)
• AMENDED: September 3, 2007 – filing 2007-372 (2006 edition)
• AMENDED: August 23, 2022 – filing 2022-174 (2019 edition)

Chapter 23 Purged and Pressurized Enclosures for Electrical Equipment

Code Me. R. 16-219 Ch. 23 Purged and Pressurized Enclosures for Electrical Equipment {#sec-16-219-ch.-23 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 23}

SUMMARY: This rule has two major sections. The first section covers purged enclosures for electrical equipment in Class I hazardous locations. This section includes the general provisions, as well as more specific information and regulations regarding purged instruments, small purged control rooms, and purged power equipment enclosures. The second section covers pressurized enclosures for electrical equipment in Class II hazardous locations. It contains more specific information and regulation regarding pressurized, small enclosures, pressurized control rooms, and pressurized power equipment enclosures.

1. This rule incorporates by reference the National Fire Protection Association Standard #496, Standard for Purged and Pressurized Enclosures for Electrical Equipment, 2008 edition. All rights reserved by the National Fire Protection Association. Copies of this standard are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

History

• STATUTORY AUTHORITY: 25 M.R.S.A. §2452
• EFFECTIVE DATE: October 4, 1972 - filed September 27, 1978
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• NON-SUBSTANTIVE CORRECTIONS: November 11, 1999
• REPEALED AND REPLACED: August 7, 2001 - formerly Ch. 32
• AMENDED: August 18, 2004 - filing 2004-346, updates NFPA #496 to 2003 edition
• AMENDED: March 17, 2009 – filing 2009-113, updates NFPA #496 to 2008 edition

Chapter 24 Fire Safety Technician Training and Certification Program

Code Me. R. 16-219 Ch. 24 Fire Safety Technician Training and Certification Program {#sec-16-219-ch.-24 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 24}

The Fire Safety Technician training program shall consist of 16 hours of classroom instruction followed by eight hours of supervised field training. Components of the training program will include an overview of the National Fire Protection Association Code for Safety to Life from Fire in Buildings and Structures, 101; basic inspection techniques; documentation procedures; and an overview of the Department of Human Services rules.

§1. Standards for Fire Safety Technician training program and certification

1. Fire prevention inspection techniques

A. Approaching the customer (facility operator)

B. Explaining violations to achieve voluntary compliance

C. Understanding and applying the concept of equivalency

D. Using diagrams

E. Conducting the exit interview

2. Principles of the Life Safety Code

A. Chapter 1 - General

B. Chapter 2 - Fundamental Requirements

C. Chapter 3 - Definitions

D. Chapter 4 - Classification of Occupancy and Hazard of Contents

3. Application of Code requirements during the inspection

A. Determining means of egress

B. Means of egress alternatives

C. Protection from hazards in child care facilities

D. Protection from hazards in child care facilities associated with educational occupancies

E. Protection from hazards in child care facilities associated with one and two family dwellings.

F. Fire detection and fire protection systems

4. Fire prevention inspection field training

A. Conveying a professional image

B. Concise report writing

C. Familiarization with forms

D. Communicating with difficult customers

5. Certification examination

A. Successful completion of multiple choice examination. A score of 70% correct is required.

6. Annual rectification

A. Completion of at least 12 inspection reports during the calendar year.

7. Loss of certification

A. A Fire Safety Technician certificate may be revoked by the State Fire Marshal. Grounds for revocation include any violation by the Fire Safety Technician of applicable laws, codes or standards, or proof that false information was given or a misrepresentation was knowingly made by the Fire Safety Technician in the course of fulfilling inspection duties.

History

• STATUTORY AUTHORITY: 22 M.R.S.A. §8304-A
• STATUTORY AUTHORITY: History of Chapter 33
• EFFECTIVE DATE: January 2, 1999 - as "Fire Safety Technician Training and Certification Program"
• RENUMBERED: August 7, 2001 - changed to Chapter 24
• RENUMBERED: History of Chapter 24
• EFFECTIVE DATE: December 22, 1977 (filed September 27, 1978) - as "Storage and Handling of Liquefied Petroleum Gases"
• REPEALED AND REPLACED: September 14, 1986
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• REPEALED AND REPLACED: August 7, 2001 - subject matter moved to Chapter 16. Chapter 33, "Fire Safety Technician Training and Certification Program," renumbered to Chapter 24.
• REPEALED AND REPLACED: 16-219 Chapter 24 page 3

Chapter 25 Rules for the Display of Fireworks

Code Me. R. 16-219 Ch. 25 Rules for the Display of Fireworks {#sec-16-219-ch.-25 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 25}

SUMMARY: This chapter establishes the rules and regulations for the manufacture, transportation, storage and display of fireworks, pyrotechnic articles, and model rocketry; and incorporates by reference National Fire Protection Association Codes, with some exceptions and amendments.

1. This rule incorporates by reference the National Fire Protection Association Code #1123, Code for Fireworks Display , 2022 edition.

All rights reserved by the National Fire Protection Association. Copies of NFPA Standards and Codes are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

History

• STATUTORY AUTHORITY: 8 M.R.S. Section 236
• EFFECTIVE DATE: 1951
• READOPTED: July 31 1979
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• REPEALED AND REPLACED: November 9, 1996
• CORRECTION: May 15, 1997
• RENUMBERED: August 7, 2001 - formerly Ch. 34
• REPEALED AND REPLACED: September 1, 2003 - filing 2003-304
• AMENDED: April 23, 2006 – filing 2006-157
• AMENDED: March 17, 2009 – filing 2009-114, NFPA #1122 upgraded to 2008 edition, NFPA #1123 upgraded to 2006 edition
• AMENDED: August 23, 2022 – filing 2022-175, NFPA #1123 upgraded to 2022 edition

Chapter 26 Standard for the Use of Pyrotechnics before a Proximate Audience

Code Me. R. 16-219 Ch. 26 Standard for the Use of Pyrotechnics Before a Proximate Audience {#sec-16-219-ch.-26 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 26}

SUMMARY: This rule is an agency incorporation by reference to the National Fire Protection Association Standards #1126, Standard for the Use of Pyrotechnics before a Proximate Audience , 2021 Edition; and Standard #160, Standard for Flame Effects before an Audience , 2021 Edition.

1. This rule incorporates by reference the National Fire Protection Association Standard #1126, Standard for the Use of Pyrotechnics before a Proximate Audience , 2021 Edition; and Standard #160, Standard for Flame Effects before an Audience , 2021 edition. All rights reserved by the National Fire Protection Association. Copies of standards are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

History

• STATUTORY AUTHORITY: 8 M.R.S. §236
• EFFECTIVE DATE: November 9, 1996
• REPEALED AND REPLACED: August 7, 2001 - formerly Chapter 35
• AMENDED: August 17, 2002 - filing 2002-316
• AMENDED: September 3, 2007 – filing 2007-373
• AMENDED: August 23, 2022 – filing 2022-176

Chapter 28 Rules Governing Operations of Amusement Devices and Midways

Code Me. R. 16-219 Ch. 28 Rules Governing Operations of Amusement Devices and Midways {#sec-16-219-ch.-28 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 28}

SUMMARY: This chapter establishes rules for the safe design, manufacture, set up, inspection, operation, dismantling and maintenance of amusement devices and midways.

1. This rule incorporates by reference the following American Standard for Testing and Materials (ASTM) standards. All rights reserved by the ASTM. Individual reprints (single or multiple) copies of these standards may be obtained by contacting ASTM at 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959 or by phone at (610) 832-9585 or service@astm.org e-mail; or through the ASTM website, www.astm.org.

ASTM # F 698-94, Standard Specification for Physical Information to be Provided for Amusement Rides and Devices, 2000 edition

ASTM # F 770-93, Standard Practice for Operation Procedures for Amusement Rides and Devices, 2000 edition

ASTM # F 747-97, Standard Terminology Relating to Amusement Rides and Devices, 1997 edition

ASTM # F 846-92, Standard Guide for Testing Performance of Amusement Rides and Devices, 2003 edition

ASTM # F 853-05, Standard Practice for Maintenance Procedures for Amusement Rides and Devices, 2005 edition

ASTM # 1159-03a, Standard Practice for Design and Manufacture of Patron Directed, Artificial Climbing Walls, Dry Slide, Coin Operated and Purposeful Water Immersion Amusement Rides and Devices and Air Supported Structures, 2003 edition

ASTM # 1193-04b, Standard Practice for Amusement Ride and Device Manufacturer Quality Assurance Program and Manufacturing Requirements, 2004 edition

ASTM # 1305-94, Standard Guide for Classification of Amusement Ride and Device Related to Injuries and Illnesses, 2002 edition

ASTM # 1950-99, Standard Specification for Physical Information to be Transferred With Used Amusement Rides and Devices, 2002 edition

ASTM # 2007-00, Standard Practice for the Classification, Design, Manufacture, and Operation of Concession Go-Karts and Facilities, 2000 edition

2. CERTIFICATE OF LIABILITY

3. A person, persons, firm or corporation owning or controlling midways and amusement devices shall furnish a certificate of public liability insurance, in an amount of $1,000,000.00, as a minimum.

4. ELECTRICAL REQUIREMENTS

5. All electrical equipment and installations shall comply with NFPA # 70 (National Electrical Code) as adopted by the Electricians Examining Board, Department of Business Regulation, State of Maine.

6. MEANS OF EGRESS AND ACCESS NOT PROVIDED BY THE MANUFACTURER

7. Platforms required for use in loading and unloading passengers of amusement rides, when raised four (4) feet or more above the ground or floor shall be provided with standard guard rails on all open sides. The loading or unloading side of the platform will not be required to be railed if passengers are not permitted on the loading platform until the conveyance is stopped for loading or unloading. Platforms may have sectional rails separating loading and waiting areas.

8. Inclined walkways or ramps for access to loading platforms, if used, shall be inclined so that the slope shall not exceed one (1) foot in eight (8) feet, and shall be securely fastened. Such ramps shall not be less than eighteen (18) inches wide. Wherever the gradient so warrants, cleats shall be secured across the walkway at uniform intervals not to exceed twelve (12) inches, or some other effective anti-slip surface shall be provided. Standard railings shall be provided on open sides of ramps in accordance with the requirements for stairways included in these rules.

9. Safe means shall be provided for reaching all elevated runways and platforms. Whenever in general use, they shall be equipped with a permanent stairway, or stationary ladder where it is impracticable to provide a stairway. The side rails of such stationary ladders shall extend at least forty-two (42) inches above the level served or handholds shall be provided to at least forty-two (42) inches above such level.

10. Standard railings shall be placed on all open sides of stairs or ramps and for such use may be from thirty (30) to thirty-six (36) inches high and serve as required handrails.

11. Stairs having more than four (4) risers and ramps more than thirty (30) inches high shall be equipped with permanent and substantial handrails for the full length of such stairs or ramps.

12. Handrails shall be placed:

A. On all open sides of stairs and ramps;

B. On one side of an enclosed stair four (4) feet or less in width,

C. On both sides of any stair more than four (4) feet in width;

D. On both sides and in the center of stairs more than eight (8) feet in width. The width of stairs shall be taken as the length of tread between stringers.

5. ACCIDENTS

6. Evacuation procedures shall be established for each ride for use in case of emergency. Any necessary equipment needed for such evacuation shall be readily available for use.

7. It will be the responsibility of the ride owner or his representative to report to the State Fire Marshal's Office via Regional State Police Barracks any personal injury accident as follows:

A. Immediately if injury requires emergency room treatment or hospitalization;

B. Within twenty-four (24) hours if personal injury requires emergency first aid.

6. MIDWAYS

7. Grounds

A. Rides and concessions shall not be set in natural drainage areas.

B. Rides and concessions shall be kept a minimum of ten (10) feet away from overhead electrical lines.

C. Roadways and walks shall be of sufficient width to allow access for public safety emergency vehicles.

D. Roadways and walks shall be free of debris, holes, and other hazards.

E. Except for an emergency response vehicle, no motor vehicle shall be permitted on the midway from the time the midway opens until closing including those operated by owners and operators, vendors and service vehicles.

7. FIRE PROTECTION

8. The person, persons, firm or corporation owning the midway shall provide an adequate, as defined in subsection 2 below, and sufficient amount of fire fighting equipment for the entire midway.

9. An adequate and sufficient amount of fire fighting equipment includes a hose attached to a charged standpipe or portable fire extinguishing device located every 75 feet within the midway area.

10. CONCESSION STANDS

11. All electrical equipment and installations shall comply with NFPA #70, National Electrical Code, as adopted by the State Electricians Examining Board.

12. Hinges, awnings, and braces must be safety keyed, nails shall not be used for hinge or support pins.

13. Every effort shall be made to keep stakes and ropes from traffic areas. Where this is not possible, highly visible covers shall be provided.

14. Seats and counter areas must be free of nails, other similar protrusions, and splinters.

15. Shooting galleries, dart games, and ball pitch games shall have adequate ricochet protection to prevent projectiles from leaving the concession stand area and striking a passerby.

16. A 10 BC rated dry chemical fire extinguisher shall be provided where deep fat fryers are in use.

17. All tents and air-supported structures for public assembly, if used when natural light is not available, shall have emergency lighting in accordance with provisions in the Life Safety Code NFPA #101.

18. UNLICENSED AMUSEMENT DEVICES

19. All electrically powered, fixed, child amusement rides located in an established play area of a shopping center or restaurant do not require a license. All children rides in established play areas shall comply with the following safety requirements:

A. All rides limited to 4 or fewer seats or riders;

B. Every ride shall be controlled by an electrical switch located at least 6 feet above the floor.

C. The control switch shall be the type which must be manually engaged to operate the ride and shall, when released, return to the "off' position;

D. No ride shall operate at a rate exceeding 100 feet per minute.

E. No admission shall be charged;

F. The electrical installation shall comply with the National Electrical Code.

G. Operating safety instructions shall be posted by operator's switch.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. § 502
• EFFECTIVE DATE: August 2, 1979
• AMENDED: May 1, 1984
• AMENDED: May 21, 1994
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• RENUMBERED: August 7, 2001 – formerly Chapter 37
• AMENDED: August 17, 2002 – Section I
• AMENDED: September 3, 2007 – filing 2007-374
• AMENDED: November 24, 2010 – filing 2010-601
• AMENDED: 16-219 Chapter 6 page 5

Chapter 29 Rules and Regulations Relating to Structures Used by the Public as Spectators During Motor Vehicle Racing

Code Me. R. 16-219 Ch. 29 Rules and Regulations Relating to Structures Used by the Public as Spectators During Motor Vehicle Racing {#sec-16-219-ch.-29 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 29}

SUMMARY: This chapter contains rules and regulations relating to structures used to accommodate and protect spectators during motor vehicle racing. It contains specific rules and regulations to assure the safe and proper construction and maintenance of grandstands, bleachers, stadiums, arenas, safety barriers and the surface upon which they are placed.

29.01 Definitions

When used in these Regulations the following terms and definitions shall prevail:

A. Commissioner shall mean whatever individual is duly appointed and qualified as Commissioner of Public Safety under the provisions of Section 2 of Chapter 56 of the Revised Statutes of 1944.

B. State Fire Inspector shall mean and include whatever individual is duly appointed by the Commissioner of Public Safety in accordance with Section 29 of Chapter 85 of the Revised Statutes of 1944.

C. Inspector shall mean and include individuals in cities and towns designated as such under the provisions of Section 21 of Chapter 85 of the Revised Statutes of 1944.

D. Architect or Engineer shall mean whatever individual is duly registered under the provisions of Section 1 of Chapter 74 of the Revised Statutes of 1944.

E. Grandstand: A permanent structure having a solid floor and individual seats.

F. Bleacher: A structure with open risers with or without individual seats.

G. Stadium: A structure with its enclosures.

H. Arena: The area in the central part of the stadium.

I. Portable Grandstand or Bleacher: An assembly of prefabricated units, readily erected for a specific period of motor vehicle racing.

29.02 Scope of Rules

These regulations shall apply to grandstands, bleachers, stadiums, or arenas as the use of the structure warrants. If in the opinion of the Commissioner of Public Safety an existing structure may be dangerous to life or limb, he shall order the owner thereof to furnish a certificate from a licensed architect or engineer showing the calculations for anchorage and footing including soil test data, and live, dead, sway, and wind loads of structural members. Such certificate to be submitted with plans of changes which he deems necessary to make the structure safe.

29.03 Plans and Specifications

A. Plans and Specifications: No structure which is designed to be used, or in which alternations shall be made for the purpose of using it or continuing its use as a grandstand, permanent bleacher, stadium or arena, shall be erected, and no alternations shall be made therein until plans and specifications in triplicate, have been deposited with the Commissioner of Public Safety. The Commissioner of Public Safety may require plans showing all details of construction, including the size of materials of all members with methods of anchorage and footings, including soil test data, and calculations and live, dead, sway and wind loads for all structural members, and then further require an affidavit from a licensed architect or engineer certifying as to such calculations for structural members. The Commissioner of Public Safety may require that space under a grandstand or permanent bleachers used for commercial purposes shall be enclosed in one-hour fire resistive materials, and also make such further requirements as may be necessary to prevent the spread of fire.

B. Plans and specifications of portable bleachers, shall be approved by the Commissioner of Public Safety before the bleacher is erected or relocated. The Commissioner shall require that all grass or vegetation shall be cut and removed, and no combustible material shall be allowed to accumulate under the bleacher.

29.04 General Construction Requirements

A. Permanent grandstands shall be erected upon and attached to concrete or masonry foundations extending below the maximum depth of frost and at least six (6" ) inches above natural grade.

B. Grandstands shall be designed to support, in addition to their own weight, a uniformly distributed live load of not less than one hundred (100) pounds per square foot of gross horizontal projection of the grandstand. All seats and foot-board members shall be designed for live loads of not less than one hundred twenty (120) pounds per linear foot. Grandstands shall be designed to resist, without live load, a horizontal wind load of thirty (30) pounds per square foot of all vertical projections of the stand, and with full live load, one half of such wind load. Grandstands shall be designed to resist a horizontal swaying force applied to the seats in a direction parallel to the length of the seats, of twenty-four (24) pounds per linear foot of seats, and in a direction perpendicular to the length of the seats of ten (10) pounds per linear foot of seats.

C. Portable grandstands and bleachers shall be provided with wood sleepers or mud sills of at least two inch (2") plank, or shall be supported on masonry footings. If so directed, sills shall be placed both parallel and at right angles to seating platforms. All bearing surfaces shall make contact as the Commissioner shall direct.

D. Mud sills or sleepers shall be of adequate area to support superimposed loads without settlement, and shall be secured against lateral movement. The toe of each stringer shall be secured to the mud sill or sleeper, all horses or posts shall be provided as directed. No more than one cantilever seat shall be permitted.

29.05 Aisles

A. A grandstand having a railing along the front shall be provided with aisles so located that no portion of any seat shall be more than thirty (30') feet from the nearest aisle. A grandstand having seats with backs shall be provided with aisles so located that no portion of any seat shall be more than thirty (30') feet from the nearest aisle.

B. Aisles shall not be less than three feet six inches (3' 6") in width, provided, that where an aisle is divided into two parts, each part shall be two (2') feet in width. Where an aisle is elevated above ground level, each aisle shall be provided with a stairway or ramp not less than the width of the aisle.

C. Grandstands or bleachers having more than thirty (30) row of seats shall have transverse aisles not less than forty-five (45') feet apart leading to stairs or ramps. The Commissioner Of Public Safety may require that a transverse aisle end on a stairway. Transverse aisles shall not be less than five (5') feet in width.

D. Aisles shall be located as directed by the Commissioner of Public Safety. Bleachers without aisles shall have not more than fifteen (15) rows of seats.

29.06 Seats and Seating Platforms

A. Seats and Seating Platforms: The horizontal distance back-to-back of bleacher seat platforms used without individual chairs shall not be less than twenty-two (22") inches. Where the same level is used for seats with backs these levels shall not be less than twenty-four (24") inches in width. Where chairs are used, the horizontal distance back-to-back shall be thirty (30") inches.

B. Seats shall be securely fastened to their supports in such a manner that they cannot accidentally be displaced. Foot rests shall be supported in such a manner that they cannot accidentally be displaced. Foot rests which are lapped shall be provided with some positive means to prevent displacement of one piece on the other. All chairs shall be securely fastened in place.

C. Where seats are not provided or marked off, a width of eighteen (18") inches shall be considered one seat.

29.07 Exits

A. Outdoor grandstands, bleachers, stadiums or arenas shall be provided with exits calculated on the basis of one (1') foot in width for each three hundred (300) persons, or fraction thereof served. Exits shall not be less than three feet six inches (3' 6") in width, nor less than seven (7') feet clear height, and shall be located as directed by the Commissioner of Public Safety.

B. Each exit shall be designated by a sign bearing the word "EXIT" in letters not less than five (5") inches in height and one half (1/2") inch in width, having red letters on a white background, or white letters on a red background, located as directed. Each change in direction of a way of egress shall be designated by a directional sign, located as directed by the Commissioner of Public Safety.

C. Exits, aisles, and ways of egress shall be properly illuminated at all times when the structure is in use. Where artificial illumination is required, a secondary source of illumination shall be provided as directed by the Commissioner of Public Safety under Section 29.12.

D. Egress doors or gates shall be determined by the Commissioner-of Public-Safety. Turnstiles shall not be permitted in any required egress unless adjacent thereto a suitable exit is provided.

E. Railings eighteen (18") inches in height shall be provided: (a) along back of all grandstands if the rear seat is more than four (4') feet above the ground; (b) along those portions of the ends where the seats are more than four (4') feet above the ground; (c) along the front if the foot rest is more than two (2') feet above the ground.

29.08 Sanitation

Grandstands and permanent bleachers shall be provided with reasonably accessible toilet rooms for either sex having not less than one urinal and one water closet for men and not less than two water closets for women for each three hundred (300) persons, or fraction thereof, served. Toilet rooms shall be vented to atmosphere as directed by the Commissioner of Public Safety Through urinals are prohibited.

29.09 Crash Barrier Construction - Indoor and Outdoor Tracks

Crash Barrier Construction - Indoor and Outdoor Race Tracks: Automobile or motorcycle race tracks hereafter erected shall have a bumper rail, a primary type A or B crash barrier and a secondary crash barrier at the outer circumference of the track and shall conform to either of the following types of construction: Type A for tracks without earth traps Type B for tracks with earth traps

A. Type "A" Barriers Defined: There shall be a bumper rail secured to 6" x 6" posts set at least three feet six inches (3' 6") below grade. Posts shall be spaced not more than eight (8') feet apart. The top of the rail shall not be more than two (2') feet above the surface of the track and shall be placed at right angles to the surface of the track.

1. There shall be a primary crash barrier outside and consisting of a chain link fence or equivalent barrier. Poles shall be of 2 1/2” pipe, set at least below grade or below frost line, spaced not more than ten (10') feet on center. The fence shall be not less than four (4') feet in height.

2. The first or lowest seat or chair or platform of the grandstand shall be not less than ten (10') feet above track level.

B. Type "B" Barriers Defined: There shall be a primary barrier in the form of an earth trap and embankment not less than thirty-five (35') feet in width at the outside of the track, and an embankment not less than two (2') feet above the outer edge of the track.

1. There shall be a bumper rail placed at a minimum distance of thirty-five (35') feet from the outer edge of the track and made as follows: rail shall be hard wood, secured to 6"x 6" posts set at least three feet six inches (3' 6")below grade. Posts shall be spaced not more than eight (8') feet apart. The top rail shall not be more than two (2') feet above the surface of the embankment and placed at right angles to the surface of the ground.

2. Placed approximately in same position as bumper rail there shall be a catch fence, constructed of not less than five (5') foot high heavy gauge hog wire to be secured to posts of not less than five (5") inches in diameter, placed in the ground not less than three feet six inches (3' 6") and at an angle away from the grandstands and bleachers sufficient to catch flying objects. Posts shall not be placed more than eight (8’) feet apart.

3. Outside the thirty-five (35' ) foot earth trap and embankment barrier and bumper rail and catch fence, there shall be a secondary crash barrier, not less than four (4') feet in height consisting of chain link fence. Poles shall be of two and one-half (2 1/2") inch pipe set at least three feet six inches (3' 6") below grade and spaced ten (10') feet on center.

C. Utility gates providing access to the racing area shall be so secured as to prevent access to the public. The public shall be excluded from the area within the secondary crash barrier, and a police officer or guard, at the expense of the management, shall be stationed at each utility gate during each race for the purpose of enforcing this regulation.

D. Electric light standards or other poles shall be placed not less than two (2') feet outside the primary crash barrier on type "A” construction and not less than two (2') feet outside the wood bumper rail on type "B" construction.

E. There shall be an area not less than four (4') feet in width extending the full length of the grandstand or bleachers, between the first row of seats and the secondary crash barrier for type "B" construction and an area not less than twenty (20') feet in width between the first row of seats and the secondary crash barrier for type "A" construction.

F. All wire fences and crash barriers shall be grounded.

G. All earth traps, earth embankments, bumper rails, catch fences and crash fences shall extend the entire length and not less than twenty-five (25') feet beyond each end of all grandstands and/or bleachers.

29.10 Fire Safety

A. Extinguishers of an approved type, in a number to be determined by the Commissioner of Public Safety shall be made available at all times. In addition such other fire extinguishing equipment may be required by the head of the fire department in the city or town where motor vehicle racing is held shall be provided.

B. The individual firm or corporation holding the period of motor vehicle racing shall arrange for the detailing of at least one member of the local fire department or a larger number as deemed necessary by the head of the fire department. They shall be on duty from the beginning to the end of the racing daily.

C. Any unforeseen condition that presents a fire hazard, or would contribute to the rapid spread of fire, or would delay or interfere with the rapid exit of persons from the grandstand, bleachers, stadium or arena, or would interfere with or delay the extinguishment of a fire, and which is not otherwise covered by these rules and regulations, shall be immediately abated, eliminated or corrected as ordered by the inspection authority.

29.11 Insurance

No motor vehicle racing shall be conducted until a certificate of Public Liability Insurance has been filed with the Insurance Commissioner. Such certificate shall indicate that a policy providing Bodily Injury Liability Insurance with minimum limits of $50,000 each person, $1,000,000 each accident and Property Damage Liability Insurance of $25,000 each accident has been issued by an Insurance Company acceptable to the Insurance Commissioner. Ten (10) days notice of cancellation of Liability Insurance shall be given in writing to the Commissioner of Public Safety.

29.12 Auxiliary Lighting

A. The use of electricity supplied by a 110-115 V generator or approved storage battery system for secondary means of illumination is permitted and shall be connected to the emergency lighting panels through an automatic throw-over switch which will operate immediately in the event of failure in the general lighting supply. At no time shall the connected secondary lighting load be greater than the rated capacity of the generator or storage battery system. The generator or storage battery system shall have sufficient capacity to supply the lighting circuits so connected for not less than one and one-half (1 1/2) hours. The automatic throw-over switch shall be connected so that when the principal lighting supply is restored it will throw back to normal operating position. Provision shall be made for automatic charging of all wet batteries of such lighting systems. Batteries and generators shall be inspected and tested at intervals of not less than once a week. The automatic throw-over switch shall be tested each day.

B. No open flame shall be used for illumination or decorative effect.

29.13 Wiring Construction

All wiring for electricity shall be done in accordance with the best practice. In case any question arises as to what is the best practice, work done according to the requirements of the National Board of Fire Underwriters shall be considered as so done.

History

• STATUTORY AUTHORITY: M.R.S.A. Title 8 Sec. 562
• EFFECTIVE DATE: October 11, 1951 - as Ch. 38
• READOPTED: July 31, 1979
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• NON-SUBSTANTIVE CORRECTIONS: November 26, 2000 - added year to readoption date, formatting
• RENUMBERED TO CH. 29: August 7, 2001
• AMENDED: September 1, 2003 - filing 2003-305
• AMENDED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 31 Rules for the Manufacture, Transportation, Storage and Use of Explosive Materials

Code Me. R. 16-219 Ch. 31 Rules for the Manufacture, Transportation, Storage and Use of Explosive Materials {#sec-16-219-ch.-31 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 31}

SUMMARY: This rule is an agency incorporation by reference to the National Fire Protection Association Standard #495, Explosive Materials Code, 2006 Edition. Also included in this chapter are specific State of Maine exceptions as provided for consistency with the incorporated reference.

1. This rule is an agency incorporation by reference to the National Fire Protection Association Standard #495, Explosive Materials Code, 2006 edition. All rights reserved by the National Fire Protection Association. Copies of this standard are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

2. The following specified references are removed or adjusted to reflect consistency with State of Maine requirements:

Section 1.3.4 is removed

Section 1.3.5 is removed

Section 1.6 Enforcement: Amended to read: “This code shall be enforced in accordance with 17A MRSA § 2 #17.

Section 4.1.8 is removed

Section 4.1.9.1 is amended to read:

DANGER

NEVER PROCEED TO FIGHT FIRES

ON THIS SITE UNTIL CONTACTING

THE FOLLOWING TELEPHONE NUMBER

CALL__________________________________

Section 4.2.3.1 is amended to read:

4.2.3.1 Every person conducting an operation or activity that uses explosive materials shall obtain a permit to use explosive materials and shall be responsible for the results and consequences of any loading or firing of explosive materials. Such person also shall ensure that loading and firing are performed or supervised by a person possessing a permit to blast.

Exception: Approved laboratories engaged in testing explosive materials, other than where conducting test blast explosions, shall require only a permit to use.

Table 4.3.2 Classification for Permit to Blast is amended to read as follows:

Table 4.3.2 Classifications for Permits

Permit to Use All Types of Blasting

Permit to Transport Explosives

Permit to Store Explosives

Section 4.4 is amended to read:

4.4 Requirements for Permit to Use

Section 4.4.3 is amended to read:

4.4.3 Any holder of a Permit to Use Explosives or person employed by the holder of a Permit to Use Explosives who is convicted of a violation of any explosive law or regulation shall be required to pass a qualifying examination as a condition of retention of the permit.

Section 4.5.1 is amended to read:

4.5.1 Permit to Use. A copy of the Permit to Use Explosives shall be posted at each place of operation, in each vehicle transporting explosives, and inside of all magazines containing explosives.

Section 4.5.2 is amended to read:

4.5.2 Permit to Transport. A copy of the permit shall be in the vehicle and readily accessible.

Section 4.8.1.1.1 is added by the State of Maine to read:

4.8.1.1.1 All storage magazines shall contain an up-to-date inventory of all explosive materials stored within; and upon request from the Authority Having Jurisdiction, a copy of the current inventory shall be made available.

Section 8.2.7 is amended to read:

8.2.7.1 A motor vehicle used for transporting explosive materials shall be inspected to determine that it is in proper condition. The following items shall be verified:

(1) The fire extinguisher is filled and in working order.

(2) All electrical wiring is completely protected and securely fastened to prevent short-circuiting.

(3) The chassis, motor, oil pan, and body undersides are clean and free of excess oil and grease.

(4) The fuel tank and fuel lines are secure and free of leaks.

(5) The brakes, lights, horn, windshield wipers, and steering apparatus are functioning properly.

(6) The tires are inflated properly, free of defects and are within allowed wear condition.

(7) The vehicle is in the proper condition in every other respect and is acceptable for handling explosive materials.

3. CERTIFICATE OF PUBIC LIABILITY

A certificate of public liability insurance in the amount of $500,000.00 to cover losses, damages or injuries that may ensue to persons or property must be furnished to the Office of State Fire Marshal prior to issuance of a permit to use, store or transport explosives. This certificate must also have a ten day notice of cancellation or change of policy.

4. VIOLATIONS - CIVIL VIOLATIONS

Forfeiture of not less than $100.00 nor more than $500.00 may be adjudicated for each offense. All such substances may be seized by a peace officer and forfeited and, within 20 days after such seizures, may be libeled according to law. Cities or towns may make and enforce reasonable ordinances or bylaws not inconsistent with these rules.

5. RECORD KEEPING AND REPORTING

Any person who sells or markets explosive materials as defined by Title 25 M.R.S.A. §2471, within the State of Maine, shall submit a report upon request to the Office of State Fire Marshal of the sale or transfer of ownership of all explosive materials sold or transferred to a new owner by said person listing the date of delivery, the name, address and explosive use, purchase and transport license, number of persons to whom the explosives were sold or delivered; along with the type, size, identification number and amount of explosives sold. This report shall be submitted monthly, on such forms as the State Fire Marshal may designate, not later than the fifteenth day of each month.

6. NOTIFICATION OF LOSS, THEFT OR UNLAWFUL REMOVAL

The loss, theft, or unlawful removal of explosive materials shall be reported within 24 hours to the Office of State Fire Marshal and the Bureau of Alcohol, Tobacco and Firearms.

History

• STATUTORY AUTHORITY: 25 M.R.S.A. §2472
• EFFECTIVE DATE: December 1, 1990 (replaced Chapter 33, filed November 15, 1979)
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• NON-SUBSTANTIVE CORRECTIONS: November 9, 1999 - minor corrections
• REPEALED AND REPLACED: August 7, 2001 - formerly Chapter 135
• AMENDED: August 17, 2002 - Sections 1 and 2, remaining sections renumbered
• AMENDED: September 3, 2007 – filing 2007-375
• AMENDED: 16-219 Chapter 31 page 4

Chapter 34 Rules and Regulations for Flammable and Combustible Liquids

Code Me. R. 16-219 Ch. 34 Rules and Regulations for Flammable and Combustible Liquids {#sec-16-219-ch.-34 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 34}

SUMMARY: Chapter 34 establishes minimum standards for the safe storage, possession, handling, dispensing and transportation of flammable and combustible liquids (including waste liquids). The rule also applies to motor fuel dispensing facilities, marine motor fuel dispensing facilities, fuel dispensing facilities located inside buildings, fleet vehicle motor fuel facilities, farms, isolated construction sites and repair garages. This rule is an agency incorporation of the following National Fire Protection Association (NFPA) Codes #30 2008Edition Standards for Flammable and Combustible Liquids; #30A 2008 Edition Code for Motor Fuel Dispensing and Repair Garages, # 30B2007 Edition Code for Manufacture and Storage of Aerosol Products, and #385 2007 Edition Standard for Flammable and Combustible Liquids.

§1. This rule incorporates by reference NFPA #30, 2008 Edition, Standards for Flammable and Combustible Liquids , not including standards relating to storage in underground tanks of materials currently regulated by the Maine Department of Environmental Protection under Title 38 or to storage of flammable substances that are regulated by the Department of Professional and Financial Regulation under Title 32. Copies of this standard are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

The following table and sections in NFPA #30, Standards for Flammable and Combustible Liquids , shall be excluded from this rule:

A. Table 22.4.1.1 (b) of NFPA 30 Reference Table for Use in Tables 22.4.1.1 (a) , 22.4.1.3, and 22.4.1.5. All references to table 22.4.1.1 (b) of NFPA 30, shall be interpreted as a reference to “ Table 4.3.2.1.1(b) State of Maine Reference Table for Use in Tables 22.4.1.1 (a), 22.4.1.3, and 22.4.1.5” (see table in appendix A to be incorporated in this rule).

B. All references to underground storage tanks:

C. Sections of NFPA 30 referring to underground storage tanks, which are regulated by the Maine Department of Environmental Protection under Title 38 MRSA §561 are excluded from this rule.

D. Sections of NFPA 30 referring to the underground storage of flammable substance are:

23.6.2

23.5.3

23.6

A.23.3.3

21.7.4.3.9

23.3.4

C.6.

23.13

23.13.3

23.14

23.5

21.7.5

A.21.7.5

28.10.2

23.4

21.7.1.5

21.7.4.3

A.21.7.4.3.3(2)

C.5

21.7.4.3.8

C.2

21.5

23.6

A.23.6.1

§2.This rule incorporates by reference NFPA # 30A, 2008 Edition, Code for Motor Fuel Dispensing Facilities and Repair Garages. Copies of this standard are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

1. The following table and section(s) in NFPA #30A, Code for Motor Fuel Dispensing Facilities and Repair Garages Standards for Flammable and Combustible Liquids , 2008 edition shall not be included in this rule:

A. Table 4.3.2.4 Tanks shall be located in accordance with Table 4.3.2.4. All references to it shall be replaced with a reference to “Table 4.3.2.4 State of Maine Minimum Separation Requirements for Aboveground Tanks” (see table in Appendix B).

B. Section 6.3.8 At unattended self-serve motor fuel dispensing facilities, coin- and currency-type devices shall only be permitted with the approval of the authority having jurisdiction .

C. Section 6.7.2 At unattended motor fuel dispensing facilities, the devices or disconnects shall be readily accessible to patrons and at least one device or disconnect shall be readily accessible to each group of dispensing devices on an individual island.

D. Section 7.3.5 Fixed Fire Protection

2. In addition to all requirements of NFPA 30A section 9.5, unattended self-service retail gasoline facilities shall comply with the following:

A. A fixed automatic fire suppression system meeting the requirements of NFPA 17, Standard for Dry Chemical Extinguishing Systems, 2002 edition , as incorporated by rules of the Department of Public Safety, Office of the Fire Marshal, Chapter 6, Fire Extinguishing Systems , shall be installed and properly maintained. Systems designed and meeting UL 1254 1992 edition, or later, will be accepted.

B. A flame sensor shall be installed by individuals trained by the manufacturer of the equipment in addition to any heat sensing devices required by NFPA 30A.

C. The facility owner/operator shall provide and maintain a means to automatically notify the local fire department in accordance with NFPA 72, National Fire Alarm Code, 2007 edition as incorporated by rules of the Department of Public Safety, and Office of the Fire Marshal, Chapter 17, National Fire Alarm Code.

D. The Primary Fire Department having jurisdiction in the area in which a proposed self-service station is to be located shall be informed of such proposal and the requirements of all local ordinances must be met.

E. No one shall construct, reconstruct, convert or alter any service station to provide unattended self-service gasoline dispensing without first notifying the Office of the State Fire Marshal in writing of the type and address of the facility.

3. Special Regulations for Attended Self-Service Gasoline Facilities

A. No one shall construct, reconstruct, convert or alter any service station to provide attended self-service gasoline dispensing without first notifying the Office of the State Fire Marshal in writing of the type and address of the facility.

B. Every gasoline service station shall be under the direct control of the owner, operator or duly authorized employee who shall be on duty at all times that gasoline is being sold or dispensed.

C. Each facility shall be equipped with a fixed fire extinguishing system installed in accordance with NFPA #30A, Code for Motor Dispensing Facilities and Repair Garages, 2008 edition. The system shall provide protection for all pumps in the dispensing area. Each extinguisher head shall be installed in such a manner that an accumulation of ice or snow will not adversely affect the proper functioning of the system.

D. The number of nozzles capable of simultaneous operation may not exceed sixteen nozzles per operator on duty in islands open to use, and no more than eight nozzles may be in use at one time.

E. The controlling mechanism console and its related equipment are to be listed by Underwriters Laboratories.

F. In addition to the required operating instructions set forth in NFPA #30A, signage shall include a requirement that the user stay in view of the fueling nozzle during dispensing.

G. The controlling console providing power to the pump motor must be monitored by the owner, operator or duly authorized employee at all times while gasoline is being dispensed and properly protected against physical damage from motor vehicles.

H. There shall be constant contact by the control console operator and the pump island by means of inter-communication system that shall be maintained in proper operating condition.

I. The control console operator must observe the filling operation of each vehicle. Mirrors are not acceptable as providing adequate visual control.

J The control console shall include a disconnect switch capable of instantly disconnecting all pumping power.

K. The Primary Fire department having jurisdiction or providing mutual aid in the area in which a proposed self-service station is to be located shall be informed of such proposal and the requirements of all local ordinances must be met.

L. The operations permit must be posted in the plain view of the public, unobstructed, at the site.

M. An automatic-closing type hose nozzle valve listed with United Laboratories (or other recognized agency applying an equivalent test) with latch-open device may be installed.

N. The owner or operator of any attended self-service facility existing prior to the date of this rule must notify the Office of the State Fire Marshal in writing of by July 1, 2006.

§3. This rule incorporates by reference NFPA #30B, Code for the Manufacture and Storage of Aerosol Products, 2007 Edition. Copies of this standard are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

§4. This rule incorporates NFPA #385, 2007 Edition, Standard for Tank Vehicles for Flammable and Combustible Liquids . Copies of this standard are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

§5. Applications, Construction Plans, Technical Specifications, Permits and Fees of Aboveground Flammable Liquid Storage Facilities. (Note: see Title 25 M.R.S.A §2481 through §2484).

1. The construction plans and technical specifications for storage facilities exceeding 1,320 gallons, in one or multiple tanks, shall be certified by a professional engineer.

2. A permit is non-transferable pursuant to Title 25 M.R.S.A §2481, (5). A person acquiring an existing facility must notify the Office of the State Fire Marshal within 180 days of assuming ownership of that facility.

§6. PERMITS FOR TEMPORARY TANKS

1. The owner/operator of an aboveground flammable liquid storage tank that is located at a temporary work site and will be on the site for 180 days or less shall not be required to obtain a permit but must otherwise comply with this chapter.

2. Operation of a temporary tank in excess of 180 days shall require a permit pursuant to this chapter under Title 25 M.R.S.A. §2483.

§7. SPECIAL REGULATIONS FOR REPORTING OIL DISCHARGES AT ABOVEGROUND FLAMMABLE LIQUID STORAGE FACILITIES

1. An owner or operator of an aboveground flammable liquid storage facility containing oil, or any person who causes or is responsible for a discharge of oil or who has custody or control of the oil at the time of the discharge at such a facility, must report a discharge prohibited by 38 M.R.S.A. §543 within two hours to the Department of Environmental Protection.

2. For the purposes of this chapter “Aboveground flammable liquid storage facility” means any aboveground storage tank or tanks containing flammable liquids, together with associated piping, transfer and dispensing facilities.

3. For the purposes of this chapter "Flammable liquid" means either a combustible liquid having a flash point at or above 100 degrees Fahrenheit or any volatile liquid having a flash point below 100º Fahrenheit.

4. For the purpose of this section, "discharge" means any spilling, leaking, pumping, pouring, emitting, escaping, emptying or dumping.

5. For the purpose of this section, "oil" means oil, oil additives, petroleum products and their byproducts of any kind and in any form including, but not limited to, petroleum, fuel oil, sludge, oil refuse, oil mixed with other nonhazardous waste, crude oils and all other liquid hydrocarbons regardless of specific gravity.

6. This section does not apply to the storage of oil regulated by the Maine Department of Professional and Financial Regulation under Title 32.

History

• STATUTORY AUTHORITY: 25 M.R.S.A. §2482
• NOTE: Title 38 M.R.S.A. Section 561, which is enforced by the Maine Department of Environmental Protection (DEP), prohibits the discharge of oil in certain areas. Any person discharging or suffering a prohibited discharge of oil and any responsible party shall immediately undertake to remove that discharge to the DEP commissioner's satisfaction, as required by 38 M.R.S.A sections 548 and 568. The discharge of hazardous matter is prohibited by 38 M.R.S.A. section 1317-A. Discharges of hazardous matter from an aboveground flammable liquid storage facility must be reported immediately to the Department of Public Safety as required by 38 M.R.S.A. subsection 1318-B, subsection 1. "Hazardous matter" means substances identified as hazardous matter by the Board of Environmental Protection pursuant to 38 M.R.S.A. section 1319, subsection 1.
• NOTE: Prior to the 2003 adoption of Chapter 34, RULES AND REGULATIONS FOR FLAMMABLE AND COMBUSTIBLE LIQUIDS, text of the rule included outdated material and additional information designed to provide assistance to those installing tanks. The 2003 clarifies what text is contained in the body of the rule.
• NOTE: History of Chapter 317, "Regulations Relating to Flammable and Combustible Liquids"
• EFFECTIVE DATE: November 17, 1965
• REPEALED AND REPLACED: January 13, 1991
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• RENUMBERED: August 7, 2001 - moved to new Chapter 34.
• RENUMBERED: History of Chapter 34, "Rules for the Display of Fireworks"
• EFFECTIVE DATE: 1951
• EFFECTIVE DATE: READOPTED
• EFFECTIVE DATE: July 31 1979
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• REPEALED AND REPLACED: November 9, 1996
• RENUMBERED: August 7, 2001 - former Chapter 34 moved to Chapter 25. Former Chapter 317 moved to new Chapter 34, "Regulations Relating to Flammable and Combustible Liquids"
• AMENDED: August 18, 2004 - filing 2004-348
• AMENDED: June 2, 2005 – filing 2005-197 (EMERGENCY), struck Section 2.A.
• AMENDED: April 23, 2006 – filing 2006-158
• AMENDED: September 3, 2007 – filing 2007-377
• AMENDED: March 17, 2009 – filing 2009-115
• AMENDED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025
• AMENDED: Appendix A
• AMENDED: Table 4.3.2.1.1(b) State of Maine Reference Table for Use in Tables 4.3.2.1.1(a), 4.3.2.1.2, and 4.3.2.1.4 Tank Capacity (gal)Minimum distance from Minimum Distance from propertynearest side of any public line that is or can be built upon,way or from the nearest including the opposite side of a important building on the public way (ft)same property (ft) 275 or less2525 276 to 7502525 754 to 12,0002525 12,001 to 30,0002525 30,001 to 50,0003025 50,001 to 100,0005025 100,001 to 500,0008025 500,001 to 1,000,00010035 1,000,001 to 2,000,00013545 2,000,001 to 3,000,00016555 3,000,001 to more17560 For SI units, 1 ft. = 0.3 m; 1 gal = 3.8 L.
• AMENDED: Appendix B
• AMENDED: Table 4.3.2.4 State of Maine Minimum Separation Requirements for Aboveground Tanks Individual Tank Capacity (gal) (See 4.3.2.3 and 4.3.2.5) Minimum distance from the nearest important building on the same property (ft) Minimum distance from the nearest fuel dispensing device (ft) (see 4.3.2.6)Minimum distance from lot line that is or can be built upon, including the opposite side of a public way (ft)Distance from the nearest side of any public way (ft)Minimum distance between tanks (ft) Tank Type Tanks in 0 - 12,00025255025Separate compartments required for each tankVaults Protectedless than or equal 501553aboveground to 6,000 tanks 6,001 - 12,000152525153 Fire resistant0 - 12,000252550253tanks Other tanks0 - 12,000505010050 3meeting the requirements of NFPA 30A

Chapter 36 Consumer Fireworks Sales License

Code Me. R. 16-219 Ch. 36 Consumer Fireworks Sales License {#sec-16-219-ch.-36 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 36}

SUMMARY: This chapter describes the licensing process and safety regulations for the sale of consumer fireworks in Maine.

1. Definitions

Consumer Fireworks. “ Consumer fireworks” has the same meaning as in 27 Code of Federal Regulations, Section 555.111, but includes only products that are tested and certified by a 3^rd-party testing laboratory as conforming with the United States Consumer Products Safety Commission standards, in accordance with 15 United States Code, Chapter 47.

Chemical Composition. All pyrotechnic and explosive composition contained in a fireworks device.

Missile-Type Rocket. A device similar to a sky rocket in size, composition, and effect that uses fins rather than a stick for guidance and stability. Missiles shall not contain more than 20 grams of total chemical composition.

Helicopter and Aerial Spinners. A tube containing more than 20 grams of chemical composition, with a propeller blade attached. Upon ignition the rapidly spinning device rises into the air. A visible or audible effect may be produced at or near the height of flight.

Sky Rockets and Bottle Rockets. Cylindrical tube containing not more than 20 grams of chemical composition as prescribed under section 3.7 and Table 4.3-1 of the American Pyrotechnics Association Standard 87-1 with a wooden stick attached for guidance and stability. Rockets rise into the air upon ignition. A burst of color and/or sound may be produced at or near the height of flight.

Reloadable Aerial Shells Kits. A package containing a cardboard, high-density polyethylene (HDPE), or equivalent launching tube and more than one small aerial shell limited to a maximum of 60 g of total chemical composition including lift charge, burst charge, and visible audible effect composition. The maximum diameter of each shell shall not exceed 1.75 inches.

NFPA. National Fire Protection Association.

Retail. Type of sale to any consumer or person not engagedin the business of making sales of fireworks.

2. Incorporation

This rule incorporates by reference the National Fire Protection Association Standard #1124, Code for the Manufacture, Transportation, Storage, and Retail Sales of Fireworks and Pyrotechnic Articles, 2006 edition. All rights reserved by the National Fire Protection Association. Copies of this standard are available through the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269.

3. Consumer Fireworks Retail Sales License

An application for license can be made by submitting the following to the Office of the State Fire Marshal:

1. Application form SFMO CF # 11 completed by the applicant;
2. Applicants other than natural persons will be required to provide, as applicable, the names and addresses of officers, board members, members and/or partners; a Certificate of Existence or good standing; and the most recent audited financial statement or most recently filed federal tax return.
3. A license fee of $5,000. A fee of $100 will be required to apply and the balance of $4,900 shall be due upon satisfying the licensing criteria prior to issuance of the license. After the initial inspection, a $50 fee is required for reinspections necessary to determine if licensing criteria have been met.
4. A copy of the applicant’s federal permit to sell fireworks under 18 United States Code, Section 843, as required by 8 MRSA §223-A sub-§1(A);
5. Where required by municipal ordinance, a copy of the municipal permit to sell fireworks within the municipality.
6. A certificate of insurance evidencing commercial general liability coverage inclusive of products/completed operations. This coverage shall have minimum limits of $2,000,000 and shall list the Maine Department of Public Safety, Office of the State Fire Marshal, 52 State House Station, Augusta, Maine 04333-0052 as certificate holder.
7. Where required by municipal ordinance a copy of the municipal permit to construct a consumer fireworks retail sales and storage facility.
8. Floor plan and layout of storage and displays to indicate compliance with this rule and applicable state and local laws.

A license issued pursuant to this chapter expires one calendar year from the date of issuance. Applications for renewal should be made 60 days prior to expiration of the current license. An inspection will be performed as part of the renewal process.

4. General Provisions

A consumer fireworks license issued pursuant to 8 M.R.S.A §§ 221-A – 236 and this chapter does not authorize the purchase or sale of the following:

A. Missile-Type Rockets as defined in Section 1, subsection 3;

B. Helicopters and aerial spinners as defined in Section 1, subsection 4;

C. Sky rockets and bottle rockets as defined in Section 1, subsection 5;

Any person licensed to sell consumer fireworks may do so only from a permanent, fixed, stand-alone building dedicated solely to the storage and sale of consumer fireworks. The building must be fully sprinkled with a sprinkler system compliant with NFPA 13, Standard for the Installation of Sprinkler Systems( 20 16 edition) or another system based on item part 2, number 5, of the Office of State Fire Marshal Fire Sprinkler Technical Policy. A building sprinkled with a system other than an NFPA 13 system shall have a fire alarm system with automatic emergency forces notification which is also consistent with NFPA 72, National Fire Alarm Code ( 20 19 edition). All consumer fireworks retail sales facilities must be not less than 60 feet from any other occupancy or occupiable area as defined by the National Fire Protection Association, 20 18 Life Safety Code ( 20 18 edition)sections 3.3. 196 and 3.3. 22.7 and not less than 300 feet from a structure at which gasoline, propane, or other flammable material is sold or dispensed.

3. Any building or structure used for the retail sale of consumer fireworks, including their related storage, shall comply with Chapter 36, New Mercantile Occupancies, of NFPA 101, Life Safety Code, 20 18 editionfor mercantile occupancies. NFPA 101 has been adopted in Maine under Chapter 20, Fire Safety in Building and Structures, of the rules of the State Fire Marshal’s Office.

4. No trailer, semi-trailer or metal shipping container used for temporary storage of consumer fireworks shall be parked for more than 90 days on the premises of the consumer fireworks retail sales facility.

5. A license to sell fireworks does not authorize the licensee to engage in the manufacture or use of fireworks.

6. When transporting fireworks, licensees shall comply with all applicable federal, state, and local transportation requirements. Nothing in this rule shall restrict the right of any person to transport, in a private vehicle, fireworks that have been purchased from a retail sales fireworks licensee.

7. Required Public Posting: Each licensed facility shall prominently post for public viewing the following documents:

8. The original state license;

9. Any required municipal permit;

10. A list of towns prohibiting or restricting the use of consumer fireworks in Maine;

11. A copy of the federal permit;

12. A safety pamphlet; and

13. A copy of the insurance certificate that complies with 8 M.R.S.A 223-A (5) in this chapter.

History

• STATUTORY AUTHORITY: 8 M.R.S. §236; 25 M.R.S. §2452
• EFFECTIVE DATE: February 6, 2012 – filing 2012-11
• EFFECTIVE DATE: June 21, 2021 – filing 2021-132 (EMERGENCY)
• EFFECTIVE DATE: September 20, 2021 – filing 2021-182

Chapter 50 Death Benefits for Firefighters Who Die in the Line of Duty

Code Me. R. 16-219 Ch. 50 Death Benefits for Firefighters Who Die in the Line of Duty {#sec-16-219-ch.-50 omnilex-key=us-me-regs-official--dept-public-safety--16-219 Ch. 50}

This chapter outlines the procedures governing the award of death benefits to the child, spouse or parent of a firefighter who dies while in the line of duty.

SECTION 1. DEFINITIONS

1. Child means any natural born or unborn child, legally adopted child or stepchild of a firefighter who, at the time of the firefighter’s death, is:

A. conceived or less than 19 years of age;

B. 19 or more years of age, but less than 25 years of age, and accepted for admission or enrolled in a full-time postsecondary educational institution; or

C. 19 or more years of age and is incapable of self-support because of a physical or mental disability.

2. Died while in the line of duty means to cease to be alive or to sustain an injury or illness that results in death as a result of the performance of a firefighter’s official duty.

3. Firefighter means an active municipal firefighter or an active volunteer firefighter, as defined in 30-A M.R.S.A. §3151.

4. Fire Marshal means the person appointed as the State Fire Marshal by the Commissioner of the Department of Public Safety pursuant to 25 M.R.S.A. Chapter 315 §2396.

5. Official duty means an action that a firefighter is authorized or obligated by law, rule, regulation or condition of employment or service to perform.

6. Parent means the natural or adoptive mother or father, or the stepmother or stepfather, whose parental rights have not been terminated and who contributed significantly to the upbringing of a firefighter.

7. Spouse means a person who is legally married to a firefighter at the time of the firefighter’s death.

8. Under the influence means under the influence of alcohol, a drug other than alcohol, a combination of drugs or a combination of alcohol and drugs or having a blood alcohol level of .08% or more.

SECTION 2. DEATH BENEFIT – AMOUNT AND RECEIPT

1. If the Fire Marshal determines that a firefighter died while in the line of duty, the State shall pay a benefit of $100,000 as follows:

A. If there is no surviving child of the firefighter, to the surviving spouse;

B. If there is a surviving child or children and a surviving spouse of the firefighter, 1/2 to the surviving child or children in equal shares and 1/2 to the surviving spouse;

C. If there is no surviving spouse of the firefighter, to the child or children in equal shares; or

D. If there is no surviving child or spouse, to the parent or parents of the firefighter, in equal shares.

SECTION 3. LIMITATION ON BENEFIT

1. Notwithstanding a determination by the Fire Marshal that a firefighter died while in the line of duty, a benefit may not be paid:

A. If the death or the injury or illness that resulted in the death was caused by the intentional misconduct of the firefighter or by the firefighter’s intention to bring about the death or the injury or illness that resulted in the death;

B. If the firefighter was voluntarily under the influence at the time of the death or the injury or illness that resulted in the death and being under the influence was a substantial contributing factor in the death or the injury or illness that resulted in the death;

C. If the firefighter was performing in a grossly negligent manner at the time of the death or the injury or illness that resulted in the death; or

D. To any person who would otherwise be entitled to a benefit pursuant to 25 M.R.S.A. c. 195-A and this chapter, if the person’s actions were a substantial contributing factor to the death of the firefighter.

E. If the potentially eligible child, spouse or parent dies prior to actual receipt of this death benefit.

SECTION 4. FILING REQUEST FOR BENEFIT

1. A person who is potentially eligible to receive these benefits, or a person authorized to request benefits acting as an agent of a potentially eligible person, must forward a written request to the Fire Marshal for a State of Maine Application for Line of Duty Death Benefit within 90 days of the firefighter’s death. The 90 day period may be extended by the Fire Marshal for good cause shown.

2. Upon receipt of the written request for a State of Maine Application for Line of Duty Death Benefit, the Fire Marshal shall provide an application package and questionnaire that must be completed and returned within 30 days of receipt by the applicant. The 30 day period may be extended by the Fire Marshal for good cause shown.

SECTION 5. Determination of Eligibility for Benefit

1. Upon receipt of a completed State of Maine Application for Line of Duty Death Benefit, the Fire Marshal shall appoint a review panel consisting of at least three, but not more than five, persons knowledgeable in firefighters official duties.

2. The review panel shall convene to review the application, investigate the circumstances surrounding the death and make a written recommendation to approve or deny the application to the Fire Marshal within 30 days. If the Fire Marshal determines that further investigation is necessary, the Fire Marshal may extend the review period.

3. The Fire Marshal, after review of the recommendation, shall make the determination to approve or deny the application in a timely manner. The Fire Marshal’s determination is the final agency decision.

SECTION 6. Interim benefits

The Fire Marshal may make interim benefits payments in accordance with and subject to the limitations outlined in 25 M.R.S.A. §1612.

SECTION 7. Appeal

An appeal of the final agency decision may be filed in accordance with the Administrative Procedure Act , 5 M.R.S.A. c. 375, sub-c. VII.

History

• STATUTORY AUTHORITY: 25 M.R.S.A. §1612
• EFFECTIVE DATE: November 9, 2002 - filing 2002-422
• AMENDED: January 25, 2021 – filing 2021-031 (Emergency)
• AMENDED: April 17, 2021 – filing 2021-080

16-222 Bureau of State Police

Chapter 1 Maine Motor Vehicle Inspection Manual (in pdf format)

Code Me. R. 16-222 Ch. 1 ), as well as other reference information. {#sec-16-222-ch.-1 omnilex-key=us-me-regs-official--dept-public-safety--16-222 Ch. 1}

Window Tint Certificates Package of 50 $5.00 Commercial Vehicle Inspection forms Package of 50 $5.00 (Periodic Inspection Report)

Inspection Stickers Each $2.50 New Vehicle Dealers $3.50 Inspection Fee information TYPE DESCRIPTION FEE All motor vehicles under 10,001 lbs .

CLASS A

At the station's option, any motor vehicle between 10,001 and 26,000 lbs without air brakes and not $12.50 used in commerce.

Class B School bus $8.00 Class C Not more than Motorcycle Inspection $12.50* Vehicles with GVWR of 10,001 lbs or more and not used in commerce. Such as motor homes and public works vehicles, trailers without airbrakes and $12.50* not used in commerce, etc.

(Farm truck Class D/T Trailers less than 10,001 GVWR and not used in maximum is $45.00 commerce. per Title 29-A 1753.3)

Vehicles with GVWR of 10,001 lbs or more and used Hourly labor rate in commerce $12.50 for pre-1974 vehicles Enhanced inspection of gasoline powered vehicles to be registered in Cumberland County, or Class E any other gasoline power vehicles at owner's $15.50 for 1974-1995 request. model year vehicles Excluding motorcycles and school buses $18.50 for 1996 and subsequent model year vehicles *Fee as recommended by Maine State Police, Motor Vehicle Inspection Unit.

Below is a copy of a sticker stub of a 2019-20 inspection sticker. You will notice a few differences from previous year stubs. The purpose of this memorandum is to explain what information you will need to fill in. SEE BELOW:

I llllll lllll llllf 1111111111111111111111111111 0107157 Sta.# Date VIN Odom.~~-----'L=i=c.~E=x"'-=D=ate~·'------~ Reg.#-"""'==L-----------~-~ lnsp. Sig. ______________ _ lnsp. Printed _____________ _ • Sta.#= Station number Date= Date of inspection VIN =Vehicle Identification Number • Odom. =Current mileage Lie. Ex. Date= Inspection Technician's license (inspection mechanic's license) expiration date • lnsp.

Sig. = Inspection Technician's full signature • lnsp. Printed = Inspection Technician's full name printed INSTRUCTIONS FOR USE OF INSPECTION REFUSAL FORM The sample defect documentation form on the next this page was prepared for your convenience.

You may copy this as many times as you would like to fill out and give to your customers if their is rejected for inspection.

Do not send these reject forms or information to the Maine State Police Motor Vehicle Inspection Unit.

Tell your customer that you are providing the defect form so they know why their vehicle failed Tell them that the defect form is for their own information only and that they are not to send the defect form to the State Police after the repairs are made.

There is no requirement that you use the defect form we have provided. You may create your own defect form or utilize the systems that you already have in place to give a written reason as to why the vehicle failed inspection. We are aware that many stations have a computer-generated printout that they can give customers explaining the reason(s) why the vehicle was rejected. You may continue this practice.

This rejection form must state that a complaint may be filed with Maine State Police Inspection unit online@ Maine.gov/dps/msp/investigation-traffic or by calling 207-624-8949.

Questions may be directed to the Maine State Police Motor Vehicle Inspection Unit at 624-8935 or 624- 8934.

VEHICLE INFORMATION

Vehicle Owner:

Vehicle being refused:

MAINE STATE POLICE

MOTOR VEHICLE INSPECTION UNIT 20 State House Station, Augusta, ME 04333 207-624-8935 Address:

Year Make Model MAINE STATE INSPECTION REFUSAL RECORD Color I I Plate# VIN# Mileage STATION INFORMATION Station# Date Inspected:

Station Name and Address:

Inspecting Technician:

REASON(S) FOR REFUSAL

INSTRUCTIONS TO INSPECTION TECHNICIAN: After determining that the vehicle fails for inspection, fill out this sheet.

Complaints may be filed with Maine State Police Inspection unit on line @ Maine.gov/dps/msp/investigation-traffic or by calling 207-624-8949.

REGISTRATION TYPE CODE REGISTRATION TYPE

CODE

Agriculture (passenger car)

AG Horseless Carriage (Model A or T) HC Agriculture (commercial)

AC Island Use IU Agriculture (farm)

AF Lobster LB Animal Welfare AW Lobster Commercial LC Antique AQ Low Speed LS Antique Motorcycle MQ Medal of Honor MO Apportioned AP Modified Vehicle CV Autocycle AU Moped MP Barbara Bush BH Motorcycle MC Black Bear BB Motor Home MH Breast Cancer Support BC Municipal (city I county)

CI Bus BU Municipal Motorcycle MM Combination (passenger/ commercial) CM Over limit permit (CVEU)

PE Conservation CNorCR Over limit permit by LIC (CVEU)

PL Conservation Commercial cc Passenger Car PC Conservation Disabled CD Pearl Harbor Survivor PS Conservation Trailer CL Prisoner Of War PO Conservation Motor Home RV Purple Heart PH Commercial co Purple Heart Motorcycle PM County Sheriff's Departments cs Special Equipment SE Dealer DL Special Veterans Motorcycle VM Disability Special Vet DS State Vehicle ST Disabled DX Street Rod SR Disabled Motorcycle MX Support Our Troops TS Disabled Motor Home wx Support Wildlife (Sportsman SW Specialty)

Disabled Veteran DV Tractor TR Disabled Veteran Motorcycle xv Trailer TL Disabled Veteran Parking Plate vx Trailer (starting with 800 series)

TT Emergency/ Ambulance/Coach AM Transit TN Farm Vehicle (farm use only)

FM Truck Mounted Campers TC Firefighter FD University of Maine UM Hire (taxi} TX Veteran VT Gold Star Family GS Wabanaki WB PARTIAL INSPECTIONS 1. Partial inspection means an inspection that consists of running gear, steering, brakes, exhaust system and lights. Running gear means the wheels, axles, springs, and frame of a vehicle. If a vehicle has no windshield, the inspection sticker shall be kept with the registration certificate.

2. Limited use farm trucks that bear the name of the municipality in which excise tax is paid and which are operated within a 20-mile radius from the main entrance of the farm where is customarily kept are subject to the partial inspection listed above. In addition, limited use farm trucks must meet the safety glass requirements of 29-A MRSA § 1915 and safe tire requirements of 29-A MRSA § 1917.

3. Fish trucks that bear the name of the municipality in which excise tax is paid and which are operated within a 20-mile radius of the municipality in which excise tax is paid are subject to the partial inspection listed above. In addition, fish trucks must meet the safety glass requirements of 29-A MRSA § 1915 and visual tire requirements of 29-A MRSA § 1917 (3).

Woods tractors that are registered pursuant to 29-A MRSA §509 or are exempt from registration and which are operated only during daylight hours, and only within a 10 mile radius of the premises where the tractor is customarily kept, and only between those premises and a woodlot used for the logging purposes by the owner and a filling station or garage for fuel or repairs, is subject to the partial inspection listed above. In addition, woods tractors are subject to the visual tire requirements of 29-A MRSA § 1917 (3). Woods tractors are exempt from the of lights as listed in the partial inspection.

VEHICLES REGISTERED IN A FOREIGN STATE

Any vehicle registered in a foreign state or other jurisdiction may, at the discretion of the owner or operator, may have a Maine safety inspection at any licensed inspection station for the purposes of obtaining a Maine inspection sticker. If the vehicle passes the inspection, a Maine inspection sticker may be issued and affixed to the vehicle.

THIS INFORMATION IS A STEP-BY-STEP PROCEDURE FOR CLASS A INSPECTIONS.

This information is only a recommendation, your experience training and expertise may allow a different procedure.

1. Obtain vehicle registration.

2. Verify VIN and registration.

3. Proceed to the interior of the vehicle.

4. Drive vehicle into service bays and check for brake pedal reserve, brake pedal fade, smooth shifting operation, and proper braking.

Be aware of any other possible noises from wheel bearings, strut mounts, sway bar links, and bushings. Check speedometer for proper operation. Check for smooth operation of steering.

5. While in the driver seat turn key to the on position, engine off. Observe all warning lights that are to be checked for inspection, airbag, ABS and brake warning should cycle on and then remain off after vehicle started. While still in the interior of the vehicle check the following operations:

A. Check all seatbelts for proper operation.

B. Check front windows for proper operation.

C. Check all door latches and hinges for proper operation.

D. Release the hood mechanism E. Check parking brake operation.

6. Exterior of vehicle.

Open hood and check:

A. Battery is secure B. Master cylinder is full and not leaking.

C. Check all brake lines to master cylinder and front wheels for rust and proper securement.

D. Check for oil and fuel leaks.

E. Check engine belt F. Check exhaust manifolds for leaks or cracks.

G. Check all lights for proper operation.

H. Bounce all four corners of vehicle to check struts and shocks for proper movement.

7. Install a jack under the front lower control arms providing a load on the front suspension.

A. Grasp front wheels moving the wheels back and forth and up-and-down to check for any play in ball joints, tie rod ends, control arm bushing's and wheel bearing.

If I any play is observed check manufacturers recommended inspection procedures.

B. Install vehicle on the lift, refer to manufacturer's recommendations for lift points on vehicles (damage to vehicle may occur if this step is not followed).

C. Raise vehicle to halfway position on the lift.

D. Walk around vehicle and check struts and springs for any that are cracked, broken or damaged. With the vehicle suspension unloaded on the lift check each wheel moving them back-andforth and up-and-down while checking for movement. (refer to all manufacturers specifications).

F. Check that all outer body components are secure.

G. Check all lenses and lights for cracking or broken components.

H. Check all brakes and rotors observing them through the front rims.

If a clear view cannot be obtained while checking brakes refer to inspection manual for further information.

8. Lift vehicle to fully lifted position.

A. Check all underbody components for rust, including vehicle frame, unit body, K frames, floorboards, trunk pan, cross members, body mounts and bumper supports.

B. Check exhaust system for any leaks or loose baffles in the catalytic converter or muffler.

C. Check all brake lines and brake hoses for rust and proper securement.

D. Rotate all wheels to make sure there is no binding from the brakes or wheel bearing noise.

E. Check all wheels and tires.

F. Check struts for leakage.

G. Check fuel lines.

H. Check all brake cables.

9. Lower vehicle and issue a new inspection sticker if the vehicle meets minimum standards or provide the consumer with a written list of the defects if it fails.

IMPORTANT INFORMATION REGARDING CATALYTIC CONVERTORS

Only CARB certified AMCCs or original equipment converters may be advertised, sold or installed on 2001 and newer vehicles certified by CARB or EPA 50 state certified.

Applies to 2001 and newer gasoline-powered cars, light-duty trucks, and medium-duty vehicles under 14,000 pounds GVW.

Does not apply to EPA certified and all pre-2001 vehicles.

Used catalytic converters are illegal to install or sell except for scrap metal recycling.

Warranty cards and records of retail sale or installation of AMCCs must be retained for four years, including date of sale, purchaser name and address, vehicle model and work performed. Records must be available for compliance review.

Be covered by a warranty for a period of 5 years or 50,000 miles of use.

Be compatible with the onboard diagnostic systems (OBD II) on 1996 and newer vehicles.

Contact: Peter Carleton at 207-242-6103 INSTALLER'S CHECKLIST FOR NEW AFTERMARKET CATALYTIC CONVERTERS 1) I have confirmed the need for a replacement catalytic converter. If the original converter is still installed, a diagnosis that it is malfunctioning is required.

2. I have verified that the vehicle manufacturer's warranty for the original catalytic converter has expired. If the warranty has not expired, you must install an OEM catalytic converter. Warranties range from a minimum of 8 years/ 80,000 miles to 15 years/150,000 miles for hybrid and PZEV vehicles.

Consult the owner's manual.

3. I have confirmed that the vehicle model and engine family (test group) is included in the list for the catalytic converter model I intend to install, and the converter is currently approved for sale in California. It is illegal to select a converter for installation based solely on physical shape, size, configuration, or pipe diameter. www.maine.gov/dep/air or Carbcats.com 4) The replacement converter is installed in the same location as the original converter (the front face location is within three inches compared to the original design) with the identification clearly visible.

4. All oxygen sensors are installed in their original location(s).

HEADLAMP AIMING

All equipment for testing headlamps must comply with the Society of Automotive Engineers Recommended Practice for Headlamp Inspection Equipment.

MECHANICAL AIMER

If a mechanical aimer is used, it shall be in good repair and adjustment, and shall be used according to the manufacturer's instructions and must be calibrated to the slope of the floor on which the vehicle stands.

HEADLAMP TESTING MACHINE

If a headlamp testing machine is used, it shall give results equivalent to those obtained using the screen procedure shown below. It shall be in good repair and adjustment, and shall be used in accordance with the manufacturer's instructions. The machine using a photo-electric cell or cells to determine aim should also have a visual screen upon which the beam pattern is projected proportional to its appearance and aim on a screen at 25 feet. Such visual screen shall be plainly visible to the operator and should have horizontal and vertical reference lines to permit visual appraisal of the lamp beam.

HEADLAMP AIMING BY THE SCREEN METHOD

Locate the vehicle so that it is square with the screen and with the front of the headlamps directly over a reference line, which has been painted on the floor. Next, locate the center line on the aiming screen so that it is in line with the center of the vehicle. This can be done as shown below by sighting through the of the rear window of the vehicle and over the hood ornament - have vehicle moved until it is in alignment with these two points. If there is no center hood ornament, mark the center of the front and rear windows with narrow strips of masking tape. Use these "sights" to locate the center line of the aiming screen directly in line with the vertical axis.

AIMING AREA REQUIRED

It is desirable to have a specific aiming area in a darkened location. This should be sufficient for the vehicle and an additional 25 feet measured from face of lamps to the front of the visual screen. The floor on which the car rests must be flat, and level with the bottom of the screen. If the floor is not level, compensate.

AIMING SCREEN

If a screen is used, it should be 5' high x 12' wide with a matte white surface well shaded from extraneous light, and properly adjusted to the floor on which the vehicle stands. Provisions may be made for moving the screen so that it can be aligned parallel with the rear axle and so that a horizontal line drawn perpendicularly from the centerline of the screen will pass an equal distance midway between the two headlamps. The screen shall be provided with a fixed vertical centerline, two laterally adjustable vertical tapes, and one vertically adjustable horizontal tape.

If a regular commercial aiming screen is not available, the screen may consist of a vertical wall having a clear uninterrupted area approximately 6 feet high and 12 feet wide.

The surface should be finished with a washable non-gloss white paint.

After the aiming screen has been set up in its permanent location, it is necessary to paint a reference line on the floor directly under the lens of the lamps to indicate the proper location of the headlamps when they are being aimed.

AOJU_{TA!l.E V!ilTICAl TAPES HO;i1zoNT.\L C!H1!:fl l.lM} OF lAi.ti'3 MOTORCYCLE HEADLIGHT AIMING 12.5 Foot Distance 12 FT. MIHlMU'-1 DISTANCE BETWEEN HEA.OLAMPS CENTER LINE OF SC REEH AOJUSTA.!l.E HORIZO"ITAL TA.PE Procedure: Tires must be inflated to the pressure recommended by the manufacturer. Conduct the test with the motorcycle in the upright position, with the rider seated in the normal riding position and the front wheel facing straight ahead. Inspect headlamps on the upper beam.

Vertical Aim: After measuring the height from the floor to the headlamp center, adjust the horizontal line on the chart to the corresponding height. Reject vehicle if the high intensity zone is higher than the horizontal line or more than 4 inches below it.

Lateral Aim: Reject vehicle if the high intensity zone is more than 6 inches right or left of the vertical line.

MOTORCYCLE HEADLIGHT AIMING 25 Foot Distance Vertical Centerline Ahead of Lamp-----+ center of Hot Spot Horizontal Centerline of Lamp---- Headlamp Aiming Procedure -High Beam Vertical Centerline Ahead of Lamp----- Horizontal centerline of Lamp--- _{Lamp Pattern (Hot Spot Cannot be Located) ... Consider Whole Pattern ----1-} Headlamp Aiming Procedure -Low Beam Procedure: Tires must be inflated to the pressure recommended by the manufacturer. Conduct the test with the motorcycle in the upright position, with the rider seated in the normal riding position and the front wheel facing straight ahead.

Composite type lamps incorporating both the high and low beam in the same housing should be checked for alignment on the low beam. Alignment tolerances must be within four inches of the horizontal and vertical center.

High beam is aligned with the "hot spot" or center of the high intensity zone centered on the horizontal/vertical axis that is located at the same height as the headlamp at a distance of 25 feet.

Low beam is aligned by locating the beam pattern so the upper edge of the high intensity zone is at the horizontal axis and the left edge of the high intensity zone is at the vertical axis. The low beam "hot spot'' will be 2 to 4 inches down and S to 8 inches right of the horizontal/vertical axis.

SCHOOL BUS RECOMMENDED OUT-OF-SERVICE CRITERIA

Derived from National School Transportation Specifications and Procedures (2015 Revised Edition)

BODY EXTERIOR

A. Any panel, rub rail or trim that is loose, torn, dislocated or protruding from the surface of the bus, creating a hazard (393.203); or B. Any engine, battery or other door that is not properly secured (393.203).

BODY INTERIOR

Aisle A. Aisle does not have the required clearance (571.217); or B. Obstructions in aisle that prevent passengers from egress to emergency exits (393.62) (393.203).

Door (Entrance)

A. The student entrance door does not open or close properly;

B. Door control handle does not lock in the closed position; or C. Door is equipped with a padlock or similar locking device (excludes interlock systems).

Floor Floor not maintained to prevent slipping or tripping by passenger(s).

Handrail A. Handrail loose or missing; or B. Handrail fails the nut/drawstring test as defined by NHTSA.

Panels Any panel (e.g., ceiling, side or wheel well) protruding, having sharp edges or not secured so is likely to cause injury.

Seat (Driver)

A. Driver seat is not securely fastened to vehicle and/or fails to maintain adjusted position (393.93);

B. Any part of the driver's safety restraint assembly is missing, not properly installed or defective as to prevent proper securement of occupant [393.93(a)(b)] (571.209).

Seat(s) and Barrier(s)

A. Any seat or barrier that is not securely attached to the vehicle (393.91);

B. Any seat or barrier material(s) that compromises the integrity of compartmentalization and occupant protection (571.222); or C. Seat spacing fails to comply with 571.222.

Stepwell A. Any part of the step well or support structure that is damaged; or B. Any part of the step well tread that is loose, torn or damaged that would present a tripping hazard.

BRAKE SVSTEM(S)

Adjustment Any one brake beyond the adjustment limit (See Table 1: Brake Adjustment Specifications.)

Air System A. Absence of effective braking action upon application of service brakes [393.48 (a)];

B. Audible air leak at chamber (e.g., ruptured diaphragm, loose chamber clamp, etc.) [386.3(a)(1)];

C. If an air leak is discovered and either the primary or secondary reservoir pressure is not maintained when these conditions exist [396.3(a)(1)]:

1. Governor is cut-in;

2. Reservoir pressure is between 80-90 psi;

3. Engine is at idle; and 4. Service brakes are either fully applied or released Axle Brakes, General A. Chamber size mismatched on axle [393.47(b)];

B. Mismatched brake chamber long stroke verses regular stroke [393.47(b)]; or C. Mismatched slack adjuster length [393.47(c)].

Brake Shoe/Pad/Lining A. Any lining thickness less than allowed by 393.47;

B. Lining pad is cracked, broken, not firmly attached or missing (393.47) (surface or heat cracks in the lining should not be considered out of service);

C. The friction surface of drum, rotor or friction material are contaminated by oil, grease or brake fluid (393.47);

D. Loose or missing component (e.g., chambers, spiders, support brackets) (393.47);

E. Fails to make contact with drum/rotor (e.g., frozen, binding, uneven) [393.48(a)];

F. Absence of braking action on any axle (e.g., failing to move upon application of a wedge, 5-cam, cam or disc brake);

G. Rotor or drum has evidence of metal to metal contact on the friction surface [393.47(d)(l)]; or H. Brake pad, lining or shoe missing [393.47(a)].

Drums/Rotors A. External crack(s) that open upon application [393.47(a)]; or B. Any portion of the drum or rotor (discs) missing, broken, misplaced or cracked through rotor to center vent [393.47(a)].

C. Any friction surface is rusted to the point of deterioration so that braking efficiency is compromised.* Hoses and Tubing A. Brake hose with any damage extending through the outer reinforcement ply [393.45(a)];

B. Audible leak at other than a proper fitting or connection [393.45(a)];

C. Any bulge or swelling when brakes are applied [393.45(a)];

D. Any restriction due to cracked, broken or crimped line/hose [393.45(a)]; or E. Any line, tubing, hose or connection that is not constructed to meet standard (571.106).

Hydraulic Brake System A. System brake failure light or low fluid light on or inoperative (393.51);

B. Reservoir is below minimum level [393.45(a)] (571.106);

C. Any seeping, leaking or swelling of hose(s) under pressure [393.45(a)];

D. Any leak in master cylinder unit [393.45(a)] (571.106).

E. Any observable fluid leak in the brake system;

F. Brake failure warning system is missing, inoperative, disconnected, defective, or activated while the engine is running with or without brake application [393.51(b)]

Parking Brake A. Fails to hold vehicle in stationary position on normal roadway conditions (absence of ice or snow) in forward or reverse (393.41) [571.105 55.2.1 and 55.2.3(b)].

B. Parking brake warning lamp fails to function as designed.

C. Parking brake cable with any damage extending to the inner cable.* Pedal Reserve No pedal reserve with engine running [393.40(b)].

Power Assist Unit Fails to operate [396.3(a)(l)].

DIFFERENTIAL

Cracked or leaking housing [393.207(a)].

DRIVESHAFT

A. Drives haft guard loose, missing, improper placement or bent {393.89); or Universal joint(s) or center bearings are severely worn or faulty or obviously repaired/welded.* ELECTRICAL/BATIERY Battery A. Battery not secured (393.30);

Cables A. Electrical cable or wire insulation chafed, frayed, damaged or compromised, causing bare cable to be exposed [393.28, 396.3{a)(l)];

B. Missing or damaged protective grommets insulating main electrical cables through metal compartment panels (393.30).

Windshield Wipers Inoperative, missing or damaged wiper (393.78)

EMERGENCY EQUIPMENT

A. Fire extinguisher missing, not of proper type or size, not fully charged, has no pressure gauge, is not secured or is not readily accessible to the driver or passengers (393.95);

B. Any additional state-specific equipment (e.g., first aid kit, body fluid kit, webbing cutter and emergency reflectors) that fails to meet state specifications and places the vehicle out of service; or C. Missing emergency triangles (571.125).

OTHER STATE OF MAINE REQUIRED EQUIPMENT

1. First aid kit is empty or missing* 2. Biohazard kit is missing or empty* 3. Seat belt cutter is missing* 4. Emergency reflectors are missing* EMERGENCY EXITS A. Any emergency door, window or roof hatch that fail to open freely or completely as defined in 571.217;

B. Door prop-rod device is missing.

C. Any emergency exit equipped with a padlock or similar locking device (excludes interlock systems);

D. Any vehicle that lacks the required number of emergency exits (571.217);

E. Any emergency exit not properly labeled and marked both inside and outside the vehicle as specified by 571.217;

F. Any item or modification that reduces the size of the opening and limits egress to the emergency exit by all passengers; or G. Emergency exit warning device is not audible in the driver seating position and/or the vicinity of the emergency door or window (571.217).

ENGINE

A. Any fluid leak that would affect the safe operation of the vehicle or constitute a fire hazard.* EXHAUST SYSTEM A. The exhaust system is leaking or discharging directly below or at a point forward of the driver or passenger compartment [393.83(g)]; or Note: Does not apply to proper venting for emission systems.

B. No part of the exhaust system shall be located and likely to result in burning, charring or damaging the electrical wiring, the fuel supply or any combustible part of the vehicle [393.83(a)].

FUEL SYSTEM

CNG or LPG Fuels A. Any fuel leakage from the CNG Or LPG system detected audibly or by smell and verified by either a bubble test using non-ammonia, non-corrosive soap solution, or a flammable gas detection meter [396.3(a)(l)].

Note: Verification is needed to ensure that the sound is not either internal to the fuel system (such as gas flowing in a pressure regulator, or pressure equalizing between manifold tanks) or a leak in the air brake system.

B. Any fuel leakage from the CNG or LPG system detected visibly (evidence such as ice buildup at fuel system connections and fittings) and verified by either a bubble test using non-ammonia, noncorrosive soap solution, or a flammable gas detection meter [396.3(a)(l)].

Note:

Some brief fuel leakage or decompression may occur during refueling, causing temporary frosting of CNG or LPG fuel system parts. If the vehicle has been refueled shortly before inspection, care must be taken to distinguish these temporary frosting occurrences from actual leaks. liquid Fuels A. Any part of the fuel tank or fuel system not securely attached to the vehicle (393.65);

B. A fuel system with a dripping leak at any point (393.67 Tank); or C. Dripping leak (396.3(a)(l) leak other than tank); or D. Missing fuel cap or system does not seal as designed.

LAMPS/SIGNALS

A. Any one of the following lamps not working: school bus overhead warning light (amber or red), stop arm lamp.

B. Vehicle LED lamps must have at least 75% of the diodes illuminated.

C. Horn fails to function as designed (393.81);

D. Any critical brake, telltale lamp, buzzer or gauge that fails to function as designed;

E. Required stop arm(s) fail to operate with overhead red lights as mandated (571.131); or F. If equipped, a crossing control device fails to extend and retract as designed.

MIRRORS (571.111)

A. Any mirror required to provide the driver with the entire field of view, missing, damaged, clouded or otherwise obscured so as to place children in a hazardous position;

B. Any crossover mirror system or portion thereof that fails to hold a set adjustment STEERING SYSTEM Ball/Socket Joints A. Any movement under steering load of a nut stud [396.3(a)(l)];

B. Any motion, other than rotational, between any linkage member and it attachment of more than Y, inch measured with hand pressure only [393.209(d)]; or C. Any obvious welded repair [393.209)(d)].

Front Axle Beam Any crack(s) or obvious welded repair [396.3(a)(l)].

Nuts Loose or missing fasteners on tie rod, pitman arm, drag link, steering arm or tie rod arm [396.3(a)(l)].

Pitman Arm A. Looseness of the pitman arm on the steering gear output shaft [393.209(d)]; or B. Any obvious welded repair [396.3(a)(l)] [393.209(d)].

Power Steering A. Auxiliary power assist cylinder loose [393.209(e)];

B. Power steering system belts frayed, cracked or slipping [393.209(2)(e)]; or C. Power steering system leaking or insufficient fluid in reservoir [393.209(2)(e)].

D. Power steering pump inoperable* Steering A. Any modification or condition that interferes with free movement of any steering component [393.209(d)];

B. Steering travel restricted through the limit of travel in both directions [570.GO(c)].

Steering Column/Wheel A. Absence or looseness of U-bolts or other positioning part(s) [393.209(c)];

B. Welded or repaired universal joint(s) [393.209(d)];

C. Steering wheel not properly secured [393.209(a)]; or D. Steering wheel lash/free play exceeds manufacturers' specifications.

Steering Gear Box A. Mounting bolt(s) loose or missing [393.209(d)];

B. Crack(s) in gearbox or mounting brackets (393.209(d)) [396.3(a)(l)];

C. Any obvious welded repair(s) [396.3(a)(l)] [393.209(d)]; or D. Looseness of u-joints and/or yoke-coupling to the steering gear input shaft [393.209(d)].

Tie Rods/Drag Links A. Loose clamp(s) or clamp bolt(s) on tie rod or drag link(s) [396.3(a)(l)]; or B. Any looseness in any threaded joint [396.3(a)(l)].

SUSPENSION COMPONENTS

Air Suspension A. Deflated air suspension (one or more deflated air spring/bag) [393.207(f)]; or B. Air spring/bag is missing, broken, or detached at either the top or bottom {393.207(f)].

Axle Parts/Members A. Any U-bolt or other spring to axle clamp bolt(s) which are cracked, broken, loose or missing [393.207(a)];

B. Any axle, axle housing, spring hanger(s), or other axle positioning parts which are cracked, broken, loose, severely worn* or missing that results in shifting of an axle from its normal position [393.207(a)];

C. Any worn (beyond manufacturer specifications) or improperly assembled U-bolt, shock, kingpin, ball joint, strut, air bag or positioning component [570.61 (a)];

D. Any spring hanger, assembly part or portion of leaf which is broken, separated, severely worn* or missing [393.207(c)]; or E. Any broken coil spring [393.207(d)].

Bumpers A. Front bumper is missing or not properly secured [393.203(e)]; or B. Rear bumper is missing or not secured (393.86).

Chassis/Frame/Uni body A. Any cracked, loose, sagging or broken, frame side rail. [393.201(a)];

B. Any damage permitting the shifting of the body or imminent collapse of frame [393.201(a)];

C. Any cracked, loose, broken frame member affecting support of functional components (e.g., steering gear, engine, transmission, body part or suspension) [393.201(a)];

D. Any 3 adjacent cross members, outriggers or other structural supports cracked, missing, deformed or has rust holes.* Crossmembers A. Any cross member, outrigger or other structural support which is cracked, missing or deformed that affects the structural integrity of the vehicle (393.201);

B. Three or more adjacent crossmembers broken or detached (393.201); or C. Any area of the floor that is sagging or soft due to broken crossmembers (393.201).

Outriggers/Body Supports Any cross member, outrigger or other structural support which is cracked, missing, deformed or has rust holes where damage affects the safe operation of the vehicle.

TIRES/WHEELS/HUBS

Hub A. Excessive wheel bearing or kingpin play that exceeds manufacturers' specifications*.

B. Any bearing (hub) cap, plug, or filler plug that is missing or broken, allowing an open view into hub assembly [396.3(a)(l)];

C. Smoking from wheel hub assembly due to bearing failure [396.3(a)(l)];

D. When any wheel seal is leaking. This must include evidence of contamination of the brake friction material [396.S(b)];

Note: Grease/oil on the brake lining edge, back of shoe, or drum edge and oil stain with no evidence of fresh oil leakage are not conditions for an out-of-service violation.

E. No visible or measurable lubricant showing in bearing hub [396.S(a)].

Tire Inflation Tire is flat or has noticeable leak [393.75(a)(3)].

Tire Sidewall A. Any sidewall cut, worn or damaged to the extent that the steel or fabric cord is exposed [393.75(a)];

B. Any observable bump, bulge or knot related to sidewall or tread separation [393.7S(a)].

C. Any tire that is weather cracked to the degree that failure is imminent.

NOTE*** Inspecting technicians must use their education, training and experience to determine if a tire is weather cracked to the degree that failure is imminent. The age of the tire along with the degree of weather cracking should be considered. Age of tire can be determined by the DOT date code on the sidewall of the tire.

Tire Tread Depth A. Any front tire worn to less than 4/32 inch [393.75(b)]; or B. Any reartire worn to less than 2/32 inch [393.75(c)].

Tire A. Any school bus operated with regrooved, recapped or retreaded tires on the front axle [393.75(d)]; or B. Any tire not of proper type (e.g., load range, size, mismatched on axle).

Wheels/Rims/Spiders A. Any nuts, bolts, studs, lugs or holes that are elongated, broken, missing, damaged or loose [393.20S(b)];

B. Any cracked or broken wheel or rim [393.20S(a)]; or C. Any lock or slide ring broken, cracked, improperly seated, sprung or has mismatched rings [393.20S(a)].

WHEELCHAIR LIFT-EQUIPPED VEHICLES

A. Wheelchair lift does not function as designed or is inoperable;

B. Platform lift manufactured after April 1, 2005 must meet all the following criteria, (as referenced FMVSS 403 and 404):

1. Jacking prevention;

2. Manual backup operating mode;

3. Interlocks to prevent forward or rearward mobility of the vehicle unless lift is stowed and lift doors are closed;

4. Wheelchair retention device; and 5. Platform outer barrier, inner roll stop and threshold warning device.

C. Any hydraulic line leaking during lift operation;

D. Wheelchair restraint system is missing, incomplete or improperly installed, loose, damaged or does not adhere to the securement manufacturer's recommendations; or E. Any required wheelchair occupant restraint system not in compliance (571.222).

WINDOWS

A. Any glass or glazing that is broken through or missing (393.60);

B. Any glass not of approved type [393.60(a)];

C. Windshield has discoloration or other damage in that portion extending upward from the height of the topmost portion of the steering wheel, but not including a two-inch border at the top and a oneinch border at each side of the windshield or each panel thereof, except as follows:

1. Sun-screening or window-tinting material not above the ASl line (or the top 5 inches if no ASl line is visible) of the windshield.* 2. Any crack not over 1/2 inch long, if not intersected by any other crack;

D. Driver's area windows and windshield that have chips, cloudiness or defects that obscure the driver's vision. [393.60(c)]; or E. No operable defrosting and defogging system to clear the driver's windshield (571.103). *Item added or modified to meet Maine State Inspection Standards Re-printed portion of MRSA Title 29-A of relevance to Motor Vehicle Inspections The State of Maine claims a copyright in its codified statutes. If you intend to republish this material, we require that you include the following disclaimer in your publication:

All copyrights and other rights to statutory text are reserved by the State of Maine. The text included in this publication reflects changes made through the First Special Session of the 129th Legislature, and is current through December 31, 2020 but is subject to change without notice. It is a version that has not been officially certified by the Secretary of State. Refer to the Maine Revised Statutes Annotated and supplements for certified text. The Office of the Reviser of Statutes also requests that you send us one copy of any statutory publication you may produce. Our goal is not to restrict publishing activity, but to keep track of who is publishing what, to identify any needless duplication and to preserve the State's copyright rights.

PLEASE NOTE: The Reviser's Office cannot perform research for or provide legal advice or interpretation of Maine law to the public. If you need legal assistance, please contact a qualified attorney.

CHAPTER 15: INSPECTION AND REPAIR

SUBCHAPTER 1 INSPECTION §1751. Motor vehicle inspection 1. Inspection required. Except as provided in this chapter or section 2307, subsection 1, a motor vehicle required to be registered in this State must have an annual inspection. A person may have a motor vehicle inspected more frequently.

2. Equipment subject to inspection. The following equipment is subject to inspection:

A. Body components; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

B. Brakes; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

C. Exhaust system; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

D. Glazing; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

E. Horn; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

F. Lights and directional signals; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, G. Rearview mirrors; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

H. Reflectors; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

I. Running gear; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

J. Safety seat belts on 1966 and subsequent models; [PL 1993, c. 683, Pt. A, §2 (NEW); PL K. Steering mechanism; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 L. Tires; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

M. Windshield wipers; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

N. Catalytic converter on 1983 and subsequent models; and [PL 1993, c. 683, Pt. A, §2 (NEW);

0. Filler neck restriction on 1983 and subsequent models. [PL 1993, c. 683, Pt. A, §2 (NEW); 2-A. Enhanced inspection. Beginning January 1, 1999, a motor vehicle that is required to be registered in Cumberland County and that is subject to inspection pursuant to subsection 1 must have an annual enhanced inspection. The following equipment is subject to inspection:

A. Equipment subject to inspection pursuant to subsection 2; [PL 1997, c. 786, §1 (NEW).]

B. The fuel tank cap on 1974 and subsequent models of gasoline-powered vehicles; and [PL 1997, c. 786, §1 (NEW).]

C. The on-board diagnostic system on 1996 and subsequent models. [PL 1997, c. 786, §1 motor vehicle that is not required to be registered in Cumberland County may have an enhanced under this subsection. [PL 1997, c. 786, §1 (NEW).]

3. Inspection fee. [PL 2001, c. 234, §1 (RP).] 3-A. Inspection fees.

An inspection station may charge the following fees:

A. For inspections performed under subsection 2, the fee may not be more than $12.50; [PL 2001, c. 234, §2 (NEW).]

B. For inspections of pre-1996 model vehicles performed under subsection 2-A, the fee may not be more than $15.50; and [PL 2001, c. 234, §2 (NEW).]

C. For inspections of 1996 and subsequent model vehicles performed under subsection 2-A, the fee may not be more than $18.50. [PL 2001, c. 234, §2 (NEW).]

The inspection fee is payable whether the vehicle passes inspection or not. [PL 2001, c. 234, §2 (NEW).]

4. Implementation. The enhanced inspection required by subsection 2-A must be implemented as follows.

A. The fuel tank cap is subject to inspection beginning January 1, 1999. [PL 1997, c. 786, §3 B. The on-board diagnostic system is subject to inspection beginning January 1, 2000. A motor vehicle may not fail inspection for failure to meet the inspection standard for the on-board diagnostic system until January 1, 2001. [PL 1997, c. 786, §3 (NEW).] [PL 1997, c. 786, §3 (NEW).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 1997, c. 786, §§1-3 (AMD). PL 2001, c. 234, §§1,2 (AMD). §1752. Motor vehicles exempt from inspection The following are exempt from inspection: [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c.

1. Registered in another state. A motor vehicle owned and registered in another state and displaying a valid certificate of inspection from another state or a federally approved commercial vehicle inspection program;

2. Farm tractors. A farm tractor;

3. Antique autos. An antique auto registered under section 457; [PL 2017, c. 165, §6 (AMD).]

4. Farm truck. A farm truck that:

A. Is operated within a 20-mile radius from the main entrance of the farm where the vehicle is customarily kept; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

B. Has a partial annual inspection of the running gear, steering mechanism, brakes, exhaust system and lights; safety glass under section 1915; and tires under section 1917; and [PL 2005, c. 314, §7 (AMD).]

C. Bears the name of the municipality in which the excise tax is paid in 4-inch letters on the left door of the cab; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).] [PL 2005, c. 314, §7 (AMD).]

5. Island vehicles. A motor vehicle that is:

A. Used for the conveyance of passengers; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c.

B. Registered for a fee of $2 under section 501, subsection 2-A; and [PL 2001, c. 471, Pt. A, §30 (AMD).]

C. Operated exclusively on an island having no roads maintained or supported by the State; [PL [PL 2001, c. 471, Pt. A, §30 (AMD).]

6. Moped or motorized bicycle or tricycle. A moped or a motorized bicycle or tricycle; [PL 2007, c. 348, §1 (AMD).]

Fish truck. A fish truck that:

A. Is operated within a 20-mile radius of the municipality where excise tax on the truck is paid;

B. Has a partial annual inspection consisting of the running gear, steering mechanism, brakes, exhaust system and lights; safety glass under section 1915; and tires under section 1917, subsection 3; and [PL 2005, c. 314, §8 (AMD).]

C. Bears the name of the municipality in which the excise tax is paid in 4-inch letters on the left door of the cab; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).] [PL 2005, c. 314, §8 (AMD).]

8. Woods tractor. A converted motor vehicle used as a tractor solely for logging purposes that:

A. Is registered as a tractor pursuant to section 509 or exempt from registration pursuant to section 510; [PL 1997, c. 437, §42 (RPR).]

B. Is operated only during daylight hours, only within a 10-mile radius of the premises where the tractor is customarily kept and only between those premises and:

(1) A woodlot used for logging purposes by the owner; and (2) A filling station or garage for fuel or repairs; and [PL 1997, c. 437, §42 (RPR).]

C. Has a partial annual inspection of running gear, steering mechanism, brakes and exhaust system and tires under section 1917, subsection 3; [PL 2003, c. 125, §2 (AMD); PL 2003, c. 397, §5 (AMD).] [PL 2003, c. 125, §2 (AMD); PL 2003, c. 397, §5 (AMD).]

9. Registered in this State. A motor vehicle registered in this State displaying a valid certificate of inspection from another state or a federally approved commercial vehicle inspection program for one year after the date of inspection; [PL 2005, c. 314, §9 (AMD).]

10. Experimental motor vehicle. A vehicle registered as an experimental motor vehicle pursuant to section 470. An experimental motor vehicle must meet minimum equipment standards pursuant to

section 470, subsection 2; [PL 2011, c. 8, §1 (AMD).]

11. Low-speed vehicle. A low-speed vehicle registered pursuant to section 501, subsection 11. A low-speed vehicle must be equipped in accordance with section 1925; and [PL 2011, c. 8, §2 (AMD).]

12. Antique motorcycle.

An antique motorcycle registered under section 457. [PL 2011, c. 8, §3 (NEW).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 1997, c. 437, §42 (AMD). PL 2001, c. 471, §A30 (AMD). PL 2003, c. 125, §§2-4 (AMD). PL 2003, c. 397, §§5-8 (AMD). PL 2003, c. 688, §A34 (AMD). PL 2005, c. 314, §§7-9 (AMD). PL 2007, c. 348, §1 (AMD). PL 2011, c. 8, §§1-3 (AMD). PL 2013, c. 381, Pt. A, §4 (AMD). PL 2017, c. 165, §6 (AMD). §1753. Inspection of commercial vehicles, trailers and semitrailers 1. Inspection required. Except as provided in subsection 4, a commercial motor vehicle that is required to be registered in this State, is used in intrastate or interstate commerce and has a gross vehicle weight or gross vehicle weight rating greater than 10,000 pounds, including the gross vehicle weight rating or gross weight of any trailer or semitrailer, must be inspected annually pursuant to this

chapter. Except as provided in subsection 4, a trailer or semitrailer that has a gross vehicle weight or gross vehicle weight rating greater than 7,000 pounds, independent of the towing vehicle, must be inspected annually. A trailer or semitrailer must also be inspected annually when:

A. Engaged in interstate commerce and used with a motor vehicle that has a gross vehicle weight or gross vehicle weight rating greater than 10,000 pounds, including the gross vehicle weight or gross vehicle weight rating of a trailer or semitrailer and load; or [PL 2007, c. 348, §2 (NEW).]

B. Except as provided in subsection 4, engaged in intrastate commerce and used with a motor vehicle that has a gross vehicle weight or gross vehicle weight rating greater than 10,000 pounds, including the gross vehicle weight or gross vehicle weight rating of a trailer or semitrailer and load. [PL 2007, c. 348, §2 (NEW).] [PL 2007, c. 348, §2 (AMD).]

2. Scope of inspection. The Chief of the State Police shall adopt rules for the inspection required by subsection 1 that meet the requirements of 49 Code of Federal Regulations, Section 396.17.

3. Fee. Except as provided in this subsection, the fee for an inspection under this section is based on the inspector's normal hourly labor charge and is due whether or not the vehicle passes inspection.

A licensed inspection station shall post the hourly labor charge in a conspicuous place.

The fee for an inspection under this section of a farm truck registered under section 505 is $45. The inspection fee is payable whether the vehicle passes inspection or not. [PL 2007, c. 190, §1 (AMO).]

4. Vehicles exempt from annual inspection. The following vehicles are exempt from the requirements of this section:

A. When used exclusively in intrastate commerce, a trailer or semitrailer with a gross vehicle weight, including any load, that does not exceed 3,000 pounds; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

B. When used exclusively in intrastate commerce, a semitrailer designed and used exclusively for dispensing cable from reels attached to the semitrailer, commonly called a reel trailer, and any semitrailer designed and used exclusively to support the ends of poles being transported, commonly called a pole dolly, when the gross weight of the semitrailer and load does not exceed 12,000 pounds;

C. Any mobile home, empty storage trailer or empty storage semitrailer displaying a trailer transit plate in accordance with section 954, subsections 4 and 5; [PL 1993, c. 683, Pt. A, §2 (NEW);

0. A farm truck or a fish truck exempted under section 1752; [PL 2007, c. 348, §3 (AMO).]

E. A trailer or semitrailer displaying a valid certificate of inspection from another state or a federally approved commercial vehicle inspection program until the normal expiration of its of inspection; and [PL 2007, c. 348, §4 (AMO).]

F. A camp trailer. [PL 2007, c. 348, §5 (NEW).] [PL 2007, c. 348, §§3-5 (AMO).]

5. Proof of inspection. Proof of inspection must be shown either by a report that certifies that the inspection satisfies the requirements of this section or by an inspection sticker placed on the vehicle. If proof is shown by a report, the report must be produced on the demand of a law enforcement officer.

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 2007, c. 190, §1 (AMO). PL 2007, c. 348, §§2-5 (AMO). §1754. Inspection by dealers and transporters 1. Inspection standards. A holder of a dealer license or a transporter registration certificate may permit a vehicle to be operated on a public way only if the vehicle:

A. Meets inspection standards; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, B. Is owned by the dealer or holder of the transporter registration certificate and is operated by the owner or the owner's employee for the sole purpose of travelling to a body repair establishment and is mechanically safe but requires body repairs; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

C. Is sold or transferred to another person, meets inspection standards and displays a valid of inspection issued within 60 days of the sale or transfer; [PL 2001, c. 180, §1 (AMD).]

D. If operated by a dealer or holder of a transporter registration certificate, is operated only from a point of purchase to the licensee's place of business. For the purposes of this paragraph, "point of purchase" includes, but is not limited to, an auto auction, distribution center or another licensed vehicle dealer; or [PL 2001, c. 180, §1 (AMD).]

E. Is owned by the dealer or holder of the transporter registration certificate and is operated by the owner or the owner's employee for the sole purpose of traveling to an inspection facility. [PL 2001, c. 180, §2 (NEW).]

This subsection does not allow the operation of an unsafe motor vehicle on a public way. [PL 2001, c. 180, §§1, 2 (AMD).] 1-A. New motor vehicles exempt from inspection. A new motor vehicle owned by a new vehicle dealer, as defined in section 851, subsection 9, with a dealer plate is exempt from motor vehicle inspection requirements under section 1751 only if the motor vehicle is operated in a manner consistent with section 1002, subsection 1, paragraphs A and E. For purposes of this subsection, "new motor vehicle" means a motor vehicle of the current model year or model year immediately preceding the current model year that has not been previously registered or titled.

This subsection does not allow the operation of unsafe motor vehicles on a public way. [PL 2011, c. 191, §1 (NEW).]

2. Remove prior certificate. If the vehicle bears a prior inspection certificate, that certificate must be removed.

3. Violations. The provisions of this subsection apply to violations of this section.

A. A violation of this section is a traffic infraction for which a penalty of not more than $1,000 for each violation may be assessed. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, B. A violation of this section is also a violation of the provisions governing unfair trade practice under Title 5, chapter 10. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 C. It is not a defense to this section that the dealer or holder did not know that the vehicle did not meet inspection standards or required a certificate. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 2001, c. 180, §§1,2 (AMD). PL 2011, c. 191, §1 (AMD). §1755. Inspection of fire trucks A fire chief, or a municipal official of a municipality without a fire chief, may contract with a licensed inspection station for a licensed inspection mechanic to perform an inspection at the location where fire trucks are customarily kept. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. §1756. Inspection standards 1. Inspection standards. Equipment subject to inspection must:

A. Be in good working order; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 B. Be safely attached or secured to the chassis or body of the vehicle; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

C. Be mechanically safe; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 D. Not pose a hazard to the occupant of the vehicle or to the general public; and [PL 1993, c.

E. Meet the standards set forth in rules adopted by the Chief of the State Police. [PL 1993, c.

2. Inspection standard for catalytic converter. Notwithstanding the inspection standards of subsection 1, a catalytic converter subject to the inspection required by section 1751, subsection 2, paragraph N must meet the rules promulgated by the Chief of the State Police and must be safely attached or secured to the chassis or body of the vehicle.

3. Windows. In addition to the standards set forth in subsection 1, windows must meet the standards of sections 1915 and 1916.

4. Fenders. Except as provided by section 1953, subsection 2, paragraph E, a motor vehicle other than a street rod must be equipped with fenders or fenders and extensions. When a wheel and tire are installed that permit the tire tread to extend beyond the natural fender configuration, the fenders must be modified or extended to cover the exposed tire tread.

5. Safety seat belts. [PL 2007, c. 348, §6 (RP).]

6. Inspection standard for fuel tank cap. Notwithstanding the inspection standards of subsection 1, a fuel tank cap subject to the inspection required by section 1751, subsection 2-A, paragraph B must meet the standards in rules adopted by the Chief of the State Police. The Chief of the State Police shall adopt rules to establish procedures and standards for a fuel tank cap pressure test. [PL 1997, c. 786, §4 (NEW).]

7. Inspection standard for on-board diagnostic system. Notwithstanding the inspection standards of subsection 1, an on-board diagnostic system subject to the inspection required by section 1751, subsection 2-A, paragraph C must meet the standards in rules adopted by the Chief of the State Police. The Chief of the State Police shall adopt rules that meet the requirements of 40 Code of Federal Regulations, Part 85 for on-board diagnostic test procedures, standards and equipment. [PL 1997, c. 786, §4 (NEW).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 1997, c. 786, §4 (AMO). PL 2007, c. 348, §6 (AMO). §1757. Standard for rejection for nonfunctioning equipment A motor vehicle must be rejected for violation of the inspection standard for equipment if any equipment described in section 17Sl, subsection 2 does not function sufficiently for the safety of the general public or is loose and not securely attached to the vehicle. [PL 1993, c. 683, Pt. A, §2 (NEW); §1758. Issuance of sticker; placement on vehicle 1. Windshield placement. If a motor vehicle meets the inspection standard, an official inspection sticker must be placed in the lower left-hand corner of the windshield or in the center of the windshield in back of the rearview mirror.

2. Without windshield. If the vehicle is not normally equipped with a windshield, the certificate of inspection must be kept with the registration certificate of the vehicle. This subsection does not apply to motorcycles. [PL 2009, c. 624, §1 (AMO); PL 2011, c. 167, §3 (AFF).]

3. Motorcycles; proof of inspection. If a motorcycle meets the inspection standard, upon payment of applicable inspection fees pursuant to section 17Sl, subsection 3-A a valid certificate of inspection an official inspection sticker for the motorcycle must be issued. The certificate of inspection must be kept with the registration certificate of the motorcycle and the official inspection sticker must be affixed to the rear of the motorcycle on the registration plate.

A. [PL 2011, c. 167, §2 (RP); PL 2011, c. 167, §3, 7 (AFF).]

B. [PL 2011, c. 167, §2 (RP); PL 2011, c. 167, §3, 7 (AFF).]

The official inspection sticker must be located so that it is completely and clearly visible from the rear of the motorcycle. If the registration plate is reassigned to another motorcycle pursuant to section 463, subsection 4, the certificate of inspection and the official inspection sticker expire upon reassignment. [PL 2011, c. 167, §2 (AMO); PL 2011, c. 167, §3, 7 (AFF).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 2009, c. 624, §§1, 2 (AMO). PL 2009, c. 624, §4 (AFF). PL 2011, c. 167, §2 (AMO). PL 2011, c. 167, §3, 7 (AFF). §1759. Temporary permits and warnings 1. Issuance. A law enforcement officer, an employee of a municipal police department designated by the chief, an employee of a sheriff's department designated by the sheriff, an employee of the Department of Public Safety designated by the Chief of the State Police or an employee of the Bureau of Motor Vehicles designated by the Secretary of State may issue a permit allowing operation of an uninspected vehicle to an inspection station for inspection. [PL 2007, c. 348, §7 (AMO).]

2. Reconstructable vehicle. This section does not apply to reconstructable motor vehicles as defined in Title 10, section 1471.

3. Warning. The owner or operator of a vehicle operated with an expired inspection sticker during the first month immediately after expiration may not be issued a summons to court but may only be issued a warning.

This warning must state that the vehicle must be inspected within 2 business days.

Failure to comply with a warning is a violation punishable in accordance with section 1768. [RR 1993, c. 2, §23 (COR).]

RR 1993, c. 2, §23 (COR). PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 1999, c. 41, §2 (AMO). PL 2007, c. 348, §7 (AMO). §1760. Examination and impoundment of vehicles 1. Examination for compliance. A law enforcement officer in uniform may stop and examine a motor vehicle to determine whether the vehicle's equipment complies with the requirements of section 17S6.

2. Scope of inspection. The officer may demand and inspect the driver's license, the certificate of registration, permits and the identification numbers of the motor vehicle.

3. Probable cause for inspection. A law enforcement officer may require the operator to proceed to an official inspection station and submit the vehicle to an inspection and tests as may be appropriate on reasonable grounds to believe that:

A. A vehicle is unsafe or not equipped as required by law; or [PL 1993, c. 683, Pt. A, §2 (NEW);

B. The vehicle's equipment does not conform to the inspection standard. [PL 1993, c. 683, Pt. §1761. Certified inspection mechanics 1. Performance of inspection. No person other than a holder of an inspection mechanic certificate may perform an inspection or issue or sign a certificate of inspection. 1-A. Application and examination. A person may submit an application with the required fee under subsection 3 for an inspection mechanic certificate to the Department of Public Safety, Bureau of State Police and complete the examination up to 6 months prior to the person's 18th birthday. The of State Police may process the application and test the applicant up to 6 months prior to the applicant's 18th birthday but may not issue the certificate until the applicant is 18 years of age. [PL 2003, c. 222, §1 (NEW).]

2. Requirements for inspection mechanic certification. To receive an inspection mechanic certificate, an applicant must:

A. Pass a written or oral examination that is designed to test knowledge of motor vehicle inspection and the method of inspecting and testing motor vehicle equipment; and [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

B. Be a person of honesty, integrity and reliability. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 3. Examination fee. Applicants for inspection mechanic certification must pay to the Chief of the State Police a fee of $1 for an application for examination or for renewal of a certificate.

4. Term of certification. An inspection mechanic certificate is valid for a period of 5 years from the date of issue.

5. Renewal. An examination is not required if application for a renewal is made within one year of expiration.

6. Remission of certificate. [PL 2009, c. 251, §5 (RP).]

7. Notification of change in place of employment. Prior to inspecting vehicles for a new employer, the holder of an inspection mechanic certificate shall notify the Chief of the State Police of a change of place of employment.

8. Testing in parking area. Notwithstanding sections 1251, 1252 and 1253, a certified inspection mechanic who has a valid operator's license of any class may operate a motor vehicle in a parking area adjacent to an official inspection station for the purpose of testing equipment as required by the rules adopted pursuant to this chapter.

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 2003, c. 222, §1 (AMD). PL 2009, c. 251, §5 (AMD). §1762. Official inspection stations 1. Licensing of official inspection stations. The Chief of the State Police may license garages as official inspection stations. [PL 2007, c. 348, §8 (AMD).]

2. Requirements. [PL 2007, c. 348, §9 (RP).] 2-A. Requirements. To qualify as an official inspection station, a garage must comply with rules adopted by the Chiefof the State Police. [PL 2007, c. 348, §10 (NEW).]

3. Examination of premises and operator of garage. Before a license is granted, the premises be examined and the operator of the garage investigated as to reliability and fitness.

4. Term of license. The license is valid for 2 years from the date of final license approval. [PL 2007, c. 348, §11 (AMO).]

S. Licenses not transferable. A license may not be assigned or transferred or used at other than a designated location.

6. Posting of license on premises. A license must be posted in a conspicuous place at the designated location.

7. Hearing; appeals. If a person is aggrieved by the decision of the Chief of the State Police in refusing approval, that person may, within 30 days of notification of refusal to license, request a hearing before the Chief of the State Police or the chief's designee. After the hearing, if an applicant is aggrieved by the final action of the chief, the applicant may appeal the decision in accordance with Title S, Part 18. [PL 2007, c. 348, §12 (AMO).]

8. Enhanced inspection stations. Beginning January 1, 1999, official inspection stations located in Cumberland County shall offer enhanced inspections pursuant to section 17Sl, subsection 2-A and may not offer inspections pursuant to section 17Sl, subsection 2. Official inspection stations located outside of Cumberland County may offer inspections under section 17Sl, subsections 2 and 2-A. An inspection station that offers enhanced inspections shall employ an inspection mechanic certified to perform enhanced inspections. [PL 1997, c. 786, §S (NEW).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 199S, c. 6S, §A101 (AMO). PL 199S, c. 6S, §§A1S3,C1S (AFF). PL 1997, c. 786, §S (AMO). PL 2007, c. 348, §§8-12 (AMO). §1763. Suspension or revocation of license or inspection mechanic certificate Notwithstanding Title S, section 10003, a State Police officer or employee of the State Police designated as a motor vehicle inspector may immediately suspend or revoke the license issued to any official inspection station or the inspection mechanic certificate issued to any inspecting mechanic for a violation of this chapter or the rules adopted pursuant to section 1769. The penalty for a first offense is a license suspension for a period of up to 6 months. The penalty for a 2nd or subsequent offense is a license suspension for a period of up to one year or license revocation. [PL 2007, c. 348, §13 (AMO).]

Pursuant to Title S, chapter 37S, the Chief of the State Police or the chief's designee shall schedule a hearing, if requested by the owner of an official inspection station, an employee of that station or the inspection mechanic, to review the suspension or revocation. The suspension or revocation remains in effect pending the final agency decision and during any appeal of that decision. [PL 1993, c. 683, Pt.

As a prerequisite to reinstatement following a license suspension or revocation, the Chief of the State Police may require an inspection mechanic to satisfactorily complete the inspection mechanic examination provided for in section 1761, subsection 2. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §S (AFF).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 2003, c. 633, §3 (AMO). PL 2007, c. 348, §13 (AMO). §1764. Fleet inspection stations 1. License by Chiefof the State Police. The Chiefof the State Police may license fleet inspection stations to inspect 10 or more vehicles registered in the name of a single owner.

2. Requirements. To qualify as a fleet inspection station, a station must:

A. [PL 2007, c. 348, §14 (RP).]

B. Have at least 10 vehicles registered in the name of the fleet inspection station owner or be under contract to the owner of the fleet of vehicles for exclusive maintenance. [PL 1993, c. 683, Pt. A, [PL 2007, c. 348, §14 (AMO).]

3. Limit to fleet vehicles. Fleet station inspections are limited exclusively to fleet vehicles.

4. Employment of certified inspection mechanics. A fleet inspection station must employ a sufficient number of certified inspection mechanics to inspect every vehicle in the fleet annually.

A certified inspection mechanic may inspect fleets of vehicles at the fleet station, if proper inspection equipment is available.

Fleet vehicles must be inspected by a certified inspection mechanic who may issue and sign inspection certificates.

Fleet vehicle inspectors are subject to the same provisions as certified inspection mechanics.

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 2007, c. 348, §14 (AMO). §1765. Out-of-doors inspections A certified inspection mechanic may inspect a vehicle out-of-doors if: [PL 1993, c. 683, Pt. A, 1. Class of vehicles. The vehicle conforms to the class of vehicle that the inspection station license authorizes for inspection; and 2. Altered vehicles. Alterations or additions to the basic design or structure of the vehicle not produced by the original manufacturer prevent the vehicle from entering inside the inspection station. §1766. Inspection stickers 1. Stickers remain property of State. Inspection stickers and materials issued to inspection stations by the Chief of the State Police remain the property of the State.

2. Stock of stickers. An inspection station must stock a sufficient number of stickers to meet all demands. The stickers must be made of a material and quality of adhesive prescribed by the Chief of the State Police.

3. Fee. Except as provided in subsection 3-A, stickers are furnished by the Chief of the State Police at $2.SO each. [PL 2011, c. 191, §2 (AMD).]

3-A.

Fee for new vehicle dealers. Stickers furnished to a new vehicle dealer, as defined in section 8Sl, subsection 9, by the Chief of the State Police are $3.SO each. [PL 2011, c. 191, §3 (NEW).]

4. Statement of intent to hire a certified mechanic. If a station is disqualified by the loss of a certified mechanic, the owner shall, within S working days, return all stickers to the Chief of the State The owner may file a statement of intent to hire a certified inspection mechanic within 14 working days, in which case the Chief of the State Police shall hold the returned stickers for the licensee.

If a statement of intent is not filed, returned stickers may be reissued.

S. Return or refund of unused stickers. Within 20 working days of the calendar year or the suspension, revocation or termination of an inspection license, unused or expired stickers must be returned to the Chief of the State Police and the purchase price refunded or exchanged for current year stickers. Refunds or exchanges may only be made for full sheets of unused stickers.

6. Return of inspection materials. Upon suspension, revocation or termination of an inspection license, the station owner or manager shall return all inspection materials to the Chief of the State Police, who shall issue a receipt for the returned materials.

SECTION HI STORY

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 1997, c. 786, §6 (AMD). PL 1997, c. 786, §14 (AFF). PL 2001, c. 234, §3 (AMD). PL 2011, c. 191, §§2, 3 (AMD). §1767. Disposition offees The revenues generated by this chapter must be credited to the General Highway Fund. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §S (AFF).] §1768. Unlawful acts 1. Display of fictitious certificate. A person commits a Class E crime if that person displays or permits to be displayed on a vehicle a certificate of inspection knowing the certificate to be fictitious or issued to another vehicle or issued without an inspection having been made.

2. Use of counterfeit certificate of inspection. A person commits a Class E crime if the person makes, possesses, issues or knowingly uses an imitation or counterfeit of an official certificate of inspection or a certificate of inspection that was not issued by an official inspection station in accordance with law.

3. Misrepresentation of vehicle inspection station. A person commits a Class E crime if that person represents a place as an official inspection station and the station is not operating under a valid license.

4. Issuance of certificate for substandard vehicle. A person commits a Class E crime if that person knowingly causes an official inspection sticker to be attached to a vehicle that does not conform to the inspection standard.

5. Operation of defective vehicle. A person may not operate a vehicle on a public way with equipment on the vehicle that does not conform to the standards set forth in rules adopted by the Chief of the State Police pursuant to section 1769.

A. Except as provided in paragraphs Band C, a person who violates this subsection commits a traffic infraction. [PL 2003, c. 688, Pt. C, §13 (NEW).]

B. A person who violates this subsection commits a Class E crime if the vehicle is unsafe for operation because it poses an immediate hazard to an occupant of the vehicle or the general public. [PL 2003, c. 688, Pt. C, §13 (NEW).]

C. A person who violates this subsection and is involved in a motor vehicle accident caused by nonconformance with the rules adopted by the Chief of the State Police pursuant to section 1769 commits a Class E crime. [PL 2003, c. 688, Pt. C, §13 (NEW).] [PL 2003, c. 688, Pt. C, §13 (RPR).]

6. Alteration after inspection. A person commits a Class E crime if that person alters equipment after inspection so that the equipment does not conform to the standards of this subchapter.

7. Operation of vehicle without certificate of inspection. An owner or operator of a vehicle to be inspected commits a traffic infraction if that person operates that vehicle or permits that vehicle to be operated without displaying a current and valid certificate of inspection or producing the certificate on demand of a police officer.

8. Performance of inspections, issuance of inspection certificate by a person with a suspended or revoked inspection mechanic license. A person commits a Class E crime if, at a time when the person's inspection mechanic license is suspended or revoked pursuant to section 1763, the person:

A. Performs a state motor vehicle inspection or federally approved motor vehicle inspection in order for a certificate of inspection or report to be issued by a 3rd party; or [PL 2011, c. 448, §1 {NEW);

PL 2011, c. 448, §4 (AFF).]

B. Issues a state or federally approved certificate of inspection or report. [PL 2011, c. 448, §1 PL 2011, c. 448, §4 (AFF).] [PL 2011, c. 448, §1 (NEW); PL 2011, c. 448, §4 (AFF).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 2003, c. 688, §C13 (AMD). PL 2011, c. 448, §1 (AMD). PL 2011, c. 448, §4 (AFF). §1769. Rules 1. Scope. The Chief of the State Police may adopt rules:

A. For the administration and enforcement of this chapter; [PL 1993, c. 683, Pt. A, §2 (NEW);

B. To designate periods of time during which owners of vehicles must display or produce a certificate of inspection; and [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §S C. Concerning the inspection of registered special mobile equipment not ordinarily operated over the highway. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §S (AFF).] 1-A. Delay in effective date. Except for emergency rules adopted under Title S, section 80S4, rules adopted under this section take effect 30 days after filing with the Secretary of State under Title S, section 80S6, subsection 1, paragraph B. [PL 2007, c. 13S, §1 (NEW); PL 2007, c. 13S, §2 (AFF).]

2. Review of rules by Legislature. Rules adopted under this section are routine technical rules pursuant to Title S, chapter 37S, subchapter 2-A. [PL 2003, c. 340, §2 (AMD).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 1999, c. 183, §4 (AMD). PL 2003, c. 340, §2 (AMD). PL 2007, c. 13S, §1 (AMD). PL 2007, c. 13S, §2 (AFF). §1770. Penalties 1. General penalty. Notwithstanding Title 17-A, and unless otherwise specified, a violation of this chapter is a Class E crime, punishable by a fine of not less than $2S nor more than $SOO or by imprisonment for not more than 30 days, or by both.

2. Traffic infraction. A violation of the rules adopted by the Chief of the State Police pertaining to this subchapter is a traffic infraction subject to a forfeiture of not less than $2S nor more than $2SO.

PL 1993, c. 683, §2 (NEW).

SUBCHAPTER 2

REPAIR §1801. Definitions As used in this subchapter, unless the context otherwise indicates, the following terms have the following meanings. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

1. Customer. "Customer" means a person, including, but not limited to, an agent, who contracts with a repair facility for repair of a motor vehicle.

2. Flat rate. "Flat rate" means a method of calculating charges for labor that is based on the specific repair done and not on the amount of time actually spent on that repair.

3. Repair.

Repair" means the examination, maintenance, servicing, adjustment, improvement, replacement, removal or installation of a part of a motor vehicle, including, but not limited to, body work, painting and incidental services such as storage and towing, and excluding the sale of motor fuel.

4. Repair facility. "Repair facility" means a motor vehicle repair facility offering services to the general public for compensation.

S. Shop supplies. "Shop supplies" means small parts and materials used or consumed in the process of repair, including, but not limited to, nuts and bolts, electrical wire, rags, tape, brake cleaners other items maintained as inventory. [PL 200S, c. 189, §1 (NEW).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 200S, c. 189, §1 (AMD). §1802. Maximum charge for repair 1. Written designation by customer. Before a repair facility begins repairing a customer's motor vehicle, the customer may designate in writing a specific amount of charges for repair in excess of which the customer does not agree to be liable without further specific agreement, either oral or written.

2. No liability without agreement. A customer is not liable for a charge in excess of the specific amount designated in accordance with subsection 1 without further specific oral or written agreement.

A repair facility shall charge a customer by using the same labor rate per hour and shop supplies calculation as is used in any estimate the repair facility provides. [PL 200S, c. 189, §2 (AMD).]

3. Shop supplies.

A repair facility may bill for shop supplies calculated as a percentage of labor or by other calculation, if disclosed to the customer, as a single line item. [PL 200S, c. 189, §3 (NEW).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 200S, c. 189, §§2,3 (AMD). §1803. Inspection of parts Before demanding payment of any charge, a repair facility must allow a customer to inspect replaced parts and must return replaced parts to the customer on request unless the facility is required to return the parts to the manufacturer or distributor under a bona fide warranty or exchange arrangement. §1804. Used parts Unless the customer specifically agrees before installation of the part, a repair facility may not install a used, reconditioned or rebuilt part. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §S (AFF).] §1805. Notices 1. Form of notice. A repair facility must post the following notice in a place where it is reasonably likely to be seen by customers. The notice must be completed with information on charges and printed so that it is conspicuous and can be read by the average person.

The following form must be used:

"NOTICE TO OUR CUSTOMERS

REQUIRED UNDER STATE LAW

Before we begin making repairs, you have a right to put in writing the total amount you agree to pay for repairs. You will not have to pay anything over that amount unless you agree to it when we contact you later.

Before you pay your bill, you have a right to inspect any replaced parts. You have a right to take with you any replaced parts, unless we are required to return the parts to our distributor or We can not install any used or rebuilt parts unless you specifically agree in advance.

You can not be charged any fee for exercising these rights.

WE CHARGE$ PER HOUR FOR LABOR.

(We round off the time to the nearest .)"

2. Flat rate. The notice must also contain the following if it applies:

"We also charge a flat rate for some repairs. Our service manager will explain what a flat rate is and show you how much it may cost you. A flat-rate charge may not match the time actually spent repairing your vehicle. PLEASE ASK US WHETHER WE WILL CHARGE YOU BY THE HOUR OR BY A FLAT RATE. We use the same labor rate method in any estimate we provide and any bill you receive." [PL 200S, c. 189, §4 (AMD).]

3. Availability of guide. [PL 200S, c. 189, §S (RP).]

4. Shop supplies. If the repair facility charges a separate line item for shop supplies, the notice must also contain the following:

"WE CHARGE ....... FOR SHOP SUPPLIES. Our service manager will explain shop supplies and how much they may cost you." [PL 200S, c. 189, §6 (NEW).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 1997, c. 221, §1 (AMO). PL 200S, c. 189, §§4-6 (AMO). §1806. Fee prohibited A repair facility may not, directly or indirectly, charge a fee for performing an obligation or for exercising a right under this subchapter. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt.

B, §S (AFF).] §1807. Unfair trade practice A repair facility's failure to comply with this subchapter constitutes an unfair trade practice under Title S, chapter 10. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §S (AFF).] §1808. Waiver prohibited The duties imposed by and rights created under this subchapter may not be waived or otherwise modified. Any waiver or modification is contrary to public policy and is void and unenforceable. [PL §1809. Savings clause This subchapter is in addition to and does not limit or replace other rights or procedures provided by statute or common law. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §S (AFF).]

SUBCHAPTER 3

ABANDONED

VEHICLES §1851. Application This subchapter applies to a vehicle that is: [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §S (AFF).]

1. Towed at request of owner or driver. Towed at the request of the owner or driver;

2. Towed because illegally parked or left standing or at officer's discretion. Towed pursuant to section 2068 or 2069 or at the direction of a law enforcement officer; [PL 2007, c. lSO, §1 (AMO).]

3. Towed because left without permission. Towed after being left on property without 19S permission;

4. Left without permission. Left on property without the permission of the property owner or person in charge of the property or premises where the vehicle is located;

5. Left after repair completed. Left at a place of business after being repaired pursuant to a written work order signed by the person requesting the repair work; [PL 2013, c. 496, §14 (AMD).]

6. Left on residential property. Left on an individual's residential property for more than 6 months; or [PL 2013, c. 496, §14 (AMD).]

7. Left at storage facility. Left at a storage facility, if the owner has failed to pay storage or rental fees. [PL 2013, c. 496, §15 (NEW).]

A vehicle towed for snow removal purposes is exempt from the provisions of this subchapter for 48 hours immediately following completion of the tow. [PL 1993, c. 683, Pt. A, §2 (NEW); PL A vehicle abandoned on an island without road access to the mainland is subject to the provisions of section 1860. [PL 1995, c. 65, Pt. A, §102 (NEW); PL 1995, c. 65, Pt. A, §153 (AFF).]

A vehicle left without a transferable title on the premises of an independent entity that temporarily stores a damaged or dismantled vehicle pursuant to an agreement with an insurance company, financial institution or dealer and that is engaged in the sale or resale of damaged or dismantled vehicles is subject to the provisions of section 1862. [PL 2011, c. 88, §1 (NEW).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 1995, c. 65, §A102 (AMD). PL 1995, c. 65, §§A153,C15 (AFF). PL 2007, c. 150, §1 (AMD). PL 2011, c. 88, §1 {AMD). PL 2013, c. 496, §§14, 15 (AMD). §1852. Abandonment defined For the purposes of this subchapter, a vehicle is considered "abandoned" if the owner or lien holder does not retrieve it and pay all reasonable charges for towing, storing and authorized repair of the vehicle within 14 days after the notices to the owner and lienholder are sent by the Secretary of State or 14 days after the advertisement is published as required in section 1854, subsection 4. There is a rebuttable presumption that the last owner of record of a motor vehicle found abandoned as shown in the files of the office of the Secretary of State is the owner of the motor vehicle at the time it was abandoned and the person who abandoned it. [PL 2011, c. 46, §1 (AMD).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 1999, c. 137, §1 (AMD). PL 2007, c. 150, §2 (AMD). PL 2011, c. 46, §1 (AMD). §1853. Letter of ownership or certificate of title If a person abandons a vehicle as described in section 1851, the owner of the premises or property where the vehicle is located may obtain a letter of ownership or a certificate of title by complying with this subchapter. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).] §1854. Notification of vehicle owner 1. Notification in writing. Except as provided in subsection 1-A, the owner of the premises where a vehicle described in section 1851 is located or the owner's agent shall notify the Secretary of State that the owner or the owner's agent is in possession of that vehicle. The notification must be in writing and on a form provided by the Secretary of State. [PL 2017, c. 240, §1 (AMD).] 1-A. Notification in writing; auto repair and storage facilities.

The owner of the premises where a vehicle described in section 1851, subsection 5 or 7 is stored or the owner's agent shall notify the Secretary of State that the owner or the owner's agent is in possession of the vehicle within 14 days after the earliest date on which the vehicle owner is responsible for any unpaid charges for authorized repair or for storage and any related towing expenses incurred by the owner or the owner's agent. The notification must be in writing and on a form provided by the Secretary of State. [PL 2017, c. 240, §2 (NEW).]

2. Contents of notification. A notification under this section must include the vehicle's make, model, year, body type, vehicle identification number and any registration and plates on the vehicle.

This notification also must include the date the vehicle came into possession of the owner, the owner's agent or person in charge of the premises where the vehicle is located, under what circumstances the vehicle came into that person's possession and whether the vehicle is salvage. [PL 2017, c. 240, §3 (AMD).]

3. Response.

On receipt of a notification under this section, the Secretary of State shall inform owner and lienholder, if any, by regular mail that the vehicle is being claimed under the abandoned vehicle law.

The notice to the vehicle owner and lien holder, if any, must identify the vehicle by the year, make, model and vehicle identification number, give the name and address of the party claiming ownership, state the charges against the vehicle that the owner and lienholder, if any, must pay to retrieve the vehicle, and the date that the title or letter of ownership will pass to the new owner.

If the party is claiming ownership of the vehicle pursuant to section 603, subsection 6, the notice must inform the vehicle owner and lienholder that the owner must pay to the Secretary of State the fee in section 603 to transfer the title. A copy of this letter must be provided to the person claiming ownership. [PL 2017, c. 240, §4 (AMD).]

4. Publication. If the Secretary of State finds no record of the vehicle, the owner of the premises where the vehicle is located shall publish a notice once in a newspaper of general circulation in the county where the premises is located. That notice must clearly:

A. Describe the vehicle by the year, make, model and vehicle identification number; [PL 1999, c. 137, §1 (AMD).]

B. State that if the owner of the vehicle or lienholder has not properly retrieved it and paid all reasonable charges for its towing, storage and repair within 14 days from the publication, ownership of the vehicle passes to the owner of the premises where the vehicle is located; and [PL 2011, c.

46, §2 (AMD).]

C. State how the owner of the premises may be contacted. [PL 1993, c. 683, Pt. A, §2 (NEW); [PL 2011, c. 46, §2 (AMD).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 1999, c. 137, §1 (AMD). PL 2001, c. S63, §3 (AMD). PL 2007, c. lSO, §§3-S (AMD). PL 2009, c. 43S, §21 (AMD). PL 2011, c. 46, §2 (AMD). PL 2017, c. 240, §§1-4 (AMD). §1855. Owner or lienholder known (REPEALED)

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 1999, c. 137, §2 (RP). §1856. Change of ownership 1. Evidence of compliance. A person who has complied with section 18S4, subsection 4 shall present evidence of compliance to the Secretary of State immediately after the 14-day notice period.

The Secretary of State may not issue a letter of ownership or certificate of title until at least 21 days after the date on which the person who has possession of and control over the vehicle notified the Secretary of State by complying with section 18S4, subsection 1or1-A and section 18S4, subsection 2. [PL 2017, c. 240, §S (AMD).]

2. Issuance of certificate; letter of ownership. The Secretary of State, upon being satisfied that notice has been made to all parties with an interest in the vehicle, may issue certificates of title or letters of ownership as follows.

A. For a vehicle not required to be titled, on presentation of sufficient evidence and payment of a $S fee, the Secretary of State may issue a letter of ownership to the owner of the premises on which the vehicle is located. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §S (AFF).]

B. For vehicles subject to chapter 7, on presentation of sufficient evidence and application for of title in accordance with section 6S4 and payment of a fee set forth in section 603, the Secretary of State may issue a certificate of title to the owner of the premises on which the vehicle is located. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §S (AFF).] [PL 1999, c. 137, §3 (AMD).]

If the owner or lienholder of the vehicle retrieves it and pays the towing, storage and repair charges before the Secretary of State issues a letter of ownership or certificate of title, the person holding the vehicle must immediately release it to the person paying the charges and must immediately notify the Secretary of State of the release. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §S A person who refuses to release a vehicle when reasonable charges are paid or does not notify the Secretary of State that the vehicle is no longer in the person's possession commits a Class E crime. [PL 1999, c. 137, §3 (NEW).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 1999, c. 137, §3 (AMD). PL 2007, c. lSO, §6 (AMD). PL 2011, c. 46, §3 (AMD). PL 2017, c. 240, §S (AMD). §1857. Limits If the notification to the Secretary of State required by section 18S4 is made more than 14 days after receipt of a vehicle described in section 1851 or if notification is not submitted to the Secretary of State, the person holding the vehicle may not collect more than 14 days of storage fees. Daily storage charges must be reasonable and total storage charges may not exceed $900 for a 30-day period. [PL 2017, c. 240, §6 (AMD).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 1999, c. 137, §3 (AMD). PL 2007, c. 150, §7 (AMD). PL 2011, c. 46, §4 (AMD). PL 2017, c. 240, §6 (AMD). §1858. Abandonment of vehicle on public way Abandonment of a vehicle on a public way is a traffic infraction for which a fine of not less than $2SO must be assessed. A person who is found to have abandoned a vehicle under this section is responsible for any towing or other charges that are directly related to the abandonment of the vehicle. [PL 2007, c. lSO, §8 (AMD).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 199S, c. 6S, §A103 (AMD). PL 199S, c. 6S, §§A1S3,C1S (AFF). PL 2007, c. lSO, §8 (AMD). §1859. Removal of vehicle Removal of a vehicle described in section 18Sl or of any part or accessory from the vehicle without the written consent of the person in charge or the owner of the premises or property where the vehicle is located is a Class E crime. This section applies to all persons, including the owner of the vehicle. [PL 199S, c. 6S, Pt. A, §104 (AMD); PL 199S, c. 6S, Pt. A, §1S3 (AFF); PL 199S, c. 6S, Pt. C, §lS (AFF).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 199S, c. 6S, §A104 (AMD). PL 199S, c. 6S, §§A1S3,C1S (AFF). §1860. Abandonment on an island A person may not abandon a motor vehicle on any property on an island without consent of the owner of the property. The State, municipality or other political subdivision having jurisdiction over the island may order the owner of a vehicle illegally abandoned on an island to remove it at the vehicle owner's expense.

If the owner of the vehicle refuses to remove the motor vehicle, or if the owner is unknown, the State or political subdivision may cause the vehicle to be removed from the island and may require reimbursement from the owner for the removal and the administrative and legal costs.

Neither the State nor any political subdivision of the State is liable for any damage to the motor vehicle that may be caused by the removal. Failure to remove an illegally abandoned vehicle on an island within 30 days after written warning, or within 30 days of ice-out if ice prevents the island from being reasonably accessible, is a Class E crime. [PL 1995, c. 65, Pt. A, §105 (NEW); PL 1995, c. 65, Pt.

A, §153 (AFF); PL 1995, c. 65, Pt. C, §15 (AFF).]

PL 1995, c. 65, §AlOS (NEW). PL 1995, c. 65, §§A153,C15 (AFF). §1861. Holding vehicle and its accessories A person holding or storing an abandoned vehicle, holding or storing a vehicle towed at the request of the vehicle's operator, owner or owner's agent or holding or storing a vehicle stored at the request of a law enforcement officer may hold the vehicle and all its accessories, contents and equipment, not including the personal effects of the registered owner, until reasonable towing and storage charges of the person holding or storing the vehicle are paid, except that a person may not hold the perishable cargo of a commercial motor vehicle, as defined in 49 Code of Federal Regulations, Part 390.5, as amended, when the perishable cargo being transported in interstate or intrastate commerce is not owned by the motor carrier or driver of the commercial motor vehicle being held and the person holding or storing the towed vehicle is presented with evidence of insurance, as defined in section 1551, covering the commercial motor vehicle and the vehicle's cargo. For purposes of this paragraph, "perishable cargo" means cargo of a commercial motor vehicle that is subject to spoilage or decay or is marked with an expiration date. [PL 2017, c. 120, §1 (AMD).]

For purposes of this section, "personal effects" includes medications, medical equipment, clothing, mail, child restraint systems and similar items. Except for child restraint systems, items attached to the vehicle and business equipment, machinery and tools are not considered personal effects. For the purposes of this section, "child restraint system" has the same meaning as in section 2081, subsection 1, paragraph A-2. [PL 2019, c. 299, §1 (AMD).]

PL 2007, c. 150, §9 (NEW). PL 2017, c. 120, §1 (AMD). PL 2019, c. 299, §1 (AMD).

CHAPTER 17 EQUIPMENT

SUBCHAPTER 1 GENERAL PROVISIONS §1901. General restriction A person may not use a vehicle on a public way or sell or equip a vehicle for use on a public way with aftermarket equipment contrary to this Title or contrary to the rules of the Chief of the State [PL 2007, c. 121, §1 (AMD).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 2007, c. 121, §1 (AMD). §1902. Brakes 1. General rule. A motor vehicle must have adequate brakes in good working order that are sufficient to control the vehicle.

2. Specific standards. Brakes must be adjusted so as to stop:

A. A 2-wheel brake vehicle, within a distance of 45 feet, from a speed of 20 miles per hour; [PL B. A 4-wheel brake vehicle, within 30 feet, from a speed of 20 miles per hour; or [PL 1993, c.

C. A motorcycle, within 30 feet, from a speed of 20 miles per hour. [PL 2005, c. 577, §22 (AMO).] [PL 2005, c. 577, §22 (AMO).]

3. Parking brakes. A vehicle, except a 2-wheel motorcycle, must be equipped with parking brakes adequate to hold the vehicle on any grade on which it is operated, under all conditions of loading, on a surface free from snow, ice or loose material. Parking brakes:

A. Must be capable of being applied by the driver's muscular effort, spring action or equivalent means;

B. May be operated with assistance of the service brakes or other source of power, provided that failure of the service brake actuation system or other power assisting mechanism does not prevent the parking brakes from being applied; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, C. Must be designed so that, once applied, they remain applied with the required effectiveness despite leakage or exhaustion of any source of energy; [PL 1993, c. 683, Pt. A, §2 (NEW); PL D. May share the same brake drums, brake shoes and lining assemblies, brake shoe anchors and mechanical brake shoe actuation mechanisms associated with the wheel brake assemblies used for service brakes; and [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

E. If the means of applying the parking and service brakes are connected, must be constructed so that failure of one part does not leave the vehicle without operative brakes. [PL 1993, c. 683, Pt.

A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).] [PL 2005, c. 577, §23 (AMO).]

4. Trucks; specific requirements. Special mobile equipment or a truck, truck tractor, trailer or semitrailer must be equipped with adequate brakes acting on all wheels of all axles, except that the following need not meet this requirement:

A. A trailer or semitrailer not exceeding a gross weight of 3,000 pounds; [PL 1993, c. 683, Pt.

A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

B. A vehicle towed by use of a wrecker; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, C. A vehicle meeting braking requirements of the motor carrier safety regulations of the United States Department of Transportation; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt.

D. A semitrailer with a gross weight of semitrailer and load not to exceed 12,000 pounds, designed and used exclusively:

(1) For the dispensing of cable from attached reels, commonly called a reel trailer; or (2) To support the end of poles while being transported, commonly called a pole dolly; and [PL 1999, c. 183, §5 (AMO).]

F. A dolly axle, so-called, on a farm truck transporting agricultural products and supplies.

A dolly axle may not be considered in determining the gross weight or axle limits permitted on the A 2-axle or 3-axle farm truck equipped with a dolly axle is considered a 2-axle or 3-axle vehicle. [PL 1999, c. 183, §S (AMO).]

S. Multiple axles. If equipped with 3 or more axles, a truck, tractor or truck tractor manufactured prior to August 1, 1980 need not have brakes on the front wheels; if the vehicle is equipped with 2 or more steerable axles, the wheels of one such axle need not have brakes.

6. Rules. The Chief of the State Police may adopt rules governing the sufficiency and adjustment of brakes.

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 1999, c. 183, §S (AMO). PL 200S, c. S77, §§22,23 (AMO). §1903. Adequate signaling device; use 1. Signaling device required. A person may not operate a motor vehicle without a suitable and adequate horn or other device for signaling. [PL 2003, c. 4S2, Pt. Q, §19 (NEW); PL 2003, c. 4S2, Pt. X, §2 (AFF).]

2. Unnecessarily sounded. A person may not unnecessarily sound a signaling device or horn. [PL 2003, c. 4S2, Pt. Q, §19 (NEW); PL 2003, c. 4S2, Pt. X, §2 (AFF).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 2003, c. 4S2, §Q19 (RPR). PL 2003, c. 4S2, §X2 (AFF). §1904. Headlights 1. General rules; headlights. A person may not operate a motor vehicle that does not meet the following requirements concerning headlights.

A. A motor vehicle must be equipped with headlights. [PL 2003, c. 4S2, Pt. Q, §20 (NEW);

PL 2003, c. 4S2, Pt. X, §2 (AFF).J B. Headlights must be of sufficient power and so adjusted and operated as to enable the operator to proceed with safety under all ordinary conditions of highway and weather. [PL 2003, c. 4S2, Q, §20 (NEW); PL 2003, c. 4S2, Pt. X, §2 (AFF).] [PL 2003, c. 4S2, Pt. Q, §20 (RPR); PL 2003, c. 4S2, Pt. X, §2 (AFF).]

2. Location of headlights. On a motor vehicle, a headlight must be located at a height, measured from the center of the headlight, of not more than S4 inches nor less than 22 inches above the level surface on which the vehicle stands. Headlights on snow plows may be at a height greater than S4 inches.

3. White light. Headlights must be equipped with lenses or reflectors that emit only white light.

4. Number of headlights. The following rules apply regarding the mounting of headlights.

A. A motor vehicle must have mounted on the front at least 2 headlights, one on each side. [PL 2003, c. 452, Pt. Q, §21 (NEW); PL 2003, c. 452, Pt. X, §2 (AFF).]

B. A motorcycle must have one mounted headlight. [PL 2005, c. 577, §24 (AMO).] [PL 2005, c. 577, §24 (AMO).]

5. Requirements. The following requirements apply to a headlight.

A. If the vehicle is mechanically constructed so that it is limited to less than 15 miles per hour, it must have headlights capable of furnishing sufficient candlepower to render any substantial object clearly discernible on a level way at least 50 feet directly ahead and at the same time at least 7 feet to the right of the axis of the vehicle for a distance of at least 25 feet. [PL 1993, c. 683, Pt. A, §2 B. If the vehicle is mechanically constructed so that it can exceed 15 miles per hour, it must have headlights capable of furnishing sufficient candlepower to render any substantial object clearly discernible on a level way at least 200 feet directly ahead and at the same time at least 7 feet to the right of the axis of the vehicle for a distance of at least 100 feet. [PL 1993, c. 683, Pt. A, §2 C. A headlight capable of furnishing more than 4 candlepower, if equipped with a reflector, may not be used unless the headlight is designed, equipped or mounted so that no portion of the beam of light, when projected 75 feet or more ahead, rises above a plane of 42 inches higher than and parallel with the level surface on which the vehicle stands. [PL 1993, c. 683, Pt. A, §2 (NEW);

0. The top of a main beam of light may not be higher than the headlight center. [PL 1993, c.

E. An electric bulb or other lighting device of a greater capacity than 32 candlepower may not be used, except for the standard equipment sealed beam unit. [PL 1993, c. 683, Pt. A, §2 (NEW);

F. A headlight may not project the top of a main beam, at a distance of 25 feet ahead of the vehicle, on an approximately level stretch of highway, onto the body of a person or an object, at a height greater than that of the center of the front light from the highway. [PL 1993, c. 683, Pt. A, §2 6. Motorcycle. A motorcycle that does not have an adequate beam for headlights is restricted to daytime operation. [PL 2005, c. 577, §25 (AMO).]

7. Exception for farm tractors. This section does not apply to unregistered farm tractors.

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 2003, c. 452, §§Q20,21 (AMO).

PL 2003, c. 452, §X2 (AFF). PL 2005, c. 577, §§24,25 (AMO). §1905. Rear lights 1. Requirement. Except as provided in subsection 3, a motor vehicle with 3 or more wheels or a trailer or semitrailer must have on the rear 2 lights, one on each side of the axis, each capable of displaying a red light visible for a distance of at least 100 feet behind the vehicle. [PL 2005, c. 314, §10 (AMD).]

2. Vehicles used in conjunction. When a vehicle is used in conjunction with another vehicle, only the last must carry the lights.

3. Vehicles manufactured with one rear light. If a vehicle was manufactured with only a single rear light, that light is sufficient if the light complies with the visibility requirement and is in the center or to the left of the vehicle's axis.

4. Exception for farm tractors. This section does not apply to unregistered farm tractors.

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 2005, c. 314, §10 (AMD). §1905-A. Turn signal 1. Requirement. Except as provided in subsection 3, a motor vehicle, trailer or semitrailer must be equipped with electric flashing turn signal lamps. A motor vehicle must emit white or amber light from the turn signals to the front of the vehicle and a motor vehicle, trailer or semitrailer must emit amber or red light from the turn signals to the rear of the vehicle.

2. Vehicles physically connected. When a vehicle that is being operated is physically connected to another vehicle, only the last vehicle must carry turn signals to the rear.

3. Vehicles manufactured without turn signal. Automobiles and trucks less than 80 inches in width, manufactured or assembled prior to January 1, 1953 need not be equipped with electric turn signal lamps. [PL 1995, c. 584, Pt. A, §2 (NEW).]

4. Exception for farm tractors. This section does not apply to unregistered farm tractors.

PL 1995, c. 584, §A2 (NEW). §1905-B. Brake lights 1. Requirement. All factory-installed brake lights or equivalent replacements on a motor vehicle, trailer or semitrailer must be present and operating properly and must emit a steady red light when a slight pressure is placed on the brake pedal, and the light emitted must be visible for a distance of at least 100 feet behind the vehicle. For purposes of this section, "steady red light" means a red light that is either immediately constant and not pulsating or that pulsates for a short period and then becomes constant.

2. Vehicles used in conjunction. When a vehicle is used in conjunction with another vehicle, only the last vehicle must carry the lights required in subsection 1.

3. Exception for farm tractors. This section does not apply to unregistered farm tractors.

PL 2015, c. 176, §2 (NEW). §1906. Clearance lights 1. Requirements for vehicle 7 feet or more in width. A vehicle 7 feet or more in width must have a green or amber light attached to the extreme left of the front, adjusted to indicate the extreme left lateral extension of the vehicle or load and at least one red light on the extreme left lateral extension of the vehicle or load on the rear.

2. Requirements for closed body vehicle 8 feet or more in height. A vehicle with a closed body feet or more in height must display 2 green or amber lights attached to the extreme left of the front of its body, one at the top and the other at the bottom. The vehicle must also display at least one red light on the extreme upper left lateral extension of its body.

3. Visibility. Body width lights and height lights must be visible not less than 200 feet in the direction towards which the vehicle is proceeding or facing.

4. Reflector alternative. In place of body width lights and height lights, a vehicle may be with an adequate reflector conforming as to color and location to the requirements for the 5. Application. This section does not apply to unregistered farm tractors.

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 2003, c. 452, §Q22 (RPR). PL 2003, c. 452, §X2 (AFF). §1907. Rear reflectors A vehicle must be equipped with at least one adequate reflector securely attached to the rear. The reflector:

1. Part of rear light. May be a part of the rear light;

2. Color. Must be red; and 3. Reflection. Must be designed, located and maintained to reflect at night on an unlighted highway, from at least 200 feet, the lawful undimmed headlights of a vehicle approaching from the rear.

3. Exceptions. This section does not apply to animal-drawn vehicles or unregistered farm tractors. [PL 2019, c. 170, §1 (AMO).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 2019, c. 170, §1 (AMO). §1908. Location of rear lights, reflectors and signal lamps On a vehicle 7 feet wide or wider, all rear lights, reflectors and signal lights must be within 12 inches of the extreme extension of the vehicle. On flat-body dump trucks, rear lights and signal lamps may be mounted on the rear of the frame. This section does not apply to unregistered farm tractors or to trailers with rear lights, reflectors and signal lights installed by the commercial manufacturer. [PL §1909. Registration lamp A vehicle must have a white light capable of illuminating the rear registration plate so that the characters on the plate are visible for a distance of at least SO feet. This section does not apply to unregistered farm tractors. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §S (AFF).] §1909-A. Fog lights 1. Fog lights. A motor vehicle may be equipped with 2 fog lights upon the front of the motor vehicle that emit amber or white light as long as the rays from the lights do not shine more than 2 feet above the road at a distance of 30 feet. A fog light mounted higher than the center of the main headlights may not be illuminated while a motor vehicle is being operated on a public way. [PL 2003, c. 340, §3 (NEW).]

PL 2003, c. 340, §3 (NEW). §1909-B. Optional auxiliary lighting 1. General restrictions. Except as otherwise provided by section 20S4 and any other law or rule, a vehicle may be equipped with or display an auxiliary light, as defined by section 20S4, subsection 1, paragraph C, only if it conforms to the requirements of this section. [PL 200S, c. 183, §1 (NEW).]

2. Color. The color of an auxiliary light must be as follows:

A. White or amber if the light is on the front of the vehicle; [PL 200S, c. 183, §1 (NEW).]

B. Amber if the light is on the side of the vehicle; or [PL 200S, c. 183, §1 (NEW).]

C. Amber or red if the light is on the rear of the vehicle. [PL 200S, c. 183, §1 (NEW).] [PL 200S, c. 183, §1 (NEW).]

3. Beam. An auxiliary light must emit a steady beam of light and may not blink, oscillate, rotate or flash.

4. Brightness.

An auxiliary light may not emit a beam that is brighter than, has a greater candlepower than or distracts from the visibility of standard lighting equipment required by this Title or by the inspection rules adopted by the Chief of the State Police pursuant to section 1769.

5. Operator visibility. An auxiliary light may not be installed in a manner or on the vehicle so that it distracts or impairs the vision of the operator.

6. Under-vehicle lighting. An auxiliary light is under-vehicle lighting if it is a lighting device or lamp, including, but not limited to, a neon or fluorescent tube, installed under the chassis and it is designed to illuminate and reflect from the surface beneath the vehicle. A vehicle may be equipped with under-vehicle lighting for the purpose of participating in shows, events or other exhibitions, but the lighting may not be used or the vehicle illuminated with under-vehicle lighting on a public way.

7. Violation. A person who operates a motor vehicle equipped with, illuminated by, displaying or using an auxiliary light in violation of this section commits a traffic infraction.

PL 2005, c. 183, §1 (NEW). §1909-C. Animal-drawn vehicles An animal-drawn vehicle operated on a public way during nighttime must be equipped with the following: [PL 2019, c. 170, §2 (NEW).]

1. Light. An oil lantern or electric lights attached to the left side of the vehicle that displays a red light toward the rear of the vehicle and a white light toward the front of the vehicle; and [PL 2019, c. 170, §2 (NEW).]

2. Reflective tape. Grade DOT-C2 white reflective tape as described in 49 Code of Federal Regulations, Section 571.108, in effect on March 26, 2019, applied to the vehicle as follows:

A. Seventy-two inches of reflective tape applied in segments that outline the rear frame of the vehicle; [PL 2019, c. 170, §2 (NEW).]

B. Thirty-six inches of reflective tape on each side of the vehicle, applied in segments that outline the frame on each side with at least 2 segments applied to the upper borders; and [PL 2019, c.

170, §2 (NEW).]

C. Forty-two inches of reflective tape applied in segments that outline the front frame of the vehicle. [PL 2019, c. 170, §2 (NEW).] [PL 2019, c. 170, §2 (NEW).]

PL 2019, c. 170, §2 (NEW). §1910. Rules governing lights on vehicles The Chief of the State Police may adopt rules governing the adjustment, use and operation of lights on vehicles. §1911. Hydraulic brake fluid 1. Definition. "Hydraulic brake fluid" means the liquid medium through which force is transmitted to the brakes in the hydraulic brake system of a vehicle.

2. Requirement. Hydraulic brake fluid must be distributed and serviced with due regard for the safety of the occupants of the vehicle and the public.

3. Rules. The Commissioner of Public Safety may adopt rules establishing standards and specifications for hydraulic brake fluid that must correlate with and, so far as practicable, conform to current standards and specifications of the Society of Automotive Engineers applicable to the fluid.

4. Prohibition. A person may not distribute, have for sale, offer for sale, sell or service a vehicle with hydraulic brake fluid unless that fluid complies with the requirements of this section. §1912. Mufflers 1. Muffler required. A person may not operate a motor vehicle unless that vehicle is equipped with an adequate muffler properly maintained to prevent excessive or unusual noise. For purposes of this subsection, "excessive or unusual noise" includes motor noise emitted by a motor vehicle that is noticeably louder than similar vehicles in the environment. [PL 2009, c. 639, §1 (AMD).]

5. Cutouts prohibited. A muffler or exhaust system may not be equipped with a cutout, bypass or similar device. [PL 201S, c. 206, §8 (AMD).]

6. Amplification prohibited. A person may not operate a motor vehicle with an exhaust system that has been modified when the result of that modification is the amplification or increase of noise emitted by the motor above that emitted by the muffler originally installed on the vehicle. [PL 2009, c. 639, §2 (AMD).]

7. Exhaust system fastened to engine. The entire exhaust system must be complete, without leakage and securely fastened to the engine block and frame.

S. Exception; racing meets. [PL 201S, c. 206, §9 (RP).]

6. Defense for noise violations by motor vehicles. The following are defenses to a violation of subsection 1 or 3.

A. If a muffler or exhaust system of a motor vehicle as defined in section 101, subsection 42, not including a motorcycle, does not emit noise in excess of 9S decibels as measured in accordance with standards and specifications outlined in standard J-1169 adopted by the Society of Automotive Engineers in May 1998, subsections 1 and 3 do not apply. A person served with a Violation Summons and Complaint charging a violation of subsection 1or3 must provide satisfactory evidence that the muffler or exhaust system does not emit noise in excess of 95 decibels as measured in accordance with standards and specifications outlined in standard J-1169 adopted by the Society of Automotive Engineers in May 1998. Measurements must be made by a participating certified inspection station. [PL 2011, c. 1S8, §1 (NEW).]

B. [PL 2013, c. 100, §1 (RP).] [PL 2013, c. 100, §1 (AMD).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 2003, c. 140, §1 (AMD). PL 2003, c. 452, §Q23 (AMD). PL 2003, c. 4S2, §X2 (AFF). PL 2005, c. 314, §11 (AMD). PL 2009, c. 639, §§1, 2 (AMD). PL 2011, c. 1S8, §1 (AMD). PL 2013, c. 100, §1 (AMD). PL 201S, c. 206, §§8, 9 (AMD). §1913. Mirrors 1. Mirrors required. A person may not operate on a public way a vehicle so constructed, equipped, loaded or used that the operator is prevented from having a constantly free and unobstructed view of the way immediately to the rear, unless there is attached a mirror or reflector placed and adjusted to afford the operator a clear, reflected view of the highway to the rear of the vehicle for a distance of at least 200 feet.

2. Temporary mirrors. When a vehicle is operated without a trailer or semitrailer, temporary outside rearview mirrors must be removed or otherwise adjusted so as not to extend beyond the width of the automobile.

3. Motorcycles. A motorcycle must be equipped with a rear view mirror mounted and adjusted to afford the operator a clear, reflected view of the highway in the rear for a distance of at least 200 feet. [PL 200S, c. S77, §26 (AMD).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 200S, c. S77, §26 (AMD). §1914. Safety seat belts 1. Safety seat belts required. A person may not buy, sell, lease, trade or transfer from or to a resident at retail a model year 1966 or later motor vehicle, unless that vehicle is equipped with safety seat belts installed for use in the left and right front seats. §1915. Windows 1. Safety glass. A motor vehicle must be equipped with safety glass wherever glass is used in partitions, doors, windows or windshields.

"Safety glass" means a product composed of glass or of other materials, manufactured, fabricated or treated to prevent shattering and flying of broken glass.

The Commissioner of Public Safety may maintain a list of the approved types of glass.

Replacements of glass partitions, doors, windows or windshields must be made with safety glass.

2. Window repairs. When a window, other than the windshield, is broken, the operator may repair the window by temporarily replacing it with an opaque substance until there is a reasonable opportunity for replacement. §1916. Reflective and tinted glass 1. Windows to be unobscured. A person may not operate a motor vehicle required to be registered in this State and an inspection mechanic may not issue a certificate of inspection for a motor vehicle, if:

A. A window is composed of, covered by or treated with any material that is reflective; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

B. The front windshield is composed of, covered by or treated with a material that reduces the light transmittance through the window more than the original installation window or an original replacement window; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

C. A side window or rear window is composed of, covered by or treated with a material that allows a light transmittance of less than 35% net of glass and material; or [PL 2007, c. 186, §1 (AMD).]

D. A front windshield, front door window or window at either end of a rear passenger seat does not contain 2-way glass that provides the occupants with a clear view of the road and a person outside the vehicle with a clear view of the occupants and the interior of the vehicle. [PL 1993, c. [PL 2007, c. 186, §1 (AMD).]

2. Exceptions. The following exceptions apply.

A. The provisions of subsection 1 do not apply to:

(1) A certificate or other paper required or allowed by law to be displayed;

(2) The label attached to a window showing the price, estimated mileage and other federally mandated information commonly known as the manufacturer's suggested retail price label;

(3) Sun-screening or window-tinting material above the AS-1 line in the top portion of the windshield or, ifthere is no AS-1 line in the top portion of the windshield, along a 5-inch strip at the top of the windshield. For purposes of this paragraph, "AS-1 line" means the marking that includes the letters "AS," the number "1" and an arrow that is required to be placed on certain safety glazing materials pursuant to 49 Code of Federal Regulations, Section 571.205 (2006);

(4) Motor vehicles for which the Chiefof the State Police has granted an exception because the health of the owner or a person who usually occupies the vehicle is adversely affected by sunlight. The Chief of the State Police may, upon proper application, provide the owner of a motor vehicle with a certificate of exemption that must be displayed upon the request of a law enforcement officer. [PL 2007, c. 186, §2 (AMO).]

B. The provisions of subsection 1, paragraphs C and D do not apply to side windows behind the operator's seat or the rear window of a motor vehicle, as long as the vehicle is equipped with 2 outside rear view mirrors, one on each side, adjusted so that the operator has a clear view of the highway behind the vehicle. [PL 2009, c. 251, §6 (AMO).]

C. [PL 2007, c. 348, §15 (RP).] [PL 2009, c. 251, §6 (AMD).] 2-A. Definition. [PL 2009, c. 251, §7 (RP).]

3. Light transmittance certificate. The owner or operator of a motor vehicle with tinted windows that are not replaced in accordance with Federal Motor Vehicle Safety Standard 205 or windows covered by or treated with tinting material must acquire a light transmittance certificate and must show the certificate to the inspection mechanic at the time of inspection.

The Chief of the State Police may authorize a person to examine window glazing and tint material to determine compliance with this subsection. A person authorized under this subsection may issue a for a motor vehicle that complies with the light transmittance standards.

Upon request, the Bureau of State Police shall provide light transmittance certificates to a person authorized to issue a certificate under this subsection. Light transmittance certificates provided by the of State Police in accordance with this subsection remain the property of the State.

A person authorized to issue a certificate under this subsection who is adjudicated of a violation of this

section or files an answer of "not contested" to a summons for a violation of this section shall return all unissued light transmittance certificates to the Bureau of State Police within 10 days of adjudication or of filing the answer. The Bureau of State Police may not provide that person with light transmittance certificates for a period of 6 months after the date of adjudication or filing an answer of "not contested." [PL 2007, c. 348, §16 (AMO).]

4. Violations. A person may not:

A. Install a replacement window in or window-tinting material on a motor vehicle that does not meet the standards of subsections 1 and 2; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c.

B. Fail to issue a certificate as required by subsection 3, after installing for compensation a tinted replacement window or window-tinting material; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

C. Alter the window-tinting materials after a certificate has been issued pursuant to subsection 3 and then display the certificate as proof that the windows meet the standards of subsection 1 or 2;

D. Display or permit to be displayed a light transmittance certificate, knowing the certificate to be fictitious or issued to another motor vehicle or issued without the motor vehicle meeting the standards of subsection 1 or 2; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 E. Knowingly cause a light transmittance certificate to be issued for a motor vehicle that does not meet the standards of subsection 1 or 2; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

F. Operate or cause the operation of a motor vehicle that does not meet the requirements of this

section; or [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

G. Fail to return all unissued light transmittance certificates to the Bureau of State Police in accordance with subsection 3. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §S 5. Presumption. If the operator of a motor vehicle with a tinted replacement window or windowtinting material installed fails to produce a certificate as required by subsection 3 on the request of a law enforcement officer, it is presumed that the motor vehicle does not meet the requirements of this

section.

6. Penalty. A person who is adjudicated of a violation of this section commits a traffic infraction that must be punished by a forfeiture of not less than $100.

7. Rules. The Chief of the State Police may adopt rules to implement and administer this section to collect reasonable fees for that administration.

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 1997, c. 129, §§1,2 (AMD). PL 1999, c. 183, §6 (AMD). PL 2007, c. 186, §§1, 2 (AMD). PL 2007, c. 348, §§15, 16 (AMD). PL 2009, c. 251, §§6, 7 (AMD). §1917. Tires and wheels 1. Definitions. As used in this section, unless the context otherwise indicates, the following terms have the following meanings.

A. "Tread depth" means the amount of tread design on the tire. "Tread depth" includes original, retread and recap tread design and, in respect to a special mileage commercial tire, recut, regrooved and siped tread design.

Generated 12.05.2019 Title 29-A. MOTOR VEHICLES AND TRAFFIC I 275 B. "Special mileage commercial tire" means a tire manufactured with an extra layer of rubber between the cord body and original tread design, which extra layer is designed for the purpose of recutting or regrooving, and which tire is specifically labelled as a "special mileage commercial tire." [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

2. Safe tires required. A motor vehicle may not be operated on a public way unless it is equipped with tires in safe operating condition. A tire mounted on a motor vehicle is not considered to be in safe operating condition unless it meets the visual and tread depth requirements set forth in subsections 3 and 4 and the vehicle is in compliance with the frame height requirements provided in section 1920. [PL 2013, c. 30, §1 (AMO).]

3. Visual requirements. A tire is not in safe operating condition if that tire has:

A. A fabric break or a cut in excess of one inch in any direction as measured on the outside of the tire and deep enough to reach the body cords; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c.

B. A temporary repair by the use of blowout patches or boots; [PL 1993, c. 683, Pt. A, §2 C. A bump, bulge or knot related to separation or partial failure of the tire structure; [PL 1993, c.

D. A portion of the ply or cord structure exposed; or [PL 1993, c. 683, Pt. A, §2 (NEW); PL E. Sidewalls damaged to the extent that the body cords are damaged. [PL 1993, c. 683, Pt. A, 4. Tread depth. A tire is not in safe operating condition if it is worn to the point where less than 2/32 inch of tread design remains at all points at which gauge readings are required. Tread depth must be measured as follows.

A. Tire tread depth must be measured by a tread depth gauge that is calibrated in 1/32 inch. [PL B. Readings must be taken in all major tread grooves and must include at least 2 points not closer than 15 inches. [PL 2007, c. 348, §17 (AMO).]

C. Readings for a tire that has the tread design running across the tire or for a siped tire must be taken at or near the center of the tire at 2 points of the circumference not closer than 15 inches. [PL [PL 2007, c. 348, §17 (AMO).]

5. Exemptions. A farm vehicle used exclusively for agricultural purposes, including, but not limited to, a self-propelled combine, self-propelled corn and hay harvesting machine or tractor used exclusively for agricultural purposes, is exempt from this section.

6. Wheels. [PL 2009, c. 251, §9 (RP).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 2003, c. 146, §1 (AMO). PL 2005, c. 66, §1 (AMO). PL 2007, c. 348, §17 (AMO). PL 2009, c. 251, §§8, 9 (AMO). PL 2013, c. 30, §1 (AMO). §1918. Regrooved tires A person commits a traffic infraction if that person distributes, has for sale, offers for sale, sells or uses on a motor vehicle a pneumatic tire that has been regrooved below the original tread depth, unless that tire was originally manufactured with extra undertread material. [PL 1999, c. 771, Pt. C, §13 (AMD); PL 1999, c. 771, Pt. D, §§1, 2 (AFF).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 1999, c. 771, §C13 (AMD). PL 1999, c. 771, §§D1,2 (AFF). §1919. Studded tires 1. Prohibited May 1st to October 1st. Except as provided in subsections 2 and 3, from the first day of May to the first day of October, a person may not operate a vehicle with tires having metal studs, wires, spikes or other metal protruding from the tire tread. Pneumatic tires that feature embedded blocks, studs, flanges, cleats, spikes or other protuberances that are retractable may be used any time of the year, except that the protuberances may not be engaged or extended from the first day of May to the first day of October. [PL 2007, c. S2S, §1 (AMD).J 2. Extension of use period and issuance of permit. Extended use of studded tires may be permitted according to this subsection.

A. A person may use studded tires for periods other than those specified in subsection 1, if the Commissioner of Transportation extends the use period or, in a special case, issues a permit covering stated periods of time for the use of studded tires. The fee for a permit may not be less than $3 and not more than $1S, as determined by the commissioner. [PL 2003, c. 4S2, Pt. Q, §24 (NEW); PL 2003, c. 4S2, Pt. X, §2 (AFF).]

B. A person issued a permit under paragraph A must carry the permit in an easily accessible place in or about the vehicle. [PL 2003, c. 4S2, Pt. Q, §24 (NEW); PL 2003, c. 4S2, Pt. X, §2 [PL 2003, c. 4S2, Pt. Q, §24 (NEW); PL 2003, c. 4S2, Pt. X, §2 (AFF).]

3. Application. Subsection 1 does not apply to fire department vehicles or school buses. [PL 2019, c. 31, §1 (AMD).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 2003, c. 4S2, §024 (RPR). PL 2003, c. 4S2, §X2 (AFF). PL 2007, c. S2S, §1 (AMD). PL 2019, c. 31, §1 (AMD). §1920. Vehicle frame height 1. Minimum and maximum frame end heights. A motor vehicle may not be operated on a public way or receive a certificate of inspection with a frame end height of less than 10 inches or with the frame end height lower than the vehicle was originally manufactured if originally manufactured to be less than 10 inches. A motor vehicle may not be operated on a public way or receive a certificate of inspection with a maximum frame end height based on the manufacturer's gross vehicle weight rating that is greater than:

A. [PL 200S, c. 276, §2 (RP).]

B. For a vehicle of 4,SOO pounds and less, 24 inches in the front and 26 inches in the rear; [PL C. For a vehicle of 4,S01 pounds to 7,SOO pounds, 28 inches in the front and 30 inches in the rear; [PL 2019, c. 335, §2 (AMD).]

D. For a vehicle of 7,501 pounds to 10,000 pounds, 30 inches in the front and 32 inches in the rear; [PL 2019, c. 335, §2 (AMD).]

E. For a vehicle of 10,001 pounds to 11,500 pounds, 31 inches in the front and 33 inches in the rear; and [PL 2019, c. 335, §3 (AMD).]

F. For a vehicle of 11,501 pounds to 13,000 pounds, 32 inches in the front and 34 inches in the rear. [PL 2019, c. 335, §4 (NEW).]

Measurements must be taken from a level surface to the bottom of the frame end. For the purposes of this subsection, "frame end" means the point at which the frame rail terminates at the bumper assembly. [PL 2019, c. 335, §§2-4 (AMD).]

2. Modifications. A vehicle may not be modified to cause, under normal operation, the vehicle body or chassis to come into contact with the ground, expose the fuel tank to damage from collision or cause the wheels to come in contact with the body. The suspension and tire sizes of a vehicle may be modified pursuant to this chapter and rules established by the Chief of the State Police. [PL 2005, c. 276, §2 (AMD).]

3. Suspension. Except as provided in this subsection or in subsection 2, an original suspension system may not be disconnected. This section does not prohibit the installation of heavy duty equipment, including shock absorbers and overload springs, or prohibit a person from operating on a public way a motor vehicle with normal wear of the suspension system if normal wear does not affect control [PL 2005, c. 276, §2 (AMD).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 2003, c. 144, §1 (AMD). PL 2005, c. 276, §2 (AMD). PL 2013, c. 30, §2 (AMD). PL 2019, c. 335, §§2-4 (AMD). §1921. Viewing of visual content restricted in vehicles A person may not operate a motor vehicle in which there is a television viewer, screen or other video device, other than an allowable device, that is receiving or showing video content visible to the operator. For the purposes of this section, "video content" includes, but is not limited to, television broadcasts, recorded video and video streamed through electronic or other means. For purposes of this

section, "allowable device" means: [PL 2015, c. 176, §3 (AMD).]

1. Global positioning, navigation or mapping system. A device displaying video content for the

purpose of a global positioning, navigation or mapping system;

2. Closed-circuit video monitor. A closed-circuit video monitor that is used to assist the operator while backing up or parking;

3. Device when vehicle is stationary. A device that is capable of operation only when the vehicle is stationary and is automatically disabled whenever the wheels of the vehicle are in motion;

4. Device to enhance operator's view. A device that is used to enhance or supplement the operator's view of the roadway or to assist the operator in object detection; and S. Part of vehicle's instrumentation. A video display unit that is part of the vehicle's instrumentation or is used for the purpose of vehicle control.

This section does not apply to the use of a video device in the performance of official duties by a law enforcement officer or the operator of an authorized emergency vehicle, as defined in section 20S4.

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 199S, c. S84, §B7 (AMO). PL 201S, c. 176, §3 (AMD). §1922. Advertisements on motor vehicles 1. Prohibition. Except as provided in this section, an owner or operator may not operate on a public way a motor vehicle to which is affixed an illuminated advertisement.

2. Display rules. For purposes of vehicle identification, in addition to the provisions of section 19Sl, a motor truck, truck tractor or semitrailer may display an illuminated sign in accordance with rules adopted by the Commissioner of Public Safety according to the Maine Administrative Procedure Act.

3. Standards. Among other standards determined by the Commissioner of Public Safety to be necessary to protect the welfare and safety of the general public, an illuminated sign:

A. Must bear the name of the owner of the vehicle, the lessee of the vehicle or the person for which the operator is transporting property or goods; and [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §S (AFF).]

B. May identify the cargo in transit. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt.

B, §S (AFF).]

4. Location of sign. An illuminated sign may only be displayed as follows:

A. On truck tractors, on the wind deflector on the roof of the truck tractor; [PL 1993, c. 683, Pt.

B. On a semitrailer, on the front portion of the semitrailer; and [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §S (AFF).]

C. On a truck, on the front portion of the storage compartment above and behind the cab. [PL S. Lights prohibited. An illuminated sign may not be lighted by a flashing, blinking or neon light.

6. Form, size and light of sign. An illuminated sign must be in a form, size and light so as not to distract or impair the vision of the operator of another motor vehicle.

7. Exception. This section does not apply to the illuminated name and telephone number identification affixed to vehicles for the conveyance of passengers. §1923. Reading while operating a motor vehicle prohibited An operator may not read printed material including but not limited to, a newspaper, book, brochure or pamphlet, while operating a motor vehicle. Printed material does not include a map or written directions to a specific location. [PL 1999, c. 183, §7 (NEW).]

PL 1999, c. 183, §7 (NEW). §1924. Chains on skidders Chains attached to the tires or wheels of a skidder must be removed prior to operation on a paved way. [PL 1999, c. 183, §7 (NEW).]

PL 1999, c. 183, §7 (NEW). §1925. Equipment requirements for low-speed vehicles 1. Equipment required. A low-speed vehicle registered pursuant to section 501, subsection 11 be equipped with:

A. Brakes for each wheel; [PL 2003, c. 397, §9 (NEW).]

B. Headlights that comply with section 1904; [PL 2003, c. 397, §9 (NEW).]

C. An odometer; [PL 2003, c. 397, §9 (NEW).]

D. One exterior rearview mirror; [PL 2003, c. 397, §9 (NEW).]

E. One interior rearview mirror; [PL 2003, c. 397, §9 (NEW).]

F. A parking brake; [PL 2003, c. 397, §9 (NEW).]

G. Rear reflectors; [PL 2003, c. 397, §9 (NEW).]

H. A safety glass windshield; [PL 2003, c. 397, §9 (NEW).]

I. A speedometer; [PL 2003, c. 397, §9 (NEW).]

J. Stop lamps; [PL 2003, c. 397, §9 (NEW).]

K. Rear lights that comply with section 1905; [PL 2003, c. 397, §9 (NEW).]

L. Seat belts and child restraint systems that comply with section 2081; [PL 2003, c. 397, §9 M. Turn signal lamps;

N. Windshield wipers; and [PL 2003, c. 397, §9 (NEW).]

0. A vehicle identification number. [PL 2003, c. 397, §9 (NEW).]

1. Working condition. Equipment required in subsection 1 must be in good working condition.

RR 2003, c. 1, §29 (RAL). PL 2003, c. 340, §4 (NEW). PL 2003, c. 397, §9 (NEW). §1926. Nitrous oxide system (REALLOCATED FROM TITLE 29-A, SECTION 1925)

1. Definitions. As used in this section, unless the context otherwise indicates, the following terms have the following meanings.

A. "Fill station" means a place that refills nitrous oxide bottles. [PL 2005, c. 31, §1 (NEW).]

B. "Nitrous oxide system" means a device installed in a motor vehicle that allows nitrous oxide to combine with gasoline for the purpose of increasing engine power. [PL 2005, c. 31, §1 (NEW).] [PL 2005, c. 31, §1 (RPR).]

2. Use prohibited. Except as provided in subsection 3, a person may not operate a motor vehicle that is equipped with a nitrous oxide system on a public way. [RR 2003, c. 1, §29 (RAL).]

3. Exceptions. A person may operate a motor vehicle equipped with a nitrous oxide system on a public way if:

A. All canisters of nitrous oxide have been removed from the vehicle; or [RR 2003, c. 1, §29 (RAL).]

B. The motor vehicle is en route to or from a track where the motor vehicle is used for racing, a car show, an off-highway competition or event or a fill station and:

(1) The nitrous oxide system is made inoperative by disconnecting the line feeding nitrous oxide to the engine; or (2) All containers of nitrous oxide have been removed from the motor vehicle. [PL 2005, c.

31, §2 (AMD).] [PL 2005, c. 31, §2 (AMO).]

RR 2003, c. 1, §29 (RAL). PL 2005, c. 31, §§1,2 (AMO).

SUBCHAPTER 2

TRUCKS §1951. Name of owner or lessee displayed truck tractor owner or operator shall display on both sides of the truck tractor the name of the owner or lessee in letters that meet the standards set forth in 49 Code of Federal Regulations, Section 390.21T, as amended. [PL 2017, c. 165, §7 (AMO).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 2017, c. 165, §7 (AMO). §1952. Flares; emergency signals 1. Carry flares. Except as provided in subsection 1-A, a truck or truck tractor with a registration for operation with gross vehicle weight in excess of 10,000 pounds must be equipped with 2 red flags, 3 flares and 3 red lanterns or red emergency reflectors. [PL 2003, c. 452, Pt. 0, §25 {AMO); PL 2003, c. 452, Pt. X, §2 (AFF).] 1-A. Flares prohibited. A vehicle transporting inflammable liquids or gas in bulk may not carry flares. [PL 2003, c. 452, Pt. 0, §26 (NEW); PL 2003, c. 452, Pt. X, §2 (AFF).]

2. Disabled vehicle. When a truck or truck tractor with a registration for operation with gross weight in excess of 10,000 pounds is disabled on a public way, the operator shall, during the time that lights are required to be illuminated, place emergency signals as follows:

A. One flare or lantern or red emergency reflector in the center of the lane of traffic occupied by the disabled motor vehicle not less than 100 feet from the vehicle in the direction of traffic approaching in that lane; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 B. One flare or lantern or red emergency reflector not less than 100 feet from the vehicle in the center of the same lane in the opposite direction; and [PL 1993, c. 683, Pt. A, §2 (NEW); PL C. One flare or lantern or red emergency reflector at the traffic side of the vehicle not closer than 10 feet from the front or rear. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 When lights are not required to be illuminated, red flags must be used, except that no flag is required to be placed at the side of the vehicle.

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 2003, c. 452, §§Q25,26 (AMO).

PL 2003, c. 452, §X2 (AFF). §1953. Splash guards 1. Required. A truck, truck tractor, trailer and semitrailer must be equipped with suitable guards that will effectively reduce the spray or splash of mud, water or slush caused by the rear wheels.

2. Exception. Splash guards are not required for:

A. A truck with a registered gross vehicle weight of 6,000 pounds or less; [PL 1995, c. 584, Pt.

A, §3 (AMO).]

B. A dump truck:

(1) While being operated on construction or reconstruction projects in a construction area established by the Department of Transportation; and On a public way between the project and a pit or quarry where materials are being obtained when the pit or quarry is within 7 miles of the construction area; [PL 1993, c. 683, Pt. A, §2 C. [PL 2017, c. 165, §8 (RP).]

D. A fire department vehicle; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §S E. A motor vehicle equipped with fenders; or [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c.

F. A truck with a stake body that extends not less than 6 feet beyond the rear axle and that is registered under section 505. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 [PL 2017, c. 165, §8 (AMD).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 1995, c. 584, §A3 (AMO). PL 2017, c. 165, §8 (AMD). §1954. Dump body support 1. Equipment. A truck with a dump body must be equipped with a positive means of support, permanently attached and capable of being locked in position to prevent lowering of the body while being maintained, inspected or repaired or while the truck is unattended.

2. Required. A truck dump body must be either fully lowered, locked by means of equipment required in subsection 1 or physically blocked from lowering while being maintained, inspected or repaired or while the truck is unattended.

3. Penalty. A person who violates this section commits a Class E crime.

PL 2003, c. 340, §5 (NEW).

SUBCHAPTER 3

MOTOR

VEHICLE EVENT DATA RECORDERS §1971. Definitions As used in this subchapter, unless the context otherwise indicates, the following terms have the following meanings. [PL 2005, c. 544, §1 (NEW).]

1. Event data recorder. "Event data recorder" means a feature that is installed by the manufacturer of a motor vehicle and does one or more of the following for the purpose of capturing data for retrieval after a crash:

A. Records vehicle speed, direction or both; [PL 2005, c. 544, §1 (NEW).]

B. Records vehicle location data; [PL 2005, c. 544, §1 (NEW).]

C. Records vehicle steering performance; [PL 2005, c. 544, §1 (NEW).]

D. Records vehicle brake performance, including whether brakes were applied before the crash;

E. Records the driver's seatbelt status; and [PL 2005, c. 544, §1 (NEW).]

F. Has the ability to transmit information concerning a crash in which the motor vehicle has been involved to a central communication system when a crash occurs. [PL 2005, c. 544, §1 (NEW).]

2. Owner. 0wner means:

A. A person having all the incidents of ownership, including the legal title of the motor vehicle, whether or not the person lends, rents or creates a security interest in the motor vehicle; [PL 2005, c. 544, §1 (NEW).]

B. A person entitled to the possession of the motor vehicle as the purchaser under a security agreement; or [PL 2005, c. 544, §1 (NEW).]

C. A person entitled to possession of the motor vehicle as lessee pursuant to a written lease agreement, as long as the agreement at inception is for a period of at least 3 months. [PL 2005, c.

544, §1 (NEW).]

SECTION HI STORY

PL 2005, c. 544, §1 (NEW). §1972. Ownership and access to data 1. Ownership; access. Data described in section 1971, subsection 1 that are recorded on an event data recorder may not be downloaded or otherwise retrieved by a person other than the owner of the motor vehicle at the time the data are accessed, except under the following circumstances:

A. The owner of the motor vehicle or the owner's agent or legal representative consents to the retrieval of the information; [PL 2005, c. 544, §1 (NEW).]

B. A court of competent jurisdiction in this State orders the production of the data; [PL 2005, c.

544, §1 (NEW).]

C. For purposes of improving motor vehicle safety, security or traffic management, including medical research on the human body's reaction to motor vehicle crashes, as long as the identity of the owner or driver is not disclosed in connection with that retrieved data. For the purposes of this paragraph, the disclosure of the vehicle identification number with the last 4 digits deleted does not constitute the disclosure of the identity of the owner or driver; [PL 2005, c. 544, §1 (NEW).]

D. The data are retrieved by a licensed motor vehicle dealer or by an automotive technician for the

purpose of diagnosing, servicing or repairing the motor vehicle; [PL 2005, c. 544, §1 (NEW).]

E. The data are retrieved for the purpose of determining the need for or facilitating emergency medical response in the event of a motor vehicle crash; [PL 2005, c. 544, §1 (NEW).]

F. The data are retrieved by a law enforcement officer acting pursuant to authority recognized under applicable statutory or constitutional law; or [PL 2005, c. 544, §1 (NEW).]

G. The data are requested as part of routine civil or criminal discovery. [PL 2005, c. 544, §1 [PL 2007, c. 695, Pt. A, §34 (AMD).]

2. Release of data prohibited; exceptions. A person, including a service or data processor operating on behalf of such person, authorized to download or otherwise retrieve data from the event data recorder pursuant to subsection 1, paragraph C may not release the data except:

A. For the purpose of motor vehicle safety and medical research communities to advance motor vehicle safety, security or traffic management; or [PL 2005, c. 544, §1 (NEW).]

B. To a data processor solely for the purposes permitted by this subsection only if the identity of the owner or driver is not disclosed. [PL 2005, c. 544, §1 (NEW).]

3. Disclosure by subscription services. If a motor vehicle is equipped with an event data recorder that is capable of recording or transmitting information described in section 1971, subsection 1 and that capability is part of a subscription service, the fact that the information may be recorded or transmitted must be disclosed in the subscription service agreement.

4. Application concerning subscription services. Subsection 1 does not apply to subscription services meeting the requirements of subsection 3.

5. Duty to cooperate. Nothing in this subchapter affects an insured's duty to cooperate as provided in an applicable insurance contract or agreement.

PL 2005, c. 544, §1 (NEW). PL 2007, c. 695, Pt. A, §34 (AMD). §1973. Disclosure by manufacturer A manufacturer of a new motor vehicle sold or leased in this State that is equipped with one or more event data recorders, including those known as "sensing and diagnostic modules," shall disclose that fact in the owner's manual for the motor vehicle. [PL 2005, c. 544, §1 (NEW).]

PL 2005, c. 544, §1 (NEW). §2054. Emergency and auxiliary lights; sirens; privileges 1. Definitions. As used in this section, unless the context otherwise indicates, the following terms have the following meanings.

A. "Ambulance" means any vehicle designed, constructed and routinely used or intended to be used for the transportation of ill or injured persons and licensed by Maine Emergency Medical Services pursuant to Title 32, chapter 2-B. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c.

B. "Authorized emergency vehicle" means any one of the following vehicles:

An ambulance;

(2) A Baxter State Park Authority vehicle operated by a Baxter State Park ranger;

(3) A Bureau of Marine Patrol vehicle operated by a coastal warden;

(4) A Department of Agriculture, Conservation and Forestry vehicle operated by a forest ranger;

(5) A Department of Agriculture, Conservation and Forestry vehicle used for forest fire control;

(6) A Department of Corrections vehicle used for responding to the escape of or performing the high-security transfer of a prisoner, juvenile client or juvenile detainee or a Department of Corrections vehicle operated by a person who is certified by the Board of Trustees of the Maine Criminal Justice Academy as a law enforcement officer;

(7) A Department of Inland Fisheries and Wildlife vehicle operated by a warden;

(8) A Department of Public Safety vehicle operated by a police officer appointed pursuant to Title 25, section 2908, a state fire investigator or a Maine Drug Enforcement Agency officer;

(9)

An emergency medical service vehicle;

(10) A fire department vehicle;

(11) A hazardous material response vehicle, including a vehicle designed to respond to a weapon of mass destruction;

(12) A railroad police vehicle;

(13) A sheriff's department vehicle;

(14) A State Police or municipal police department vehicle;

(15) A vehicle operated by a chiefof police, a sheriff or a deputy sheriff when authorized by the sheriff;

(16) A vehicle operated by a municipal fire inspector, a municipal fire chief, an assistant or deputy chief or a town forest fire warden;

(17) A vehicle operated by a qualified deputy sheriff or other qualified individual to perform court security-related functions and services as authorized by the State Court Administrator pursuant to Title 4, section 17, subsection 15;

(18) A Federal Government vehicle operated by a federal law enforcement officer;

(19) A vehicle operated by a municipal rescue chief, deputy chief or assistant chief;

(20)

An Office of the Attorney General vehicle operated by a detective appointed pursuant to Title 5, section 202;

(21) A Department of the Secretary of State vehicle operated by a motor vehicle detective;

(22) A University of Maine System vehicle operated by a University of Maine System police officer; and (23) A life support transport vehicle when parked on a Department ofTransportation ferry vessel and being used to transport a person who requires constant medical support to survive. [PL 2019, c. 319, §1 (AMO); PL 2019, c. 397, §25 (AMO).]

C. "Auxiliary light" means a light, other than standard equipment lighting such as headlights, taillights, directional signals, brake lights, clearance lights, parking lights and license plate lights, that is displayed on a vehicle and used to increase the operator's visibility of the road or the visibility of the vehicle to other operators and pedestrians. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

D. "Emergency light" means an auxiliary light displayed and used on an authorized emergency to distinguish it and make it recognizable as an authorized emergency vehicle. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

E. "Emergency medical service vehicle" means a vehicle equipped and used to transport emergency medical personnel or equipment to ill or injured persons and authorized by Maine Emergency Medical Services. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 E-1. "Fire department vehicle" means a vehicle owned by, registered to and maintained by a governmental agency or political subdivision that is equipped and used primarily for response to a fire or emergency situation. [PL 2007, c. 348, §19 (NEW).]

F. "Fire vehicle" means any vehicle listed under paragraph B, subparagraph (5) or (16). [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

G. "Hazardous material response vehicle" means a vehicle equipped for and used in response to reports of emergencies resulting from actual or potential releases, spills or leaks of, or other exposure to, hazardous substances that is authorized by a mutual aid agreement pursuant to Title 37-B, section 795, subsection 3 and approved by the local emergency planning committee or committees whose jurisdiction includes the area in which the vehicle operates. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

H. "Highway maintenance vehicle" means a vehicle used to maintain the highways, including, but not limited to, a plow, grader, sand truck, sweeper and tar truck. [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

H-1. "Life support transport vehicle" means a vehicle designated by the Commissioner of Public Safety that is equipped with life-sustaining medical equipment and that is used to transport a person who requires constant medical support to survive. [PL 2019, c. 397, §26 (NEW).]

I. "Police vehicle" means any vehicle listed under paragraph B, subparagraph (2), (3), (4), (7), (8), (12), (13), (14), (18), (20) or (21). [PL 2019, c. 397, §27 (AMD).] 1-1. "Public service vehicle" means a vehicle used to assist members of the public or law enforcement officers with disabled vehicles or to remove debris from a roadway, or a vehicle used to construct, maintain, inspect or repair utility infrastructure, including, but not limited to, electricity, water, sewer, cable, telephone, gas and natural gas infrastructure. "Public service vehicle" includes a wrecker. [PL 2015, c. 32, §1 (NEW).]

J. "Rescue vehicle" means any vehicle listed under paragraph B, subparagraph (19). [PL 2005, c.

14, §2 (NEW).] [PL 2019, c. 319, §1 (AMD); PL 2019, c. 397, §§25-27 (AMD).]

2. Authorized lights. Authorized lights are governed as follows.

A. Only an ambulance; an emergency medical service vehicle; a fire department vehicle; a police vehicle; a Department of Agriculture, Conservation and Forestry vehicle used for forest fire control; a Department of Corrections vehicle as described in subsection 1, paragraph B, subparagraph (6); a school bus as defined in section 2301, subsection 5; and a highway maintenance vehicle may be with a device that provides for alternate flashing of the vehicle's headlights. [PL 2017, c. 26, §1 (AMD).]

B. Only a police vehicle may be equipped with a device that provides for alternate flashing of the vehicle's brake or rear directional lights and back-up lights or strobe lights behind the rear brake lenses. [PL 1995, c. 247, §4 (AMD).]

C. The use of amber, white and green lights on vehicles is governed by the following.

(1) A vehicle engaged in highway maintenance or in emergency rescue operations by emergency management and public safety agencies and a public service vehicle may be equipped with auxiliary lights that emit an amber light.

(1-A) A Department of Labor motor vehicle operated by a workplace safety inspector may be with auxiliary lights that emit an amber light.

(1-B) A municipal public works vehicle or a vehicle operating under direction of the Department of Transportation or the Maine Turnpike Authority may be equipped with auxiliary lights that are green, white or amber or any combination of green, white or amber. Lights under this subparagraph may be located on the front, rear or sides of the vehicle and may flash, oscillate, strobe or blink.

(2) A wrecker must be equipped with a flashing light mounted on top of the vehicle in such a manner as to emit an amber light over a 360-degree angle. The light must be in use on a public way or a place where public traffic may reasonably be anticipated when servicing, freeing, loading, unloading or towing a vehicle.

(3) A vehicle engaged in snow removal or sanding operations on a public way must be with and display an auxiliary light that provides visible light coverage over a 360degree range.

The light must emit an amber beam of light and be equipped with a blinking or strobe light function and have sufficient intensity to be visible at 500 feet in normal daylight.

When the left wing of a plow is in operation and extends over the center of the road, an auxiliary light must show the extreme end of the left wing. That light may be attached to the vehicle so that the beam of light points at the left wing. The light illuminating the left wing may be controlled by a separate switch or by the regular lighting system and must be in operation at all times when the vehicle is used for plowing snow on public ways.

(4) A vehicle equipped and used for plowing snow on other than public ways may be equipped with an auxiliary rotary flashing light that must be mounted on top of the vehicle in such a manner as to emit an amber beam of light over a 360-degree angle, or an amber strobe, or combination of strobes, that emits at a minimum a beam of 50 candlepower and provides visible light coverage over a 360-degree range. The light may be in use on a public way only when is entering the public way in the course of plowing private driveways and other offhighway locations.

(5) A rural mail vehicle may be equipped with auxiliary lights.

(a) The lights used to the front must be white or amber, or any shade between white and amber.

(b) The lights used to the rear must be amber or red, or any shade between amber and red.

(c) The lights, whether used to the front or rear, must be mounted at the same level and as widely spaced laterally as possible.

The lights, whether used to the front or rear, must flash simultaneously.

(e) The lights must be visible from a distance of at least 500 feet in normal daylight.

(6) A vehicle used or provided by a contract security company to assist in traffic control and direction at construction or maintenance sites on a public way may be equipped with amber auxiliary lights.

(7) A Department of Public Safety vehicle operated by a motor carrier inspector or motor vehicle inspector may be equipped with auxiliary lights that emit an amber light.

(8) A vehicle used by an animal control officer appointed pursuant to Title 7, section 3947 may be equipped with auxiliary lights that emit a flashing amber light.

(9) A refuse, garbage or trash business vehicle used by an individual to transport refuse, garbage and trash may be equipped with auxiliary lights that emit a flashing amber light.

(10) A vehicle used by an individual to transport and deliver newspapers may be equipped with auxiliary lights that emit a flashing amber light. [PL 2019, c. 327, §1 (AMD).]

D. Except as provided in this paragraph, a vehicle may not be equipped with or display a blue light.

(1) Emergency lights used on the following vehicles must emit a blue light or a combination of blue and white light: a police vehicle, except that a police vehicle may also use red emergency lights under paragraph F; a Department of Corrections vehicle as described in subsection 1, paragraph B, subparagraph (6); a vehicle operated by a chief of police, a sheriff or a deputy sheriff; and a vehicle operated by a qualified deputy sheriff or other qualified individual performing court security-related functions and services.

(2) Emergency lights used on an ambulance, an emergency medical service vehicle, a fire department vehicle or a hazardous material response vehicle may include one blue light mounted facing toward the rear of the vehicle so that the light is primarily visible to approaching traffic from the rear only.

(3) The taillight of a vehicle, or replica of a vehicle, manufactured prior to 1952 and registered under section 457, may contain a blue or purple insert of not more than one inch in diameter.

(4) Blue interior auxiliary lighting or dash lighting may be used on any vehicle if no portion of the beam of light is visible at a height of 42 inches above a surface parallel with the level surface on which the vehicle stands at a distance of 20 feet from any part of the vehicle.

(5) A vehicle owned by the Department of Public Safety may be equipped with blue emergency lighting and a siren, but neither the lighting nor the siren may be displayed or used except when is being operated by a law enforcement officer. [PL 2019, c. 335, §5 (AMD).]

E. [PL 2003, c. 340, §7 (RP).]

F. Only vehicles listed in this paragraph, rural mail vehicles as provided in paragraph C, subparagraph (5) and school buses may be equipped with, display or use a red auxiliary or emergency light.

(1) Emergency lights used on an ambulance, an emergency medical service vehicle, a fire department vehicle, a fire vehicle, a rescue vehicle or a hazardous material response vehicle emit a red light or a combination of red and white light.

(2) The municipal officers or a municipal official designated by the municipal officers, with the approval of the fire chief, may authorize an active member of a municipal or volunteer fire department to use one red or combination red and white flashing auxiliary light mounted in the windshield or on the dashboard at the front of the vehicle or 2 flashing red or combination red and white auxiliary lights mounted on the front of the vehicle above the front bumper and below the hood and one red auxiliary light mounted in the rear window area. The light or lights may be displayed but may be used only while the member is en route to or at the scene of a fire or other emergency. A light mounted on the dashboard or in the windshield must be shielded so that the emitted light does not interfere with the operator's vision. The use of lights may be revoked at any time by the fire chief.

(3) Members of an emergency medical service licensed by Maine Emergency Medical Services may display and use on a vehicle red or combination red and white flashing auxiliary lights and red auxiliary lights of the same proportion, in the same location and under the same conditions as those permitted municipal and volunteer firefighters, when authorized by the chief official of the emergency medical service. The use of lights may be revoked at any time by the chief official of the emergency medical service.

(4) A police vehicle may be equipped with, display and use red emergency lights. The red emergency lights may comprise up to 50% of the emergency lights used on the police vehicle. [PL 2017, c. 21, §2 (AMO).]

G. A vehicle may be equipped with a spotlight. Only spotlights on authorized emergency vehicles, highway maintenance vehicles and public service vehicles may be used on a public way, except any vehicle may use a spotlight in cases of necessity when other lights required by law fail to operate. [PL 2015, c. 32, §3 (AMO).]

H. A vehicle in a funeral procession may be equipped with a flashing light. The light must emit a yellow beam of light. The light may not be more than 5 inches in diameter and must be placed on the dashboard. The light must be shielded so that the emitted light does not interfere with the operator's vision. The flashing light may be used only when the vehicle is used in a funeral procession.

In addition, a vehicle operated by a licensed funeral home and used as a lead vehicle in a funeral procession may use a device that provides for a white flashing strobe light in the front grille. [PL 2007, c. 62, §1 (AMO).] [PL 2019, c. 327, §1 (AMO); PL 2019, c. 335, §5 (AMO).]

3. Sirens. A bell or siren may not be installed or used on any vehicle, except an authorized emergency vehicle.

4. Right-of-way. An authorized emergency vehicle operated in response to, but not returning from, a call or fire alarm or operated in pursuit of an actual or suspected violator of the law has the right-of-way when emitting a visual signal using an emergency light and an audible signal using a bell or siren. On the approach of any such vehicle, the operator of every other vehicle shall immediately draw that vehicle as near as practicable to the right-hand curb, parallel to the curb and clear of any intersection and bring it to a standstill until the authorized emergency vehicle has passed. A violation of this subsection is a Class E crime that is punishable by a minimum fine of $250 for the first offense for a 2nd offense occurring within 3 years of the first offense a mandatory 30-day suspension of a driver's license. [PL 2019, c. 113, Pt. C, §74 (AMO).] 4-A. Registered owner's liability for vehicle failing to yield right-of-way. A person who is a registered owner of a vehicle at the time that vehicle is involved in a violation of subsection 4 commits a traffic infraction unless a defense applies pursuant to paragraph 0. For purposes of this subsection, "registered owner" includes a person issued a dealer or transporter registration plate.

A. The operator of an authorized emergency vehicle who observes a violation of subsection 4 may report the violation to a law enforcement officer. If a report is made, the operator shall report the time and the location of the violation and the registration plate number and a description of the vehicle involved. The officer shall initiate an investigation of the reported violation and, if possible, contact the registered owner of the motor vehicle involved and request that the registered owner supply information identifying the operator of the registered owner's motor vehicle. [PL 1997, c.

162, §2 (NEW).]

B. The investigating officer may cause the registered owner of the vehicle to be served with a summons for a violation of this subsection. [PL 1997, c. 162, §2 (NEW).]

C. Except as provided in paragraph 0, it is not a defense to a violation of this subsection that a registered owner was not operating the vehicle at the time of the violation. [PL 1997, c. 162, §2 D. The following are defenses to a violation of this subsection.

If a person other than the registered owner is operating the vehicle at the time of the violation of subsection 4 and is convicted of that violation, the registered owner may not be found in violation of this subsection.

If the registered owner is a lessor of vehicles and at the time of the violation the vehicle was in the possession of a lessee and the lessor provides the investigation officer with a copy of the lease agreement containing the information required by section 254, the lessee, not the lessor, may be charged under this subsection.

If the vehicle is operated using a dealer or transporter registration plate and at the time of the violation the vehicle was operated by any person other than the dealer or transporter and if the dealer or transporter provides the investigating officer with the name and address of the person who had control over the vehicle at the time of the violation, that person, not the dealer or transporter, may be charged under this subsection.

(4)

If a report that the vehicle was stolen is given to a law enforcement officer or agency before the violation occurs or within a reasonable time after the violation occurs and an investigation determines the vehicle was stolen, the registered owner may not be charged under this subsection. [PL 1997, c. 162, §2 (NEW).] [PL 1997, c. 162, §2 (NEW).]

5. Exercise of privileges. The operator of an authorized emergency vehicle when responding to, but not upon returning from, an emergency call or fire alarm or when in pursuit of an actual or suspected violator of the law may exercise the privileges set forth in this subsection. The operator of an authorized emergency vehicle may:

A. Park or stand, notwithstanding the provisions of this chapter; [PL 1993, c. 683, Pt. A, §2 B. Proceed past a red signal, stop signal or stop sign, but only after slowing down as necessary for safe operation; [PL 1993, c. 683, Pt. A, §2 (NEW); PL 1993, c. 683, Pt. B, §5 (AFF).]

C. Exceed the maximum speed limits as long as life or property is not endangered, except that a capital security officer and a person operating a Department of Corrections vehicle who is not certified as a law enforcement officer by the Board of Trustees of the Maine Criminal Justice Academy may not exercise this privilege; [PL 2019, c. 319, §2 (AMD).]

D. Disregard regulations governing direction of movement or turning in specified directions; and E. Proceed with caution past a stopped school bus that has red lights flashing only:

After coming to a complete stop; and (2) When signaled by the school bus operator to proceed. [PL 1993, c. 683, Pt. A, §2 (NEW);

Nothing in this subsection prohibits the operator of an authorized emergency vehicle from activating emergency lights for the limited purpose of warning motorists when entering or exiting structures designed to house the emergency vehicles. [PL 2019, c. 319, §2 (AMD).]

6. Emergency lights and audible signals. The operator of an authorized emergency vehicle who is exercising the privileges granted under subsection 5 shall use an emergency light authorized by subsection 2. The operator of an authorized emergency vehicle who is exercising the privileges granted under subsection 5, paragraphs B, C, D and E shall sound a bell or siren when reasonably necessary to warn pedestrians and other operators of the emergency vehicle's approach.

7. Duty to drive with due regard for safety. Subsections 4, 5 and 6 do not relieve the operator of an authorized emergency vehicle from the duty to drive with due regard for the safety of all persons, nor do those subsections protect the operator from the consequences of the operator's reckless disregard for the safety of others.

8. Standards for lights on highway maintenance vehicles. The Commissioner of Transportation, with the consent of the Chief of the State Police, shall adopt standards and specifications for headlights, clearance lights, identification lights and other lights on highway maintenance vehicles. These standards must include prescribed usage for the various lights when a highway maintenance vehicle is in operation. The standards and specifications adopted pursuant to this section must correspond to and so far as practical conform with those approved by the national association of state highway officials.

The standards and specifications adopted pursuant to this section are in addition to and do not supersede the lighting requirements established in subsections 1 to 7 and sections 1904 to 1909.

Highway maintenance vehicles owned by a municipality or performing maintenance under contract to a municipality must meet the lighting requirements established in subsections 1 to 7 and sections 1904 to 1909. A municipality may adopt the standards and specifications developed in accordance with this subsection.

9. Stationary vehicles. The operator of a vehicle passing a stationary authorized emergency vehicle using an emergency light or a stationary public service vehicle using its authorized lights, with due regard to the safety and traffic conditions, shall:

A. Pass in a lane not adjacent to that of the authorized emergency vehicle or public service vehicle, if possible; or [PL 2015, c. 32, §4 (AMD).]

B. If passing in a nonadjacent lane is impossible or unsafe, pass the emergency vehicle or public service vehicle at a careful and prudent speed reasonable for passing the authorized emergency or public service vehicle safely. [PL 2015, c. 32, §4 (AMD).]

A violation of this subsection is a traffic infraction for which a minimum fine of $275 must be adjudged. [PL 2019, c. 254, §1 (AMD).]

10. Life support transport vehicle. A life support transport vehicle may not be equipped with emergency lighting or sirens and may not exercise emergency privileges under subsection 4 or 5. The of Public Safety may adopt rules for the purpose of designating life support transport vehicles.

Rules adopted pursuant to this subsection are routine technical rules pursuant to Title 5,

chapter 375, subchapter 2-A. [PL 2019, c. 397, §28 (NEW).]

11. Maine State Ferry Service. The Commissioner of Transportation may adopt rules to allow certain authorized emergency vehicles, including but not limited to a life support transport vehicle, to idle on a vessel operated by the Maine State Ferry Service and any additional rules necessary to ensure passenger safety while such a vehicle is idling on a ferry. Rules adopted pursuant to this subsection are routine technical rules pursuant to Title 5, chapter 375, subchapter 2-A. [PL 2019, c. 397, §28 (NEW).]

PL 1993, c. 683, §A2 (NEW). PL 1993, c. 683, §BS (AFF). PL 1995, c. 22, §1 (AMD). PL 1995, c. 65, §§A153,C15 (AFF). PL 1995, c. 65, §CG (AMD). PL 1995, c. 247, §4 (AMD). PL 1997, c. 162, §§1,2 (AMD). PL 1999, c. 29, §2 (AMD). PL 2001, c. 10, §1 (AMD). PL 2001, c. 360, §§5-8 (AMD).

PL 2003, c. 78, §§1,2 (AMD). PL 2003, c. 97, §1 (AMD). PL 2003, c. 209, §1 (AMD). PL 2003, c. 340, §7 (AMD). PL 2003, c. 451, §T14 (AMD). PL 2003, c. 510, §§C8,9 (AMD).

PL 2003, c. 633, §§4,5 (AMD). PL 2005, c. 14, §§1-3 (AMD). PL 2005, c. 15, §1 (AMD).

Generated 12.05.2019 Title 29-A. MOTOR VEHICLES AND TRAFFIC I 295 PL 2005, c. 183, §2 (AMD). PL 2005, c. 299, §1 (AMD). PL 2005, c. 314, §12 (AMD). PL 2005, c. 482, §4 (AMD). PL 2007, c. 11, §1 (AMD). PL 2007, c. 62, §1 (AMD). PL 2007, c. 348, §§18-20 (AMD). PL 2009, c. 251, §10 (AMD). PL 2009, c. 317, Pt. F, §1 (AMD). PL 2009, c. 421, §4 (AMD). PL 2011, c. 448, §2 (AMD). PL 2011, c. 657, Pt. W, §5 (REV). PL 2011, c. 691, Pt.

A, §30 (AMD). PL 2013, c. 462, §4 (AMD). PL 2015, c. 31, §§1, 2 (AMD). PL 2015, c. 32, §§1-4 (AMD). PL 2017, c. 21, §§1, 2 (AMD). PL 2017, c. 26, §1 (AMD). PL 2017, c. 229, §32 (AMD). PL 2019, c. 113, Pt. C, §74 (AMD). PL 2019, c. 254, §1 (AMD). PL 2019, c. 319, §§1, 2 (AMD). PL 2019, c. 327, §1 (AMD). PL 2019, c. 335, §5 (AMD). PL 2019, c. 397, §§25- 28 (AMD).

Chapter 4 Maine Motor Carrier Safety Regulation

Code Me. R. 16-222 Ch. 4 Maine mOTOR CARRIER SAFETY regulation (Cite as 16-222 CMR c. 4) {#sec-16-222-ch.-4 omnilex-key=us-me-regs-official--dept-public-safety--16-222 Ch. 4}

§ 1. Definitions

§ 2. Applicability

§ 3. Adoption and Incorporation by Reference of Federal Regulations, without State Amendments

§ 4. Adoption and Incorporation by Reference of Federal Regulations, with State Amendments

§ 5. Adoption and Incorporation by Reference of Additional Federal Regulations

§ 6. Qualifications to Enforce this Chapter

§ 7. Source of Federal Regulations

§ 8. Severability

§ 1. Definitions

For the purpose of this Chapter, the following terms are defined as follows:

A. Commercial motor vehicle. “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 —

1. Has a gross vehicle weight rating or gross combination weight rating, or gross vehicle weight or gross combination weight, of 4,536 kg (10,001 pounds) or more, whichever is greater; or

2. Is designed or used to transport more than eight (8) passengers (including the driver) for compensation; or

3. Is designed or used to transport more than fifteen (15) passengers, including the driver, and is not used to transport passengers for compensation; or

4. Is 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 under 49 C.F.R., subtitle B, chapter I, subchapter C.

B. FMCSA. “FMCSA” means “federal motor carrier safety administration.”

C . Motor carrier. “Motor carrier” means a for hire motor carrier or a private motor carrier. The term includes a motor carrier's agents, officers and representatives as well as employees responsible for hiring, supervising, training, assigning, or dispatching of drivers and employees concerned with the installation, inspection, and maintenance of motor vehicle equipment and/or accessories. For purposes of subchapter B of the Federal regulations adopted and incorporated by reference in this Chapter, this definition includes the terms employer and exempt motor carrier.

D. Special agent of the FMCSA. “Special agent of the FMCSA,” as used in this Chapter, means a motor carrier inspector, state police officer, municipal officer, or sheriff, who has satisfactorily completed a prescribed course of instruction established by the Maine State Police with respect to the Federal regulations adopted and incorporated by reference, with or without State of Maine amendments, into this Chapter.

E. State. “State” means State of Maine.

§ 2. Applicability

This regulation applies to any interstate or intrastate common, contract, and private motor carrier that transports passengers or property in Maine.

§ 3. adoption and incorporation by reference of federal regulations, without state amendments

Pursuant to 29-A M.R.S. §555, sub-§2, the Bureau of the Maine State Police hereby adopts and incorporates by reference into this Chapter, without State amendments:

Title 49, Parts 40, 382, 390, 393, and 396, and Appendices to Subchapter B of the Code of Federal Regulations as amended;

Title 49, Part 392, §§ 392.1 through 392.71 of the Code of Federal Regulations , as amended; and

Title 49, Part 392, §§ 392.80 and 392.82 of the Code of Federal Regulations , as amended .

§ 4. adoption and incorporation by reference of federal regulations, with state amendments

Pursuant to 29-A M.R.S. §555, sub-§2, the Bureau of the Maine State Police hereby adopts and incorporates by reference into this Chapter (1) Title 49 Parts 383, 391, and 395, and Appendices to Subchapter B, of the Code of Federal Regulations , as amended, with the following State amendments, and (2) Title 49, Section 391.41(b)(12)(i) as amended, with the following State amendments:

A. Hazardous Materials

1. There are no exemptions for motor carriers, vehicles, or drivers transporting hazardous materials of a type or quantity that requires the vehicle to be marked or placarded in accordance with 49 C.F.R., Subchapter C, Pt. 172.

B. As to 49 C.F.R. Pt. 383, the following amendments are made:

1. Intrastate motor carriers, vehicles, and drivers to whom this Chapter applies are only subject to 49 C.F.R. §§ 383.1(a), 383.3(a), 383.5, 383.21, 383.23(a), 383.23(a)(2), 383.23(c), 383.31, 383.33, 383.37, 383.51, 383.52, 383.53, and 383.72.

B-1. As to 49 C.F.R. Pt. 390, the following amendments are made:

1. Intrastate vehicles to which this chapter applies that have a gross vehicle weight rating of 10,000 lbs. to 26,000 lbs., and that neither meet the definition of a “bus” nor transport hazardous materials, are exempt from 49 C.F.R. §§ 390.19 and 390.21.

C. As to 49 C.F.R. Pt. 391, the following amendments are made:

Intrastate motor carriers, vehicles, and drivers to whom this Chapter applies that operate less than 100 air miles from their regular place of business are only subject to 49 C.F.R. §§ 391.13, 391.15, 391.23(a), 391.23(a)(1), 391.25(a), 391.25(b), 391.27(a), 391.27(b), and 391.41(b)(12)(i).

Documents and records obtained from inquiries made pursuant to 49 C.F.R. §§ 391.23, 391.25, and 391.27 must be maintained on file by the motor carrier for a period of two years.

2. Intrastate motor carriers, vehicles, and drivers to whom this Chapter applies that operate more than 100 air miles from their regular place of business are exempt from 49 C.F.R. §391.11(b)(1). Intrastate drivers to whom this Chapter applies that operate more than 100 air miles from their regular place of business must be at least 18 years old.

3. Drivers to whom this Chapter applies are exempt from 49 C.F.R. §391.41(b)(11).

D. As to 49 C.F.R. Pt. 395, the following amendments are made:

1. Intrastate motor carriers, vehicles, and drivers to which this Chapter applies that operate less than 100 air miles from their regular place of business are exempt from 49 C.F.R. Pt. 395.

§ 5. adoption and incorporation by reference of additional federal regulations

The Bureau of the Maine State Police hereby adopts and incorporates by reference into this Chapter Title 49, Part 385 of the Code of Federal Regulations , as amended.

§ 6. Qualifications to enforce this Chapter

A. Only special agents of the FMCSA may enforce this Chapter.

B. Special agents of the FMCSA who are only approved to enforce driver-only aspects of this Chapter must have reasonable, articulable suspicion to stop a commercial motor vehicle.

§ 7. Source of federal regulations

Copies of the Federal rules adopted and incorporated by reference herein may be obtained from the following agencies:

Superintendent of Documents

U.S. Government Printing Office

Washington, D.C. 20402

Maine Department of Public Safety

Bureau of Maine State Police

20 State House Station

Augusta, ME 04333-0020

§ 8. Severability

Should any provision of this Chapter or the application of this Chapter to any person or circumstance be held invalid, the invalidity does not affect other provisions or applications of this Chapter that can be given effect without the invalid provision or application, and to this end the provisions of this Chapter are severable.

History

• Statutory AUTHORITY: Title 29-A M.R.S.A. §555
• EFFECTIVE DATE: August 1, 1982
• AMENDED: September 25, 1985
• AMENDED: October 26, 1986
• REPEALED & REPLACED: January 1, 1987 - 29 M.R.S.A Sec. 2707
• REPEALED & REPLACED: December 10, 1989 - except part 391, subpart H of FMCSR which shall be effective December 21, 1989
• AMENDED: December 21, 1989 - (EMERGENCY)
• AMENDED: March 27, 1993 - (also REPEAL of Chapter 5)
• AMENDED: January 12, 1994 - (EMERGENCY)
• AMENDED: February 4, 1994 - (EMERGENCY)
• AMENDED: March 1, 1995
• AMENDED: January 19, 1996 - (EMERGENCY) - Sec. 4
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• NON-SUBSTANTIVE CORRECTION: August 13, 1996 - added note on January 19, 1996 emergency filing.
• AMENDED: November 17, 1997
• AMENDED: January 14, 1999 - Section 4.04(5) added (EMERGENCY - expired January 24, 1999)
• AMENDED: (Note: on November 17, 1999 the older version was restored to the Web.)
• AMENDED: January 24, 2000 - Sections 4.04 (5), (6) (EMERGENCY - expired February 25, 2000)
• AMENDED: April 17, 2000
• AMENDED: December 19, 2000 - Section 4(A)(1)(b) and (c) added (EMERGENCY - expired December 26, 2000 by request of the agency)
• AMENDED: July 9, 2001
• AMENDED: January 22, 2003 - Section 4(A)(1)(b) and (c) added (EMERGENCY - expires February 22, 2003 by request of the agency) - filing 2003-31
• AMENDED: June 1, 2003 - filing 2003-168
• AMENDED: January 4, 2004 - filing 2003-486
• AMENDED: February 6, 2006 – filing 2006-57
• REPEALED AND REPLACED: September 15, 2006 – filing 2006-394 (EMERGENCY)
• REPEALED AND REPLACED: November 26, 2006 - filing 2006-492
• REPEALED AND REPLACED: November 19, 2007 - as “Maine Motor Carrier Safety Regulation, Part 1,” filing 2007-484
• REPEALED AND REPLACED: May 28, 2008 - combined Ch. 4 and 4 Part 1 into one document, filing 2008-212
• REPEALED AND REPLACED: January 3, 2010 - filing 2009-710
• REPEALED AND REPLACED: May 14, 2011 - filing 2011-144
• REPEALED AND REPLACED: June 23, 2012 – filing 2012-175 (EMERGENCY adoption, major substantive)
• REPEALED AND REPLACED: July 18, 2012 - Section 3, filing 2012-194
• REPEALED AND REPLACED: October 3, 2013 - filing 2013-235 (EMERGENCY adoption, major substantive)
• CORRECTION: May 15, 2014 - inserted into §4(C)(1), this language, “and 391.41(B)(12)(i)”, which was present in the paper filing but missing from the Secretary of State’s e-version
• AMENDED: July 5, 2014 – filing 2014-111 (Final adoption, major substantive)
• AMENDED: June 19, 2015 - filing 2015-096 (Final adoption, major substantive)

Chapter 8 Rules and Regulations Relating to "Crane" or "Claw" Machine

Code Me. R. 16-222 Ch. 8 Rules and Regulations Relating to "Crane" or "Claw" Machines {#sec-16-222-ch.-8 omnilex-key=us-me-regs-official--dept-public-safety--16-222 Ch. 8}

Summary: These proposed rules describe the requirements that must be met in order for a "crane" or "claw" machine to qualify as a game of skill as defined in 17 M.R.S.A. §330(2-A). The failure to meet with the requirements prescribed by these rules means that a "crane" or "claw" machine shall be considered a game of chance [17 M.R.S.A. §330(2)], and a machine [17 M.R.S.A. §330(3-A)] and shall, therefore, be prohibited in the State of Maine. [17 M.R.S.A. §332(3)] These rules also explain the reports that must be filed with the Maine State Police in order for "crane" or "claw" machines to be lawfully distributed in Maine.

IF RULES 8.02 THROUGH 8.14 ARE NOT COMPLIED WITH, A CRANE OR

CLAW MACHINE WILL BE CONSIDERED A GAME OF CHANCE.

8.01 DEFINITIONS

A. Crane machine or claw machine. "Crane machine" or "claw machine" means any machine, including electronic devices, however operated, the internal mechanism or components of which, when set in motion or activated, picks up something of value which may be received by the person playing or operating the machine.

B. Distributor. 'Distributor" shall mean a person, firm corporation, association or organization that sells, markets, leases or otherwise distributes crane or claw machines.

C. Manufacturer. "Manufacturer" shall mean a person, firm, corporation, association or organization that builds, makes or otherwise produces crane or claw machines.

8.02 The crane or claw machine's circuit boards must be pre-set and non-adjustable.

8.03 Crane or claw cabinet must be level so that when the crane's or claw's calipers make the vertical descent they are perpendicular to the bottom of the prize access area and parallel to the cabinet sides. The calipers must remain perpendicular throughout the descent.

8 .04 The crane's or claw's calipers must have complete 100% access to prizes.

8.05 The crane's or claw's calipers in the closed position shall contact each other. A 1/4" tolerance will be allowed.

8.06 The crane's or claw's calipers shall be set at the maximum opening and shall be non-adjustable.

8.07 Calipers shall work consistently in each and every play. There shall be no electronic, mechanical or any other kind of component that will cause the tension of the calipers to vary from one play to another.

8.08 Upon picking up a prize, the caliper tension must be such that the calipers hold onto the prize until it is released into the prize chute to be claimed by the player.

8.09 The crane's or claw's calipers in the open position must be able to encompass the prize with clearance between the prize and calipers.

8.10 Merchandise used as prizes shall not exceed a fair market wholesale value of $15.00 per prize. At no time shall cash be awarded as a prize.

8.11 Prizes must be loose and shall not be packed or arranged in such a way as to prevent the crane's or claw's calipers from grasping and lifting them.

8.12 The crane or claw machine must have joystick control and player must be able to control the crane or claw both horizontally and vertically over 100% of the playing area. (If the crane or claw can be lowered each and every play without rotating, swaying, or changing direction in any way, then the mandate to control the crane or claw vertically may not be required).

8.13 The minimum playing time is 15 seconds for each and every play. This playing time could be required to be greater than 15 seconds, depending on the speed of the horizontal and vertical movements. The playing time shall be displayed an a LED display visible to the player and shall operate in the count-down mode so as to keep the player informed as to how much time is remaining. The playing time shall also be displayed on the cabinet, clearly visible to the player, to inform the player of the time allotted for each play. The timing shall not start until the joystick is first engaged.

8.14 Instructions for playing the crane or claw machine shall be displayed on the cabinet, clearly visible to the player.

8.15 All distributors of crane or claw machines wishing to distribute crane or claw machines in the State of Maine must first contact the Licensing Division of the Maine State Police. Each variety, model, brand or type of crane or claw machine must be inspected by the Licensing Division of the Maine State Police prior to its distribution. Approval is based on compliance with these rules.

8.16 Upon approval of a variety, model, brand or type of crane or claw machine by the Licensing Division of the Maine State Police, any changes, alterations or modifications to the approved variety, model, brand or type of crane or claw machine, without the authorization of the Licensing Division of the Maine State Police, is prohibited.

8.17 Manufacturers shall provide the Licensing Division of the Maine State Police a list of all crane or claw machines sold or supplied to distributors for distribution in Maine and a list of all crane or claw machines-sold or supplied to any other organization, person, firm, corporation, or company located in Maine. The list shall contain the information required on forms prescribed by the Chief of the State Police.

8.18 Distributors shall provide the Licensing Division of the Maine State Police a distribution list of all crane and claw machines distributed, placed, or located in Maine. The distribution list shall contain the information required on forms prescribed by the Chief of the State Police.

8.19 Distributors of crane or claw machines shall verify and insure that the crane or claw machines have been approved for distribution in Maine prior to their distribution.

8.20 The potential variables associated with the operation of each variety, model, brand or type of crane or claw machine may require additional rules in the future to prevent crane or claw machines from becoming a game of chance. Moreover, a crane or claw machine will still be considered a game of chance, even if it complies with these rules, if it otherwise qualifies as a game of chance as defined in 17 M.R.S.A. §330 (2).

AUTHORITY: 17 M.R.S.A. 5343

EFFECTIVE DATE: June 21, 1988

Chapter 9 Rules and Regulations Relating to Private Investigators

Code Me. R. 16-222 Ch. 9 Rules and Regulations Relating to Private Investigators {#sec-16-222-ch.-9 omnilex-key=us-me-regs-official--dept-public-safety--16-222 Ch. 9}

SUMMARY: This chapter describes written firearms examination for private investigators.

9.01 (Deleted August 1, 1998)

9.02 (Deleted August 1, 1998)

9.03 FIREARMS WRITTEN EXAMINATION

A. Written Examination. The Commissioner of Public Safety shall administer a written examination covering, but not limited to, the following subjects: handgun safety, weapons handling mechanical operations, and use of force. A score of not less than 80 percent on the written examination must be achieved to be considered having successfully completed it. A person who fails to successfully complete the written examination must wait 60 days from the date of the written examination before being retested.

History

• STATUTORY AUTHORITY: Title 32 §120
• EFFECTIVE DATE: September 26, 1995
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• NON-SUBSTANTIVE CORRECTION: August 13, 1996 -
• NON-SUBSTANTIVE CORRECTION: added authority and effective date notes.
• AMENDED: August 1, 1998 -
• AMENDED: deleted 9.01 and 9.02, amended language in Summary and 9.03.
• AMENDED: 16-222 Chapter 9 page 1

Chapter 10 Rule for the Transportation, Storage and Release of Impounded Pursuant to OUI Forfeiture

Code Me. R. 16-222 Ch. 10 Rule for Transportation, Storage and Release of Vehicles Impounded Pursuant to 29 Mrsa S1312-G {#sec-16-222-ch.-10 omnilex-key=us-me-regs-official--dept-public-safety--16-222 Ch. 10}

SUMMARY: This chapter outlines the procedures governing the transportation, storage and release of vehicles impounded pursuant to the O.U.I. forfeiture statute, 29 M.R.S.A. §1312-G.

Section 1. Purpose

The purpose of this rule is to establish an orderly mechanism for the transportation, storage and release by the Chief of the State Police of vehicles seized pursuant to 29 MRSA S1312-G when the owner-operator has waived any claim for damage, other than intentional damage by an agent of the law enforcement agency seizing or storing the vehicle, and asks the State to impound the vehicle until the owner-operator's right to operate in this State has been restored.

Section 2. Notification by District Attorney

The Chief of the State Police, once notified in writing by a District Attorney that an owner-operator has agreed to and the court has so ordered impoundment of at vehicle for a given period of time, may cause that vehicle to be transported to and stored at a designated facility, provided all towing and storage expenses accrued to date have been paid by the District Attorney's office. The Chief of the State Police will also require a copy of the waiver for a claim of damage by the owner-operator from the District Attorney before assuming possession.

Section 3. Storage

The Chief of the State Police or his designee shall cause the vehicle to be stored at a State or private facility and may cause a vehicle to be secured in whatever manner he/she deems fit to provide for retention until it is to be released.

The vehicle need not be stored indoors and any damage done to the vehicle due to weather or other conditions shall not be the responsibility of the Bureau of State Police; unless it is intentional damage done by an agent of the State Police in the towing or storage of the vehicle.

Section 4. Change of Election

The owner-operator may at any time change his/her election to have the vehicle impounded and designate his/her desire to sell the vehicle by notifying the Chief of the State Police in writing. The Chief of the State Police, after notifying the District Attorney's office, shall release the vehicle when the owner-operator shows adequate proof of completed change of ownership, for example, but not limited to, a new title in the buyer's name and a -valid registration, if registration is required by the method of removal. The owner-operator shall also have paid all towing and storage costs accrued to the day of release.

The Chief of the State Police shall not allow the vehicle to be test-driven or otherwise removed from its storage area and is under no obligation to allow inspection by potential buyers of the vehicle.

Section 5. Towing and Storage Costs

All towing and storage costs accrued by the Bureau of State Police shall be paid by the District Attorney's Office if the impoundment is for -the entire duration of the owner-operator's license suspension (or by the owner-operator if he/she chooses to change his/her election and sell the vehicle. The Chief of the State Police, upon request by the District Attorney,, may waive any or all towing and storage charges which would otherwise be paid by the District Attorney's office.

Section 6. Abandonment

Any vehicle impounded at the request of the owner-operator shall be deemed abandoned if not claimed by an owner within 30 days after the owner-operator's term of suspension has expired or the actual restoration of the owner-operator's right to operate, whichever occurs first. 'Vie Chief of the State Police shall notify the District Attorney when a vehicle remains unclaimed so that the District Attorney may seek title on behalf of the State. once notified that title has been obtained by the District Attorney and all towing and storage costs have been paid by his/her office, the Chief of the State Police shall cause the vehicle to be removed to State Surplus or another location designated by the District Attorney for auction.

AUTHORITY: 29 MRSA S1312-G (7).

EFFECTIVE DATE: June 17, 1989

EFFECTIVE DATE (ELECTRONIC CONVERSION): MAY 15, 1996

Chapter 12 Rules for After-Market Window Tinting

Code Me. R. 16-222 Ch. 12 Rules for After-Market Window Tinting {#sec-16-222-ch.-12 omnilex-key=us-me-regs-official--dept-public-safety--16-222 Ch. 12}

SUMMARY: These rules regulate the installation and establish a form fee for the installers of after-market window tinting in motor vehicles.

1. A copy of the Certificate of (Compliance issued to a customer by the installer of after-market window tinting material must be kept on file at the installer's place of business for a period of three years. Those records shall be made available to any full-time law enforcement officer for inspection during normal business hours. Should an installer of after-market window tinting material go out of business, all copies of the certificates of compliance shall be forwarded to the State Police Traffic Division, 242 State Street, Augusta, Maine 04333.

2. In order for the installer of window tinting material to issued a certificate of compliance to the owner of a vehicle with previously tinted windows, the tinted windows must be measured for visible "light transmittance with a light meter accurate to + or - 3%.

Procedure: An untreated -window of the vehicle in question shall be tested (front windshield) for the amount of visible light transmittance. The tinted windows will then be tested to insure that the amount of visible light transmitted is at least 50% of the untreated window glass. In no case will a certificate of compliance be issued if the final application of tinting material combined with any factory original tinting manufactured in accordance with Federal Motor Vehicle Safety Standard 205 (49 CFR 571) transmits less than 35% of the visible light.

3. No after-market tinting material shall be installed on factory tinted windows exempt -from window tinting limits under FMVSS 205 (rear side window and rear windows of multi-purpose vehicles such as Suburbans, Blazers, Jimmys, vans etc. and the rear windows of Pick-up trucks under 10,000 lbs. GVWR if the final application of tinting material results in a visible light transmittance of less than 35%.

4. Certificates of Compliance will be provided to the installers of window tinting material by the State Police Traffic Division for $5.00 per pad of 100 forms.

5. The installers of window tinting material shall have a copy of section 1369-A of Title 29 M.R.S.A. and all applicable rules and regulations on file at their place of business.

AUTHORITY: 29 M.R.S.A. §1369-A

EFFECTIVE DATE: September 30 1990

EFFECTIVE DATE (ELECTRONIC CONVERSION): MAY 15, 1996

Chapter 14 Rules Relating to the Sex Offender Registration and Notification Act of 1999

Code Me. R. 16-222 Ch. 14 RULES RELATING TO THE SEX OFFENDER REGISTRATION AND NOTIFICATION ACT OF 1999 (34-A MRSA c.15) {#sec-16-222-ch.-14 omnilex-key=us-me-regs-official--dept-public-safety--16-222 Ch. 14}

14.01 DEFINITIONS

A. Bureau. “Bureau” means the Maine State Bureau of Identification.

B. Initial registration date. “Initial registration date” means the date the initial registration form is received at the Bureau after the registrant has the duty to register. If the initial registration form is received on the 29th, 30th, or 31st day of the month, the initial registration date will be considered the first day of the following month.

C. Passport photograph. “Passport photograph” means a photograph described as a full faced, chest up, unmounted, color photograph not larger than 2 ¾ x 2 ½ inches and not less than 2 x 2 inches with a white or off-white background and a space showing above the person’s head. The picture cannot have features obscured, including but not limited to wearing a hat, sunglasses, or bandana. The photograph must have been taken not more than six (6) months prior to submission.

D. Registrant. "Registrant" means a 10-year registrant or a lifetime registrant or, when appropriate, both a 10-year registrant and a lifetime registrant.

E. SORNA 1999. “SORNA 1999” means the Sex Offender Registration and Notification Act of 1999 (34-A MRSA c. 15).

F. Verification due date. “Verification due date” means:

1. The verification due date for a ten year registrant is every year on the anniversary of the initial registration date.

2. The verification due date for a lifetime registrant is quarterly (every 3 months) from the initial registration date.

The verification due date is calculated from the initial registration date and not the date the last verification was received.

14.02 RULES RELATING TO SORNA 1999

A. A photograph submitted under this Act for the maintenance of the Sex Offender Registry by a person convicted of a sex offense or sexually violent offense must meet the definition of a passport photograph described in this rule.

B. Pursuant to 34-A M.R.S. § 11225-A(5), the Bureau may suspend a Registrant’s obligation to verify if:

1. The Bureau has received from the Registrant a signed notice indicating a change of domicile or residence to another state;

2. The Registrant shows proof of registration in the other state;

3. The Registrant will be physically absent from the State of Maine for 90 days; and

4. The Registrant has previously complied with obligations under SORNA.

A person whose verification duties have been suspended under this Rule must notify the Bureau and local law enforcement on return to the State in accordance with 34-A M.R.S. §11222(5).

C. Pursuant to 34-A M.R.S. §11225-A(5), the Bureau may suspend a Registrant’s obligation to verify in person if:

1. The Bureau has received from the Registrant a signed notice indicating a change of domicile or residence to another state;

2. The Registrant will be physically absent from the State of Maine for 90 days;

3. The Registrant has previously complied with obligations under SORNA; and

4. The Registrant shows proof that registration is not required in the other State.

The Bureau may allow verification in writing, provided that verification by the Registrant is done in person every five years.

A person whose verification duties have been suspended under this Rule must notify the Bureau and local law enforcement on return to the State in accordance with 34-A M.R.S. §11225-A(5).

History

• STATUTORY AUTHORITY: 34-A MRSA ch. 15; 34-A MRSA §11204; 34-A MRSA §11274
• EFFECTIVE DATE: November 14, 1999
• AMENDED: December 25, 3013 – filing 2013-326

Chapter 15 Rules Relating to the Sex Offender Registration and Notification Act of 2013

Code Me. R. 16-222 Ch. 15 RULES RELATING TO THE SEX OFFENDER REGISTRATION AND NOTIFICATION ACT OF 2013 (34-A MRSA c.17) {#sec-16-222-ch.-15 omnilex-key=us-me-regs-official--dept-public-safety--16-222 Ch. 15}

15.01 DEFINITIONS

A. Bureau. “Bureau” means the Maine State Bureau of Identification.

B. Initial registration date. “Initial registration date” means the date the initial registration form is received at the Bureau after the registrant has the duty to register. If the initial registration form is received on the 29th, 30th, or 31st day of the month, the initial registration date will be considered the first day of the following month.

C. Passport photograph. “Passport photograph” means a photograph described as a full faced, chest up, unmounted, color photograph not larger than 2 ¾ x 2 ½ inches and not less than 2 x 2 inches with a white or off-white background and a space showing above the person’s head. The picture cannot have features obscured, including but not limited to wearing a hat, sunglasses, or bandana. The photograph must have been taken not more than six (6) months prior to submission.

D. Registrant. "Registrant" means a Tier I registrant, Tier II registrant or Tier III registrant.

E. SORNA 2013. “SORNA 2013” means the Sex Offender Registration and Notification Act of 2013 (34-A MRSA c. 17).

F. Verification due date. “Verification due date” means as follows:

1. The verification due date for a Tier I registrant is every year on the anniversary of the initial registration date.

2. The verification due date for a Tier II registrant is semi-annually (every 6 months) from the initial registration date.

3. The verification due date for a Tier III registrant is quarterly (every 3 months) from the initial registration date.

The verification due date is calculated from the initial registration date and not the date the last verification was received.

15.02 RULES RELATING TO SORNA 2013

A. A photograph submitted under this Act for the maintenance of the Sex Offender Registry by a person convicted of a Tier I, Tier II or Tier III offense must meet the definition of a passport photograph described in this rule.

B. Pursuant to 34-A M.R.S. §11285(8), the Bureau may suspend a Registrant’s obligation to verify if the Bureau receives reliable information that the person is incarcerated. A person whose verification duties have been suspended under this Rule must notify the Bureau and local law enforcement on release from incarceration in accordance with 34-A M.R.S. §11282(8).

C. Pursuant to 34-A M.R.S. §11285(8), the Bureau may suspend a Registrant’s obligation to verify if:

1. The Bureau has received from the Registrant a signed notice indicating a change of domicile or residence to another state;

2. The Registrant shows proof of registration in the other state;

3. The Registrant will be physically absent from the State of Maine for 90 days; and

4. The Registrant has previously complied with obligations under SORNA.

A person whose verification duties have been suspended under this Rule must notify the Bureau and local law enforcement on return to the State in accordance with 34-A M.R.S. §11282(8).

D. Pursuant to 34-A M.R.S. §11285(8), the Bureau may suspend a Registrant’s obligation to verify in person if:

1. The Bureau has received from the Registrant a signed notice indicating a change of domicile or residence to another state;

2. The Registrant will be physically absent from the State of Maine for 90 days;

3. The Registrant has previously complied with obligations under SORNA; and

4. The Registrant shows proof that registration is not required in the other State.

The Bureau may allow verification in writing, provided that verification by the Registrant is done in person every five years.

A person whose verification duties have been suspended under this Rule must notify the Bureau and local law enforcement on return to the State in accordance with 34-A M.R.S. §11282(8).

History

• STATUTORY AUTHORITY: 34-A MRSA §11204; 34-A MRSA §11274
• EFFECTIVE DATE: December 25, 2013 – filing 2013-327

Chapter 19 Died While in the Line of Duty Death Benefits for Law Enforcement Officers

Code Me. R. 16-222 Ch. 19 Died While in the Line of Duty Death Benefits for Law Enforcement Officers {#sec-16-222-ch.-19 omnilex-key=us-me-regs-official--dept-public-safety--16-222 Ch. 19}

SUMMARY: This chapter outlines the procedures governing the award of death benefits to the child, spouse or parent of a law enforcement officer who dies while in the line of duty.

SECTION 1. DEFINITIONS

1. Chief. "Chief" means the Chief of the State Police.

2. Child. “Child” means any natural born or unborn child, legally adopted child or stepchild of a law enforcement officer who, at the time of the law enforcement officer’s death, is:

A. Conceived or less than 19 years of age;

B. 19 or more years of age, but less than 25 years of age, and accepted for admission or enrolled full-time in a postsecondary educational institution; or

C. 19 or more years of age and is incapable of self-support because of a physical or mental disability.

3. Died while in the line of duty. “Died while in the line of duty” means to cease to be alive or to sustain an injury or illness that results in death as a result of the performance of a law enforcement officer’s official duty.

4. Law enforcement officer or officer. "Law enforcement officer" or "officer" means a law enforcement officer or officer as defined in 25 M.R.S.A. §1611, sub-§5.

5. Official duty. “Official duty” means an action that a law enforcement officer is authorized or obligated by law, rule, regulation or condition of employment or service to perform.

6. Parent. “Parent” means the natural or adoptive mother or father, or stepmother or stepfather, whose parental rights have not been terminated and who contributed significantly to the upbringing of a law enforcement officer.

7. Spouse. “Spouse” means a person who is legally married to a law enforcement officer at the time of the law enforcement officer’s death.

8. Under the influence. “Under the influence” means under the influence of alcohol, a drug other than alcohol, a combination of drugs, a combination of alcohol and drugs or having a blood alcohol level of .08% or more.

SECTION 2. death benefit – amount and receipt

1. If the Chief determines that a law enforcement officer died while in the line of duty, the State shall pay a benefit of $50,000 as follows:

A. If there is no surviving child of the law enforcement officer, to the surviving spouse;

B. If there is a surviving child or children and a surviving spouse of the law enforcement officer, 1/2 to the surviving child or children in equal shares and 1/2 to the surviving spouse;

C. If there is no surviving spouse of the law enforcement officer, to the child or children in equal shares; or

D. If there is no surviving child or spouse, to the parent or parents of the law enforcement officer in equal shares.

SECTION 3. Limitation on benefit

1. Notwithstanding a determination by the Chief that a law enforcement officer died while in the line of duty, a benefit may not be paid:

A. If the death or the injury or illness that resulted in the death was caused by the intentional misconduct of the law enforcement officer or by the law enforcement officer’s intention to bring about the death or the injury or illness that resulted in the death;

B. If the law enforcement officer was voluntarily under the influence at the time of the death or the injury or contracting of the illness that resulted in the death and being under the influence was a substantial contributing factor in the death or the injury or illness that resulted in the death;

C. If the law enforcement officer was performing in a grossly negligent manner at the time of the death or the injury or contracting of the illness that resulted in the death; or

D. To any person who would otherwise be entitled to a benefit pursuant to 25 M.R.S.A. c. 195-A and this chapter, if the person’s actions were a substantial contributing factor to the death of the law enforcement officer.

E. If the potentially eligible child, spouse or parent dies prior to actual receipt of this death benefit.

SECTION 4. Filing request for benefit

1. A person who is potentially eligible to receive these benefits, or a person authorized to request benefits acting as an agent of a potentially eligible person, must forward a written request to the Chief for a State of Maine Application for Line of Duty Death Benefit within 90 days of the law enforcement officer’s death. The 90 day period may be extended by the Chief for good cause shown.

2. Upon receipt of the written request for a State of Maine Application for Line of Duty Death Benefit, the Chief shall provide an application package and questionnaire that must be completed and returned within 30 days of receipt by the applicant. The 30 day period may be extended by the Chief for good cause shown.

SECTION 5. DETERMINATION OF ELIGIBILITY FOR BENEFIT

1. Upon receipt of a completed State of Maine Application for Line of Duty Death Benefit, the Chief shall appoint a review panel consisting of at least three, but not more than five, persons knowledgeable in law enforcement official duties.

2. The review panel shall convene to review the application, investigate the circumstances surrounding the death and make a written recommendation to approve or deny the application to the Chief within 30 days. If the Chief determines that further investigation is necessary, the Chief may extend the review period.

3. The Chief, after review of the recommendation, shall make the determination to approve or deny the application in a timely manner. The Chief’s determination is the final agency decision.

SECTION 6. Interim benefits

1. The Chief may make interim benefits payments in accordance with and subject to the limitations outlined in 25 M.R.S.A. §1612.

SECTION 7. Appeal

1. An appeal of the final agency decision may be filed in accordance with the Administrative Procedure Act, 5 M.R.S.A. c. 375, sub-c. VII.

History

• STATUTORY AUTHORITY: 25 M.R.S.A. §1612.8
• EFFECTIVE DATE: November 9, 2002 - filing 2002-421
• EFFECTIVE DATE: 16-222 Chapter 19 page 4
• EFFECTIVE DATE: Proofed
• EFFECTIVE DATE: 11/14/02

16-227 Criminal Justice Academy, Board of Trustees

Chapter 1 General Provisions

Code Me. R. 16-227 Ch. 1 General Provisions {#sec-16-227-ch.-1 omnilex-key=us-me-regs-official--dept-public-safety--16-227 Ch. 1}

Summary: Chapter 1 of the Maine Criminal Justice Academy Board of Trustees' rules sets out the objectives of the rules and defines terms used therein.

1. Objectives. The objectives of the Maine Criminal Justice Academy Board of Trustees are:

A. To raise the level of competence of law enforcement officers;

1. by establishing minimum standards for training, and

2. by providing or certifying law enforcement training courses;

B. To raise the level of competence of corrections officers;

1. by establishing minimum standards for training, and

2. by providing or certifying corrections training courses.

C. To promote cooperation among agencies at all levels of the criminal justice system.

2. Definitions.

A. "Academy" refers to the Maine Criminal Justice Academy, the central training facility for law enforcement, corrections, and criminal justice personnel in the State of Maine.

B. "Act" refers to 25 M.R.S.A. §§ 2801 - 2809.

C. "Basic Training Course" refers to the course of instruction for full-time law enforcement and corrections officers conducted at or by the Maine Criminal Justice Academy pursuant to 25 M.R.S.A. §2804-C and §2804-D.

D. "Board" refers to the Board of Trustees of the Maine Criminal Justice Academy as created pursuant to the provisions of 25 M.R.S.A. §2802.

E. "Chair" refers to the Chairperson of the Board of Trustees as elected by the Board pursuant to 25 M.R.S.A. §2804.

F. "Corrections Officer" for county, municipal and other agencies refers to an employee whose primary duties are the control, custody and care of individuals who are detained or sentenced to a municipal, county or state detention or correctional facility. For the purpose of this definition, this shall not include individuals who are solely performing program services and who have no security responsibilities.

G. "Department Head" refers to a Chief of Police, Sheriff, Warden or Chief Administrator of any law enforcement or correctional unit of the State.

H. "Director" refers to the Director of the Maine Criminal Justice Academy, as appointed by the Commissioner of Public Safety with the approval of the Board, pursuant to 25 M.R.S.A. §2804-A.

I. "Exemption." The provisions of the "Act" do not apply to any person who was employed as a full-time law enforcement officer in a municipality in Maine on September 23, 1971, in a county in Maine on July 1, 1972 or as specified in §2801-B, and §2804-C (5).

“Full-time Corrections Officer” means a person who is employed as a corrections officer with a reasonable expectation of working at least 1,040 hours in any one calendar or fiscal year for performing corrections officer duties.

“Full-time Law Enforcement Officer” means a person who is employed as a law enforcement officer with a reasonable expectation of working at least 1,040 hours in any one calendar or fiscal year for performing law enforcement officer duties.

"In Service Training" refers to training designed to refresh or add to an individual's capability as a law enforcement or corrections officer in courses approved by the Board. "In-Service Training" as defined in this paragraph, does not include and is not a substitute for the "basic training course" defined in sub- paragraph (C) of this section.

"Law Enforcement Officer" shall mean any person empowered by a municipality, county or state in the State of Maine to serve criminal process and to arrest and prosecute offenders of the law.

"Waiver." The Board may waive the requirement for the completion of the basic training course required by 25 M.R.S.A. §2804-C and §2804-D upon presentation by an individual, of documentary evidence of successful completion of an equivalent course.

"Conditional Waiver." The Board may require, as a condition to receiving a waiver, that within 1 year of Board action, an individual demonstrate knowledge of Maine Criminal Code, Maine Motor Vehicle Law, Maine Juvenile Law, and any other subject areas that the Board deems necessary by completing those courses at the Academy, or at another institution giving courses certified by the Board, or by passing written examination administered by the Academy.

"Specification" refers to that part of the Academy Policy and Administrative Provision Manual in which information supplementary to these rules is set forth.

"Reserve Officer" shall mean a constable, reserve officer, or other part-time police officer employed, with or without compensation, less than full-time by the state or any county or municipality thereof, whose primary responsibility is to serve criminal process and to arrest and prosecute offenders of the law.

"Certificate of Eligibility" shall mean a license issued to a full or part-time law enforcement officer or corrections officer who is employed by a state, county, or municipality , and has met the standards as approved by the Board. This certificate will be considered lapsed when the individual is no longer serving with the employing agency.

History

• STATUTORY AUTHORITY: 25 M.R.S.A. §2803-A
• EFFECTIVE DATE: January 12, 1979
• AMENDED: December 25, 1979
• AMENDED: July 25, 1982 - Sec. 2N
• AMENDED: June 30, 1984 - Sec. 20
• AMENDED: September 4, 1991
• EFFECTIVE DATE (ELECTRONIC CONVERSION): November 27, 1996
• AMENDED: May 5, 1998 - Section 2(E)
• NON-SUBSTANTIVE CORRECTIONS: October 19, 2001 - formatting only
• AMENDED: September 28, 2004 - filing 2004-421
• AMENDED: 16-227 Chapter 1 page 3

Chapter 3 Entrance Standards

Code Me. R. 16-227 Ch. 3 Entrance Standards {#sec-16-227-ch.-3 omnilex-key=us-me-regs-official--dept-public-safety--16-227 Ch. 3}

Summary: Chapter 3 of the Maine Criminal Justice Academy Board of Trustees' rules sets forth the requirements for admission to the Academy.

1. Requirements for Admission to the Academy. In order to be admitted to the Basic Corrections Training Course (the Basic Corrections Training Program and the Juvenile Basic Corrections Training Program), an applicant:

Shall be a high school graduate, or have scored as follows on one of the two Board of Trustees approved high school equivalency tests:

General Education Development Test (GED):

not lower than 35 on any one of the 5 parts, and

an average not lower than 45 for all 5 parts, or;

High School Equivalency Test (HISET):

A minimum score of 8 out of 20 on each of the five subtests, and;

A minimum score of 2 out of 6 on the essay, and;

Achieve a total scaled score on all five HiSET subtests of at least 45 out of 100.

B. Shall be at least 18 years of age.

C. Shall submit the medical certificate provided by the Academy, signed by a licensed physician indicating that the applicant is physically and medically fit to undergo physical training at the Academy;

D. Shall meet the physical fitness standards as established by the Board of Trustees;

E. Should have no convictions for Murder, Class A, Class B, Class C, or Class D crime; or convictions for any violation of the Maine Criminal Code, chapters 15, 19, 25, 29, 31, 35, 41 or 45, or a conviction for any equivalent crime in another jurisdiction outside the State of Maine. A person may make application to the Board of Trustees for a waiver of this provision;

F. Should not have engaged in any conduct that is penalized in this state as Murder, Class A, Class B, Class C, or Class D crime, or any provision of the Maine Criminal Code, chapters 15, 19, 25, 29, 31, 35, 41 or 45; or engaged in such conduct in another jurisdiction outside the State of Maine, unless that conduct is not punishable as a crime under the laws of that jurisdiction. A person may make application to the Board of Trustees for a waiver of this provision.

G. Shall complete a state and federal criminal records check through the submission of fingerprints to the State Bureau of Identification and the Federal Bureau of Investigation;

H. Shall be of good moral character, as determined by a thorough background investigation by the hiring agency; and

I. Shall not falsify or misrepresent any information during the application process, background investigation or polygraph examination.

2. Requirements for Admission to the Academy. In order to be admitted to the Law Enforcement Pre-Service Course; an applicant:

Shall be a high school graduate, or have scored as follows on one of the two Board of Trustees approved high school equivalency tests:

General Education Development Test (GED):

not lower than 35 on any one of the 5 parts, and

an average not lower than 45 for all 5 parts, or;

High School Equivalency Test (HISET):

A minimum score of 8 out of 20 on each of the five subtests, and;

A minimum score of 2 out of 6 on the essay, and;

Achieve a total scaled score on all five HiSET subtests of at least 45 out of 100.

B. Shall be at least 21 years of age, unless the applicant has an associate's degree or 60 credit hours of post-secondary education, in which case the applicant must be at least 20 years of age, or unless an applicant for pre-service training is currently enrolled in an accredited post secondary educational program, has completed 40 credit hours, and the applicant is at least l9 years of age;

C. Shall submit the medical certificate provided by the Academy, signed by a licensed physician indicating that the applicant is physically and medically fit to undergo physical training at the Academy;

D. Shall meet the physical fitness standards as established by the Board of Trustees;

E. Should have no convictions for Murder, Class A, Class B, Class C, or Class D crime; or convictions for any violation of the Maine Criminal Code, chapters 15, 19, 25, 29, 31, 35, 41 or 45, or a conviction for any equivalent crime in another jurisdiction outside the State of Maine. A person may make application to the Board of Trustees for a conditional waiver of this provision;

F. Should not have engaged in any conduct that is penalized in this state as Murder, Class A, Class B, Class C, or Class D crime, or any provision of the Maine Criminal Code, chapters 15, 19, 25, 29, 31, 35, 41 or 45; or engaged in such conduct in another jurisdiction outside the State of Maine, unless that conduct is not punishable as a crime under the laws of that jurisdiction. A person may make application to the Board of Trustees for a conditional waiver of this provision;

G. Shall complete a state and federal criminal records check through the submission of fingerprints to the State Bureau of Identification and the Federal Bureau of Investigation;

Shall possess a valid motor vehicle operator's license. If such license is not a Maine license at the time of admission to the Academy, the applicant shall obtain a State of Maine license within any time limits prescribed by Maine law;

Shall be able to read and write at a level necessary to successfully complete the Law Enforcement Pre-Service Training Program as determined by the hiring or sponsoring agency.

Shall be of good moral character, as determined by a thorough background investigation by the hiring agency; or in the case of a person not employed, by the sponsoring agency, after review of the background investigation conducted by a licensed investigator approved by the Board of Trustees;

Effective July 1, 2026 and after, shall successfully complete to the satisfaction of the employer; or in the case of a person not employed, the sponsoring agency and the Board of Trustees, a polygraph examination conducted by a polygraph examiner who is either licensed in the State of Maine or has been previously approved by the Board. The examination shall follow the guidelines in the "Police Applicant Polygraph Testing" manual approved by the Board effective 1/1/2026;

Effective July 1, 2026, shall undergo and complete to the satisfaction of the employer; or in the case of a person not employed, the sponsoring agency, an evaluation of the applicant's suitability to work as a law enforcement officer by a licensed psychologist or licensed psychological examiner with experience in psychological screening in the field of law enforcement. The evaluation shall include, at a minimum, an evaluation of the following characteristics: anxiety, mood, anger, anti-social characteristics, ability to accept criticism, ability to communicate, assertiveness, self-confidence, ability to get along with others, judgment and verbal skills.

Shall complete an oral interview by the hiring agency; or in the case of person not employed, the sponsoring agency.; and

Shall not falsify or misrepresent any information during the application process, background investigation, or polygraph examination.

3. Requirements for Admission to the Academy. In order to be admitted to the Basic Law Enforcement Training Program, an applicant who is employed as a law enforcement officer must meet the standards set forth below. In the case of a person not employed as a law enforcement officer, the applicant must meet the standards set forth below as determined by a Selection Committee established by the Board of Trustees:

Shall be a high school graduate, or have scored as follows on one of the two Board of Trustees approved high school equivalency tests:

General Education Development Test (GED):

not lower than 35 on any one of the 5 parts, and

an average not lower than 45 for all 5 parts, or;

High School Equivalency Test (HISET):

A minimum score of 8 out of 20 on each of the five subtests, and;

A minimum score of 2 out of 6 on the essay, and;

Achieve a total scaled score on all five HiSET subtests of at least 45 out of 100.

B. Shall be at least 21 years of age, unless the applicant has an associate's degree or 60 credit hours of post-secondary education, in which case the applicant must be at least 20 years of age;

C. Shall submit the medical certificate provided by the Academy, signed by a licensed physician, indicating that the applicant is physically and medically fit to undergo physical training at the Academy;

D. Shall meet the physical fitness standards established by the Board of Trustees;

E. Should have no convictions for Murder, Class A, Class B, Class C, or Class D crime; or convictions for any violation of the Maine Criminal Code, chapters 15, 19, 25, 29, 31, 35, 41, or 45, or a conviction for any equivalent crime in another jurisdiction outside the State of Maine. A person may make application to the Board of Trustees for a conditional waiver of this provision;

F. Should not have engaged in any conduct that is penalized in this state as Murder, Class A, Class B, Class C, or Class D crime, or any provision of the Maine Criminal Code, chapters 15, 19, 25, 29, 31, 35, 41 or 45; or engaged in such conduct in another jurisdiction outside the State of Maine, unless that conduct is not punishable as a crime under the laws of that jurisdiction. A person may make application to the Board of Trustees for a conditional waiver of this provision;

G. Shall complete a state and federal criminal records check through the submission of fingerprints to the State Bureau of Identification and the Federal Bureau of Investigation;

H. Shall possess a valid motor vehicle operator's license. If such license is not a Maine license at the time of admission to the Academy, the applicant shall obtain a State of Maine license within any time limits prescribed by Maine law;

I. Shall be able to read and write at a level necessary to successfully complete the Basic Law Enforcement Training Program as determined by the hiring agency.

J. Shall be of good moral character, as determined by a thorough background investigation by the hiring agency; or in the case of a person not employed, by the Academy Selection Committee, after review of the background investigation conducted by a licensed investigator approved by the Board of Trustees;

K. Shall successfully complete to the satisfaction of the employer and the Board of Trustees, or in the case of a person not employed, to the Academy Selection Committee, a polygraph examination conducted by a polygraph examiner who is either licensed in the State of Maine or has been previously approved by the Board. The examination shall follow the guidelines in the "Police Applicant Polygraph Testing" manual approved by the Board effective 1/1/2005 for polygraphs administered until 12/31/2025 and the manual approved by the Board effective 1/1/2026 for polygraphs administered on or after 1/1/2026;

L. Shall undergo and complete to the satisfaction of the employer, or in the case of a person not employed, to the Academy Selection Committee, an evaluation of the applicant's suitability to work as a law enforcement officer by a licensed psychologist or licensed psychological examiner with experience in psychological screening in the field of law enforcement. The evaluation shall include, at a minimum, an evaluation of the following characteristics: anxiety, mood, anger, anti-social characteristics, ability to accept criticism, ability to communicate, assertiveness, self confidence, ability to get along with others, judgment and verbal skills.

M. Shall complete an oral interview by the hiring agency or in the case of a pre-employment candidate, by a panel appointed by the Chair of the Board of Trustees representing state, municipal, and county, law enforcement agencies; and

Shall not falsify or misrepresent any information during the application process, background investigation, or polygraph examination.

4. Requirements for Admission to the Basic Probation and Parole Training Program: In order to be admitted to the Basic Probation and Parole Training Program, an applicant who is employed as a probation officer must meet the standards set forth below.

Meet the minimum qualifications for the probation and parole officer classification as determined by the Maine Bureau of Human Resources;

Have been hired by the Department of Corrections as an adult probation and parole officer, including the completion of an oral interview;

Meet the physical fitness standards established by the Board of Trustees;

Submit the medical certificate provided by the Academy, signed by a licensed physician indicating that the applicant is physically and medically fit to undergo physical training at the Academy;

Have no convictions for Murder, Class A, Class B, Class C, or Class D crime; or convictions for any violation of the Maine Criminal Code, chapters 15, 19, 25, 29, 31, 35, 41 or 45, or a conviction for any equivalent crime in another jurisdiction outside the State of Maine. A person may make application to the Board of Trustees for a conditional waiver of this provision;

Not have engaged in any conduct that is penalized in this state as Murder, Class A, Class B, Class C, or Class D crime, or any provision of the Maine Criminal Code, chapters 15, 19, 25, 29, 31, 35, 41 or 45; or engaged in such conduct in another jurisdiction outside the State of Maine, unless that conduct is not punishable as a crime under the laws of that jurisdiction. A person may make application to the Board of Trustees for a conditional waiver of this provision;

Complete a state and federal criminal records check through the submission of fingerprints to the State Bureau of Identification and the Federal Bureau of Investigation;

Possess a valid motor vehicle operator's license. If such license is not a Maine license at the time of admission to the Academy, the applicant shall obtain a State of Maine license within any time limits prescribed by Maine law;

Be of good moral character, as determined by a thorough background investigation by the Department of Corrections;

Not falsify or misrepresent any information during the application process or background investigation.

History

• STATUTORY AUTHORITY: 25 M.R.S.A. §§ 2801-2809,
• EFFECTIVE DATE: January 12, 1979
• AMENDED: December 25, 1979 - Sec. 3.1(E, G, H), 3.2
• AMENDED: July 4, 1983 - Sec. 1(I)
• AMENDED: September 4, 1985 - Sec. 1(I)
• AMENDED: September 4, 1991
• AMENDED: August 30, 1994 - Sec. 1(B)
• EFFECTIVE DATE (ELECTRONIC CONVERSION): November 27, 1996
• AMENDED: May 5, 1998
• NON-SUBSTANTIVE CORRECTIONS: October 19, 2001 - formatting only
• AMENDED: September 28, 2004 - filing 2004-422
• AMENDED: December 10, 2025 – filing 2025-238
• AMENDED: 16-227 Chapter 3 page 5

Chapter 5 Training Standards

Code Me. R. 16-227 Ch. 5 Training Standards {#sec-16-227-ch.-5 omnilex-key=us-me-regs-official--dept-public-safety--16-227 Ch. 5}

Summary: Chapter 5 of the Maine Criminal Justice Academy Board of Trustees' rules set forth the training requirements established by the Board for actively employed law enforcement, probation and parole, and corrections officers.

1. Law Enforcement Pre-Service Training Program

A. Pursuant to 25 M.R.S.A. §2804-B, every municipal, county, state or non- federal officer with the power to make arrests or the authority to carry a firearm in the course of duty must successfully complete all pre-service training requirements as prescribed in Specification 7 attached and incorporated.

1. The board shall certify law enforcement officers who successfully complete pre-service law enforcement training as reserve or part-time officers.

a. Upon successfully completing the Basic Training Course and meeting the required standards, an individual will receive a Certificate of Eligibility issued by the Board. This certificate will be considered a license to perform law enforcement officer's duties in the State of Maine and be considered lapsed when an officer is no longer employed by a law enforcement agency.

b. This section does not apply to any law enforcement officer certified as meeting the law enforcement training requirements or to any full-time law enforcement officer employed by a state agency including the University of Maine system as of July 1, 1990.

2. Basic Law Enforcement Training Program

Pursuant to 25 M.R.S. §2804-C, every full-time law enforcement officer must successfully complete the Academy's Basic Training Course, the Basic Law Enforcement Training Program (BLETP), within 12 months of initial full-time employment subject to the waiver and extension provisions of Chapter 9 of these rules. The BLETP curriculum approved by the Board is 720 hours and can be delivered in 18 to 20 weeks at the discretion of the Director based on needs related to class size, availability of training facilities, and availability of instructors / cadre / assisting instructional staff.

Upon successfully completing the Basic Training Course and meeting the required standards, an individual will receive a Certificate of Eligibility issued by the Board. This certificate will be considered a license to perform law enforcement officer's duties in the State of Maine and be considered lapsed when an officer is no longer employed by a law enforcement agency. All students who attend the BLETP shall have met the Board’s preservice requirements, per 25 M.R.S. §2804-B, if they are employed as a full-time law enforcement officer. These officers will be given a provisional Certificate of Eligibility to act as a full-time law enforcement officer in the State of Maine upon being hired. All other students who attend the BLETP that are non-sworn employees of a law enforcement agency, or any tuition student, will not be given a provisional Certificate of Eligibility to act as a full-time law enforcement officer in the State of Maine.

This section does not apply to any law enforcement officer certified as meeting the law enforcement training requirements or to any full-time law enforcement officer employed by a state agency including the University of Maine system as of July 1, 1990.

The Board may waive portions of the Basic Police Training Course for persons who have been employed full-time with a State agency and who have been granted law enforcement powers. The initial employment must have occurred prior to September 23, 1971. The employment must be for a minimum of 20 years on the date of application to the Board.

Pursuant to 23 M.R.S. §6072, every railroad police officer must successfully complete the Basic Law Enforcement Training Program at the Academy.

The following requirements are specified for the certification of Basic Law Enforcement Training Program graduates. The Director, with the approval of the Board of Trustees, sets standards for successful completion. If a student fails to meet any of the requirements described below, the student and the student’s agency may petition the Board for a waiver or modification of the requirements in question.

Application procedures for the Basic Law Enforcement Training Program (BLETP). Upon hiring as a full-time law enforcement officer applicant for the BLETP, the employing agency will submit the following information to the Board on forms approved by the Director:

• 1. MCJA notice of employment signed by the agency’s Chief Administrative Officer 2. MCJA application to attend the BLETP signed by the applicant and the agency’s Chief Administrative Officer. 3. MCJA medical examination form signed by a licensed physician and the applicant. 4. MCJA background information form signed by the applicant and the agency’s Chief Administrative Officer. 5. MCJA Pre-employment Polygraph Report Form (PE-1) signed by the polygrapher. 6. MCJA Polygraph examination form signed by the agency’s Chief Administrative Officer. 7. MCJA Psychological Examination form signed by the agency’s Chief Administrative Officer. 8. MCJA Motor Vehicle License Status Verification form signed by the agency’s Chief Administrative Officer.

Certification: The Board will issue a certificate of eligibility to perform the duties of a full-time law enforcement officer in the State of Maine to a BLETP student who completes all of the following:

1. Attends all sessions of the BLETP, except absences approved by the Training Supervisor.
2. Attends a minimum of 90% of the prescribed curriculum. 1. EXCEPTION: If a student has successfully completed at least 560 hours of the 720-hour BLETP course and passed all course requirements to the point of leave / absence for either leave under the Family Medical Leave Act or a military commitment, the student and the student’s agency may petition the Director to complete the remainder of the unfinished session in the next available session of the BLETP.
3. Successfully passes all weekly and major academic exams with a minimum score of at least 75% and shall achieve a minimum cumulative academic average of 75% or greater. If a student fails an exam, no more than two make-up exams will be offered.
4. Achieves a passing professional score of 80% or greater at the conclusion of the program. This score is a reflection of the Professional Value System, as outlined in the BLETP Cadet Orientation and Curriculum Guide.
5. Demonstrates competency and safety in the handling of his or her service weapons. Each student shall achieve a minimum proficiency over a course of fire approved by the Director. This score is a reflection of the Firearms Course, as outlined in the BLETP Cadet Orientation and Curriculum Guide. The proficiency standard is 80%.
6. Demonstrates proficiency in the Emergency Vehicle Operations Course (EVOC), by successfully completing a program approved by the Board. This score is a reflection of the Emergency Vehicle Operations Course, as outlined in the BLETP Cadet Orientation and Curriculum Guide. The proficiency standard is 70%.
7. Demonstrates proficiency in the Mechanics of Arrest, Restraint and Control (MARC) Course by successfully completing a program approved by the Board, which test counts for 50% of the final grade. The student must pass a MARC scenario at the end of the program, which counts for 50% of the final grade. If a student fails the MARC scenario, no more than two make-up scenarios will be offered. This total score is a reflection of the MARC Course, as outlined in the BLETP Cadet Orientation and Curriculum Guide. The proficiency standard is 75%.
8. Fully participates in all aspects of firearms and MARC training. Each student must also attend at least 75% of firearms and MARC skills training, notwithstanding the requirement outlined in section 2.E.2, above.
9. Meets the physical fitness exit standard at the time of their final physical fitness assessment at the 50^th percentile according to age and gender normed standards, as approved by the Board.
10. Successfully takes and passes the certification exam, which is administered at the end of the course, with a minimum score of 75%.

Tuition students who have successfully completed all of the requirements in section 2.E will receive a Certificate of Completion of the BLETP. Upon the Academy’s receipt of the Notice of Employment form indicating that a tuition student has been hired as a full-time law enforcement officer by a law enforcement agency, the tuition student will receive a Certificate of Eligibility to act as a full-time law enforcement officer in the State of Maine.

Continuing certification. To maintain a Certificate of Eligibility to act as a full-time officer in the State of Maine, a law enforcement officer must complete the annual mandatory in-service training, per 25 M.R.S §2804-E by December 31^st of each calendar year.

Recertification.

1. For recertification as a full-time law enforcement officer with less than 2 years of inactivity, the following documentation must be submitted: 1. MCJA Notice of Employment signed by the Chief Administrative Officer. 2. Proof of completion of the prior mandatory in-service law enforcement training during which they were inactive.
2. For Recertification as a full-time law enforcement officer with 2 or more years of inactivity, the following documentation must be submitted: 1. MCJA Notice of Employment signed by the Chief Administrative Officer. 2. MCJA background form signed by the applicant and the Chief Administrative Officer. 3. Proof of completion of the 2 years of prior mandatory in-service law enforcement training. 4. Proof of completion of the Board approved Law Enforcement Recertification Course. 5. Proof of successful completion of the Law Enforcement Recertification Exam.
3. After the required documentation is submitted and approved by MCJA staff , a Provisional Certificate of Eligibility will be issued for a full-time law enforcement officer. The Provisional Certificate is valid for up to 6 months to successfully complete the full-time Law Enforcement Officer’s Certification Exam.
4. If a full-time law enforcement officer with a Provisional Certificate of Eligibility passes the full-time Law Enforcement Officer’s Certification Exam, with a minimum score of 75%, the Director will issue a Certificate of Eligibility for a full-time law enforcement officer.

3-A. Basic Corrections Training Program (“BCTP”) for Adult Corrections Officers

Pursuant to 25 M.R.S. § 2804-D every adult corrections officer must successfully complete within 12 months from the commencement of employment a basic training course approved by the Board. This section creates the Basic Corrections Training Program (“BCTP”) as the training course for adult corrections officers. The BCTP consists of a minimum of 200 training hours of Board-approved curriculum.

Application procedures for BCTP. Upon hiring or assigning an individual as an adult corrections officer, the employing agency will submit the following information to the Board on forms approved by the director:

1. MCJA notice of employment signed by the agency head.

2. MCJA application to attend the BCTP signed by the applicant and agency head.

3. MCJA medical examination form signed by a licensed physician.

4. MCJA background information form signed by the applicant and agency head and notarized.

If an emergency arises that requires an agency to temporarily assign personnel to perform correctional officer duties, the agency shall inform the Board of any such emergency assignments as soon as practical thereafter.

Certification. The Board will issue a certificate of eligibility to perform the duties of an adult corrections officer in the State of Maine to a BCTP student who:

1. Attends a minimum of 90% of the BCTP total hours of instruction.
2. Attends and fully participates in all aspects of the following BCTP modules:

• 1. Mechanics of Effective Restraint and Control.
• 1. Situational Use of Force.
• 1. Constitutional and Civil Rights, and ADA.
• 1. Basic Communications, Body Language, and IPC Skills.
• 1. The identifying, understanding, and responding to signs of mental illnesses and substance abuse disorder course required by 25 M.R.S. § 2804-D(1).

1. Successfully passes the BCTP Certification Examination with a minimum score of 75%.
2. Completes 80 hours of agency field training supervised by a certified Corrections Officer(s), to include all otherwise required state and agency training (e.g., emergency fire procedures, agency policy, CPR). The agency must record the training on a form approved by the director and submit it to the Board for review and approval within one year of graduation from the BCTP.

Lapse of certification. A certificate of eligibility issued to an adult corrections officer shall lapse when the officer is no longer employed by an adult correctional agency.

Recertification.

1. The Board will recertify an adult corrections officer whose certificate has lapsed if the adult corrections officer becomes reemployed by an adult correctional agency within two years of the lapse of their certificate if they: 1. Submit an application for recertification on a form approved by the director; and 2. Submit proof of completion of the prior two years of mandatory in-service corrections training.
2. If an adult corrections officer’s certificate has lapsed for over 2 years but less than 10 years, the Board will recertify the officer if they: 1. Submit an application for recertification on a form approved by the director; 2. Submit proof of completion of the two prior years of mandatory in-service corrections training; 3. Submit proof of completion of the Board approved Adult Corrections Officer Recertification Course, which shall consist of a minimum of 40 hours of instruction; and 4. Pass the BCTP Certification Examination with a minimum score of 75% within one year from date of hire, or as permitted by an extension from the Board.
3. If an adult corrections officer’s certificate has lapsed for 10 years or more, the Board will recertify the officer only if they complete all the requirements of section 3-A(C).

3-B. Juvenile Basic Corrections Training Program

Pursuant to 25 M.R.S. § 2804-D every juvenile corrections officer must successfully complete within 12 months from the commencement of employment a basic training course approved by the Board. This section creates the Juvenile Basic Corrections Training Program (“JBCTP”) as the training course for juvenile corrections officers. The JBCTP consists of a minimum of 200 training hours of Board approved curriculum.

Application procedures for JBCTP. Upon hiring or assigning an individual as a juvenile corrections officer, the employing agency will submit the following information to the Board on forms approved by the director:

MCJA notice of employment signed by the agency head.

MCJA application to attend the JBCTP signed by the applicant and agency head.

MCJA medical examination form signed by a licensed physician.

MCJA background information form signed by the applicant and agency head and notarized.

Certification. The Board will issue a certificate of eligibility to perform the duties of a juvenile corrections officer in the State of Maine to a JBCTP student who:

Attends a minimum of 90% of the JBCTP total hours of instruction.

Attends and fully participates in all aspects of the following JBCTP modules:

Mechanics of Effective Restraint and Control or an equivalent Board approved program focused on managing residents in a juvenile correctional facility.

The verbal and physical de-escalation program, including JBCTP instructional block 4.6 Calm Every Storm or an equivalent Board approved course.

Situational Use of Force.

Constitutional and Civil Rights and Americans with Disabilities Act.

Adolescent Development.

The identifying, understanding, and responding to signs of mental illnesses and substance abuse disorder course required by 25 M.R.S. § 2804-D(1).

Successfully passes the JBCTP Certification Examination with a minimum score of 75%.

Completes 80 hours of agency field training supervised by a certified Juvenile Corrections Officer(s), to include all otherwise required state and agency training (e.g., emergency fire procedures, agency policy, CPR). The agency must record the training on a form approved by the director and submit it to the Board for review and approval within one year of graduation from the JBCTP.

If an emergency arises that requires an agency to temporarily assign personnel to perform juvenile correctional officer duties, the agency shall inform the Board of any such emergency assignments as soon as practical thereafter.

Lapse of certification. A certificate of eligibility issued to a juvenile corrections officer shall lapse when the officer is no longer employed by a juvenile correctional agency.

Recertification.

1. The Board will recertify a juvenile corrections officer whose certificate has lapsed if the juvenile corrections officer becomes reemployed by a juvenile correctional agency within two years of the lapse of their certificate if they: 1. Submit an application for recertification on a form approved by the director; and 2. Submit proof of completion of the two prior years of Board approved mandatory in-service corrections training.
2. If a juvenile corrections officer’s certificate has lapsed for over 2 years but less than 10 years, the Board will recertify the officer if they:

Submit an application for recertification on a form approved by the director;

Submit proof of completion of the two prior years of mandatory in-service corrections training;

Submit proof of completion of the Board approved Juvenile Corrections Officer Recertification Course, which shall consist of a minimum of 40 hours of instruction; and

Pass the JBCTP Certification Examination with a minimum score of 75% within one year from date of hire, or as permitted by an extension from the Board.

If a juvenile corrections officer’s certificate has lapsed for 10 years or more, the Board will recertify the officer only if they complete all requirements of Section 3-B(C).

4. Maine Law Enforcement Certification Test

A. All state, county and municipal law enforcement officers who complete the Basic Law Enforcement Training Program and who have the power to arrest and authority to carry a firearm must pass a certification examination, based on the core curriculum content of duties, as approved by the Board of Trustees and outlined in Specification S-1.

1. Only students who have been certified by the Academy Director as having met all of the requirements of the course as outlined by the particular Specification will be eligible to take the "Maine Law Enforcement Certification Test."

2. Students who fail to pass the certification examination will be allowed to retake the examination a maximum of two times within the first year of employment. Those students who failed the examination twice will be referred to the Board for further deliberation of their status.

5. In-Service Training - Pursuant to 25 M.R.S.A. §2804-E and §2804-F

A. As a condition to continued employment as a municipal, county, state and other non-federal law enforcement officer, a person must successfully complete an annual in-service training program conducted or certified by the Academy. The in-service training requirements shall include information on new laws and court decisions and on new enforcement practices demonstrated to reduce crime or increase officer safety. The Board may prescribe the extent of such training in the Specifications.

1. Any certified law enforcement officer who leaves such employment for any reason and is not employed in a law enforcement capacity for a period of 2 years after termination shall no longer be considered qualified under §2804-B and §2804-C.

a. If an individual is employed as a law enforcement officer after a 2-year period of inactivity, the Board may issue a Provisional Certificate of Eligibility to be valid for a period not to exceed 12 months. During this provisional period, the Board shall review the individual's background and shall have the options of recertification, requiring attendance at a pre-service course and/or conducting an examination prior to issuing a further certificate of eligibility.

B. As a condition to continued employment, every municipal, county, state or non-federal corrections officer must successfully complete an annual in-service training program conducted or certified by the Board. The in-service training requirements shall include information on new laws and court decisions.

C. Extension of time limit for In-Service Training. The Board may grant an extension of time for completion of the required in-service training requirement of Title 25 M.R.S.A. §2804 E(1) and §2804 F(1) upon presentation of satisfactory evidence that a law enforcement or corrections officer is unable to complete the required in-service training within the time limit prescribed because of illness, injury, military service, or special duty assignment required and made in the public interest of the concerned agency; or, in the discretion of the Board, upon presentation of evidence by a department that a law enforcement or corrections officer is unable to complete the required in-service training within the time prescribed. Time extensions granted under this subsection shall not exceed that which is reasonable, bearing in mind each individual's circumstances.

6. Harbor Master Training

Pursuant to 25 M.R.S.A. §2803-A (7) in order to be certified as a Harbor Master a person must successfully complete the Harbor Master training course as prescribed in Specification S-22, attached and incorporated.

Upon successfully completing the Harbor Master training course and meeting the required standards, a person shall receive a Certificate of Eligibility issued by the Board. This certificate will be considered a license and grants the power to make an arrest and authority to carry a firearm in the State of Maine and will be considered lapsed when an individual is no longer employed by that agency.

7. Basic Probation and Parole Training Program

Pursuant to 25 M.R.S. § 2804-M every adult probation and parole officer must successfully complete within 12 months from the commencement of employment a basic training course approved by the Board. This section creates the Basic Probation and Parole Training Program (“BPPTP”) as the training course for adult probation and parole officers. The BPPTP consists of a minimum of 200 training hours of Board-approved curriculum.

The following requirements are specified for the certification of Basic Probation and Parole Training Program graduates. The Director, with the approval of the Board of Trustees, sets standards for successful completion. If a student fails to meet any of the requirements described below, the student and the Department of Corrections may petition the Board for a waiver or modification of the requirements in question.

Application Requirements: Upon hiring or assigning an individual as an adult probation and parole officer, the Department of Corrections will submit the following information to the Board on forms approved by the Director:

MCJA notice of employment signed by the Commissioner of Corrections.

MCJA application to attend the BPPTP signed by the applicant and the Commissioner of Corrections.

MCJA medical examination form signed by a licensed physician.

MCJA background information form signed by the applicant.

MCJA background information form signed by the Commissioner of Corrections.

Certification: The Board will issue a certificate of eligibility to perform the duties of an adult probation and parole officer in the State of Maine as follows:

Pursuant to 25 M.R.S. §2801-A(7-A) and §2803-A(5-C), probation and parole officers employed and previously trained as probation officers by the Department of Corrections prior to July 1, 2025 who are in good standing and have demonstrated having acquired specific knowledge and skills directly related to job performance are certified as probation and parole officers. Upon enactment of this amended rule, the Department of Corrections will certify to the Director a list of probation officers having this status for issuance of certifications, or;

Adult probation and parole officers trained on or after July 1, 2025 must complete the following:

1. Attends a minimum of 90% of the BPPTP total hours of instruction.
2. Attends and fully participates in all aspects of the following BPPTP modules: 1. Mechanics of Arrest, Restraint and Control; 2. Situational Use of Force; 3. Probation Law, Physical Evidence and Search, and Probation Violations; 4. Firearms 5. Officer Safety; 6. Motivational Interviewing; 7. LSI-R; and 8. Supervising Clients with Domestic Violence Convictions or Conditions.
3. Successfully passes the BPPTP Certification Examination with a minimum score of 75%.
4. Demonstrates competency and safety in the handling of their service weapons. Each student shall achieve a minimum proficiency over a course of fire approved by the Director. The proficiency standard is 80%.
5. Demonstrates proficiency in the Mechanics of Arrest, Restraint and Control (MARC) Course by successfully completing a program approved by the Board, which test counts for 50% of the final grade. The student must pass a 3-minute drill at the end, which counts for 50% of the final grade. If a student fails the MARC drill, no more than two make-up drills will be offered. The proficiency standard is 75%.
6. Fully participates in all aspects of firearms and MARC training. Each student must also attend at least 75% of these skills trainings.
7. Completes 80 hours of Department of Corrections field training, to include all otherwise required state and Department training (e.g., emergency fire procedures, Department policy, CPR). The Department must record the training on a form approved by the Director and submit it to the Board for review and approval within one year of graduation from the BPPTP.

Continuing Certification: To maintain a Certificate of Eligibility to act as a probation and parole officer in the State of Maine, a probation and parole officer must complete the annual mandatory in-service training, per 25 M.R.S §2804-N by December 31^st of each calendar year, which must include training on new laws and court decisions, if applicable.

Lapse of certification: A certificate of eligibility issued to an adult probation and parole officer shall lapse when the officer is no longer employed by the Department of Corrections.

Recertification: If a previously certified officer is re-hired by the Department of Corrections into a probation and parole officer role, depending on the length of time since their certification lapsed, they are eligible for recertification as follows:

1. Two years or less: The Board will recertify an adult probation and parole officer whose certificate has lapsed if the officer becomes reemployed by the Department of Corrections within two years of the lapse of their certificate if they: 1. Apply for recertification on a form approved by the Director; and 2. Submit proof of completion of the prior two years of mandatory in-service adult probation and parole officer training.
2. More than 2 years and less than 10 years: If an adult probation and parole officer’s certificate has lapsed for over 2 years but less than 10 years, the Board will recertify the officer if they: 1. Apply for recertification on a form approved by the Director; 2. Submit proof of completion of the prior two years of mandatory in-service adult probation and parole training; 3. Submit proof of completion of the Board approved adult probation and parole officer recertification course, which shall consist of a minimum of 40 hours of instruction; and 4. Pass the BPPTP Certification Examination with a minimum score of 75% within one year of hire, or as permitted by an extension from the Board.
3. More than 10 years: If an adult probation and parole officer’s certificate has lapsed for 10 years or more, the Board will recertify the officer only if they complete all the requirements of sections 7.C and 7.D.

History

• STATUTORY AUTHORITY: 25 M.R.S.A. §§ 2801-2809
• EFFECTIVE DATE: January 12, 1979
• AMENDED: December 25, 1979
• AMENDED: June 30, 1984 - Sec. 1, 2, 3 & 4
• AMENDED: August 12, 1984 - Section 1 (A) (1)
• AMENDED: September 4, 1991
• EFFECTIVE DATE (ELECTRONIC CONVERSION): November 27, 1996
• AMENDED: May 5, 1998
• NON-SUBSTANTIVE CORRECTIONS: October 19, 2001 - formatting only
• AMENDED: September 28, 2004 - filing 2004-423
• AMENDED: December 10, 2025 – filing 2025-239
• AMENDED: MAINE CRIMINAL JUSTICE ACADEMY
• AMENDED: A Bureau of the Department of Public Safety
• AMENDED: PRESERVICE OFFICER TRAINING CERTIFICATION
• AMENDED: Specification S-7
• AMENDED: The following requirements are specified for the certification of Law Enforcement Officers, full and part-time officer graduates from the Pre-service Officer Training School. This portion of training may be waived by completing the Basic Law Enforcement Training Program, Specification 1.
• AMENDED: 1. Each student shall be required to attend all sessions of the school except absences approved by the school supervisor. No trainees will be certified when his excused absences exceed ten percent of the hours of the instruction time. The Academy Director may excuse attendance when candidate is deemed qualified for a waiver of the Basic Police Course.
• AMENDED: 2. As a requirement for the successful completion and certification from the Pre-service Officer Training Course each student must have a passing cumulative academic average of 70% at the conclusion of the school. Failure to obtain the required cumulative average will be cause for withholding certification.
• AMENDED: 3. Each student will be required to successfully complete the Cardio-Pulmonary Resuscitation Course in accordance with the standards of the American Heart Association or American Red Cross.
• AMENDED: 4. 100 hours of instruction.
• AMENDED: 5. Upon hire as a law enforcement officer each student shall demonstrate safe and proficient competency in the handling of firearms and must qualify with a department approved service weapon on a course of fire approved by the Director. Documentation of competency and qualification shall be attested to by an Academy Certified Firearms Instructor on a form approved by the Academy prior to certification being issued.
• AMENDED: MAINE CRIMINAL JUSTICE ACADEMY
• AMENDED: A Bureau of the Department of Public Safety
• AMENDED: HARBOR MASTER BASIC TRAINING COURSE
• AMENDED: Specification S-22
• AMENDED: The following requirements are specified for certification of Harbor Masters as required by Title 25 M.R.S.A. SS 2803-A, subsection 7 and authorized to make arrest under Title 38, Chapter 1, subchapter 1, relevant to their duties as Harbor Master.
• AMENDED: This certification empowers Harbor Masters to perform related law enforcement duties only; no general law enforcement authority outside this limited scope of duty is intended nor granted.
• AMENDED: Requirements:
• AMENDED: 1. Be employed as a Harbor Master, and;
• AMENDED: 2. Successfully complete the pre-service law enforcement training as required of Reserve Officers, and;
• AMENDED: 3. Within a year of employment successfully complete the Harbor Master training course as prescribed by the Board.
• AMENDED: 4. 12 hours of instruction.
• AMENDED: Procedures:
• AMENDED: 1. Harbor Masters who have sworn power to arrest and/or authority to carry a firearm in the course of duty will enroll in a reserve officer training course.
• AMENDED: 2. Knowledge and skills training of Harbor Master Duties will be conducted at sites specified by the Academy.
• AMENDED: 3. Certification will be issued on completion of both levels of training.

Chapter 7 Certificates and Awards

Code Me. R. 16-227 Ch. 7 Certificates and Awards {#sec-16-227-ch.-7 omnilex-key=us-me-regs-official--dept-public-safety--16-227 Ch. 7}

Summary: Chapter 7 of the Maine Criminal Justice Academy Board of Trustees' rules sets forth the certificates awarded by the Board and the conditions attached thereto.

1. Purpose.

Certificates and awards may be presented by the Board for the purpose of raising the level of competence of law enforcement and corrections officers and to promote cooperation among law enforcement and corrections agencies.

2. Cancellation.

The Board may revoke any certificate awarded to a law enforcement or corrections officer if it finds that such officer falsified any information required to obtain certification, or in any way misled the Board as to any material facts relevant to such certification.

3. When Awarded.

The Board shall award certificates as follows:

A. To every person successfully completing the basic training course for municipal, county and state law enforcement officers, as prescribed in Specification S-1.

B. To every person successfully completing the basic training course for corrections officers as prescribed in Specification S-3 or Specification 3-A.

C. To every law enforcement and corrections office successfully completing in- service training as prescribed in the Specifications.

D. To every chief of police or sheriff who satisfies the standards for such certification as prescribed in Specification S-4 or Specification S-4A.

E. To such courses and instructors as the Board shall determine to have satisfied the Standards for such certification prescribed in Specifications S-5 and S-6.

F. To every person successfully completing the Pre-service Training Course for state, county and municipal law enforcement officers as prescribed by Specification S-7.

G. To every person successfully completing the Municipal Ordinance Prosecutor's Certificate Course for state, county and municipal law enforcement officers as prescribed by Specification S-19.

H. To every person successfully completing the Court Security Training Course for state, county and municipal law enforcement officers as prescribed by Specification S-20.

I. To every person successfully completing the Crash Reconstruction Specialist Certification course for state, county and municipal law enforcement officers as prescribed by Specification S-21.

J. To every person successfully completing the Harbor Master Basic Training Course for state, county and municipal law enforcement officers as prescribed by Specification S-22.

K. To every person successfully completing the standards of certification for Canine Handlers for state, county and municipal criminal justice personnel as prescribed by Specification S-23, S-24.

L. To every person successfully completing the standards of certification for Capitol Security Officer as prescribed by Specification S-27.

M. To every person successfully completing the standards of certification for Drug Recognition Technician as prescribed by Specification S-28.

N. To every person successfully completing the standards for Law Enforcement Recertification as prescribed by Specification S-30.

O. To every person successfully completing the standards for Corrections Full-Time Recertification as prescribed by Specification S-31.

P. To every person successfully completing the standards for Immigration and Naturalization Service Border Patrol Agent, INS Special Agents and INS Inspector Certification as prescribed by Specification S-32.

History

• STATUTORY AUTHORITY: 25 M.R.S.A. §2803-A
• EFFECTIVE DATE: January 12, 1979
• AMENDED: December 25, 1979 - Sec. 7.3(H)
• AMENDED: September 4, 1991
• EFFECTIVE DATE (ELECTRONIC CONVERSION): November 27, 1996
• AMENDED: May 5, 1998
• NON-SUBSTANTIVE CORRECTIONS: October 19, 2001 - formatting only
• AMENDED: September 28, 2004 - filing 2004-424
• AMENDED: 16-227 Chapter 7 page 2

Chapter 9 Extensions and Waivers

Code Me. R. 16-227 Ch. 9 Extensions and Waivers {#sec-16-227-ch.-9 omnilex-key=us-me-regs-official--dept-public-safety--16-227 Ch. 9}

Summary: Chapter 9 of the Maine Criminal Justice Academy Board of Trustees' rules implements the statutorily mandated provisions regarding extensions of time for attending training courses and waivers of training requirements.

1. Extension of Time for Law Enforcement Basic Training.

Pursuant to 25 M.R.S.A. §2804-C and in extenuating and emergency circumstances, the Board may extend the twelve-month period within which basic training is required for a period of time up to that allowed by statute.

2. Extension of Time for Corrections Basic Training.

In extenuating and emergency circumstances, the Board may extend the twelve-month period within which basic training is required for a period of time up to that allowed by statute.

3. Basic Law Enforcement Training Program Waivers.

A. In order to obtain a waiver, the applicant must demonstrate compliance with all Basic Law Enforcement Training Program entrance standards, as set forth in Chapter III except with respect to subsections C, D, K, L and M of Chapter III of these rules.

B. After compliance with paragraph A of this section, pursuant to 25 M.R.S.A. §2804-C, the Board may waive the required basic training course at the Academy under the following circumstances:

1. The applicant must be employed full-time or have been granted a conditional offer of employment, as defined in 25 M.R.S.A. §2801-A (4), by the requesting agency, and

2. The applicant must have successfully completed an equivalent course. To be equivalent, a course must include completion of a state or federally regulated entry level law enforcement training program. If the Board determines that the entry level law enforcement training program is not equivalent to the one offered at the Academy, the Board will allow the applicant to supplement the course with the following:

a. The completion of in-service level law enforcement training;

b. The completion of post-secondary education in law enforcement or criminal justice; and

Experience as a full-time law enforcement officer.

The Board will consider the above to determine if the applicant has completed an equivalent course.

3. The applicant must document all courses taken to the satisfaction of the Board. The applicant must provide a detailed curriculum of the entry level law enforcement training program and any other training submitted for consideration.

4. The applicant must have been employed as a full-time law enforcement officer within a two year period prior to an application for a waiver. If the applicant has not been so employed, that person shall provide evidence to demonstrate to the satisfaction of the Board, knowledge of current law enforcement practices or provide other criminal justice related experience.

5. The applicant must meet the standards of the Pre-Service Training Program by demonstrating proficiency with a service weapon to the basic law enforcement school standard, passing examinations administered in the Law Enforcement Pre-Service Course and completing the following instructional legal units of the basic law enforcement course:

Maine Criminal Law

Maine Motor Vehicle Law

Maine Juvenile Law

Maine Liquor Law

C. Board Action. Upon receipt of all required documentation, the Academy staff will prepare the application for formal action by the Board. The Board may act as follows:

1. If the Board finds that the applicant has satisfied the entrance standards and has completed an equivalent course, it may grant a conditional waiver of the Basic Training Requirement pursuant to 25 M.R.S.A., §2804-C. The applicant's waiver shall become final if, within one year of employment as a full time law enforcement officer, the applicant successfully passes the Law Enforcement Officer Certification Examination.

2. If the Board finds that the applicant has not completed an equivalent course or does not otherwise qualify, it will deny the application for a waiver of the basic training requirements. Upon such denial, the provisions of 25 M.R.S.A. §2806 shall apply.

3. Corrections Basic Training Waiver.

A. The applicant must first satisfy all Basic Corrections Program entrance standards, as set forth in Chapter III of these rules.

B. Pursuant to 25 M.R.S.A. §2804-D, as to full-time corrections officers employed after July 6, 1978, the Board will waive the required basic training course at the Academy under the following circumstances:

1. The applicant must be employed full-time or have been granted a conditional offer of employment, as defined in 25 M.R.S.A. §2801-A(2), by the requesting agency, and

2. The applicant must have successfully completed an equivalent course. To be equivalent, a course must include completion of an entry level corrections training course recognized by another state or federal agency within the last 2 years. If the Board determines that the entry level course is not equivalent to the one offered at the Academy, the Board will allow the applicant to supplement the course with the following:

a. The completion of in-service corrections level training;

b. The completion of post-secondary education in corrections or related areas;

Experience as a full time correction officer.

The Board will then consider the above to determine if the applicant has completed an equivalent course.

C. Upon receipt of all required documentation, the Academy staff will prepare the application for formal action by the Board. If the Board finds that the applicant has completed an equivalent course, it will grant a waiver of the basic corrections training requirement. If the Board finds that the applicant has not completed an equivalent course, it will deny the application for waiver of the basic corrections training requirement. Upon such denial, the provisions of 25 M.R.S.A. §2806 shall apply.

History

• STATUTORY AUTHORITY: 25 M.R.S.A. §§ 2801-2809
• EFFECTIVE DATE: January 12, 1979
• AMENDED: December 25, 1979
• AMENDED: July 25, 1982 - Sec. 1, 2 & 3
• AMENDED: June 30, 1984 - Sec. 2 (B)
• AMENDED: September 4, 1991
• EFFECTIVE DATE (ELECTRONIC CONVERSION): November 27, 1996
• AMENDED: May 5, 1998
• NON-SUBSTANTIVE CORRECTIONS: October 19, 2001 - formatting only
• AMENDED: September 28, 2004 - filing 2004-425
• NON-SUBSTANTIVE CORRECTION: November 1, 2004 - removal of stray underline in 3.A.
• NON-SUBSTANTIVE CORRECTION: 16-227 Chapter 9 page 4

Chapter 11 Costs

Code Me. R. 16-227 Ch. 11 Costs {#sec-16-227-ch.-11 omnilex-key=us-me-regs-official--dept-public-safety--16-227 Ch. 11}

Summary: Chapter 11 of the Maine Criminal Justice Academy Board of Trustees' rules sets forth the fees charged by the Board to each agency sending law enforcement officers, corrections officers and other criminal justice personnel to the basic training courses and other training courses.

1. Fees.

A. All Municipal, County, State or non-Federal law enforcement agencies that send an employee to the Basic Law Enforcement Training Program shall pay a sum per employee, as prescribed by the Board of Trustees, to the Academy before the school in which the employee or employees are enrolled commences.

B. Each individual who is enrolled in a Pre-service Training Program will be assessed a fee as prescribed by the Board of Trustees. This fee will be collected upon enrollment of the student and made payable to the Academy.

C. Each applicant who is a full-time law enforcement officer or corrections officer and applies for a waiver of the Basic Courses shall pay a fee as prescribed by the Board.

D. Each applicant shall pay a sum, as prescribed by the Board of Trustees, to the Academy to meet the cost of administering the reading and writing entrance examination.

E. Each applicant shall pay a sum, as prescribed by the Board of Trustees, to the Academy to meet the cost of administering the physical fitness entrance examination.

F. Each pre-employment applicant to the Basic Law Enforcement Training Program shall pay a sum as prescribed by the Board of Trustees, to the Academy to meet the cost of administering the application process

G. Each pre-employment student to the Basic Law Enforcement Training Program shall pay a sum, as prescribed by the Board of Trustees, to the Academy for course tuition.

H. The Board of Trustees shall establish a fee schedule for training and all other services provided by the Maine Criminal Justice Academy to help defray the cost of such training and services.

History

• STATUTORY AUTHORITY: 25 M.R.S.A §2803-A(10);
• EFFECTIVE DATE: January 12, 1979
• AMENDED: November 11, 1979
• AMENDED: July 25, 1982
• AMENDED: July 4, 1983 - Sec. I (D)
• AMENDED: September 5, 1991
• EFFECTIVE DATE (ELECTRONIC CONVERSION): November 27, 1996
• NON-SUBSTANTIVE CORRECTIONS: October 19, 2001 - formatting only
• AMENDED: September 28, 2004 - filing 2004-426
• NON-SUBSTANTIVE CORRECTION: November 1, 2004 - removal of stray underline in 1.A.
• NON-SUBSTANTIVE CORRECTION: 16-227 Chapter 11 page 2

Chapter 13 Minimum Standards for Mandatory Policy on Response to Domestic Abuse

Code Me. R. 16-227 Ch. 13 Minimum Standards for Mandatory Policy on Response to Domestic Abuse {#sec-16-227-ch.-13 omnilex-key=us-me-regs-official--dept-public-safety--16-227 Ch. 13}

16 DEPARTMENT OF PUBLIC SAFETY

227 MAINE CRIMINAL JUSTICE ACADEMY BOARD OF TRUSTEES

Minimum Standards for Mandatory Policy on Response to Domestic Abuse

SUMMARY: This chapter establishes the minimum standards for a mandatory law enforcement agency written policy on Response to Domestic Abuse required by 25 M.R.S. § 2803-B(1)(D).

SECTION 1: PURPOSE

The purpose of this chapter is to establish the minimum standards for a mandatory written law enforcement agency policy on Response to Domestic Abuse required by 25 M.R.S. § 2803-B(1)(D).

SECTION 2: DEFINITIONS

As used in this chapter, unless the context otherwise indicates, the following terms have the following meanings:

Law enforcement agency. “Law enforcement agency” means any state, county, municipality, or other political unit within the territory belonging to the State or any department, agency, or subdivision of any of the foregoing, any tribal government, or any corporation, agricultural society, or other association carrying out the functions of government that employs law enforcement officers.

SECTION 3: MINIMUM POLICY STANDARDS

A law enforcement agency shall adopt a written policy regarding response to domestic abuse, which at a minimum includes provisions for the following:

A policy statement that recognizes domestic abuse as a serious crime against the individual and society.

A requirement that officers be familiar with the provisions of 15 M.R.S. § 321 (protective orders in crimes between family members), 19-A M.R.S. chap. 103 (protection from abuse), 17-A M.R.S. chap. 9 (offenses against the person), 17-A M.R.S. § 15 (warrantless arrests by a law enforcement officer), and the applicable chapters of the most recent edition of the Maine Law Enforcement Officer’s Manual (LEOM).

Emergency Communication Specialist (ECS) procedures regarding the receipt and response to a call for service. These procedures must address: receipt and prioritization of the call; the information that should be elicited from the caller; the exigency of a situation; excited utterances; providing responding officers with any information of a recorded prior incident of abuse involving the abused party and verifying the effective dates and terms of a recorded order of protection; providing responding officers with any available information concerning either party; and the necessity of a back-up unit. These procedures must include instructions for the receipt and handling of temporary or final protection from abuse orders to ensure that service of the orders are attempted without delay.

Complaint response procedures, which must address: receipt of the call; tactical approach to the call; initial contact; situation control process, on-scene investigation, and enforcement action; and post-incident follow-up with the victim with respect to all calls for service of a domestic abuse nature.

Agency responsibilities and procedures when a domestic abuse complaint involves a law enforcement officer, a family member of a law enforcement officer, or any employee of a law enforcement agency. These procedures must include an investigative follow-up and review by the administration that is consistent with these standards.

Agency responsibilities and procedures when any member of the law enforcement agency shows signs of experiencing or perpetrating domestic abuse. These procedures must include an investigative follow-up and review by the administration that is consistent with these standards.

Responsibility of an officer to determine who may be the predominant aggressor and take the appropriate enforcement action against that person.

Circumstances under which a warrantless arrest may occur.

Procedures for the administration of a validated, evidence-based domestic violence risk assessment recommended by the Maine Commission on Domestic and Sexual Abuse, such as the Ontario Domestic Assault Risk Assessment (ODARA), and the conveyance of the results of that assessment to the bail commissioner and the relevant prosecutor.

A process to ensure that, when a person files multiple, separate complaints regarding the behavior of another person that may indicate a course of conduct constituting stalking under 17-A M.R.S. § 210-A, those complaints are reviewed together to determine if the other person has engaged in stalking under 17-A M.R.S. § 210-A.

Responsibilities of an officer when an arrest is not appropriate.

Responsibility of a responding officer to remain at the scene to protect the safety of persons in danger and to obtain medical assistance, if necessary, including in all cases in which a victim has been strangled.

Responsibility of an officer to provide written instructions to a victim concerning the victim’s right to obtain a protection from abuse order and the procedures involved. This must include a mechanism for professional language access services if the victim’s English proficiency is limited.

Responsibility of an officer to provide the victim with instructions on how to contact the local domestic violence resource center and a brief description of their services, as well as information about a relevant culturally specific domestic violence organization in appropriate circumstances.

Requirement and procedures for an officer to meet with the victim within 48 hours of all domestic violence incidents to check on safety and well-being of the victim and ensure the defendant’s adherence with any bail conditions, protection orders, or other court orders.

A reporting process for detailed documentation of the incident and any charges. This report must include arrest and count tracking numbers (ATN/CTN).

Procedures to ensure expeditious service of both temporary and permanent protection from abuse orders, including a provision that service of a temporary order must be attempted within 48 hours of receiving the order from the court. Such procedures shall include a provision that pre-service notification to the defendant should not be employed as a default approach. This includes entering service information into the METRO system without unnecessary delay.

Procedures to ensure that the serving officer make a good faith effort to determine whether the defendant possesses any firearms and to take any firearms that are in the defendant's possession in all cases in which a protection from abuse order requires firearms to be relinquished to law enforcement. Such procedures shall include a provision that the serving officer must not facilitate transfer of firearms to someone other than law enforcement in all cases in which a protection from abuse order requires firearms to be relinquished to law enforcement.

Requirement that, in all cases in which a protection from abuse order requires firearms to be relinquished to law enforcement, any law enforcement officer to whom firearms are relinquished file a notice of relinquishment (court form PA-024) with the court that issued the order within one business day of the order being served, and notifies the relevant law enforcement agency in any other jurisdiction where a defendant reports firearms to be located.

Recognition that a person who obtains a protection from abuse order cannot violate the order regardless of any action taken by that person; a protection from abuse order only constrains the defendant.

A requirement to enforce validated protection from abuse orders from other states and tribal courts pursuant to Article IV, Section 1 of the United States Constitution.

Procedures to ensure that a victim receives notification of the defendant’s release on bail.

Procedures for the collection of information regarding the defendant that includes the defendant’s previous history of domestic violence, the relationship between the defendant and the victim, and whether the alleged commission of a crime included strangulation, a sexual assault offense, stalking, current or past suicidality of the defendant, the name of the victim, and a process to relay this information to a bail commissioner before a bail determination is made.

Procedures for the safe retrieval of personal property belonging to the victim or the defendant that includes identification of a possible neutral location for retrieval, for the presence of at least one law enforcement officer during the retrieval, providing the option of at least 24-hour notice to each party prior to the retrieval, and that a good faith effort shall be made to accommodate all reasonable requests for law enforcement accompaniment in situations involving allegations of domestic abuse .

Requirement that an agency conduct a review of its compliance with all applicable provisions of this policy in the event that a victim of domestic abuse who resided in the agency’s jurisdiction is killed or seriously injured during the time that any temporary or permanent protection from abuse order was in effect or if there had been past agency involvement related to interactions between the perpetrator and the victim. The review shall be conducted in consultation with an advocate as defined in 16 M.R.S. §53-B(1)(A) from the Maine Coalition to End Domestic Violence, and a sworn law enforcement officer designated or trained as a domestic violence investigator. The agency shall conduct the review and forward the report to the Domestic Violence Homicide Review Panel through the Office of the Attorney General within 6 months of the incident, and maintain a copy on file at its agency.

A provision that the agency shall provide a copy of the incident report or intelligence or investigative record information to the local domestic violence resource center for all calls involving domestic abuse, as permitted by 16 M.R.S. §806(4), unless withholding the investigative record information is reasonably necessary to protect against the harms outlined in 16 M.R.S. § 804.

A requirement that officers comply with their agency policy.

History

• STATUTORY AUTHORITY: 25 M.R.S. §§ 2803-A(18), 2803-B(1)(D), and 2803-B(2)
• EFFECTIVE: March 10, 2024 – filing 2024-049

Chapter 15 Standards of Conduct

Code Me. R. 16-227 Ch. 15 Standards of Conduct {#sec-16-227-ch.-15 omnilex-key=us-me-regs-official--dept-public-safety--16-227 Ch. 15}

SUMMARY: This chapter establishes standards of conduct for certificate holders or applicants for a certificate, the violation of which will constitute grounds for imposing discipline pursuant to 25 M.R.S. § 2806-A(5)(M).

General Standards of Conduct. All certificate holders and applicants are expected to comply with the high standard of professionalism that has defined Maine’s law enforcement and corrections agencies throughout its history.

All certificate holders and applicants for certificates must:

Maintain a professional demeanor at all times;

Be truthful and honest;

Treat all persons with dignity; and

Act in obedience with state and federal laws and regulations.

Unprofessional Conduct. A certificate holder or applicant for a certificate violates the standards of conduct and is subject to discipline pursuant to 25 M.R.S. § 2806-A(5)(M) if the certificate holder or applicant:

Engages in conduct constituting harassment of someone because of race, color, sex, sexual orientation or gender identity, physical or mental disability, religion, age, ancestry, national origin, or familial status. For the purposes of this subsection, “harassment” means unwelcome advances because of protected class (e.g., sexual advances or request for sexual favors), comments, jokes, acts, and other verbal or physical conduct related to protected class (e.g., of a sexual, racial, or religious nature) or directed toward a person because of protected class. “Harassment” includes conduct that has the purpose or effect of unreasonably interfering with an individual’s work performance or creating an intimidating, hostile, or offensive working environment.

Makes any misrepresentation or is found to be untruthful in obtaining or attempting to obtain a certificate from the Board.

Makes any misrepresentation or is found to be untruthful in connection with their official duties as the holder of a certificate including, but not limited, to falsifying written or verbal communications in official reports or records or in interactions with another person or organization when it is reasonable to expect that the information may be relied upon due to their position as a certificate holder or applicant. (Except the use of misleading information during interviews, interrogations or special investigations in order to elicit information in the course of conducting official investigations).

Discloses without authorization information made confidential by law, agency policy, or Maine Criminal Justice Academy policy, that the certificate holder or applicant knew, or should have known, was confidential.

While on duty or in public in uniform engages in conduct that would significantly diminish the public's confidence in or discredit the certificate holder or other certificate holders or adversely impact the efficiency, professionalism, or integrity of the law enforcement profession.

Possesses controlled substances, including marijuana, as delineated in 21 C.F.R. § 1308.11 (revised April 11, 2024) in violation of federal law 21 U.S.C. § 844(a) (2024).

Is a chief administrative officer of a law enforcement or corrections agency and fails to report a conviction or misconduct by a certificate holder as required by 25 M.R.S. § 2807.

Is a chief administrative officer of a law enforcement or corrections agency and fails to investigate and report the findings and provide copies of the investigative reports to the Board within 30 days after having been requested in writing to do so by the Board’s Complaint Review Committee pursuant to 25 M.R.S. § 2805-C(3).

Is a chief administrative officer of a law enforcement or corrections agency and knowingly allows a subordinate officer to engage in conduct which could result in disciplinary sanctions under 25 M.R.S. § 2806-A and fails to take action to stop the conduct and report it to MCJA. For purposes of this subsection the term “knowingly” has the same meaning as that term is defined in 17-A M.R.S. § 35(2) (2024).

______________________________________________________________________________

History

• STATUTORY AUTHORITY: 25 M.R.S. § 2803-A(15-A) and (18)
• EFFECTIVE DATE: November 24, 2024 – filing 2024-262

16-230 Maine Drug Enforcement Agency

Chapter 1 Requirements for Written Prescriptions of Schedule II Drugs

Code Me. R. 16-230 Ch. 1 Requirements for Written Prescriptions of Schedule Ii Drugs {#sec-16-230-ch.-1 omnilex-key=us-me-regs-official--dept-public-safety--16-230 Ch. 1}

SUMMARY: The following are rules governing security requirements for all written prescriptions for drugs classified as schedule II drugs under the federal Controlled Substances Act and the Code of Federal Regulations.

1. Definitions

A. Security Prescription Blank. “Security prescription blank” means a prescription blank that complies with the requirements of section 3 of this rule.

B. Schedule II Drug. “Schedule II drug” has the same meaning as in the federal Controlled Substances Act of 1970, 21 United States Code, Section 812, as amended through the effective date of this Chapter. The United States Code is available at the State Law and Legislative Library, Maine State House, State Street, Augusta, Maine.

2. Requirement of a Security Prescription Blank for Schedule II Drugs

A. Beginning January 1, 2003, all written prescriptions for schedule II drugs issued by health care providers must be written on a security prescription blank, unless the health care provider has been granted a waiver pursuant to Section 5.

B. No prescription shall be filled that is not in conformity with these rules.

3. Requirements of a Security Prescription Blank

A prescription for a schedule II drug shall contain the following security features:

A. A latent “void” pattern shall be printed across the entire width of the front of the prescription blank, such that if a prescription is photocopied the word “void” will appear in a pattern across the entire front of the prescription.

B. A repetitive watermark shall be printed on the backside of the prescription blank so that it shall only be seen at a forty-five (45) degree angle. The watermark shall bear the name of the company manufacturing the prescription blank or the word “security.”

C. The prescription blank shall contain a word or symbol printed with ink that disappears if rubbed or scratched briskly.

D. The prescription blank shall contain a feature that shows obvious tampering if the blank is exposed to erasure or attempted erasure, either through the use of abrasion or chemicals.

E. The prescription blank shall be four and one-quarter (4 ¼) inches high and five and one-half (5 ½) inches wide.

F. The prescription shall bear the preprinted, stamped, typed, or manually printed name, address and telephone number of the prescribing health care provider.

G. The prescription blank shall provide space for the patient’s name and address, the health care provider’s signature and the health care provider’s Drug Enforcement Administration (DEA) registration number.

4. Requirements for completion of written prescriptions for schedule II drugs

All written prescriptions for schedule II drugs are subject to the following requirements:

A. In cases of prescriptions where the name of more than one health care provider is pre-printed, the prescription must clearly indicate which health care provider issued the prescription;

B. The health care provider shall indicate the desired quantity and strength of the drug on the prescription form by both writing out the quantity and by indicating or writing the quantity in numerical form;

C. Prescriptions may be dispensed upon oral prescription of a health care provider only in emergency circumstances, and shall be promptly reduced to writing and filed by the pharmacy, but need not be written on a security prescription blank. The prescription shall also be reduced to a written prescription on a security prescription blank by the health care provider, and sent to the pharmacy within seven (7) days.

D. Only one (1) prescription shall be written per prescription blank.

5. Waiver of requirements for security prescription blank

A. A health care provider, pharmacy, printer, reproducer, or distributor of prescription blanks may apply in writing to the Department of Public Safety for a waiver from the requirements for security prescription blanks. A request for waiver shall include:

(1) A detailed statement of the security features provided by the system proposed by the applicant for the prevention of forgery or alteration of an original prescription; or

(2) A sample of the alternative prescription blank.

B. The system or prescription blank proposed by the applicant shall provide a level of security substantially equivalent to a security prescription blank.

C. The Department of Public Safety shall grant or deny the application in writing within 60 (sixty) days after the request is received.

D. When a waiver has been granted, the Department of Public Safety may suspend or revoke the waiver if the alternative system or alternative prescription blank does not provide security substantially equivalent to a security prescription blank.

E. The Department of Public Safety shall inform the Board of Pharmacy in writing upon granting or denying such a request for a waiver.

6. Printers, Reproducers or Distributors of Security Prescription Blanks

A. A printer, reproducer or distributor of security prescription blanks shall require a written purchase order or request for security prescription blanks. A written purchase order or request shall remain on file for two (2) years.

B. A purchase order or request shall be signed by:

(1) A health care provider whose name is to be printed on the security prescription blanks; or

(2) The chief medical officer of a health care facility, if the security prescription blanks are requested on behalf of a health care provider who stamps, types or manually prints his or her name, address, telephone number and Drug Enforcement Administration (DEA) number on the security prescription blank.

C. The provisions of this section shall not apply to distributions between printers, reproducers, or distributors.

History

• STATUTORY AUTHORITY: 32 M.R.S.A. §13786-A
• PROVISIONAL ADOPTION FILED: February 15, 2002
• EFFECTIVE DATE (FINAL ADOPTION): May 30, 2002
• EFFECTIVE DATE (FINAL ADOPTION): 16-230 Chapter 1 page 4
• EFFECTIVE DATE (FINAL ADOPTION): Proofed
• EFFECTIVE DATE (FINAL ADOPTION): 5/20/02

16-633 Gambling Control Board

Chapter 1 Introduction

Code Me. R. 16-633 Ch. 1 Introduction {#sec-16-633-ch.-1 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 1}

§1. The Act to Establish the Gambling Control Board to License and Regulate Slot Machines at Commercial Harness Racing Tracks, Public Law 2003, Ch. 687, was enacted by the Legislature and signed into law by Governor John E. Baldacci on May 6, 2004. The Gambling Control Board created by that portion of the Public Law codified at 8 M.R.S.A. Chapter 31 is charged with the responsibility of adopting rules necessary to administer and enforce Maine’s slot machine gambling industry. In 2010, a referendum vote by the citizens of the State of Maine enacted An Act to Allow a Casino in Oxford County. Initiated Bill Chapter 2, effective November 2, 2010, added the regulation of casinos to the responsibilities of the Gambling Control Board.

§2. The rules contained herein are authorized by that legislation. For definitions of specific terms used in these rules, see 8 M.R.S.A. §1001.

§3. Wherever in these rules a duty or responsibility is assigned to the Board, the Board may, pursuant to the authority granted to it by 8 M.R.S.A. §1003, delegate that duty or responsibility to the Executive Director.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003
• EFFECTIVE DATE: February 21, 2005 – filing 2005-56
• AMENDED: October 1, 2011 – filing 2011-321

Chapter 2 Licenses and Applications

Code Me. R. 16-633 Ch. 2 Licenses and Applications {#sec-16-633-ch.-2 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 2}

SUMMARY: All persons participating in the operation, distribution, and maintenance of slot machines and slot machine facilities or casinos must apply for and be granted the appropriate license as specified by 8 M.R.S.A. §§ 1011-1020.

§1. Application – Slot Machine Operator

1. An applicant for a license to act as a Slot Machine Operator shall apply on forms specified by the Board. In addition to any information required by statute, application forms may require the applicant to provide the following:

A. The applicant's legal name, form of entity, the names, addresses, employer identification or social security numbers (if applicable) and dates of birth (if applicable) of its directors, officers, partners, owners, key executives and slot machine or casino operations employees, to the extent available.

B. A description of the applicant's organizational structure. This will include an organizational chart listing key executives and positions being held for gaming operations along with their duties and responsibilities.

C. With respect to any persons named in subparagraph (1A) that are not individuals, the names, addresses, social security numbers, and dates of birth of all individuals who are directors, officers, owners, partners, key executives.

D. The percentages of shares of stock, if any, held by each person named in subparagraph (A) or subparagraph (C) above. The Director may, at his or her discretion, cause periodic reexamination of the percentage of shares held by persons subject to such disclosures under these regulations.

E. The names of all persons principally involved in the original creation of the applicant's enterprise.

F. Responses to questions designed to elicit information necessary for the Board to evaluate the qualification and suitability of the applicant pursuant to 8 M.R.S.A. Chapter 31, §1016, subsection 2.

G. Certified copies, including amendments, of the applicant's charter, bylaws, articles of incorporation, articles of organization, partnership agreement, including the amount and date of each capital contribution of any partner to the applicant, trust agreement, and other documents that document or explain the legal organization of the applicant.

H. Unless a municipality, the name, address, and date of birth of the record owner of the premises or the property upon which the premises are located or, if the applicant is not the sole owner of the premises or property, the information required by subparagraph (A) above with respect to all persons having an ownership interest in the premises or property and copies of all agreements pursuant to which the applicant occupies the premises or property, as well as copies of all documents relating to the premises or property including, without limitation, all mortgages, deeds of trust, bonds, debentures, pledges of corporate stock and voting trust agreements, but excluding easements; utility agreements; subdivision and plot plans; and, for the period prior to three years before the filing of the application, deeds in the chain of title and satisfied mortgages.

I. Certified copies of organizational minutes and/or other corporate records reflecting ownership and the election of officers.

J. The information required by subparagraph (A) above as to any operator of any business conducted by such applicant and any other contractor (which is not a publicly traded entity, a public utility or a municipality) utilized by such applicant which has received compensation from such applicant in excess of $100,000 for gambling-related services in any of the three (3) preceding fiscal years together with a copy of all agreements between such applicant and such operator or contractor and a statement of all compensation paid to such operator or contractor during said three-year period.

K. Copies of the applicant's audited financial statements for the preceding three (3) fiscal years and a copy of internally prepared financial statements for the current fiscal year as at the close of the most recent fiscal quarter.

L. If a corporation, annual reports and SEC filings, if any, for past 3 years and meeting minutes from past 12 months.

M. Copies of the applicant's State and Federal tax returns for a period of three (3) fiscal years.

N. Copies of the declaration pages of all insurance policies insuring the applicant or the premises.

O. A copy of the Certificate of Authority to do business in the state of Maine, if incorporated outside of Maine.

P. Copies of any Trade Name Registrations filed by the applicant.

Q. The information required by subparagraph (A) above as to the ten (10) largest unsecured creditors which are not publicly traded entities or accounting firms or legal firms of the applicant who are owed more than $25,000 by the applicant for a period in excess of sixty days.

R. Any and all other information as the Director may require to determine the competence, honesty and integrity of the applicant as required by 8 M.R.S.A. Chapter 31.

S. The Slot Machine Operator shall certify by a sworn notarized statement that it has not entered and does not intend to enter into any joint venture, partnership or teaming agreement in order to fulfill its obligations in connection with the slot machine operations; that it has not entered and does not intend to enter into any agreement whereby the proceeds generated by any agreement between the Slot Machine Operator and the Board would be shared with one or more other persons. Provided, however, that a slot machine operator may enter into a management agreement with a third-party, who is not licensed under these regulations, for the operation of the slot machines on the operator's premises provided that: (1) the proposed management agreement is provided to and approved by the Board, and (2) the third-party complies with all these regulations which apply to slot machine operators, including without limitation the licensure requirements.

2. The application, as well as other documents submitted to the Board by or on behalf of the applicant for purposes of determining the qualifications of the applicant, shall be sworn to or affirmed before a notary public. If any form or document is signed by an attorney for the applicant, the signature shall certify that the attorney has read the forms or documents and that, to the best of his or her knowledge, information and belief, based on diligent inquiry, the contents of the form or documents so supplied are true.

3. To the extent, if any, that information of a material nature supplied in the application or otherwise supplied by the applicant or on the applicant's behalf, becomes outdated, inaccurate or incomplete, the applicant shall so notify the Board in writing as soon as it is aware that the information is inaccurate or incomplete, and shall at that time supply the information necessary to correct the timeliness, inaccuracy or incompleteness of the information.

4. The applicant shall cooperate fully with the Board and the Department with respect to its background investigation of the applicant.

5. The applicant shall submit with the application a proposed business plan for the conduct of slot machine operations. Such plan shall be submitted in conformity with a separate form specified and supplied by the Board. The plan shall include, without limitation, the following items: a floor plan of the area to be used for slot machine operations; the proposed placement of slot machines on the premises; the kind, type and number of slot machines proposed, provided however that the name of the manufacturer(s) of such machines shall not be included; money control procedures; a security plan; a staffing plan for slot machine operations; accounting and tax compliance procedures; and the method to be utilized for prize payments. The plan shall provide the details of any progressive jackpot games. The specification of the kind, type and number of the slot machines in the business plans shall make clear whether or not the devices are video versus spinning reel; coin-in/coin-out versus coin-in/ticket-out, etc. The plan shall also propose the generic games to be played on the devices (e.g., video poker, keno, bingo, blackjack, line-up games). The plan shall provide for payment for payout from slot machines such that the payouts have a minimum average daily aggregate payback percentage as required by the appropriate statute. Initial applicants shall submit the above to the extent known at the time of their application. Updated information should be submitted as it becomes available.

6. As soon as the Director has determined that the application is complete, the Director shall forward same to the Department which shall undertake and complete the background investigation of the applicant, its officers, directors, partners, owners and key executives. It will report its findings to the Board within six (6) months or such longer time as agreed by the applicant or as determined by the Board to be necessary for completion of the investigation due to circumstances documented by the Department.

7. The Board shall weigh the following factors in evaluating the application:

A. Whether the applicant satisfies the criteria outlined in 8 M.R.S.A. Chapter 31, Section 1016.

B. The extent to which, if any, the applicant would be subject to the control or influence of its activities by any person having a financial interest pertaining to the applicant, including a mortgage or other lien against property of the applicant or, who in the opinion of the Board, might otherwise influence its activities. In such case the Director shall consider the character, honesty and integrity of whoever has the ability to control or influence the activities of the applicant.

C. The degree to which the applicant has demonstrated its ability to finance the proposed slot machine operations, as well as the source of such financing.

D. The degree to which the applicant has supplied accurate and complete information pursuant to the requirements of this rule.

E. The extent to which the applicant has cooperated with the Board and the Department in connection with the background investigation.

F. Whether the person, or any of its officers, directors, partners, owners, key executives, or slot machine operations employees are known to associate with persons of nefarious backgrounds or disreputable character.

G. With respect to any past conduct which may adversely reflect upon the applicant, the nature of the conduct, the time that has passed since the conduct, the frequency of the conduct and any extenuating circumstances that affect or reduce the impact of the conduct or otherwise reflect upon the applicant's fitness for the license.

H. The adequacy of the applicant's business plan, as it reflects on the applicant's competency or capability to conduct slot machine operations in conformance with the requirements of these regulations.

I. Any other information before the Director, including substantially similar background investigations performed by other agencies or jurisdictions, that relate to the applicant's competency, financial capability, honesty, integrity, reputation, habits, or associations.

§2. Application – Casino Operator

1. An applicant for a license to act as a Casino Operator shall apply on forms specified by the Board. In addition to any information required by statute, application forms may require the applicant to provide the following:

A. The applicant's legal name, form of entity, the names, addresses, employer identification or social security numbers (if applicable) and dates of birth (if applicable) of its directors, officers, partners, owners, key executives and slot machine or casino operations employees, to the extent available.

B. A description of the applicant's organizational structure. This will include an organizational chart listing key applicants and positions being held for gaming operations along with their duties and responsibilities.

C. With respect to any persons named in subparagraph (A) that are not individuals, the names, addresses, social security numbers, and dates of birth of all individuals who are directors, officers, owners, partners, key executives.

D. The percentages of shares of stock, if any, held by each person named in subparagraph (A) or subparagraph (C) above. The Director may, at his or her discretion, cause periodic reexamination of the percentage of shares held by persons subject to such disclosures under these regulations.

E. The names of all persons principally involved in the original creation of the applicant's enterprise.

F. Responses to questions designed to elicit information necessary for the Board to evaluate the qualification and suitability of the applicant pursuant to 8 M.R.S.A. Chapter 31, §1016, subsection 2.

G. Certified copies, including amendments, of the applicant's charter, bylaws, articles of incorporation, articles of organization, partnership agreement, including the amount and date of each capital contribution of any partner to the applicant, trust agreement, and other documents that document or explain the legal organization of the applicant.

H. Unless a municipality, the name, address, and date of birth of the record owner of the premises or the property upon which the premises are located or, if the applicant is not the sole owner of the premises or property, the information required by subparagraph (A) above with respect to all persons having an ownership interest in the premises or property and copies of all agreements pursuant to which the applicant occupies the premises or property, as well as copies of all documents relating to the premises or property including, without limitation, all mortgages, deeds of trust, bonds, debentures, pledges of corporate stock and voting trust agreements, but excluding easements; utility agreements; subdivision and plot plans; and, for the period prior to three years before the filing of the application, deeds in the chain of title and satisfied mortgages.

I. Certified copies of organizational minutes and/or other corporate records reflecting ownership and the election of officers.

J. The information required by subparagraph (A) above as to any operator of any business conducted by such applicant and any other contractor (which is not a publicly traded entity, a public utility or a municipality) utilized by such applicant which has received compensation from such applicant in excess of $100,000 for gambling-related services in any of the three (3) preceding fiscal years together with a copy of all agreements between such applicant and such operator or contractor and a statement of all compensation paid to such operator or contractor during said three-year period.

K. Copies of the applicant's audited financial statements for the preceding three (3) fiscal years and a copy of internally prepared financial statements for the current fiscal year as at the close of the most recent fiscal quarter.

L. If a corporation, annual reports and SEC filings, if any, for past 3 years and meeting minutes from past 12 months.

M. Copies of the applicant's State and Federal tax returns for a period of three (3) fiscal years.

N. Copies of the declaration pages of all insurance policies insuring the applicant or the premises.

O. A copy of the Certificate of Authority to do business in the state of Maine, if incorporated outside of Maine.

P. Copies of any Trade Name Registrations filed by the applicant.

Q. The information required by subparagraph (A) above as to the ten (10) largest unsecured creditors which are not publicly traded entities or accounting firms or legal firms of the applicant who are owed more than $25,000 by the applicant for a period in excess of sixty days.

R. Any and all other information as the Director may require to determine the competence, honesty and integrity of the applicant as required by 8 M.R.S.A. Chapter 31.

S. The Casino Operator shall certify by a sworn notarized statement that it has not entered and does not intend to enter into any joint venture, partnership or teaming agreement in order to fulfill its obligations in connection with the casino operations; that it has not entered and does not intend to enter into any agreement whereby the proceeds generated by any agreement between the Casino Operator and the Board would be shared with one or more other persons. Provided, however, that a casino operator may enter into a management agreement with a third-party, who is not licensed under these regulations, for the operation of the slot machines or table games on the operator's premises provided that: (1) the proposed management agreement is provided to and approved by the Board, and (2) the third-party complies with all these regulations which apply to casino operators, including without limitation the licensure requirements.

T. The applicant shall provide proof that it meets all of the following eligibility criteria:

The casino is located on a parcel of land that is no less than 50 acres in size and located not more than:

i. Thirty miles from a Level I or Level II trauma center verified as such by the American College of Surgeons or successor organization;

ii. Fifteen miles from the main office of a county sheriff;

iii. Twenty-five miles from the main office of a state police field troop;

iv. Thirty miles from an interchange of the interstate highway system;

v. Ten miles from a fire station;

vi. Ten miles from a facility at which harness racing was conducted pursuant to a license from the State Harness Racing Commission for the 2009 racing year; and,

v. One-half mile from a state highway as defined in Title 23, section 1903, subsection 15.

2. Ownership of a facility that is within 10 miles of the proposed casino at which harness racing was conducted pursuant to a license from the State Harness Racing Commission for the 2009 racing year;

3. The casino is not located within 100 miles of a licensed casino or slot machine facility.

4. The casino is approved by voters of the municipality in which the casino is located by a referendum election or by a vote of the municipal officers at any time after October 1, 2009 and on or before December 31, 2011.

5. The slot machines and table games are located and operated in the casino.

For purposes of these criteria, distances are determined by measuring along the most commonly used roadway, as determined by the Department of Transportation.

2. The application, as well as other documents submitted to the Board by or on behalf of the applicant for purposes of determining the qualifications of the applicant, shall be sworn to or affirmed before a notary public. If any form or document is signed by an attorney for the applicant, the signature shall certify that the attorney has read the forms or documents and that, to the best of his or her knowledge, information and belief, based on diligent inquiry, the contents of the form or documents so supplied are true.

3. To the extent, if any, that information of a material nature supplied in the application or otherwise supplied by the applicant or on the applicant's behalf, becomes outdated, inaccurate or incomplete, the applicant shall so notify the Board in writing as soon as it is aware that the information is inaccurate or incomplete, and shall at that time supply the information necessary to correct the timeliness, inaccuracy or incompleteness of the information.

4. The applicant shall cooperate fully with the Board and the Department with respect to its background investigation of the applicant.

5. The applicant shall submit with the application a proposed business plan for the conduct of casino operations. Such plan shall be submitted in conformity with a separate form specified and supplied by the Board. The plan shall include, without limitation, the following items: a floor plan of the area to be used for slot machine operations and table game operations; the proposed placement of slot machines and table games on the premises; the kind, type and number of slot machines and table games proposed, provided however that the name of the manufacturer(s) of such machines shall not be included; money control procedures; a security plan; a staffing plan for slot machine operations and table game operations; accounting and tax compliance procedures; and the method to be utilized for prize payments. The plan shall provide the details of any progressive jackpot games. The specification of the kind, type and number of the slot machines in the business plans shall make clear whether or not the devices are video versus spinning reel; coin-in/coin-out versus coin-in/ticket-out, etc. The plan shall also propose the generic games to be played on the slots (e.g., video poker, keno, bingo, blackjack, line-up games) and shall also propose the generic table games (e.g. black jack, poker, dice, craps, etc.). The plan shall provide for payment for payout from slot machines such that the payouts have a minimum average daily aggregate payback percentage as required by the appropriate statute. Initial applicants shall submit the above to the extent known at the time of their application. Updated information should be submitted as it becomes available.

6. As soon as the Director has determined that the application is complete, it shall forward same to the Department which shall undertake and complete the background investigation of the applicant, its officers, directors, partners, owners and key executives. It will report its findings to the Board within six (6) months or such longer time as agreed by the applicant or as determined by the Board to be necessary for completion of the investigation due to circumstances documented by the Department.

7. The Board shall weigh the following factors in evaluating the application:

A. Whether the applicant satisfies the criteria outlined in 8 M.R.S.A. Chapter 31, Section 1016.

B. The extent to which, if any, the applicant would be subject to the control or influence of its activities by any person having a financial interest pertaining to the applicant, including a mortgage or other lien against property of the applicant or, who in the opinion of the Board, might otherwise influence its activities. In such case the Director shall consider the character, honesty and integrity of whoever has the ability to control or influence the activities of the applicant.

C. The degree to which the applicant has demonstrated its ability to finance the proposed casino operations, as well as the source of such financing.

D. The degree to which the applicant has supplied accurate and complete information pursuant to the requirements of this rule.

E. The extent to which the applicant has cooperated with the Board and the Department in connection with the background investigation.

F. Whether the person, or any of its officers, directors, partners, owners, key executives, or casino operations employees are known to associate with persons of nefarious backgrounds or disreputable character.

G. With respect to any past conduct which may adversely reflect upon the applicant, the nature of the conduct, the time that has passed since the conduct, the frequency of the conduct and any extenuating circumstances that affect or reduce the impact of the conduct or otherwise reflect upon the applicant's fitness for the license.

H. The adequacy of the applicant's business plan, as it reflects on the applicant's competency or capability to conduct casino operations in conformance with the requirements of these regulations.

I. Any other information before the Director, including substantially similar background investigations performed by other agencies or jurisdictions, that relate to the applicant's competency, financial capability, honesty, integrity, reputation, habits, or associations.

§3. Application – Slot Machine Distributor

1. An applicant for a license to act as a Slot Machine Distributor shall apply on forms specified by the Board. In addition to any information required by statute, application forms may require the applicant to provide the following:

A. The applicant's legal name, form of entity, the names, addresses, employer identification or social security numbers (if applicable) and dates of birth (if applicable) of its directors, officers, partners, owners, and key executives and slot machine operations employees.

B. A description of the applicant's organizational structure. This will include an organizational chart listing key applicants and positions being held for gaming operations along with their duties and responsibilities.

C. With respect to any persons named in subparagraph (A) that are not individuals, the names, addresses, social security numbers, and dates of birth of all individuals who are directors, officers, owners, partners, key executives, or slot machine operations employees of any such persons.

D. The percentages of shares of stock, if any, held by each person named in subparagraph (A) or subparagraph (C) above. The Director may, at his or her discretion, cause periodic reexamination of the percentage of shares held by persons subject to such disclosures under these regulations.

E. The names of all persons principally involved in the original creation of the applicant's enterprise.

F. Responses to questions designed to elicit information necessary for the Board to evaluate the qualification and suitability of the applicant pursuant to 8 M.R.S.A. Chapter 31, Section 1016, subsection 2.

G. Certified copies, including amendments, of the applicant's charter, bylaws, articles of incorporation, articles of organization, partnership agreement, including the amount and date of each capital contribution of any partner to the applicant, trust agreement, and other documents that document or explain the legal organization of the applicant.

H. Certified copies of organizational minutes and/or other corporate records reflecting ownership and the election of officers.

I. The information required by subparagraph (A) above as to any operator of any business conducted by such applicant and any other contractor (which is not a publicly traded entity) utilized by such applicant which has received compensation from such applicant in excess of $100,000 for gambling-related services in any of the three (3) preceding fiscal years together with a copy of all agreements between such applicant and such operator or contractor and a statement of all compensation paid to such operator or contractor during said three-year period.

J. Copies of the applicant's audited financial statements for the preceding three (3) fiscal years and a copy of internally prepared financial statements for the current fiscal year as at the close of the most recent fiscal quarter.

K. If a corporation, biennial reports and SEC filings, if any, for past 3 years and meeting minutes from past 12 months.

L. Copies of the applicant's State and Federal tax returns for a period of three (3) fiscal years.

M. Copies of the declaration pages of all insurance policies insuring the applicant.

N. A copy of the Certificate of Authority to do business in the state of Maine, if incorporated outside of Maine.

O. Copies of any Trade Name Registrations filed by the applicant.

P. The information required by subparagraph (A) above as to the ten (10) largest unsecured creditors which are not publicly traded entities or accounting firms or legal firms of the applicant who are owed more than $25,000 by the applicant for a period in excess of sixty days.

Q. Any and all other information as the Director may require to determine the competence, honesty and integrity of the applicant as required by 8 M.R.S.A. Chapter 31, Section 1016.

R. The identity of all customers to whom the applicant has furnished slot machines or other gambling equipment or technology within the three years immediately preceding the date of the application.

S. A description of the means by which the applicant exercises security and financial control over the activities of service technicians in order to insure the integrity of slot machine distribution.

T. The names and addresses of individuals who have been authorized by the applicant to engage in dealings with the Board for purposes of representing the interests of the applicant.

U. A description of the applicant’s business and a list of the makes and types of machines to be distributed.

2. The application, as well as other documents submitted to the Board by or on behalf of the applicant for purposes of determining the qualifications of the applicant, shall be sworn to or affirmed before a notary public. If any form or document is signed by an attorney for the applicant, the signature shall certify that the attorney has read the forms or documents and that, to the best of his or her knowledge, information and belief, based on diligent inquiry, the contents of the form or documents so supplied are true.

3. To the extent, if any, that information of a material nature in the application or the supplemental information provided by the applicant becomes outdated, inaccurate or incomplete, the applicant shall notify the Board in writing as soon as it is aware that the information is outdated, inaccurate or incomplete, and shall at that time supply the information necessary to make the application or supplementary information current, accurate and complete.

4. The applicant shall cooperate fully with the Board and the Department in any background investigation of the applicant.

5. The applicant, upon request of the Board or Department, shall make any and all of its books and records available for inspection by the Board or the Department.

6. As soon as the Director has determined that the application is complete, it shall forward same to the Department which shall undertake and complete the background investigation of the applicant, its officers, directors, partners, owners, key executives. It will report its findings to the Board within six (6) months or such longer time as agreed by the applicant or as determined by the Board to be necessary for completion of the investigation due to circumstances documented by the Department.

7. The Board shall weigh the following factors in evaluating the application:

A. Whether the applicant satisfies the criteria outlined in 8 M.R.S.A. Chapter 31 Section 1016.

B. The extent to which, if any, the applicant would be subject to the control or influence of its activities by any person having a financial interest pertaining to the applicant, including a mortgage or other lien against property of the applicant or, who in the opinion of the Board, might otherwise influence its activities. In such case the Director shall consider the character, honesty and integrity of whoever has the ability to control or influence the activities of the applicant.

C. The degree to which the applicant has demonstrated its ability to finance the proposed slot machine distribution, as well as the source of such financing.

D. The degree to which the applicant has supplied accurate and complete information pursuant to the requirements of this rule.

E. The extent to which the applicant has cooperated with the Board and the Department in connection with the background investigation.

F. Whether the person, or any of its officers, directors, partners, owners, key executives, or slot machine distribution employees are known to associate with persons of nefarious backgrounds or disreputable character.

G. With respect to any past conduct which may adversely reflect upon the applicant, the nature of the conduct, the time that has passed since the conduct, the frequency of the conduct and any extenuating circumstances that affect or reduce the impact of the conduct or otherwise reflect upon the applicant's fitness for the license.

H. Any other information before the Director, including substantially similar background investigations performed by other agencies or jurisdictions, that relate to the applicant's competency, financial capability, honesty, integrity, reputation, habits, or associations.

§4. Application – Table Game Distributor

1. An applicant for a license to act as a Table Game Distributor shall apply on forms specified by the Board. In addition to any information required by statute, application forms may require the applicant to provide the following:

A. The applicant's legal name, form of entity, the names, addresses, employer identification or social security numbers (if applicable) and dates of birth (if applicable) of its directors, officers, partners, owners, key executives and slot machine and casino operations employees.

B. A description of the applicant's organizational structure. This will include an organizational chart listing key executives and positions being held for gaming operations along with their duties and responsibilities.

C. With respect to any persons named in subparagraph (A) that are not individuals, the names, addresses, social security numbers, and dates of birth of all individuals who are directors, officers, owners, partners, key executives, or casino operations employees of any such persons.

D. The percentages of shares of stock, if any, held by each person named in subparagraph (A) or subparagraph (C) above. The Director may, at his or her discretion, cause periodic reexamination of the percentage of shares held by persons subject to such disclosures under these regulations.

E. The names of all persons principally involved in the original creation of the applicant's enterprise.

F. Responses to questions designed to elicit information necessary for the Board to evaluate the qualification and suitability of the applicant pursuant to 8 M.R.S.A. Chapter 31, Section 1016, subsection 2.

G. Certified copies, including amendments, of the applicant's charter, bylaws, articles of incorporation, articles of organization, partnership agreement, including the amount and date of each capital contribution of any partner to the applicant, trust agreement, and other documents that document or explain the legal organization of the applicant.

H. Certified copies of organizational minutes and/or other corporate records reflecting ownership and the election of officers.

I. The information required by subparagraph (A) above as to any operator of any business conducted by such applicant and any other contractor (which is not a publicly traded entity) utilized by such applicant which has received compensation from such applicant in excess of $100,000 for gambling-related services in any of the three (3) preceding fiscal years together with a copy of all agreements between such applicant and such operator or contractor and a statement of all compensation paid to such operator or contractor during said three-year period.

J. Copies of the applicant's audited financial statements for the preceding three (3) fiscal years and a copy of internally prepared financial statements for the current fiscal year as at the close of the most recent fiscal quarter.

K. If a corporation, biennial reports and SEC filings, if any, for past 3 years and meeting minutes from past 12 months.

L. Copies of the applicant's State and Federal tax returns for a period of three (3) fiscal years.

M. Copies of the declaration pages of all insurance policies insuring the applicant.

N. A copy of the Certificate of Authority to do business in the state of Maine, if incorporated outside of Maine.

O. Copies of any Trade Name Registrations filed by the applicant.

P. The information required by subparagraph (A) above as to the ten (10) largest unsecured creditors which are not publicly traded entities or accounting firms or legal firms of the applicant who are owed more than $25,000 by the applicant for a period in excess of sixty days.

Q. Any and all other information as the Director may require to determine the competence, honesty and integrity of the applicant as required by 8 M.R.S.A. Chapter 31, Section 1016.

R. The identity of all customers to whom the applicant has furnished table games or other gambling equipment or technology within the three years immediately preceding the date of the application.

S. A description of the means by which the applicant exercises security and financial control over the activities of service technicians in order to insure the integrity of table game distribution.

T. The names and addresses of individuals who have been authorized by the applicant to engage in dealings with the Board for purposes of representing the interests of the applicant.

U. A description of the applicant’s business and a list of the makes and types of games to be distributed.

2. The application, as well as other documents submitted to the Board by or on behalf of the applicant for purposes of determining the qualifications of the applicant, shall be sworn to or affirmed before a notary public. If any form or document is signed by an attorney for the applicant, the signature shall certify that the attorney has read the forms or documents and that, to the best of his or her knowledge, information and belief, based on diligent inquiry, the contents of the form or documents so supplied are true.

3. To the extent, if any, that information of a material nature in the application or the supplemental information provided by the applicant becomes outdated, inaccurate or incomplete, the applicant shall notify the Board in writing as soon as it is aware that the information is outdated, inaccurate or incomplete, and shall at that time supply the information necessary to make the application or supplementary information current, accurate and complete.

4. The applicant shall cooperate fully with the Board and the Department in any background investigation of the applicant.

5. The applicant, upon request of the Board or Department, shall make any and all of its books and records available for inspection by the Board or the Department.

6. As soon as the Director has determined that the application is complete, it shall forward same to the Department which shall undertake and complete the background investigation of the applicant, its officers, directors, partners, owners and key executives. It will report its findings to the Board within six (6) months or such longer time as agreed by the applicant or as determined by the Board to be necessary for completion of the investigation due to circumstances documented by the Department.

7. The Board shall weigh the following factors in evaluating the application:

A. Whether the applicant satisfies the criteria outlined in 8 M.R.S.A. Chapter 31 Section 1016.

B. The extent to which, if any, the applicant would be subject to the control or influence of its activities by any person having a financial interest pertaining to the applicant, including a mortgage or other lien against property of the applicant or, who in the opinion of the Board, might otherwise influence its activities. In such case the Director shall consider the character, honesty and integrity of whoever has the ability to control or influence the activities of the applicant.

C. The degree to which the applicant has demonstrated its ability to finance the proposed table game distribution, as well as the source of such financing.

D. The degree to which the applicant has supplied accurate and complete information pursuant to the requirements of this rule.

E. The extent to which the applicant has cooperated with the Board and the Department in connection with the background investigation.

F. Whether the person, or any of its officers, directors, partners, owners, key executives, or table game distribution employees are known to associate with persons of nefarious backgrounds or disreputable character.

G. With respect to any past conduct which may adversely reflect upon the applicant, the nature of the conduct, the time that has passed since the conduct, the frequency of the conduct and any extenuating circumstances that affect or reduce the impact of the conduct or otherwise reflect upon the applicant's fitness for the license.

H. Any other information before the Director, including substantially similar background investigations performed by other agencies or jurisdictions, that relate to the applicant's competency, financial capability, honesty, integrity, reputation, habits, or associations.

§5. Application – Gambling Services Vendor

1. An applicant for a license to act as a Gambling Services Vendor shall apply on forms specified by the Board. In addition to any information required by statute, application forms may require the applicant to provide the following:

A. The applicant's legal name, form of entity, the names, addresses, employer identification or social security numbers (if applicable) and dates of birth (if applicable) of its directors, officers, partners, owners, key executives and slot machine and casino operations employees.

B. A description of the applicant's organizational structure. This will include an organizational chart listing key executives and positions being held for gaming operations along with their duties and responsibilities.

C. With respect to any persons named in subparagraph (A) that are not individuals, the names, addresses, social security numbers, and dates of birth of all individuals who are directors, officers, owners, partners, key executives, or slot machine and casino operations employees of any such persons.

D. The percentages of shares of stock, if any, held by each person named in subparagraph (A) or subparagraph (C) above. The Director may, at his or her discretion, cause periodic reexamination of the percentage of shares held by persons subject to such disclosures under these regulations.

E. The names of all persons principally involved in the original creation of the applicant's enterprise.

F. Responses to questions designed to elicit information necessary for the Board to evaluate the qualification and suitability of the applicant pursuant to 8 M.R.S.A. Chapter 31, Section 1016, subsection 2.

G. Certified copies, including amendments, of the applicant's charter, bylaws, articles of incorporation, articles of organization, partnership agreement, including the amount and date of each capital contribution of any partner to the applicant, trust agreement, and other documents that document or explain the legal organization of the applicant.

H. Certified copies of organizational minutes and/or other corporate records reflecting ownership and the election of officers.

I. The information required by subparagraph (A) above as to any operator of any business conducted by such applicant and any other contractor (which is not a publicly traded entity) utilized by such applicant which has received compensation from such applicant in excess of $100,000 for gambling-related services in any of the three (3) preceding fiscal years together with a copy of all agreements between such applicant and such operator or contractor and a statement of all compensation paid to such operator or contractor during said three-year period.

J. Copies of the applicant's audited financial statements for the preceding three (3) fiscal years and a copy of internally prepared financial statements for the current fiscal year as at the close of the most recent fiscal quarter.

K. If a corporation, biennial reports and SEC filings, if any, for past 3 years and meeting minutes from past 12 months.

L. Copies of the applicant's State and Federal tax returns for a period of three (3) fiscal years.

M. Copies of the declaration pages of all insurance policies insuring the applicant or the premises.

N. A copy of the Certificate of Authority to do business in the state of Maine, if incorporated outside of Maine.

O. Copies of any Trade Name Registrations filed by the applicant.

P. The information required by subparagraph (A) above as to the ten (10) largest unsecured creditors which are not publicly traded entities or accounting firms or legal firms of the applicant who are owed more than $25,000 by the applicant for a period in excess of sixty days.

Q. Any and all other information as the Director may require to determine the competence, honesty and integrity of the applicant as required by 8 M.R.S.A. Chapter 31, Section 1016.

2. The application, as well as other documents submitted to the Board by or on behalf of the applicant for purposes of determining the qualifications of the applicant, shall be sworn to or affirmed before a notary public. If any form or document is signed by an attorney for the applicant, the signature shall certify that the attorney has read the forms or documents and that, to the best of his or her knowledge, information and belief, based on diligent inquiry, the contents of the form or documents so supplied are true.

3. To the extent, if any, that information of a material nature in the application or the supplemental information provided by the applicant becomes outdated, inaccurate or incomplete, the applicant shall notify the Board in writing as soon as it is aware that the information is outdated, inaccurate or incomplete, and shall at that time supply the information necessary to make the application or supplementary information current, accurate and complete.

4. The applicant shall cooperate fully with the Board and the Department in any background investigation of the applicant.

5. The applicant, upon request of the Board or Department, shall make any and all of its books and records available for inspection by the Board or the Department.

6. As soon as the Director has determined that the application is complete, it shall forward same to the Department which shall undertake and complete the background investigation of the applicant, its officers, directors, partners, owners and key executives. It will report its findings to the Board within six (6) months or such longer time as agreed by the applicant or as determined by the Board to be necessary for completion of the investigation due to circumstances documented by the Department.

7. The Board shall weigh the following factors in evaluating the application:

A. Whether the applicant satisfies the criteria outlined in 8 M.R.S.A. Chapter 31.

B. The extent to which, if any, the applicant would be subject to the control or influence of its activities by any person having a financial interest pertaining to the applicant, including a mortgage or other lien against property of the applicant or, who in the opinion of the Board, might otherwise influence its activities. In such case the Director shall consider the character, honesty and integrity of whoever has the ability to control or influence the activities of the applicant.

C. The degree to which the applicant has demonstrated its ability to finance the proposed gambling services vendor operations, as well as the source of such financing.

D. The degree to which the applicant has supplied accurate and complete information pursuant to the requirements of this rule.

E. The extent to which the applicant has cooperated with the Board and the Department in connection with the background investigation.

F. Whether the person, or any of its officers, directors, partners, owners, key executives, or gambling services vendor employees are known to associate with persons of nefarious backgrounds or disreputable character.

G. With respect to any past conduct which may adversely reflect upon the applicant, the nature of the conduct, the time that has passed since the conduct, the frequency of the conduct and any extenuating circumstances that affect or reduce the impact of the conduct or otherwise reflect upon the applicant's fitness for the license.

H. Any other information before the Director, including substantially similar background investigations performed by other agencies or jurisdictions, that relate to the applicant's competency, financial capability, honesty, integrity, reputation, habits, or associations.

§6. Application – Employees

1. An applicant for an employee license pursuant to 8 M.R.S.A. §1015 shall submit a license application on a form approved and supplied by the Board.

2. The application, as well as other documents submitted to the Board by or on behalf of the applicant for purposes of determining the qualifications of the applicant, shall be sworn to or affirmed before a notary public. If any form or document is signed by an attorney for the applicant, the signature shall certify that the attorney has read the forms or documents and that, to the best of his or her knowledge, information and belief, based on diligent inquiry, the contents of the form or documents so supplied are true.

3. To the extent, if any, that information of a material nature in the application or the supplemental information provided by the applicant becomes outdated, inaccurate or incomplete, the applicant shall notify the Board in writing as soon as it is aware that the information is outdated, inaccurate or incomplete, and shall at that time supply the information necessary to make the application or supplementary information current, accurate and complete.

4. The applicant shall cooperate fully with the Board and the Department in any background investigation of the applicant.

5. A waiver may be granted in lieu of an employee license pursuant to 8 M.R.S.A. §1015. A licensed or applicant Slot Machine Operator, Casino Operator, Slot Machine Distributor, Table Game Distributor, or Gambling Services Vendor may apply for a waiver of the licensing requirement for one or more employees pursuant to 8 M.R.S.A. §1015(3). Such application must be in writing and document facts sufficient to demonstrate that the public interest is not served by licensing requirement. The Board shall consider the extent to which the employee has access to slot machine equipment, table game equipment, proceeds from slot machine activity or table game activity; or is engaged in security or surveillance at the slot machine facility or casino; or is engaged in other activities directly related to the gambling activity or proceeds. An employee’s access or activity in these areas is an indication that the public interest would not be served by granting the requested waiver. The following duties are examples of duties that fall under the categories that would not qualify for waiver.

A. Perform, under the supervision of an audit department executive, the duties and responsibilities of the internal audit department, including, without limitation, the supervision of personnel in the internal audit department; the monitoring of compliance with regulations and internal controls; and the evaluation of the adequacy of accounting and administrative controls;

B. Perform, under the supervision of a controller, the duties and responsibilities of the accounting department including, without limitation, the supervision of personnel in the accounting department; overseeing the review, verification and recordation of revenue journal entries; and the processing or control of active accounting documents related to gaming activity;

C. Have access to active accounting documents related to gaming activity;

D. Conduct surveillance investigations and operations;

E. Repair and maintain slot machines, table games, associated equipment and bill changers;

F. Assist in the operation of slot machines, table games and bill changers, including, without limitation, persons who participate in manual jackpot payouts and fill payout reserve containers, or supervise such persons;

G. Identify patrons or groups of patrons to receive complimentaries based on actual patron play, authorize such complimentaries or determine the amount of such complimentaries;

H. Analyze slot machine operations or casino operations data and make recommendations relating to, without limitation, marketing, complimentaries, gaming, special events, promotions and player ratings;

I. Enter data in gaming-related computer systems or develop, maintain, install or operate gaming-related computer software systems;

J. Collect and record patron checks and personal checks which are dishonored and returned by a bank;

K. Develop marketing programs to promote slot machine operations or casino operations, including, without limitation, coupon redemption and other complimentary distribution programs;

L. Distribute, redeem, account for, inventory, or assign for distribution complimentary coupons;

M. Process currency or cash equivalents;

N. Repair or maintain the closed circuit television system equipment of the Slot Machine Facility or Casino;

O. Currently training to become a surveillance employee;

P. Provide physical security on the floor of the gambling facility or in a restricted area of the gambling facility;

Q. Control and maintain the slot machine and table game inventory, including replacement parts, equipment and tools used to maintain slot machines and table games;

R. Repair and maintain slot machines and bill changers;

S. Perform as the secretary to the supervisor of the surveillance department, internal audit department, accounting department or credit department;

T. Repair gaming equipment other than slot machines;

U. Perform responsibilities associated with the installation, maintenance or operation of computer hardware for racino computer systems;

V. Recruit customers as part of Junket Services performed for the Slot Machine Operator or Casino Operator;

W. Supervise, at a casino or slot facility, a person required to possess an employee license.

6. Examples of job duties that are likely to qualify for a license waiver are food service workers, parking attendants and other employees not related to gambling activities.

7. Should the status of a waived employee change to that of an individual subject to licensing, the Board shall be notified and the individual shall submit a license application.

8. Upon application of a person licensed in another state, the Board or its Director may issue a temporary license to that person for purposes of testing or setting up slot machines, table games, or associated equipment. A temporary license will be value for 30 calendar days from the date on which it is issued.

§7. Any application received without the required fee will be returned as incomplete due to nonpayment of the fee. Application fees are nonrefundable.

§8. An action of the Board regarding an applicant or licensee relates only to the applicant’s or licensee’s qualification for licensure under 8 M.R.S.A., Chapter 31, Section 1016 and these rules and does not indicate or suggest that the Board has considered or passed on the qualifications or application of the applicant or licensee for any other purpose.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003
• STATUTORY AUTHORITY: EFFECTIVE DATE
• STATUTORY AUTHORITY: February 21, 2005 – filing 2005-57
• AMENDED: April 11, 2007 – Section 4(H), filing 2007-127
• AMENDED: May 16, 2011 – filing 2011-146
• AMENDED: April 22, 2014 – filing 2014-073
• AMENDED: July 22, 2019 - filing 2019-125
• AMENDED: 16-633 Chapter 2 page 21

Chapter 3 Control of Licensees

Code Me. R. 16-633 Ch. 3 Control of Licensees {#sec-16-633-ch.-3 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 3}

§1. Each licensed slot machine operator, casino operator, slot machine distributor, table game distributor, and gambling services vendor shall maintain, in a place secure from theft, loss, or destruction, adequate records of its business and accounting operations relating to the slot machine operations and the casino operations regulated by this rule. Each of the above licensees shall make the records available to the Board, Director, or Department pursuant to 8 M.R.S.A. §1041 and §1042. Records shall be maintained as follows:

1 The licensees shall hold the records for not less than 5 years. The records shall include, but not be limited to, all of the following:

A. All correspondence with, or reports to, the Board or any local, state or federal regulatory agency;

B All correspondence concerning the acquisition, construction, maintenance, or business of a proposed or existing slot machine facility or casino;

C. A personnel file on each employee;

D. All accounting records, ledgers, subsidiary records, computer generated data and internal audit records pertaining to slot machine or table game activities.

2. Notwithstanding the foregoing provisions of subsection 1 of this rule, a slot machine operator or casino operator will maintain original ticket vouchers for a period of 7 days, unless otherwise ordered by the Gambling Control Board. Any vouchers ordered held by the Gambling Control Board will be held for 7 years.

3. Notwithstanding the foregoing provisions of subsection 1 of this rule, a licensed slot machine operator, casino operator, slot machine distributor, table game distributor, and gambling services vendor shall hold copies of all promotional and advertising material, records, or complimentary distributions for the slot machine facility or casino for at least one year.

4. The slot machine facility or casino shall organize and index all required records in a manner that enables the Board to locate, inspect, review, and analyze the records with reasonable ease and efficiency. The slot machine facility or casino may maintain the records in either paper or electronic form.

5. Nothing in this section of this rule shall be construed to require disclosure of documents subject to the attorney-client privilege if the licensee or applicant informs the Director of the existence of the document, a general description of its contents, and the basis for the privilege.

§2. A licensee shall disclose changes in information.

1. Except as otherwise provided in this rule, if an obligation has been placed upon a licensee to report or submit information to the Board, the reporting or submission may be accomplished by providing the information to the Director or the Board.

2. A licensee or an applicant for a license has a continuing duty to disclose promptly any material changes in information provided to the Board as soon as the applicant or licensee becomes aware of the change. The duty to disclose changes in information continues throughout any period of licensure granted by the Board. A licensee or applicant shall make sure that all required release of information forms submitted to the Board are current.

3. A slot machine operator, casino operator, slot machine distributor, table game distributor, or gambling services vendor shall immediately notify the Board of any proposed or effective change regarding the makeup of its owners, directors, officers, partners, or key executives.

§3. An applicant or licensee shall disclose representatives.

1. An applicant or licensee shall file with the Board a list of persons and positions authorized to act on the applicant's or licensee's behalf as to any matter before the Board. An attorney appearing on behalf of an applicant or licensee in a matter before the Board shall promptly file an appearance identifying his or her client and the matter in which the attorney will appear.

2. A person holding or applying for a slot machine operator license, casino operator license, slot machine distributor license, table game distributor license, or a gambling services vendor license shall establish and identify a registered agent within the State of Maine for the purpose of accepting service of process, notices, and other forms of communication for the person holding or applying for one of the licenses cited above.

§4. A licensed slot machine operator, casino operator, slot machine distributor, table game distributor, or gambling services vendor shall conduct a reasonable investigation of the background of employees whose duties relate to or involve the conduct of gambling operations in the State of Maine to reasonably ensure that the employee is eligible and suitable for the employment under the licensing standards and other requirements of 8 M.R.S.A. Chapter 31 and these rules. A licensed slot machine operator, casino operator, slot machine distributor, table game distributor, or gambling services vendor shall keep and maintain written records of investigations for all employees. The licensees shall make the written records available to the Board, upon request, within a reasonable time period prescribed by the Board. Licensure by the Board may not be relied on by the licensee as the sole criterion for hiring a job applicant.

§5. An applicant or licensee shall provide all information required by 8 M.R.S.A. Chapter 31 and these rules and satisfy all requests for information pertaining to licensing, in the form specified by the Board. An applicant or licensee shall waive liability as to the State, its instrumentalities and agents for any damages resulting from any disclosure or publication in any manner other than a willful unlawful disclosure or publication of any material or information acquired during inquiries, investigations or hearings.

§6. Owners, directors, officers, key executives, and managerial employees of a casino or slot facility, and any employees licensed by the Board, shall not play or be permitted to play any gambling game at the casino or slot facility at which the person is employed or licensed except in the course of employee training, slot machine testing or table game testing being conducted by authorized personnel, or when that person is demonstrating to one or more patrons how to play a permitted slot machine game or table game.

1. Any employee for whom licensure has been waived pursuant to 8 M.R.S.A. §1015 is permitted to play slot machines or table games when not on duty. No such person shall be allowed to purchase or redeem tokens or tickets for any other person at the slot machine facility or casino operated by the licensee.

No Board member, Director of the Board, member of the Board staff or Department member assigned to the Gambling Control Unit may gamble in any casino or slot facility licensed by the Board except in the course of his or her duties.

§7. An applicant for or holder of a slot machine operator license, casino operator license, slot machine distributor license, table game distributor license, or a gambling services vendor license may not enter into or perform any contract or transaction in connection with operations related to the slot machine operator license, casino operator license, slot machine distributor license, table game distributor license, or gambling services vendor license for which application has been made or which the licensee holds unless the applicant or licensee transfers or receives consideration that is commercially reasonable.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003
• EFFECTIVE DATE: February 21, 2005 – filing 2005-58
• AMENDED: August 5, 2006 – Section 1(B through E), filing 2006-345
• AMENDED: April 11, 2007 – Section 1(D) and Section 6, filing 2007-128
• AMENDED: October 1, 2011 - filing 2011-322
• AMENDED: June 23, 2014 - filing 2014-118
• AMENDED: 16-633 Chapter 3 page 3

Chapter 4 Licensee Records

Code Me. R. 16-633 Ch. 4 Licensee Records {#sec-16-633-ch.-4 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 4}

16 DEPARTMENT OF PUBLIC SAFETY

633 GAMBLING CONTROL BOARD Chapter 4: LICENSEE RECORDS

§1. Ownership Records

The slot machine operator licensee or casino operator licensee shall keep and provide to the Board upon request, all of the following records:

If the slot Machine Operator licensee, Casino Operator licensee, or any controlling person of the licensee, or an applicant for the slot machine operator license or casino operator license, is a publicly traded corporation then the following will be provided:

1. A list of those executive officers of the publicly traded corporation whose ongoing and regular responsibilities relate or are expected to relate directly to the operation or oversight of the slot machine facility or casino.
2. Annual reports for the three (3) most recent years
3. Audited financial statements, i.e., balance sheet, income statement, cash flow statement, for the last three (3) years. All relevant attachments are to be provided.
4. All reports required to be filed with the Securities and Exchange Commission including the last 10-K report and the last two 10-Q reports.
5. Any other reports of the licensee or its parent/holding company to its shareholders for the current fiscal year

If the slot machine operator licensee or casino operator licensee is a corporation, but is not a publicly traded corporation, then all of the following records:

1. A certified copy of the articles of incorporation and any amendments;
2. A certified copy of the bylaws and any amendments;
3. A certificate of good standing from the state of its incorporation;
4. If the corporation is operating as a foreign corporation in Maine, a certificate of authority from the Maine corporations and securities bureau authorizing it to do business in Maine;
5. A list of all current and former officers and directors for a period of two years before Maine licensure;
6. A certified copy of minutes of all meetings of the stockholders and directors for a period of two years before Maine licensure;
7. A current list of all current stockholders, including the names of beneficial owners of shares held in street or other names;
8. The name of any entity and a current list of all owners or stockholders in that entity, including the names of beneficial owners of shares held in street or other names, in which the corporation has a direct, indirect, or attributed interest;
9. A copy of the stock certificate ledger or its electronic equivalent;
10. A complete record of all transfers of stock to the extent available to the licensee or applicant;
11. A schedule of amounts paid to the corporation for the issuance of stock and other capital contributions and the dates the amounts were paid;
12. A schedule of all dividends distributed by the corporation; and
13. A schedule of all direct or indirect salaries, wages, and other remuneration, including prerequisites, paid during the calendar or fiscal year by the corporation to all officers, directors, and stockholders that have an ownership interest, at any time during the calendar or fiscal year, that is more than 5% of the outstanding capital stock of any class of stock;

If the slot machine operator licensee or casino operator licensee is a limited liability company, then all of the following records:

1. A certified copy of the articles of organization;
2. A certified copy of the operating agreement;
3. A list of all current and former managers, including names and addresses;
4. A list of the members, including all of the following information: 1. Names; 2. Addresses; 3. The percentage of interest in net assets, profits, and distributions of cash held or attributable to each; 4. The amount and date of each capital contribution of each member; 5. The date the interest was acquired; and 6. The method of determining a member’s interest;
5. A schedule of all withdrawals of company funds or assets by members;
6. A schedule of direct or indirect salaries, wages, and other remuneration, including prerequisites, paid to each member during the calendar or fiscal year;
7. A copy of the membership ledger or its electronic equivalent;
8. A complete record of all transfers of membership interests; and
9. A schedule of amounts paid to the company for the issuance of membership interests and other capital contributions and the dates the amounts were paid;

If the slot machine operator licensee or casino operator licensee is a partnership, then all of the following records:

1. A certified copy of the partnership agreement;
2. A certificate of limited partnership of its domicile;
3. A list of the partners, including all of the following information: 1. Names; 2. Addresses; 3. The percentage of interest in net assets, profits, and losses held by each partner; 4. The amount and date of each capital contribution of each partner; 5. The date the interest was acquired. 6. The description of the form of the person's partnership interest, for example, limited partner.
4. A schedule of all withdrawals of partnership funds or assets; and
5. A schedule of direct or indirect salaries, wages, and other remuneration, including prerequisites, paid to each partner during the calendar or fiscal year;

If the slot machine operator licensee or casino operator licensee is a sole proprietorship, then all of the following records:

1. A schedule showing the name and address of the proprietor and the amount and date of his or her original investment;
2. A schedule of the dates and amounts of subsequent additions to the original investment and any withdrawals; and
3. A schedule of direct or indirect salaries, wages, and other remuneration, including prerequisites, paid to the proprietor during the calendar or fiscal year.

§2. Accounting Records

The slot machine operator licensee or casino operator licensee shall maintain complete, accurate, legible, and permanent records of all transactions pertaining to its revenues and expenses, assets, liabilities, and equity in conformance with generally accepted accounting principles. The Board may direct the slot machine operator licensee or casino operator licensee to alter the manner in which the records are maintained if the licensee's records are not in accordance with generally accepted accounting principles or if the records are not in sufficient detail.

The accounting records shall be maintained using a double entry system of accounting with transactions recorded in accordance with generally accepted accounting principles and supported by detailed subsidiary records.

The detailed subsidiary records shall include, at a minimum, all of the following:

1. Detailed general ledger accounts identifying all revenue, expenses, assets, liabilities, and equity for the slot machine operator licensee or casino operator licensee;
2. A record of all investments, advances, loans, and accounts receivable balances due the establishment;
3. A record of all loans and other accounts payable by the slot machine operator licensee or casino operator licensee;
4. A record of all accounts receivable written off as uncollectible by the slot machine operator licensee or casino operator licensee;
5. Journal entries prepared by the slot machine operator licensee or casino operator licensee;
6. Tax work papers used in preparation of any state or federal tax return;
7. Records that identify all of the following on a per day basis or other accounting period approved by the Board 1. The number of coins inserted by players or the coin equivalent if a bill acceptor is being used or tokens or tickets are used; 2. The number of credits wagered; 3. The number of credits paid out by printed tickets; 4. The total number of credits, coins and tokens won; 5. The number of times the logic door was accessed; and 6. The number of times the cash door was accessed; 7. The calculated payout percentage of each slot machine game on the basis of credits won divided by credits played; 8. The master game report for each table; 9. The number of chips missing and value from each table; 10. The Drop for each table; 11. The Win for each table.
8. Records required to fully comply with all applicable federal financial record- keeping requirements enumerated in 31 Code of Federal Regulations , part 103;
9. Records required by the slot machine operator licensee’s or casino operator licensee’s internal control system;
10. Work papers supporting the daily reconciliation of cash accountability; and
11. Other records that the Board requires to be maintained.

§3. Standard Financial and Statistical Records

Each Operator, unless specifically exempted by the Board, shall file daily, weekly, monthly, and annual reports of financial and statistical data with the Board.

Nothing in this section shall be interpreted to limit the ability of the Board or Department to request reports from the facility-based monitoring system.

At a minimum, the reports shall contain the following information:

Daily

1. Daily Operation Report which must include slot machine and table game win, handle, win percentage for the day, month to date, and for the comparable period last year.
2. A validation drop vs. meter comparison report filed for each drop day that compares the actual count to system totals.
3. Metered vs. actual jackpot comparison report with the dollar value totals for each;
4. Event log of errors referenced and hand-paid jackpots for each slot machine.

Weekly

Comparison reports for bills, tickets or vouchers accepted by the slot machine with dollar value totals for each type;

Transfers of employees within the Operator’s organization.

Changes in officers, partners, directors, key employees, operations employees, and owners.

Names of all new employees hired to work on the premises.

Termination of any employee and the reason for such termination.

Monthly

Slot machine win, handle, and win percentage by denomination for the previous month and for the comparable periods in the prior year.

Table game win, handle, and win percentage for the previous month and for the comparable periods in the prior year.

Management fees paid.

All employee infractions of the internal controls, Board established Rules and Regulations and State Law. Each infraction shall be reported on a form approved by the board or its designee and shall include, at a minimum, the following information:

1. Employee name.
2. Date of infraction.
3. Complete details of infraction.
4. Action taken.

Balance sheet and income statement prepared on a comparative basis for the current month and corresponding prior year period, in a form prescribed by the Board which will include table games and slot machine operations.

Annually

Each Operator, unless specifically exempted by the Board, shall, at its own expense, cause its annual financial statements to be audited in accordance with generally accepted auditing standards by an independent certified public accountant licensed to practice in the State of Maine.

The annual financial statement shall be prepared on a comparative basis for the current and prior fiscal year, and shall present financial position and results of operations in conformity with generally accepted accounting principles.

Copies of the annual report as developed by the independent certified public accountant shall be submitted by the Operator to the Board.

Annual reports to the Board shall be based on the Operator’s fiscal year. Quarterly reports shall be based on fiscal quarters, or as prescribed by the Board. Monthly reports shall be based on calendar months, or as prescribed by the Board. Weekly reports shall be based on a Monday through Sunday workweek.

The due dates for the reports shall be as prescribed in the Rules of the Gambling Control Board.

1. Required weekly reports will be submitted on Tuesday of each week.
2. Required monthly reports will be submitted on the 15th of the month.
3. Required annual reports will be submitted within 120 days of the close of the licensee’s fiscal years.

Each Operator shall require its independent certified public accountant to render the following additional reports:

1. Report on material weaknesses in internal accounting control. Whenever in the opinion of the independent certified public accountant there exists no material weaknesses in internal accounting control, the report shall so state.
2. The Operator shall prepare a written response to the independent certified public accountant’s reports required by 5(A) above. The response shall indicate, in detail, the corrective actions taken. Such response shall be submitted to the Board and the Department within 90 days from receipt of the independent certified public accountant’s reports.

Two copies of the reports required by 5 above, and two copies of any other reports on internal accounting control, administrative controls, or other matters relative to the Operator’s accounting or operating procedures rendered by the Operator’s independent certified public accountant, shall be filed with the Board and the Department by the Operator by the 15th day of the third month following the end of the fiscal year.

If an independent certified public accountant who was previously engaged as the principal accountant to audit the Operator’s financial statements resigns or is dismissed as the Operator’s principal accountant, or another independent certified public accountant is engaged as principal accountant, the Operator shall file a report with the Board and the Department within 10 days following the end of the month in which such event occurs, setting forth the following:

1. The date of such resignation, dismissal, or engagement.
2. Whether in connection with the audits of the two most recent years preceding such resignation, dismissal, or engagement there were any disagreements with the former accountant on any matter of accounting principles or practices, financial statement disclosure, or auditing scope or procedure, which disagreements if not resolved to the satisfaction of the former accountant would have caused him to make reference in connection with his report to the subject matter of disagreement, including a description of each such disagreement. The disagreements to be reported include those resolved and those not resolved.
3. Whether the principal accountant’s report on the financial statements for any of the past two years contained an adverse opinion or disclaimer of opinion or was qualified. The nature of such adverse opinion, disclaimer of opinion, or qualification shall be described.
4. The Operator shall request the former accountant to furnish to the Operator a letter addressed to the Board, with a copy furnished to the Department, stating whether he agrees with the statements made by the Operator. Such letter shall be filed with the Board as an exhibit to the report filed by the Operator.

§4. Special Audits and Licensee Annual Compliance Reports

To assure the integrity of gaming and compliance with 8 M.R.S.A.. Chapter 31 and these rules, the Board may require for cause a special audit of the slot machine operator or the casino operator to be conducted by State of Maine personnel or an independent certified public accountant who is, or whose firm is, licensed in Maine. The audit may not be performed by a firm who is also acting as a financial advisor for any governmental organization involved with or benefiting from the operation of the slot machine facility or casino. The Board shall establish the scope, procedures and reporting requirements of a special audit.

The slot machine operator licensee or casino operator licensee who is a public reporting company under the Securities and Exchange Act of 1933 or 1934, 15 U.S.C. §77 and

15 U.S.C. §78, shall submit a copy of all reports required by the Securities and Exchange Commission to the Director in the form filed with the SEC. The reports shall be due on the same filing dates as required by the Securities and Exchange Commission.

The slot machine operator licensee or casino operator licensee shall bear the expense of preparing any audit required by these rules and performed by an independent certified public accountant. Qualified personnel of the slot machine operator licensee or casino operator licensee shall prepare compliance reports and the slot machine operator licensee or casino operator licensee shall bear the expense of preparing the compliance reports.

The reporting year-end of the holder of the slot machine operator license or casino operator license shall be the licensee’s fiscal year.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003
• EFFECTIVE DATE: February 21, 2005 – filing 2005-59
• AMENDED: April 11, 1007 – Section 3, filing 2007-129
• AMENDED: October 1, 2011 -filing 2011-323
• AMENDED: June 23, 2014 – filing 2014-119
• AMENDED: March 8, 2025 – filing 2025-049
• AMENDED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 5 Internal ControlsAppendix A (Word), Minimum Internal Control Standards (MICS) for Slot Machine and Casino Operations (Amended March 29, 2026, filing 2026-070)

Code Me. R. 16-633 Ch. 5 Internal ControlsAppendix A (Word), Minimum Internal Control Standards (MICS) for Slot Machine and Casino Operations (Amended March 29, 2026, filing 2026-070) {#sec-16-633-ch.-5 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 5}

16 DEPARTMENT OF PUBLIC SAFETY

633 GAMBLING CONTROL BOARD Chapter 5: INTERNAL CONTROLS

§1. The operator must adopt internal controls that meet or exceed the standards outlined in the Minimum Internal Control Standards (MICS) approved and adopted by the Board.

§2. This rule incorporates by reference the State of Maine Minimum Internal Control Standards , (MICS) 2026 edition. A copy of the MICS follows this rule as Appendix A. Copies of this standard are available through the Maine Dept. of Public Safety Gambling Control Board, 45 Commerce Drive, Augusta, ME 04330.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003 EFFECTIVE DATE:
• STATUTORY AUTHORITY: February 21, 2005 – filing 2005-60
• AMENDED: November 26, 2005 – Appendix A only, filing 2005-479
• AMENDED: August 5, 2006 – Appendix A only, filing 2006-346
• AMENDED: April 11, 2007 – Appendix A only, filing 2007-130
• AMENDED: January 2, 2011 – filing 2011-481
• AMENDED: September 15, 2014 – filing 2014-223
• AMENDED: July 22, 2019 – filing 2019-127
• AMENDED: November 28, 2021 – 2021-236
• AMENDED: March 7, 2023 – filing 2023-038
• AMENDED: March 8, 2025 – filing 2025-049 to 054
• APAO ACCESSIBILITY CHECK (Word): March 24, 2026
• AMENDED: March 29, 2026 – filing 2026-070 (Appendix amended)

Chapter 6 Ticket Redemption

Code Me. R. 16-633 Ch. 6 Ticket Redemption {#sec-16-633-ch.-6 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 6}

16 DEPARTMENT OF PUBLIC SAFETY

633 GAMBLING CONTROL BOARD Chapter 6: TICKET REDEMPTION

§1. Slot Machine Operators and Casino Operators shall redeem tickets presented by a player in accordance with procedures proposed by the Operator and approved by the Director prior to the opening of the premises for slot machine play. Nothing in this subsection shall prohibit the use of coin-in/coin-out machines.

§2. Tickets may be redeemed by a player at the designated places on the premises where the slot machine issuing the ticket is located. No ticket or jackpot claim shall be redeemed by an Operator more than one year from the date of issuance of the ticket or the date of the occurrence of the jackpot.

§3. No payment for credits awarded on a slot machine may be made unless the ticket meets the following requirements:

For printed tickets, the ticket presented is a fully legible, valid ticket, printed on paper approved by the board, containing all the information required by the Board’s Rules in Appendix A to Chapter 5, Section III-D-9(J)(1);

It is not mutilated, altered, unreadable, or tampered with in any manner, or previously paid; and

It is not counterfeit in whole or in part.

§4. The management of each licensed Slot Machine Operator or Casino Operator shall designate employees authorized to redeem tickets during the hours of operation. Credits shall be immediately paid in cash or by check, electronic funds transfer (EFT), or automatic funds transfer (AFT) when a player presents a ticket for payment meeting the requirements of this section. No credits may be paid in tokens, chips or merchandise.

§5. Automated ticket redemption systems such as self-service kiosks are permissible, and shall:

Only to be used for the purpose of accepting, validating and providing payment for tickets inserted, or converting bills into smaller denominations. Automated ticket redemption machines shall not incorporate other functions.

Automated ticket redemption machines shall be capable of detecting the following error conditions:

Power loss or power reset;

Interpretation of communication with the automated ticket redemption machine;

Cash dispenser empty or timed out;

RAM error;

Low RAM battery;

Ticket in jam;

Door open;

Bill acceptor stacker full;

Bill acceptor door open;

Bill stacker door open or bill stacker removed; and,

Printer errors.

Error conditions listed in subparagraphs (2)(A)-(G) and (2)(K), shall require a licensed employee identified in the licensee’s internal controls to intervene and clear the error from the automated ticket redemption machine prior to the resumption of operation.

There shall be a maximum ticket value of $2,999.99 that can be paid by an automated ticket redemption machine, per individual ticket.

The automated ticket redemption machine shall maintain the following meters:

A “total in” meter that accumulates the total value of tickets or vouchers accepted by the automated ticket redemption machine; and,

A “total out” meter(s) for payments issued by the machine;

Separate “out meters” shall report the value of all bills dispensed by denomination.

A log shall be maintained in critical memory or on a paper log housed within the individual automated ticket redemption machine that consists of the following:

An event log which shall record the following information about the ticket redeemed:

Date/time of redemption,

Amount of ticket; and

At least last 4-digits of validation number.

The automated ticket redemption machine shall maintain the most recent 35 events in the event log.

Tickets may only be accepted by the automated ticket redemption machine when:

All communication links are intact;

Tickets inserted into or scanned at an automated ticket redemption machine shall be rejected in the event of a communication failure; and,

Payment shall only be made when the ticket is collected and physically housed within the bill stacker, or when the ticket’s barcode is scanned and redeemed.

§6. Operators may only redeem tickets for credits awarded on slot machines located on its premises. The Board and the State of Maine are not liable for the payment of any credits on any tickets.

§7. All tickets redeemed by a licensed Slot Machine Operator or Casino Operator shall be marked, defaced, or electronically cancelled in a manner that prevents any subsequent presentation and payment.

---

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003
• EFFECTIVE DATE: February 21, 2005 – filing 2005-61 as “Ticket Redemption and Forfeited Winnings”
• AMENDED: November 26, 2005 – Section 4, filing 2005-480
• AMENDED: August 5, 2006 – Section 2, filing 2006-347
• AMENDED: April 11, 2007 – Section 6, filing 2007-131
• AMENDED: October 1, 2011 – filing 2011-324
• AMENDED: April 22, 2014 – filing 2014-074, title changed to “Ticket Redemption”
• AMENDED: March 8, 2025 – filing 2025-051
• AMENDED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 7 Collection of Payments

Code Me. R. 16-633 Ch. 7 Collection of Payments {#sec-16-633-ch.-7 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 7}

§1. All fees, fines, charges, taxes, and penalties required by 8 M.R.S.A. Chapter 31 and rules adopted pursuant to Chapter 31, shall be submitted to the Board or as directed by the Board as they are due. Payment shall be in the form of certified check, cashier’s check or money order made out to the “Treasurer State of Maine/Gambling Control Board.” In lieu of these payment forms, the Board or State may accept an electronic wire transfer to a designated account.

§2. Each day at a pre-set time following closure of slot machine operations, the casino operator licensed to operate slot machines and table games at a commercial track licensed to operate a slot machine facility on January 1, shall, through the Central Site Monitoring System (CSMS), ascertain the daily gross slot machine income for the period that just closed. Prior to the start of operations on each Wednesday, the Operator shall, using the CSMS, generate a summary gross slot machine income report for the previous week. The total contained in the report shall be reconciled with the individual daily totals. The Operator shall, before the close of business on Wednesday, submit the weekly amounts to the Board in two payments as follows:

1. 1% of the gross slot machine income shall constitute one payment; and

2. 39% of the net slot machine income shall constitute the second payment.

Should any dispute arise concerning the payment amounts, the CSMS figure shall control.

§3. Each day at a pre-set time following closure of slot machine operations, the Casino Operator shall through the Central Site Monitoring System (CSMS), ascertain the daily gross slot machine income for the period that just closed. Prior to the start of operations on each Wednesday, the Casino Operator shall, using the CSMS, generate a summary gross slot machine income report for the previous week. The total contained in the report shall be reconciled with the individual daily totals. The Casino Operator shall, before the close of business on Wednesday, submit the weekly amounts to the Board in one payment as follows:

46% of the net slot machine income.

§4. Each day at a pre-set time following the closure of table game operations the Casino Operator shall ascertain the daily table game income for the period that just closed. Before the close of business on Wednesday the Casino Operator shall submit the weekly totals and amount to the Board in one payment as follows:

16% of the net table game income shall constitute one payment.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003
• EFFECTIVE DATE: February 21, 2005 – filing 2005-62
• AMENDED: August 5, 2006 – Section 2, filing 2006-348
• AMENDED: October 1, 2011 – filing 2011-325
• AMENDED: April 22, 2014 – filing 2014-075
• AMENDED: 16-633 Chapter 7 page 2

Chapter 8 Slot Machine Location and Hours of Operation

Code Me. R. 16-633 Ch. 8 Slot Machines and Table Games: Location and Hours of Operation {#sec-16-633-ch.-8 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 8}

§1. All slot machines and table games located at a Slot Machine Operator’s premises or Casino Operator’s premises shall be placed as follows:

1. Slot machines and table games must be located in an area which is at all times monitored by the Slot Machine Operator or Casino Operator, manager or an employee of the licensed operator to prevent access or play of slot machines and table games by persons under the age of 21. A person 18 to 20 years of age may be present if that person is a licensed employee pursuant to 8 M.R.S.A. §1015.

2. Initial locations for slot machines and table games within the slot machine facility or casino must be approved by the Board or its designee. Any changes thereto shall require prior approval of the Board or its designee.

3. Any relocation of slot machines and table games within the slot machine facility or casino requires prior approval by the Board or its designee.

4. The slot machine and table game locations shall be continuously monitored through the use of a closed circuit television system capable of digitally recording activity for a continuous twenty-four hour period.

5. The licensed operator shall submit for Board approval a floor plan of the area or areas where slot machines and table games are to be operated showing machine locations and security camera mount locations consistent with any rule.

6. No ATM or cash advance machine shall be located on the gaming floor. For the purposes of this rule, the gaming floor shall include that area from which people under 21 can be excluded.

§2. The hours available for slot machine and table game operation are:

1. There are no restrictions on the hours of operation.

2. Security personnel shall be present during all hours of operation at each slot machine or casino facility consistent with the Slot Machine or casino Operator’s Security Plan as approved by the Board.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003
• EFFECTIVE DATE: February 21, 2005 – filing 2005-63
• AMENDED: September 28, 2005 – filing 2005-384
• AMENDED: August 5, 2006 – Section 1(D), filing 2006-349
• AMENDED: April 11, 2007 – Section 1(F), filing 2007-132
• AMENDED: February 22, 2009 – Section 2, filing 2009-74
• AMENDED: October 1, 2011 – filing 2011-326
• AMENDED: April 22, 2014 – filing 2014-076

Chapter 9 Uniform Location Agreement: Contract Disclosures

Code Me. R. 16-633 Ch. 9 Uniform Location Agreement; Contract Disclosures {#sec-16-633-ch.-9 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 9}

§1. Uniform Location Agreement. Each slot machine or table game transferred between 1) a slot machine distributor and a slot machine operator; or 2) between a slot machine distributor or table game distributor and a casino operator shall be covered by a Uniform Location Agreement (ULA). Information required in the ULA for each slot machine or table game shall include, but not be limited to:

A. The name and full address of the slot machine operator or casino operator.

B. The name and full address of the slot machine distributor or table game distributor.

C. The serial number of each slot machine or table game (if applicable) received.

D. The model number and description of each slot machine or table game (if applicable) received.

E. The manufacturer of each slot machine or table game (if applicable) received.

F. Sale or lease terms for the machine or table game (if applicable).

§2. A Slot Machine Operator or Casino Operator shall submit a proposed ”ULA” to the Director at least ten (10) business days prior to the date on which the Slot Machine Operator or Casino Operator intends to execute the agreement.

The Director shall review and, if appropriate, approve the form and substance of a Uniform Location Agreement. No such agreement shall be effective or acted upon by the Slot Machine Operator, Casino Operator, Slot Machine Distributor or Table Game Distributor unless the Director has provided written approval of the agreement.

§3. Other Agreements/Contracts. A Slot Machine Operator or Casino Operator shall submit to the Board, within thirty (30) days of the execution of the agreement, all other contracts and agreements the Slot Machine Operator or Casino Operator establishes with a Slot Machine Distributor or Table Game Distributor, licensed gambling services vendor, or a key executive.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003
• EFFECTIVE DATE: February 21, 2005 – filing 2005-64
• AMENDED: October 1, 2011 – filing 2011-327
• AMENDED: 16-633 Chapter 9 page 2

Chapter 10 Slot Machine Maintenance

Code Me. R. 16-633 Ch. 10 Slot Machine Maintenance {#sec-16-633-ch.-10 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 10}

---

§1. No slot machine may be placed in operation in Maine until a licensed Slot Machine Operator or Casino Operator has provided its personnel with sufficient and appropriate training in the service and repair of each of its approved slot machine models.

§2. A Machine Entry Authorization Log (MEAL) shall be kept within the main cabinet access area in each slot machine. Every person who gains entry into a slot machine shall complete a MEAL log in accordance with the requirement of Chapter 5 appendix A section III-B-2(C). Machine Entry Authorization Log forms shall be retained by slot machine operators for a period of three years from the date of the last entry. The Machine Entry Authorization Logs shall be made available upon request for inspection by the Board or Department staff. The slot machine or casino operator shall provide suitable MEAL. books as approved by the board or its designee.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003
• EFFECTIVE DATE: February 21, 2005 – filing 2005-65
• EFFECTIVE DATE: August 5, 2006 – Section 2, filing 2006-350
• AMENDED: October 1, 2011 –filing 2011-328
• AMENDED: September 15, 2014 – filing 2014-224
• AMENDED: March 8, 2025 – filing 2025-052
• AMENDED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 11 Transportation of Slot Machines

Code Me. R. 16-633 Ch. 11 Transportation of Slot Machines and Table Games {#sec-16-633-ch.-11 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 11}

§1. Transporting Slot Machines or Table Games into Maine

1. No slot machine or table game distributor shall ship or transport a slot machine or table game into Maine without first obtaining a written authorization for such transport from the Director on forms MGCB-2200 and 2201. Transporting or shipping into Maine means the starting point is outside the State and terminates in the State.
2. Any slot machine or table game distributor authorized to ship a slot machine or table game into Maine shall provide the Board in writing at least two weeks prior to the time of shipment the following information: 1. The full name, address, and license number of the person shipping the slot machines or table games; 2. The method of shipment and the name of the carrier; 3. The full name, address, and license number of the person to whom the slot m chines or table games are being sent and the destination of said terminals, if different from the address; 4. The number of slot machines or table games in the shipment; 5. The serial number of each slot machine or table games in the shipment; 6. The model number and description of each slot machine or table games in the shipment; and 7. The expected arrival date of the slot machines or table games at their respective destination within Maine.
3. For purposes of this rule, the term “shipping seal” shall mean a material of some description (generally a large paper patch with adhesive backing) applied across a closed door or closed container top. The shipping seal shall be applied in such a fashion that should the door or container be opened; the shipping seal must be broken or damaged. A broken shipping seal shall indicate the door or container has been opened.
4. All slot machine and slot machine components shall be transported in container compartment, or freight trailer that has been secured and bears a shipping seal.
5. All slot machine software components shall be delivered separately or encased in a separate compartment within a larger freight compartment or freight trailer. Each compartment shall bear a shipping seal. The required shipping seal shall be applied at the shipper’s point of origin. Alternatively, the software component may be shipped intact within a locked slot machine logic compartment so long as the key to such lock is shipped to the Department in advance of delivery.
6. All shipment containers must have a shipping seal applied at the shipper’s point of origin. The shipping seal shall remain intact until inspected and accepted by the Department inspectors, at which time the seal shall be broken by Department inspectors.
7. Where equipment is shipped in vehicle freight trailers (when an entire freight trailer is used for shipment), the shipper shall affix a shipping seal across the center of each of the trailer’s exterior doors so that should the door be opened, the shipping seal would be broken. Additionally, the shipper shall also apply a shipping seal to each individual packing box comprising the shipment. Shipping seals applied by the shipper must not be broken or removed until delivery and inspection by Department inspectors.
8. For those shipments not using an entire vehicle or freight trailer, shippers shall apply a shipping seal to each individual package, and the shipment seals shall not be broken or removed until delivery and inspection by Department inspectors at the approved destination in Maine.
9. If shipping seals described above are broken, removed, or show signs of tampering, upon inspection at the delivery site, the Director or his or her designee shall instruct the facility and shipper as to the course of action to be taken. The course of action may involve:

Retesting and verification of the slot machine or slot machine component, or

Immediate refusal of the entire shipment and the return of the entire shipment to the originating shipment location.

§2. Receipt of Slot Machines or Table Games

The slot machine or casino operator or slot machine or casino distributor who receives a slot machine or table game shall, upon receipt of said slot machine or table game, provide the Board with the following information:

1. The full name, address and license number of the person receiving the slot machines or table games;
2. The full name, address and license number of the person from whom the slot machines or table games were received;
3. The quantity of slot machines or table games received and serial number of each;
4. The model number and description of each slot machine or table game received;
5. The manufacturer of each slot machine or table game received;
6. The location where each slot machine or table game will be placed, and the license number of the establishment; and
7. The expected date and time of slot machine or table game installation.

If the slot machine or table game will not be placed in operation, the slot machine or casino operator or slot machine or table game distributor, as appropriate, shall notify the Board of the address where machine or table is warehoused or otherwise kept. At the time such slot machine or table game is removed from inventory and transported to another location within the State, the slot machine or casino operator or slot machine or table game distributor, as appropriate, shall notify the Department of the transport and provide the information required in §2(1)(A)-(G).

A Department inspector shall verify with use of approved independent laboratory standards and applications, or the verify+ Kobetron verification of game-related storage media and software to obtain confirmation that all games comply with requirements for games in the state of Maine.

If the test results from the verification device reflect that:

The slot machine or table game and the slot machine or table game in the slot machine or table game is a version the Department has authorized for play in the State of Maine, the slot machine licensee may offer the slot machine or table game to the public for play, or

If the slot machine or table game is not an authorized version for play in the State of Maine, then the slot machine or table game shall not be offered to the public for play. The slot machine or table game shall not be offered to the public for play until:

• • 1. The slot machine or table game has been certified for use in the State of Maine by an independent test laboratory approved by the Board. 2. The slot machine or table game has been configured with slot machine or table games and slot machine or table game components that have been certified for use in the State of Maine according to Chapter 20 of Board rule, or 3. An investigation into the broken or tampered slot machine or table game locks or evidence tape has been completed,

§3. Transporting Slot Machines or Table Games within Maine

Transporting of slot machines or table games within the State of Maine shall be accomplished with the concurrence of the Board by the slot machine or table game distributor or agent or entity approved by the Board. Slot machine or casino operators are not authorized to transport slot machines or table games at any time without the prior written permission of the Board or designee. Any distributor or entity approved by the Board transporting a slot machine or table game from one location to another within the State shall notify the Board in writing at least two weeks prior to the transportation of said slot machine and shall provide the following information to the Board:

1. The full name, address and, when applicable, license number of the person transporting the slot machine or table game;
2. The reason for transporting the slot machine or table game;
3. The method of shipment or movement and the name of the carrier or carriers;
4. The full name, address and license number of the person where the slot machine or table game is currently located;
5. The full name, and address of the person to whom the slot machine or table game is being sent and the destination of the slot machine or table game, if different from the address;
6. The quantity of slot machines or table games received, and the serial number and model numbers of each;
7. The slot machine or table game license registration number, if affixed;
8. The manufacturer of the slot machine or table game; and
9. The expected date and time of slot machine or table game installation or destruction.

This requirement does not apply to the movement of slot machines or table games within the same facility, including the transportation of slot machines or table games by a licensed operator within the State of Maine for the purpose of off-site storage. When slot machines or table games are being moved to off-site storage, the operator must provide written notice to the Board or its designee at least 48 hours prior to the transportation and include the following information:

1. The address of the approved location of storage;
2. The quantity of slot machines or table games being transported, and the serial number and model numbers of each;
3. The slot machine or table game license registration number, if affixed;
4. The manufacturer of the slot machine or table game;
5. The expected date of transportation, and
6. The method of shipment or movement and the name of the carrier or carriers.

Following the submission of this information, slot machine operators or casino operators are not authorized to transport the slot machines or table games without written permission of the Board or its designee.

The slot or casino operator will ensure that all slot machines or table games that are to be destroyed will be rendered unusable for any gambling-related activity.

§4. Transporting Slot Machines or Table Games out of Maine

Any distributor or entity approved by the Board shipping slot machines or table games out of the State shall notify the Board in writing prior to the shipment and shall provide the following information to the Board:

1. The full name, address and license number of the person shipping the slot machines or table games;
2. The method of shipment and the name of the carrier;
3. The full name and address of the person to whom the slot machines or table games are being sent and the destination of the slot machines or table games if different from the address;
4. The number of slot machines or table games in the shipment;
5. The serial number of each slot machine or table game being shipped;
6. The model number and description of the slot machine or table game being shipped;
7. The slot machine or table game registration number, if affixed;
8. The name of the manufacturer of the slot machine or table game being shipped; and
9. The expected date and time of the removal of the slot machine or table game from any authorized location in this State and the expected date and time of delivery to the new location.
10. The reason for transporting the machine.

§5. Registration Decal

l. Slot machine or table game distributors must make slot machines or table games and associated equipment available for inspection by Department inspectors.

Each slot machine or table game placed in operation in Maine shall have a registration decal approved by the Board, with the slot machine or table game registration control number placed thereon, affixed to the machine or table prior to the slot machine or table game becoming operational. The placement of the decal represents that the slot machine or table game has been registered, inspected, and approved for operation in Maine. Only authorized Department staff may affix a registration decal. Once a registration decal has been affixed by authorized Department staff, no person other than authorized Department staff may remove a registration decal.

No slot machine or table game may be transported out of the State or transported within the State in order to be destroyed until authorized Department personnel have removed the decal containing the slot machine's or table game's registration control number.

When a machine or table game is sent for destruction the EPROM computer chips will be removed and returned to the Gambling Control Board or its designee for destruction.

---

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003
• EFFECTIVE DATE: February 21, 2005 – filing 2005-66
• AMENDED: November 26, 2005 – Section 3, filing 2005-481
• AMENDED: April 11, 2007 – Section 1(H), filing 2007-133
• AMENDED: October 1, 2011 – filing 2011-329
• AMENDED: September 15, 2014 – filing 2014-225
• AMENDED: March 8, 2025 – filing 2025-053

Chapter 12 Fingerprinting Procedure

Code Me. R. 16-633 Ch. 12 Fingerprinting Procedure {#sec-16-633-ch.-12 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 12}

§1. The license applicant or licensee will contact the Department to make arrangements for fingerprint processing.

§2. Fees are required to be paid for state and federal processing of fingerprint cards and criminal history record inquiries. Payment of fees will be made to the Gambling Control Board or to an entity as directed by the Board.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003
• EFFECTIVE DATE: February 21, 2005 – filing 2005-67
• CHAPTER 1: MISSION AND GOALS OF THE MAINE EMS SYSTEM
• CHAPTER 1: 1-2

Chapter 13 Exclusion

Code Me. R. 16-633 Ch. 13 Exclusion {#sec-16-633-ch.-13 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 13}

----------------------------------------------------------------------------------------------------------------------------------

§ 1. Definitions

“Internet Wagering” means the process of placing wagers through internet wagering platforms or applications operated by Fantasy Contests and Sports Wagering licensees as approved by the Executive Director and by Advance Deposit Wagering licensees as approved by the Board.

“Operator” means a person who is licensed to offer “in person” casino, slot facility or sports wagering and fantasy contests, sports wagering or advance deposit wagering through the use of the internet from platforms or applications.

§ 2. Persons are to be excluded from licensed Operators’ offerings pursuant to the following standards and procedures. The provisions of this rule are solely regulatory in nature and neither create a minimum standard of care toward the public nor establish a private cause of action for non- compliance.

§ 3. Request for self-exclusion

Any person may request self-exclusion pursuant to these rules by:

Appearing in person at an office of the State of Maine Gambling Control Board, a licensed casino or slot facility, in person facility or an affiliate office of the Problem Gambling Services Provider of the Maine Center for Disease Control and Prevention;

Requesting a virtual, online self-exclusion meeting with the Problem Gambling Services Provider which can be found on the self-exclusion link of the Gambling Control Unit website; or

Request through an internet wagering operator’s platform or application.

The requestor shall:

1. Present or, as applicable, upload a copy of a government-issued identification containing: 1. Their signature; and 2. A photograph or a general physical description;

2. Be photographed;

3. Submit a completed Request for Self-Exclusion form.

4. The request for self-exclusion shall be made on a form prescribed by the Board.

The form must be available at all licensed casinos or slot facilities, and the affiliate offices of the Problem Gambling Services Provider of the Maine Center for Disease Control and Prevention, the Office of the Gambling Control Board, or accessible virtually via a hyperlink by a Problem Gambling Services Provider within Maine or any advance deposit wagering, fantasy contest or sports wagering operator on its internet platform or application.

The Request for Self-Exclusion form must include:

• 1. The following identifying information concerning the person submitting the self-exclusion request: 1. Name, including any aliases or nicknames; 2. Date of birth; 3. Address of current residence; 4. Current telephone number; 5. Last four digits of the applicant’s Social Security number, if such information is voluntarily provided by the person requesting self-exclusion; 6. A physical description of the person, including height, weight, gender, hair color, eye color and any other physical characteristic that may assist in the identification of the person;
• 1. The length of the self-exclusion period requested by the person:

The length of a self-exclusion period must be for one of the following designated time frames: one year, three years, five years, or lifetime. Once a time frame is selected, the person requesting exclusion will serve the entire duration of the exclusion period except, in the case of lifetime exclusion, the person may petition the Board for removal from the self- exclusion list after five years.

• 1. The ability to choose whether exclusion is sought from casinos, slot machine facilities, advance deposit wagering, fantasy contests, and/or sports wagering. 2. A signed release that includes, at a minimum, the following: 1. Acknowledgement that the request for self-exclusion has been made voluntarily; 2. Certification that the information provided on the form is true and accurate; and 3. Agreement to release, indemnify, hold harmless and forever discharge the State, the Board, and licensed slot facilities, casinos, advance deposit wagering, fantasy contest, sports wagering operators and Problem Gambling Service Provider, or affiliate office of the Problem Gambling Services Provider of the Maine Center for Disease Control and Prevention from any claims, damages, losses, expenses or liability arising out of, by reason of or relating to the self-excluded person or to any other party for any harm, monetary or otherwise, which may arise as a result of or by reason of any act or omission relating to the request for self- exclusion, including: 1. Its processing or enforcement; 2. The failure of a slot facility, casino, advance deposit wagering, fantasy contest, or sports wagering operator to withhold gaming privileges from or restore gaming privileges to a person excluded from the respective gaming activity; 3. Otherwise permitting or not permitting a self-excluded person to engage in the selected gaming activity in a licensed facility or on an internet platform or application while on the list of self-excluded persons for that selected gaming activity. 4. Acknowledgement that any self-excluded person violating the terms of his or her self-exclusion agreement during the self- excluded period may be subject to (1) conviction for criminal trespass, and/or (2) placement by the Board on the involuntary exclusion list as set out in Section 5 of these regulations.

A request for self-exclusion may be made only by the individual to whom exclusion would apply and not by any other person.

§ 4. Universal self-exclusion list

The Gambling Control Board will maintain the official universal self-exclusion list and notify each casino, slot facility, advance deposit wagering, fantasy contests, or sports wagering operator of any addition to or deletion from the list by electronic mail and on a monthly basis will provide the entire list.

1. The notice provided to the casinos, slot facilities, advance deposit wagering, fantasy contest, or sports wagering operators by the Board will include the following information concerning a person who has been added to or deleted from the list: 1. All of the identifying information required by Section 3(2)(A)(1) to be included on the Request for Self-Exclusion form, including the relevant gaming activity; 2. The length of the self-exclusion period including expiration date; and 3. A copy of the photograph taken by the Board pursuant to Section 3(2)(B).
2. A casino, slot facility, advance deposit wagering, fantasy contest or sports wagering operator must maintain its own copy of the universal self-exclusion list and establish procedures to ensure that its copy of the universal self-exclusion list is updated and that all appropriate employees and agents of the casino, or slot facility, advance deposit wagering, fantasy contest or sports wagering operator are notified of any addition to or deletion from the list within two (2) business days after the day the notice is received by the casino, slot facility, advance deposit wagering, fantasy contest, or sports wagering operator.

Information furnished to or obtained by the Board pursuant to this chapter will be deemed confidential and will not be disclosed except in accordance with this chapter or as required by statute.

Casinos, slot facilities, advance deposit wagering, fantasy contest, or sports wagering operators and their employees or agents thereof, may not disclose the self- exclusion list or any information about a person who has requested self-exclusion except as necessary to comply with this chapter or as otherwise required by law. Notwithstanding the foregoing, such information may be disclosed to employees and agents of the casino, slot facility, advance deposit wagering, fantasy contest, or sports wagering operator whose duties and functions require access to the information, to law enforcement, and to affiliated gaming establishments in other jurisdictions.

Casinos, slot facilities, advance deposit wagering, fantasy contest, or sports wagering operators with affiliated gaming establishments in other jurisdictions may choose to share the universal self-exclusion list with and invoke it in those establishments, in accordance with applicable laws and regulations in those jurisdictions, and without violation of the confidentiality requirements of these regulations.

Casino or slot facilities with its own self-exclusion list that predates the Board’s Universal self-exclusion list shall be added to the universal self-exclusion list pursuant to 8 M.R.S.A., §1003, sub-3, (I).

§ 5. Exception to the prohibition on being on the gaming floor for individuals on the self-exclusion list for on-site gaming activities

The prohibition against allowing self-excluded persons to be on the premises of a slot facility or casino does not apply to a slot facility or casino employee who is on the self-exclusion list for slot machine and casino gaming activities if all of the following apply:

The individual is carrying out the duties of slot facility or casino employment;

The human resources department of the casino or slot facility has requested and received written permission from the Board on behalf of the employee;

Access to the gaming floor is limited to the time necessary to complete the individual's assigned duties; and

The individual does not otherwise engage in any gaming activities.

§ 6. Involuntary Exclusion

The Gambling Control Board will maintain the official universal involuntary exclusion list and notify each casino, slot facility, advance deposit wagering, fantasy contest, or sports wagering operators of any addition to or deletion from the universal involuntary exclusion list by electronic mail and on a monthly basis will provide the entire list.

1. The notice provided to the casinos, or slot facilities, advance deposit wagering, fantasy contest, or sports wagering operators by the Board will include the following information concerning a person who has been added to or deleted from the list: 1. All of the identifying information required by subsection 3 of this Section.

The Board shall maintain a Universal involuntary exclusion list as follows:

1. The Board's Universal Involuntary Exclusion List shall exclude the following persons from casinos, slot facilities, advance deposit wagering, fantasy contest, or sports wagering: 1. Career or professional offenders whose participation in gaming activities would be inimical to the interest of the State, including persons whose gambling licenses have been revoked or are currently under suspension as a result of disciplinary action in this State or another gambling jurisdiction; and persons convicted of gambling-related offenses, including violations of Title 8 M.R.S.A. Chapter 31;

Title 17, Chapters 13-A or 62; Title 17-A, Chapter 39; other

gambling-related offenses in violation of Maine law; and substantially similar offenses in other jurisdictions;

• 1. Persons subject to an order of a court regarding a gambling- related incident or an order of a regulatory agency excluding such persons from gambling; 2. Persons who have been convicted of a crime involving dishonesty or false statement; 3. Persons who pose a threat to the safety of the patrons or employees of the gaming facility; and 4. Persons whose conduct or documented history of conduct involves the undue disruption of the gaming operations of the facility, i.e. criminal mischief, disorderly conduct, harassment, cheating, etc.

1. Persons shall be entered on the Board’s universal involuntary exclusion list pursuant to the following procedures: 1. Upon receipt of information that a person meets criteria for exclusion identified at Section 6(2)(A) of this Chapter, the Board, or as delegated, the Director, shall notify the person in writing of placement of the person's name on the Board's universal involuntary exclusion list and the reasons for that decision; 2. The person may, within 30 days of receipt of this notice, appeal that determination to the Board pursuant to 8 M.R.S.A. §1051(4); 3. The request for appeal must be made in writing and outline the factual and legal basis for the appeal; 4. If no request for appeal is received, the decision is final, and the Board or Director shall notify licensed operators of the person's placement on the list.
2. The Board or Director may limit the duration of the exclusion.

The Universal involuntary exclusion lists shall contain the following information:

1. The excluded person’s full name, and known aliases or nicknames;
2. Date of birth;
3. A physical description of the person including height, weight, gender, hair color, eye color and any other physical characteristic that may assist in the identification of the person;
4. The effective date the person's name was placed on the universal exclusion list and the duration of exclusion, if established;
5. The gaming activity from which the person is excluded;
6. The basis for the exclusion; and
7. A photograph of the person, if available.

§ 7. Duties of licensed facilities

Each casino, slot facility, advance deposit wagering operator, fantasy contest operator, or sports wagering operator must:

1. Have and make available to all patrons and users the Request for Self-Exclusion form and information regarding how to access virtual Self-Exclusion options as approved by the Board;
2. Operators, shall designate a person or persons to be the contact person for the Board for purposes of self-exclusion procedures, including receipt and maintenance of the Universal self-exclusion list, submission of the operator’s procedures, and all other communications between the Board and operators for self-exclusion purposes. The operators must provide the name and contact information of the designated person or persons to the Executive Director and promptly notify the Executive Director of any changes;
3. For facility operators, post or provide at each entrance and exit to the gaming premises, and in conspicuous places in or near gaming, wagering, cage areas, kiosks and cash dispensing machines located on the gaming premises, written materials concerning the nature and symptoms of problem gambling and concerning the procedure for self-exclusion, including where to obtain the Request for Self-Exclusion forms, virtual Self-Exclusion resources, and the toll free number of the Problem Gambling Helpline or a similar entity approved by the Board that provides information and referral services for problem gamblers; and
4. Comply with the provisions of section 3 of this chapter.

Each operator shall implement training procedures for all new employees, and annual re-training for all employees who directly interact with gaming or wagering patrons in gaming areas or on an operator’s platform or application regarding problem gambling. That training shall, at a minimum, consist of information concerning the nature of problem gambling, the procedures for requesting self-exclusion, and the ways to assist patrons in obtaining information about problem gambling programs. This section shall not be construed to impose a duty upon employees of operators to identify problem gamblers nor to impose any liability for failure to do so. Each operator shall designate personnel responsible for maintaining the training program.

Each operator shall submit their training programs to the Maine Gambling Control Board for approval every two years.

Each operator facility shall establish and follow procedures and systems that are designed, to the greatest extent practicable, to:

1. Permit appropriate employees to identify an excluded person when present in a in-person facility or when attempting to wager through a digital platform or application and upon identification immediately notify the following persons: 1. Those employees of the operator designated to monitor the presence of excluded persons; and 2. Designated representatives of the Board via electronic mail;
2. Refuse access to the gaming floor, wagering area, or digital platform or application for any excluded person identified on the Universal exclusion list for the respective gaming activity;
3. Utilize the player tracking systems and other electronic means, including checking all taxable patron winnings against the exclusion lists, to assist in determining whether the excluded person is participating in any gaming activities;
4. Deactivate any player club card or similar item or on-line account (?) issued to an excluded person for the purpose of gambling;

E. Deny check cashing privileges, player club membership, complimentary goods and services, junket participation and other similar privileges and benefits

to any excluded person; and

F. Ensure that excluded persons do not receive, emails, solicitations, telemarketing promotions, player club materials or other promotional materials relating to the relevant gaming activity(s).

If an operator detects, or is notified of, the presence of a patron suspected of being on an exclusion list on the premises, the operator shall verify using reasonable measures, that the patron is on an exclusion list and the basis for the exclusion.

Upon verification by an operator that any excluded person has obtained access to the gaming floor, digital platform or application, the operator shall:

1. Promptly take steps to remove such person from the facility while protecting the safety and welfare of the public and the facility’s employees, and to notify the Board or its designee of the breach;
2. Require the security and surveillance departments to immediately determine: 1. How the person was able to gain access to the premises without being detected; and 2. How the operator plans to prevent such breaches in the future.

Each Operator shall submit to the Board for written approval a copy of its procedures established under this Section within 90 days of the rule’s adoption. Any amendment to the operator’s procedures shall be submitted to the Board for approval at least thirty (30) days prior to its implementation.

Any Operator violating any requirements of this Chapter may be subject to disciplinary action by the Gambling Control Board.

§ 8. Removal from universal exclusion lists

1. Self-exclusion 1. Except for those persons choosing a lifetime self-exclusion, self-exclusion will automatically terminate upon expiration of the period of self-exclusion specified under Section 2(3)(A)(2) above. The expiration will occur on the last day of the month of the original self-exclusion. 2. A person who requested lifetime exclusion may, after five years from the date of exclusion, submit a written request to the Board for removal from the list. The request shall include and be based upon: 1. A detailed explanation for the request; 2. History of any violations of exclusion prior to the request; and 3. Verification that the requester received a reinstatement session with a problem gambling services agency approved by the Board. 3. Upon the expiration of the self-exclusion period or a successful petition for removal, the Board shall delete the name of the person from the self-exclusion list and notify Operators of such deletion from the list in the manner set out in Section 3(1) above.

Involuntary exclusion

• 1. Persons on the Board's involuntary exclusion list may petition to have their names removed from the list one year after placement on the list by filing a request in writing with the Board. The request must state with specificity the reasons for the request and include documentation of material changes in the circumstances underlying the basis for exclusion. 2. If the Board grants the request, the person's name shall be removed from the involuntary exclusion list. Upon the expiration of the self-exclusion period or a successful petition for removal, the Board shall delete the name of the person from the self-exclusion list and notify operator of such deletion from the list in the manner set out in Section 6(2)(B) above.

§ 9. Forfeiture of winnings

Determine whether there are any winnings due the excluded person that would require the casino, slot facility or sports wagering operator to file a Form W·2G or substantially equivalent form with the United States Internal Revenue Service. Any such funds shall be intercepted by the casino, slot facility or sports wagering operator and, after withholding appropriate taxes and complying with the requirements of 8 M.R.S.A. §1066, be remitted to the Board or its designee for deposit in accordance with 8 M.R.S.A. §1003(3)(I)(2).

The casinos slot facilities and sports wagering operator’s shall prepare a report which shall include:

1. The total value and a detailed description of winnings or things of value that were won, lost or seized;
2. The date of the incident;
3. The name of the excluded person and basis for determining the person is excluded; and
4. The information obtained pursuant to Section 9(2) of this Chapter.

In the event that the winnings of an excluded person are intercepted by an Operator as described in Section 89(1), the Department shall notify the excluded person in writing of the opportunity to request a hearing to contest the forfeiture of winnings. The person must request a hearing within 30 days of the receipt of the written notice. If no timely response is filed, the winnings or things of value shall be forfeited pursuant to 8 M.R.S.A. §1003(3)(I)(2).

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §§ 1003(2)(U)(9) & (3)(I); 1006(8); 1203(2)(K), and 1213(5).
• REPEAL AND REPLACE: January 20, 2014 – filing 2014-006
• CORRECTIONS: February 17, 2014
• CORRECTIONS: §1003. EFFECTIVE DATE:
• CORRECTIONS: February 21, 2005 – filing 2005-68
• CORRECTIONS: August 29, 2022 – filing 2022-162
• APAO ACCESSIBILITY CHECK: September 30, 2025 (no issues detected)
• AMENDED: October 4, 2025 - filing 2025-186

Chapter 14 Advertising

Code Me. R. 16-633 Ch. 14 Advertising {#sec-16-633-ch.-14 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 14}

§1. The Board finds that the State has a compelling interest in deterring excessive use of alcohol and tobacco products, especially by minors. The Board finds that the State has a compelling interest in ensuring that minors are aware of the law that prohibits persons under age 21 from engaging in gambling at the slot or casino facility.

§2. All advertising, marketing and promotional materials (referred to collectively as “advertising”) related to slot machines or table games or referencing slot machines or table games to be utilized by a slot machine or casino operator or person acting on behalf of the operator, shall be filed with the Gambling Control Board thirty days prior to use. This section can be waived, in writing, by the Board or its designee. Advertising materials that have been previously filed with the Board and that have not been substantially altered need not be prefiled, but may be filed with the Board contemporaneously with distribution.

§3. Advertising shall comply with the following standards:

A. False, misleading and deceptive advertising is prohibited.

B. Depictions of the use of alcohol and tobacco are prohibited.

C. Depictions of persons under the age of 21 engaged in gambling are prohibited.

D. Guarantees of success, riches or gambling winnings are prohibited.

E. Advertising must include a disclaimer as follows: “Persons under 21 years of age may not enter the gaming area unless licensed as employees.”

F. Advertising must comply with all applicable Maine and federal laws.

§ 4. On receipt of notice from the Board or its Director that advertising may be in violation of these rules or other laws of the State of Maine and upon request by the Board or its designee to do so, the licensee will suspend, or cause its agent or representative to suspend, the advertising campaign. Suspension of the use of the advertising materials in question will continue pending resolution of the matter, including any proceedings pursuant to 8 M.R.S.A. chapter 31, subchapter 5.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003
• EFFECTIVE DATE: February 21, 2005 – filing 2005-69
• AMENDED: November 26, 2005 – Section 2, filing 2005-482
• AMENDED: April 11, 1007 – Section 3(E), filing 2007-134
• AMENDED: October 1, 2011 - filing 2011-330
• AMENDED: April 22, 2014 – filing 2014-077
• AMENDED: 16-633 Chapter 14 page 2

Chapter 15 Alcoholic Beverages and Tobacco Products

Code Me. R. 16-633 Ch. 15 Alcoholic Beverages and Tobacco Products {#sec-16-633-ch.-15 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 15}

§1. The provisions of Title 28-A M.R.S.A. and the rules adopted pursuant thereto govern the possession, distribution and consumption of alcoholic beverages on the premises of the slot machine or casino facility.

§2. The provisions of Title 22 M.R.S.A. Chapters 262 and 262-A and the rules adopted pursuant thereto govern the possession, distribution and use of tobacco products on the premises of the slot machine or casino facility.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003
• EFFECTIVE DATE: February 21, 2005 – filing 2005-70
• AMENDED: October 1, 2011 – filing 2011-331

Chapter 16 Weapons

Code Me. R. 16-633 Ch. 16 Weapons {#sec-16-633-ch.-16 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 16}

The following rules govern possession of weapons in a licensed slot machine or casino facility. “Weapons” include but are not limited to any firearm, taser, stun gun, pepper spray, mace, sling shot, knuckles, bowie knife, dirk, stiletto or other dangerous or deadly weapon usually employed in the attack on or defense of a person.

§1. A person may not carry a firearm or other weapon in a licensed slot machine or casino facility, except for persons employed in any of the following capacities:

A. A state, county or municipal law enforcement officer conducting official duties within the licensed slot machine or casino facility;

B. A federal law enforcement officer, as defined in 5 U.S.C. §8331, conducting official duties within the licensed slot machine or casino facility;

C. An armored car person acting as a security guard may, while in the performance of those duties, carry a loaded weapon in a motor vehicle that is being used to provide armored car service, in accordance with 32 M.R.S.A. §9416. Such an individual may carry a nonconcealed firearm into the facility, as long as there is no violation of 17-A M.R.S.A. §1057.

§2. Law enforcement officers conducting official duties within a licensed slot machine or casino facility shall, to the extent practicable, advise the on-site security personnel of their presence.

§3. A licensed slot machine or casino facility’s employed security personnel may carry handcuffs while on duty in the facility. Slot machine or Casino facility security personnel may not possess firearms.

§4. If the slot machine or casino facility is privately owned, this rule authorizes the owner of the facility to restrict possession of firearms and other weapons by persons in the facility, including off-duty and retired law enforcement officers in accordance with the above rules, and Title 18 U.S.C. §926B, §926C and 25 M.R.S.A.§2001-A, sub-§2, ¶¶G and H . Such facility regulations should be incorporated in any security plan submitted to the Board.

§5. A licensed slot machine or casino facility shall post a notice near entrances to the facility as follows:

Firearms and other weapons are prohibited* within this facility.

• Certain exceptions may apply for law enforcement and security personnel engaged in official duties. Contact a representative of the operator or the Gambling Control Board regarding these exceptions.

§6. This chapter does not create a defense or exception to 17-A M.R.S.A. §1057, which prohibits possession of firearms on the premises of a licensed establishment posted in the manner set out in 17-A M.R.S.A. §1057(1). A “licensed establishment” is one licensed for on-premise retail sale of alcoholic beverages.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003.
• EFFECTIVE DATE: February 21, 2005 – filing 2005-71
• AMENDED: October 1, 2011 – filing 2011-332
• AMENDED: 16-633 Chapter 16 page 2

Chapter 17 On Premise Office Space

Code Me. R. 16-633 Ch. 17 On Premise Office Space {#sec-16-633-ch.-17 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 17}

§1. The Slot Machine or Casino Operator shall provide free of any charge a secure and segregated room at the slot machine or casino facility for the exclusive use of the Board staff or Department staff. The room shall provide the Department and its staff access to the full range of slot machine or casino facility surveillance capability, work space with computing capability, internal and external network access, and other work space to meet the needs specified by the Department. The office shall have a dedicated secure telephone line that has a different number than the telephone line of the slot machine facility. The secure telephone line shall provide not less than two extensions and direct emergency lines as specified by the Department. The Slot Machine or Casino Operator shall provide parking in proximity to the facility for use by the Board and Department staff on a basis consistent with parking made available to supervisory personnel of the slot machine or casino facility.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003.
• EFFECTIVE DATE: February 21, 2005 – filing 2005-72
• EFFECTIVE DATE: AMENDED;
• EFFECTIVE DATE: April 11, 2007 – filing 2007-135
• EFFECTIVE DATE: October 1, 2011 filing 2011-333

Chapter 18 Responsible Gaming Programs

Code Me. R. 16-633 Ch. 18 Responsible Gaming Programs {#sec-16-633-ch.-18 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 18}

The Board finds that the State has a compelling interest in ensuring that persons have access to information and resources to address problem and compulsive gambling.

§ 1 Program Requirements: Prior to commencing slot machine or casino operations the slot machine or casino operator shall submit its responsible gaming program to the Board. The program shall address the following areas:

1. Compulsive gambling. The program shall be designed to promote responsible gaming in accordance with the requirements of Chapter 13 of these Rules. The slot machine or casino operator must submit the written materials concerning problem gambling, as required by Chapter 13 section 6(1)(C), to the Board for approval thirty days prior to posting or providing the materials in the casino or slot facility;

2. Alcohol service. The program shall be designed to promote responsible alcohol service and consumption. The program shall identify all employee training related to alcohol service. The program shall also identify the procedures designed to prevent a visibly intoxicated individual from gambling or consuming alcohol at the casino or slot machine facility;

3. Minors. The program shall identify the means by which the slot machine or casino operator shall prevent minors from gambling, consuming alcohol and purchasing tobacco products at the slot machine or casino facility. The slot machine or casino operator shall identify its procedures to address any unattended minors found at the slot machine or casino facility; and

4. Marketing. The program shall identify the standards the slot machine or casino operator shall follow in its marketing campaigns for the slot machine or casino facility. The program shall identify the procedures designed to prevent promotional materials or communications from being directed specifically to individuals who have self-excluded themselves from the facility, as required in Chapter 13 section 6(3)(G), or who have requested that they not receive such materials or communications.

§ 2. Continuing enforcement of compulsive gambling programs

A casino or slot machine operator may continue to enforce a self-exclusion list created in accordance with a responsible gaming program submitted to the Board and in use by that operator prior to the implementation of the Gambling Control Board self-exclusion list as set forth in Chapter 13 of these rules.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003
• EFFECTIVE DATE: February 21, 2005 – filing 2005-73
• EFFECTIVE DATE: AMENDED;
• EFFECTIVE DATE: October 1, 2011 – filing 2011-334
• EFFECTIVE DATE: April 22, 2014 – filing 2014-078
• EFFECTIVE DATE: 16-633 Chapter 18 page 2

Chapter 19 Slot Machine Testing and Certification

Code Me. R. 16-633 Ch. 19 Slot Machine Testing and Certification {#sec-16-633-ch.-19 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 19}

§1. A Slot Machine Distributor shall not distribute a slot machine for placement in the state of Maine unless the slot machine has been approved by the Board. Only a licensed Slot Machine Distributor may apply for approval of a slot machine. Board approval requires documented evidence of Board approved independent testing laboratory certification for the machines being installed. The Slot Machine Distributor shall pay all costs of testing, examination, analysis and transportation of such slot machine models, which may include the entire dismantling of the slot machine and tests.

§2. Testing by the Board-approved independent testing laboratory must be performed to determine that all slot machines for use in Maine comply with Board laws and rules, including but not limited to Board Rule Chapter 20 and Appendix A to Chapter 5 of the Board’s Rules.

§3. After the tests have been completed, the independent testing laboratory shall provide certification of the slot machine’s compliance with Board laws and rules by providing to the Board a report that contains the laboratory’s findings, conclusions, and pass/fail results. Prior to approving a particular slot machine model, the Board may require a trial period not in excess of sixty (60) days for a Slot Machine or Casino Operator to test the slot machine. During the trial period, the Slot Machine Distributor may not make any modifications to the slot machine model unless such modifications are approved by the Board.

§4. The introduction of new games or any change to an existing slot machine game by the Slot Machine Distributor will require the distributor to submit materials required by the independent testing laboratory for testing and certification of the new game. The resulting laboratory certification will be sent to the Board and the Slot Machine or Casino Operator verifying the acceptance of the new or revised game. No new or revised game will be placed into operation without the Director accepting the independent laboratory’s certification and authorizing the use of the slot machine based on that certificate.

§5. Each slot machine and slot machine game approved for placement in a slot machine or casino facility shall conform to the exact specifications of the slot machine prototype or slot machine game tested by the independent testing laboratory and approved by the Board. Each slot machine shall at all times be located and operate in a manner pursuant to 8 M.R.S.A. Chapter 31 and these rules.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. § 1003 EFFECTIVE DATE:
• STATUTORY AUTHORITY: February 21, 2005 – filing 2005-74 AMENDED;
• STATUTORY AUTHORITY: October 1, 2011 – filing 2011-335
• STATUTORY AUTHORITY: March 8, 2025 – filing 2025-054
• STATUTORY AUTHORITY: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 19 Criteria for Independent Laboratory Certification

Code Me. R. 16-633 Ch. 19 -A: Criteria for Independent Laboratory Certification {#sec-16-633-ch.-19 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 19}

______________________________________________________________________________________________

§1. Introduction

The laboratory shall test, evaluate, conduct math analyses, verify, certify, and/or render opinions on behalf of or to the Board regarding all slot machines, electronic table games, non-electronic table games, their associated equipment and all systems used in the conduct, monitoring or recording of gaming activities for compliance with the Maine laws, rules, and approved gaming industry standards.

The laboratory shall consult with the Board to provide a fundamental understanding of new products not previously approved for use within the State of Maine including but not limited to game systems, platforms and associated equipment. For such new equipment, the laboratory must obtain approval from the Board prior to rendering opinions for or on behalf of the Board.

The laboratory shall perform all testing and certification of gaming equipment at the laboratory’s place(s) of business, or another location approved by the Board, all of which should maintain current International Organization of Standardization (ISO) accreditations for ISO 17025 Testing and Calibration Laboratories and ISO 17020 Field Inspection.

Upon request, the laboratory shall develop or provide recommendations for testing standards, for review and approval by the Board, that address each technology authorized by the Board, including but not limited to:

1. Electronic Gaming Devices
2. Progressive Gaming Devices
3. Online Monitoring and Control Systems
4. Bonus and Promotional Systems
5. Electronic Table Games
6. Advance Deposit Wagering Systems

Each laboratory shall only provide certifications to the Board for products and product lines that have been independently reviewed and certified by that laboratory.

Unless otherwise authorized by the Board, the laboratory shall be provided access to the Critical Control Program File’s source code along with the means to verify compilation of the source code. The result of the compiled source code shall be identical to that in the software submitted for certification.

§2. Reporting

Upon the laboratory’s certification of gaming equipment, the laboratory shall provide a unique identification code or signature utilizing an industry-acceptable means for generating such unique identification codes or signatures, such as Secure Hash Algorithm (SHA-1) or Cyclical Redundancy Check (CRC-32), to all Critical Control Program files. The unique identification code or signature and the means for

generating such codes or signatures shall be included in all documents, reports, and databases required herein.

The laboratory’s verification tools and/or mechanisms used to provide unique identification codes or signatures and the means for generating such codes to Critical Control Program Files must be approved by the Board. The laboratory shall provide the Board with step-by-step verification procedures for each tool and/or mechanism.

As requested by the Board, the laboratory shall provide the Board with training on any verification tool and/or mechanism that is proprietary to the laboratory to verify the unique signature of the approved Critical Control Program Files.

As requested by the Board, the laboratory shall develop updated tools and/or mechanisms to be used in conjunction with the most current testing standards and tools of the Board.

The laboratory shall provide the Board, upon request, with flow diagrams/charts of each system and its associated hardware/software approved by the laboratory on behalf of the Board depicting the inter-relationship of such system components. This documentation will be provided in addition to the reports that specifically describe which elements of the system components are to be field tested and verified by the Board upon installation at properties of licensees regulated by the Board.

The laboratory shall provide the Board with a verification manual, including tables and color photographs for each approved gaming equipment manufacturer’s integrated circuit boards which shall depict the position of critical software that must be verified and sealed by the Board. Such manual and color photographs must be submitted in a digital format acceptable to the Board.

The laboratory shall maintain a list of approved software for all gaming equipment tested and certified.

The laboratory shall provide twenty-four (24) hours per day, seven (7) days per week customer support/regulatory compliance contact.

If requested by the Board, the laboratory shall provide technical assistance to gaming operators/suppliers in the ‘start-up’ of gaming operations in the state. The gaming operators/suppliers shall be responsible for all services rendered and travel costs incurred by the laboratory employees, including out-of-state airfare, in-state mileage, out-of- state car rental and associated costs including, car rental insurance, food, and lodging specifically associated with the inspection.

If requested by the Board, the laboratory shall perform on-site field inspections of gaming equipment. The gaming operators/suppliers shall be responsible for all services rendered and travel costs incurred by the laboratory employees, including out-of-state airfare, in-state mileage, out-of- state car rental and associated costs including, car rental insurance, food, and lodging specifically associated with the inspection.

If determined necessary by the Board, the laboratory shall allow up to three (3) Board employees one visit annually to inspect each of the laboratory’s sites where the majority of the testing for the Board is conducted to ensure integrity of work is maintained. The laboratory shall be responsible for all travel costs incurred by the

Board employees, including out-of-state airfare, in-state mileage, out-of- state car rental and associated costs including, car rental insurance, food, and lodging specifically associated with the inspection.

Unless otherwise specified herein, the laboratory shall furnish all material, labor, facilities, equipment, supplies, tools, machinery, and storage of same, as well as water, heat, utilities, and transportation necessary to perform the services required herein.

The laboratory shall provide the Board with real-time online access to the laboratory’s database of reports and documents generated pursuant to the requirements stated herein via secure communication protocol. The laboratory shall maintain a quality assurance mechanism to ensure uniform data and data entry processes.

The laboratory’s online database shall allow the Board to view up to date reports of all approved, obsolete, non-mandatory revoked and revoked gaming equipment for the Board’s jurisdiction.

An electronic notification shall be made to the Board for all non-mandatory revoked, revoked or obsolete gaming systems.

This report must be current as of the end of the previous business day.

The Board must have the ability to view the obsolete and revoked reports must contain date of action and most current replacement software.

It shall be the responsibility of the laboratory to prepare the report in whatever format the Board requires to be able to integrate this report with other independent testing laboratories approved by the Board. The laboratory shall provide a level of online access for licensees of the Board to access only the list of approved, revoked, and obsolete software for all manufacturers the laboratory reviews for the Board.

Within thirty (30) calendar days after the completion of required testing, the laboratory shall provide a final report to the Board for all completed gaming equipment tests.

The laboratory shall immediately or within a reasonable timeframe, notify the Board of any situation or incident involving the integrity of any gaming equipment presently approved for use in the jurisdiction regulated by the Board. The laboratory’s written reports must be submitted in a Board-approved format and medium.

§3 Lab Requirements

The laboratory shall maintain accurate and detailed accounting records and reports regarding the test results and compliance with Maine laws and regulations. As requested by the Board, the laboratory shall provide such records and reports to the Board to:

1. Ensure record reconciliation between the Board and the laboratory’s testing laboratory.
2. Facilitate timely and proper field inspections.

The laboratory shall provide all services using competent and properly trained personnel in accordance with the highest testing standards of the gaming industry.

The laboratory shall remain independent and not assist the manufacturers in any aspect of the development of products associated with the gaming industry.

The laboratory shall employ a staff of full-time skilled professionals of such number to afford a separation of responsibilities that provides independent work product verification and fulfills the requirements stated herein to the satisfaction of the Board. The laboratory shall, at a minimum, employ personnel in the discipline of mathematics, engineering (mechanical, electrical, software), systems and communication protocol, compliance and quality assurance, and field inspections. The laboratory shall train laboratory personnel on the Board’s field-testing rules and procedures prior to their working in the State of Maine.

The laboratory shall agree and understand that, if determined necessary, the laboratory and all direct or indirect personnel of the laboratory shall be subject to background checks by the Board, including criminal record checks and tax clearances. The laboratory shall cooperate in any way necessary regarding such background checks and shall sign release of information forms as required.

1. The laboratory shall abide by any restriction placed on the laboratory by the Board on the use of any personnel.
2. None of the laboratory’s personnel, agents or other representatives shall have ever been convicted of bribery or attempting to bribe a public official.

If requested by the Board, the laboratory shall perform additional consulting services for the Board on an as needed, if needed basis. Such consulting services may include, but cannot necessarily be limited to the following:

1. Providing consultation to the Board and assisting the Board in drafting rules and procedures regarding the establishment of uniform operating procedures for gaming equipment testing. Costs for consultation services rendered shall be negotiated between the Board and the laboratory.
2. Assisting the Board in matters of field gaming equipment inspection and field security, providing competent, trained personnel as required by the Board, and assisting in drafting of rules and procedures regarding such. The gaming operators/suppliers shall be responsible for all services rendered and travel costs incurred by the laboratory employees, including out-of-state airfare, in-state mileage, out-of- state car rental and associated costs including, car rental insurance, food, and lodging specifically associated with the inspection.
3. Providing training to the Board employees and/or designees in proper gaming equipment testing and auditing procedures. 1. Providing forensic examination and evaluation of questioned gaming equipment (whether legal or illegal), assist the Board with forensic investigations, provide expert testimony on behalf of the Board, and provide Board forensic troubleshooting procedures for each gaming equipment platform. All costs associated with a forensic analysis will be

charged to either the manufacturer or the licensee.

• 1. Providing annual virtual or in-person training for up to four (4) employees of the Board. This training shall include, but not be limited to, a discussion of any recent or future changes that would affect the regulation of gaming in the State of Maine. The laboratory shall charge no fee to the Board for any such training.

---

History

• STATUTORY AUTHORITY: 8 M.R.S.A. § 1003 and § 1020 (4)
• EFFECTIVE DATE (NEW): October 29, 2025 – filing 2025-213
• APAO ACCESSIBILITY CHECK: October 28, 2025 (no accessibility issues detected after agency resolved initially detected issues)

Chapter 20 Slot Machine and Electronic Table Game Standards

Code Me. R. 16-633 Ch. 20 Slot Machine and Electronic Table Game Standards {#sec-16-633-ch.-20 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 20}

§1. Any slot machine designated for shipment to Maine must meet or exceed the following standards developed and published by Gaming Laboratories International, LLC, which are hereby incorporated by reference:

GLI-11: Gaming Devices, version 3.0, released September 21, 2016;

GLI-12: Progressive Gaming Devices in Casinos, version 2.1, released September 6, 2011;

GLI-13: On-Line Monitoring and Control Systems (MCS) and Validation Systems in Casinos, version 2.1, released September 6, 2011;

GLI-16: Cashless Systems in Casinos, version 2.1, released September 6, 2011; and

GLI-18, Promotional Systems, version 2.1., released September 6, 2011.

These standards are outlined in the attached Appendix B. Copies of these standards are available through the Maine Department of Public Safety, Gambling Control Board, 45 Commerce Drive, Augusta, ME 04330.

§2. Any electronic facsimile of a table game designated for shipment to Maine must meet or exceed one of the following standards developed and published by Gaming Laboratories International, LLC, which are hereby incorporated by reference:

GLI-24: Electronic Table Game Systems, version 1.3, released September 6, 2011; or

GLI-25: Dealer Controlled Electronic Table Games, version 1.2, released September 6, 2011.

These standards are outlined in the attached Appendix B. Copies of these standards are available through the Maine Department of Public Safety, Gambling Control Board, 45 Commerce Drive, Augusta, ME 04330.

History

• STATUTORY AUTHORITY: 8 M.R.S. §§ 1003(1)(B), 3(E) & (3)(J), 1020(2)(H), 1021(2)(B)
• EFFECTIVE DATE: February 21, 2005 – filing 2005-75
• AMENDED: July 14, 2014 – filing 2014-146
• AMENDED: June 9, 2021 – filing 2021-122

Chapter 21 Prohibition of Credit

Code Me. R. 16-633 Ch. 21 Prohibition of Credit {#sec-16-633-ch.-21 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 21}

§1. The establishment of a credit line for game play by the Slot Machine or Casino Operator for any patron is prohibited.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. § 1003
• EFFECTIVE DATE: February 21, 2005 – filing 2005-76
• AMENDED: October 1, 2011 –filing 2011-336
• AMENDED: First Draft – 7/23/04

Chapter 22 Patron Disputes

Code Me. R. 16-633 Ch. 22 Patron Disputes {#sec-16-633-ch.-22 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 22}

§1. Whenever a Slot Machine or Casino Operator refuses to pay winnings claimed by a patron of more than $100 and the dispute is not resolved by the parties, the Slot Machine or Casino Operator shall notify the Department in writing of the dispute within seven (7) days of the operator being notified of the dispute. Such notice shall identify the parties involved in the dispute and shall set forth all known relevant facts regarding the dispute. The Slot Machine or Casino Operator shall make reasonable efforts to retain all records relevant to the disputed incident.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003
• EFFECTIVE DATE: February 21, 2005 – filing 2005-77
• AMENDED: October 1, 2011 –filing 2011-337

Chapter 24 The Use of Front Money Deposits

Code Me. R. 16-633 Ch. 24 The Use of Front Money Deposits {#sec-16-633-ch.-24 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 24}

§1. “Front Money” is deposits of funds that a player intends to use for gaming purposes. The money is deposited at the casino cage and the player signs customer deposit withdrawals (CDW) at the table games until the funds reach the amount deposited.

§2. A casino licensee shall establish procedures approved by the board in accordance with these rules in connection with front money. The casino licensee shall establish policies and procedures approved by the board in accordance with these rules to ensure that all applicable currency transaction reporting requirements will be enforced in accordance with applicable state and federal law.

A. Any of the following may be accepted from patrons for the purpose of customer deposits:

(1) Cash or cash equivalent.

(2) Value chips issued by the casino licensee.

(3) Tokens issued by the casino licensee.

B. Deposits or withdrawals shall be documented on a voucher that is not less than a 2-part, numbered form. The voucher shall be completed by the casino cage cashier and shall include, at a minimum, all of the following information:

(1) Patron's name and signature.

(2) Date of receipt or disbursement.

(3) Amount of deposit.

(4) Type of deposit.

(5) Casino cashier's signature.

C. Once the initial deposit is made at the cashier’s cage the CDW can be adjusted at the tables to reflect gaming activity.

D. A casino licensee shall provide, to the board, a monthly report detailing, at a minimum, all of the following:

(1) Checks returned.

(2) Collection activities taken.

(3) Settlement of disputed items.

D. All of the following checks shall be deposited not later than the business day after the day the checks are received:

(1) Cashier's checks.

(2) Money orders.

(3) Credit card advance checks.

(4) Traveler's checks.

(5) Wire transfer service checks.

E. Personal checks shall be deposited not later than the business day after the day the checks are received, unless otherwise agreed to by the casino licensee and the patron.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003
• EFFECTIVE DATE: January 2, 2012 – filing 2011-482
• EFFECTIVE DATE: 16-633 Chapter 24 page 2

Chapter 25 Approval of Table Games Rules of Play

Code Me. R. 16-633 Ch. 25 Approval of Table Games Rules of Play {#sec-16-633-ch.-25 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 25}

§1. A casino operator shall not permit a game to be played if the game is not approved by the board.

§2. The operator shall submit its rules of the game to the board in accordance with this rule.

§3. All rules of the game shall be in compliance with the provisions of the statute and these rules.

§4. A casino operator or an applicant for a casino operator license shall submit its rules of the game in the following manner.

1. When called for in these rules, a casino operator or an applicant for a casino operator license shall submit rules of the game to the board not less than 30 days before the commencement of gambling operations or the play of the game, or both.

2. The board shall, in writing, approve or disapprove the rules of the game in total or in part.

3. Any rule or portion of a rule of the game not approved by the board may be revised and resubmitted by the casino operator or the applicant for a casino operator license within the time period established by the board. This method shall be followed until all portions of the rules of the game have been approved or approval cannot be obtained. The board may authorize the Executive Director to approve revisions submitted in accordance with this subsection.

4. Rules of the game may not be utilized by a casino operator unless the rules of the game have been submitted and approved, in writing, by the board. In evaluating a rule, the board shall consider

A. Conformance with industry standard rules;

B. The object of the game and method of play, including what constitutes win, loss or tie bets;

C. Physical characteristics of the game, gaming equipment, and gaming table;

D. Wagers and payout odds for each type of available wager;

E. Applicable inspection procedures for cards, dice, wheels and balls, or other equipment required by the game;

F. For a game that uses cards, the description of:

(1) Shuffling procedures;

(2) Card cutting procedures;

(3) Procedures for dealing and taking cards; and

(4) Burning cards; and

G. Whether the rules

(1) Ensure that the game will be played with integrity;

(2) Are written in language that is plain to the player; and

(3) Satisfy other requirements necessary to protect the public and ensure public confidence in gaming.

5. In cases where the board has approved a rule of a game or an amendment for use by one casino operator, the Executive Director may approve the use of the same rule by another casino operator. In such circumstances, the casino operator shall submit the rule to the Executive Director in accordance with section 4(1) or the amendment in accordance with section 6(1) of this Chapter. The Executive Director will compare the rule or amendment submitted to the rule or amendment previously approved by the board, and may approve, in writing, a rule or amendment that does not materially differ from the rule or amendment previously approved by the Board.

§5. If the board determines, at any time, that approved rules of the game are not adequate to ensure compliance with the Act and these rules or the integrity of the game, then the board may direct the casino licensee, in writing, to amend its rules of the game.

§6. All of the following provisions apply to the amendments to rules of the game:

1. Unless otherwise provided by the board, a casino operator or an applicant for a casino operator license shall submit an amendment to the rules of the game, including variations of games, to the board not less than 30 days before it intends to implement the amended rules of the game.

2. The board or its designee shall, in writing, approve or disapprove the amendment to the rules of the game in the same manner that an initial submission is approved or disapproved.

3. A casino licensee may not utilize an amendment to the rules of the game unless the amendment to the rules of the game has been approved, in writing, by the board.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003
• EFFECTIVE DATE: January 2, 2012 – filing 2011-483
• AMENDED: April 22, 2014 – filing 2014-080
• AMENDED: 16-633 Chapter 25 page 3

Chapter 26 Posting of Rules

Code Me. R. 16-633 Ch. 26 Posting of Rules {#sec-16-633-ch.-26 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 26}

§1. Each licensee shall conspicuously display the rules of each gambling game it exposes for play. This section may be satisfied if published rules are maintained in a location readily accessible to players and notice of the location of such rules is posted conspicuously in the casino.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §1003
• EFFECTIVE DATE: January 2, 2012 – filing 2011-484

Chapter 27 Rules of Practice and Procedure of Gaming Conduct

Code Me. R. 16-633 Ch. 27 Rules of Practice and Procedure of Gaming Conduct {#sec-16-633-ch.-27 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 27}

Summary: This rule establishes procedures for the investigation and resolution of complaints received by the Gambling Control Board. This rule should be read in conjunction with the statutory provisions for adjudicatory proceedings in the Maine Administrative Procedure Act . The rule helps to ensure that the investigation and resolution of complaints is handled in an expeditious and procedurally fair manner.

§ 1. Licensing Actions

1. Complaints and Investigations

A. All complaints shall be submitted to the department in writing. The Board may request that complaints be submitted on a complaint form authorized by the Board and with supporting documentation or other materials. The department may initiate a complaint alleging any ground for disciplinary action.

B. The department or its designee shall investigate complaints in accordance with 8 M.R.S. §1051(1). The department may provide the complainant with information obtained as part of its investigation, as the Board or the department determines to be necessary to facilitate the investigation.

2. Resolution of Complaints

The director must review all complaints and investigative files and, in the director's discretion, may consult with an Assistant Attorney General assigned to the Board and the Maine State Police Commander of the unit that regulates gambling. Following this review and any consultation, the director may take any of the following actions:

A. File a notice of complaint and request for hearing with the Board, in accordance with 8 M.R.S. §1051(2);

B. Issue a notice of violation and proposed sanction in accordance with 8 M.R.S. §1051(2) and enter into a consent agreement with the licensee;

C. Issue a letter of guidance or concern pursuant to 8 M.R.S. §1053(4). A letter of guidance or concern issued by the director pursuant to this section may be appealed to the Board in accordance with 8 M.R.S. §1051(4);

D. Request additional investigation; or

E. Dismiss the complaint or otherwise close the investigation. Dismissal may be appropriate when the complaint alleges conduct that is not a violation of Gambling Control Board statute or rules, is factually unfounded, or is of insufficient gravity to warrant further action. Notice of dismissal must be sent to any complainants.

§ 2. Notice of Violation

1. If, based upon the information obtained from the investigation, the director determines that the complaint is or may be true and the violation is of sufficient gravity to warrant further action, the director may send the licensee a written notice of violation and proposed sanction.

2. The written notice of violation shall state the alleged violation, the statute or rule believed to have been violated, and the proposed resolution, and shall inform the licensee that the licensee has the right to request a hearing.

3. Service is complete upon mailing to the party or the party's attorney using the last known address, or upon in-hand delivery to the recipient or the recipient's office in accordance with 5 M.R.S. §9051(3).

4. The licensee must file a written request for hearing within thirty days of receipt of the notice of opportunity for hearing. The request is considered filed when received by the director. The Board may extend this period for good cause shown.

5. If the licensee makes a timely request for a hearing, that hearing shall be held in accordance with Section three of this rule.

6. A consent agreement reached by the director and the licensee following a notice of violation must be presented to the Board. The Board may approve or reject a consent agreement, or may recommend amended language.

7. Failure to make a timely request for hearing shall be a waiver of any right to a hearing and may result in the proposed action becoming final without further hearing, in accordance with 5 M.R.S. §9053(3), if the notice of violation informed the licensee of the possibility of default.

§ 3. Hearings

1. If, following an investigation, the director determines that the complaint should be set for hearing for any reason, including to resolve issues of substantial public interest or to make credibility determinations, the director shall serve the licensee with the notice of complaint and request for hearing in accordance with 5 M.R.S. §§ 9051(3) and 9052 and shall file a copy with the Board.

2. In the event of a hearing, the provisions of the Administrative Procedure Act , Title 5, Chapter 375, subchapter 4 will govern.

3. When the circumstances of a particular proceeding require more detailed procedures than those set forth in this rule, additional procedures may be specified by the hearing officer, by order applicable to that particular proceeding.

4. When a hearing is held, the Board may appoint a hearing officer in conformity with the provisions of the Administrative Procedure Act to conduct the hearing and to make the proposed findings of fact and conclusions of law. If the Board appoints a hearing officer to perform these tasks, the hearing may take place outside of the Board's presence.

5. Following a hearing, any proposed findings of fact, or any proposed decision prepared by the hearing officer shall be in writing. A copy shall be provided to each party, with the opportunity to file responses or exceptions. The hearing officer shall set the time within which responses or exceptions may be filed. The hearing officer may amend the proposed findings of fact or decision based upon the responses and exceptions filed. A decision of the Board upon a recommended decision of the hearing officer constitutes final agency action.

6. For each violation of8 M.R.S. Chapter 31, the Board's rules, or conditions of licensure or registration, the Board may take one or more of the following actions in accordance with 8 M.R.S. §1053(1):

A. Issue a warning, censure or reprimand to a licensee or registrant. Each warning, censure or reprimand issued must be based upon a violation of a different applicable law, rule or condition of licensure or must be based upon a separate instance of actionable conduct or activity;

B. Suspend a license or registration for up to 360 days for each violation of an applicable law, rule or condition of licensure or registration or instance of actionable conduct or activity. Suspensions may be set to run concurrently or consecutively. Execution of all or any portion of a term of suspension may be stayed pending successful completion of conditions of probation, although the suspension remains part of the licensee's or registrant's record;

C. Revoke a license or registration;

D. Impose a fine of up to $100,000 for each violation of an applicable law, rule or condition of licensure or registration or instance of actionable conduct or activity;

E. Impose conditions of probation upon a licensee or registrant. Probation may run for such time period as the Board determines appropriate; and

F. Impose costs of investigation and hearing.

History

• STATUTORY AUTHORITY: 5 M.R.S. §§ 8051, 9062; 8 M.R.S. §§ 1003(1), 1051-1054.
• EFFECTIVE DATE: November 30, 2014 – filing 2014-275

Chapter 28 Advanced Deposit Wagering

Code Me. R. 16-633 Ch. 28 Advanced Deposit Wagering {#sec-16-633-ch.-28 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 28}

16 DEPARTMENT OF PUBLIC SAFETY

633 GAMBLING CONTROL BOARD Chapter 28: ADVANCE DEPOSIT WAGERING

§1. DEFINITIONS.

The following words and terms shall have the following meanings unless the context indicates otherwise:

“Abandoned advance deposit wagering account” means an advance deposit wagering account where there has been no activity by the account holder for three (3) years.

“Account” means an account for advance deposit wagering with a specific identifiable record of credits, debits, deposits, wagers, and withdrawals established by an account holder and managed by the advance deposit wagering operator.

“Account applicant” means a natural person who has submitted an account application to an advance deposit wagering operator.

“Account application” means the form or forms approved by the Board for establishment of an account.

“Account holder” means a natural person who successfully completed an account application and for whom the advance deposit wagering operator has opened an account.

“Advance deposit wagering” has the same meaning as set forth in 8 M.R.S.A. §1001 (1- A)

“Advance deposit wagering facility” means the actual location, equipment, and staff of an advance deposit wagering operator involved in the management, servicing and operation of advance deposit wagering.

“Advance deposit wagering licensee” means a person licensed by the Board pursuant to Subchapter 7 of 8 M.R.S. Chapter 31 to conduct advance deposit wagering.

“Advance deposit wagering operator” means those persons or entities licensed by the Board with the authority to operate as approved by the Board, including, but not limited to, establishing and closing accounts, accepting deposits and wagers, issuing a receipt or other confirmation to the account holder evidencing such deposits and wagers, and transferring credits and debits to and from accounts.

“Account wagering provider” has the same meaning as set forth in 8 M.R.S. § 1001 (1- C).

“Board” means the Maine State Gambling Control Board created by 8 M.R.S. § 1002, or its designee.

“Confidential information” Confidential information includes:

1. The amount of money credited to, debited from, withdrawn from, or present in any particular account holder’s account;
2. The amount of money wagered by a particular account holder on any race or series of races;
3. The account number and secure personal identification code of a particular account holder;
4. The identities of particular entries on which the account holder is wagering or has wagered; and
5. Unless otherwise authorized by the account holder, the name, address, Social Security number in whole or in part and other information obtained in the opening of an account or otherwise in the possession of the advance deposit wagering operator that would identify the account holder to anyone other than the Board.

“Corporation” means a business structure allowed by state statute that is recognized as a separate legal entity distinct from its members.

“Credits” means all positive inflow of money to an account.

“Debits” means all negative outflow of money from an account.

“Deposit” means a payment of money by cash, check, money order, credit card, debit card, or electronic funds transfer made by an account holder to the account holder's account.

“Gross advance deposit wagers” has the same meaning as set forth in 8 M.R.S. § 1001 (20-A)

“Limited Liability Company” means a business structure allowed by state statute and having one or more members and a limited liability company agreement.

“Natural person” means any person at least eighteen (18) years of age, but does not include a custodian, beneficiary, joint trust corporation or other organization, including any corporation, partnership, limited liability company, trust, or estate.

“Net commission” has the same meaning as set forth in 8 M.R.S. § 1001 (29-C).

“Partnership” means a relationship between individuals for the achievement of a specific goal.

“Person” means an individual or a business organization.

“Principal residence address” means the place where the natural person submitting an account application has established a fixed and principal home to which the person, whenever temporarily absent, intends to return.

“Proper identification” means a form of personal identification accepted in the normal course of business to establish that the natural person making a transaction is the account holder.

“Secure personal identification code” means an alpha-numeric character code chosen by an account holder as a means by which the advance deposit wagering operator may verify a wager or account transaction as authorized by the account holder.

“Withdrawal” means a payment of money from an account by the advance deposit wagering operator to the account holder when payment is requested by the account holder.

“Withdrawal slip” means a form provided by the advance deposit wagering operator for use by an account holder in withdrawing funds from an account.

§2 LICENSING FOR ADVANCE DEPOSIT WAGERING.

The board shall exercise authority over the licensing of all persons conducting advance deposit wagering. A person may not conduct advance deposit wagering without a license issued under this section. Persons conducting advance deposit wagering means those persons who are directly conducting advance deposit wagering in Maine, and persons who exercise supervision or control over any Maine-licensed advance deposit wagering operator, the conduct of its business(es) in Maine, or the operator’s employees in Maine.

§3 ADVANCE DEPOSIT WAGERING LICENSE.

Any person may request a license from the Board to conduct advance deposit wagering in accordance with 8 M.R.S. Chapter 31, and these rules.

In order to receive an advance deposit wagering license from the board, an applicant must meet the requirements of 8 M.R.S. § 1073 and the rules adopted by the board.

The nonrefundable application fee for an advance deposit wagering license is $1,000. In

addition, the board requires an applicant to pay a one- time investigation fee of

$2,500.00. If the cost surpasses the initial deposit amount, the applicant shall be invoiced for the actual remaining balance due which shall be paid before issuance of a license.

The fee for an advance deposit wagering license is $500. The fee for the annual renewal of an advance deposit wagering license is $250.

The initial application fee for an employee license under section 1015 is $250. The renewal fee for one year is $25. The renewal for a three-year employee license is $50.

The fee for a criminal history record check is fifty-one dollars $51.00 for employee applications only.

§4 ADVANCE DEPOSIT WAGERING LICENSE APPLICATION.

An applicant for an advance deposit wagering license must complete an application provided by the Board, which application shall include, at a minimum the following information:

1. Legal Name and Addresses - The legal name of the person(s) seeking the license, a full current address and addresses for the prior 15 years;
2. Corporation - If the person seeking a license is a corporation: the names and addresses of all directors and officers, the date of incorporation and the place of incorporation;
3. Partnership - If the person seeking a license is a partnership: the names and addresses of all partners. If a partner is a corporation, the date of incorporation, the place of incorporation and the names and addresses of all directors and officers;
4. Limited Liability Company – If the person seeking a license is a limited liability company, the names and addresses of all members. If a member is a corporation, the date of incorporation, the place of incorporation and the names and addresses of all directors and officers;
5. Race Tracks - The names of the race tracks the advance deposit wagering operator has contracts with or will have contracts with at the time the license is issued that allow the applicant to provide wagering on the product;
6. Financial Information - Financial information that demonstrates the financial resources to operate advance deposit wagering;
7. Purchase a bond to secure the advance deposit wagering accounts under 8 M.R.S.

§ 1073(4)(A);

1. Certificate of authority to transact business in the State of Maine, unless the requirement for authority is subject to a statutory exception;
2. A record of previous issuances and denials of or any adverse action taken against a gambling-related license or application under 8 M.R.S. Chapter 31 or in any other jurisdiction. For purposes of this paragraph, "adverse action" includes, but is not limited to, a condition resulting from an administrative, civil or criminal violation, a suspension or revocation of a license or a voluntary surrender of a license to avoid or resolve a civil, criminal or disciplinary action;
3. Disclosure by the applicant if it or any account wagering affiliate has accepted a wager from a resident of the State of Maine within the past three (3) calendar years;
4. Maine Tracks – A written, notarized statement from each track licensed under 8 M.R.S.§271 that has made races available for simulcast in the 12 months preceding the date of the license application confirming the applicant has an agreement in place to accept wagers on races originating from said track and made available for simulcast for the applicable term of the license; and
5. Any and all other information as the Board may require to determine the competence, honesty and suitability of the applicant as required by 8 M.R.S. § 1016 and § 1019.

§5 RESPONSIBILITIES OF ADVANCE DEPOSIT WAGERING LICENSEE

Prior to licensing the prospective advance deposit wagering licensee must present to the Board a detailed plan of operation. The detailed plan of operation for an advance deposit wagering license must include, but is not limited to, the following information:

1. The manner in which the wagering system will operate including any fees associated with the establishment and maintenance of an advance deposit wagering account;
2. Programs for responsible wagering; and
3. The protections provided to safeguard accounts, including a certification from the advance deposit wagering licensee that account funds will not be commingled with other funds.

The Board may require changes in a proposed plan of operations, as a condition of granting a license. No subsequent changes in the system's operation may occur unless ordered by the Board or until approval is obtained from the Board after it receives a written request.

An advance deposit wagering licensee shall submit monthly reports to the Board providing amounts wagered by Maine residents, amounts wagered in Maine and other account wagering information as requested by the Board.

An advance deposit wagering licensee shall not commingle account funds with other funds.

An advance deposit wagering licensee that establishes account wagering shall establish and maintain a separate restricted account with a federally insured financial institution or a federally insured credit union that is authorized to do business in the State of Maine as defined in Maine Revised Statute, Title 9-B or is subject to a statutory exception for being authorized to do business in the state and with an office, registered agent and/or clerk within the state of Maine.

The amount placed in the restricted account established in 5.D above shall be an amount equal to or greater than the total account wagering monies held by all account holders including amounts owed for winning wagers which have not yet been settled. The advance deposit wagering licensee shall provide the Board with all data used to calculate the restricted account amount and a bank statement showing the balance in the restricted account.

The advance deposit wagering licensee shall calculate and submit to the Board the actual amount of the account balance on the last day of the month of the total account wagering monies held by all account holders including amounts owed for winning wagers which have not yet been settled. The advance deposit wagering licensee shall provide the Board with the report and all data used to calculate the balance within ten (10) business days of the end of the month for which the balance is determined.

The advance deposit wagering licensee shall submit to the Board a monthly bank statement by the 15th day of each month for the previous month.

All systems used for processing wager transactions will be approved by the Board.

Each year, all advance deposit wagering operators shall retain an independent third-party security firm to complete a security assessment. Such assessment shall test the effectiveness of the advance deposit wagering operator’s and operator’s applications’ security controls which are in place in order to determine the overall threat of potential compromise to the advance deposit wagering operator's network and/or applications. Such testing shall include, at a minimum, a vulnerability assessment, a penetration test, and a risk assessment of relevant applications and/or networks. A summary document which identifies any deficiencies shall be submitted to the Board no later than thirty (30) days after the assessment is conducted and shall include the advance deposit wagering operator's plans to remediate any identified deficiencies.

An advance deposit wagering licensee shall maintain complete records of each account application and the opening of each account for the life of the account plus two (2) additional years. An advance deposit wagering licensee shall also maintain complete records of the closing of an account for two (2) years after closing. These records shall be provided to the Board upon request.

An advance deposit wagering licensee shall maintain complete records of all transactions, including deposits, credits, debits, refunds, withdrawals, fees, wagers, rebates, and earnings for five (5) years. These records shall be provided to the Board upon request.

All wagering conversations, transactions, or other wagering communications, verbal or electronic, shall be recorded by means of the appropriate electronic media, and the tapes or other records of the communications shall be kept by the advance deposit wagering licensee for a period of two (2) years. These tapes and other records shall be made available to the Board upon request.

An advance deposit wagering licensee shall not accept wagers if the appropriate recording system is not operable.

When an advance deposit wagering licensee ceases operating and its license lapses, is surrendered or is revoked, the Board may demand payment of the restricted account. The Board may interplead the funds in court for distribution to the patrons for whose protection and benefit the restricted account was established and to such other persons as the court determines are entitled thereto, or shall take such other steps as are necessary to effect the proper distribution of the funds, or may do both.

§6 INVESTIGATIONS OR INSPECTIONS.

The Board or its designee may conduct investigations and inspections of an advance deposit wagering licensee and request additional information from the person who made an advance deposit wager as it deems appropriate.

All of an advance deposit wagering licensee’s records related to operations licensed under 8 M.R.S. Chapter 31 must be open to inspection and audit by the Board or its designee, and a license holder may not refuse the Board or its designee the right to inspect or audit the records. Refusal to permit inspection or audit of the records may constitute grounds for discipline of the advance deposit wagering licensee.

An advance deposit wagering licensee shall permit the Board or its designee unrestricted access, during regular business hours, including access to locked or secured areas, to inspect any facility and any equipment, records or items and materials used or to be used

in the operation of equipment owned, distributed or operated by the advance deposit wagering licensee. An advance deposit wagering licensee shall consent in writing to the examination of all the advance deposit wagering licensee's books and records related to operations licensed under 8 M.R.S. Chapter 31 and shall authorize all third parties in possession or in control of those books and records to allow the Board to examine such books and records as the Board determines necessary.

§7 CLAIMS OF NON-PAYMENT.

An account holder, who is claiming that non-payment has occurred, must make a claim of non-payment to the Board.

Investigation of Claim - The Board will investigate the claim and provide the advance deposit wagering operator with an opportunity to respond thereto and submit any supporting documents or evidence it needs to defend the claim.

Board Determination - If the Board determines that the account holder is entitled to restitution, the advance deposit wagering operator has ten (10) business days to pay the amount determined by the Board.

§8 PROMOTION AND ADVERTISING.

The Board finds that the State of Maine has a compelling interest in deterring excessive use of alcohol and tobacco products, especially by minors. The Board finds that the State of Maine has a compelling interest in that advance deposit wagering is conducted by persons 18 years of age or older, as evidenced by the provisions in 8 M.R.S. Chapter 31, Subchapter 7 and 8 M.R.S. Chapter 11 that are applicable to persons younger than the age of 18.

No advance deposit wagering operator shall allow, conduct, or participate in any false or misleading advertising concerning its wagering operations.

All advertising and marketing materials published, aired, displayed, or distributed by or on behalf of any advance deposit wagering operator shall comply with the following:

1. Must not directly advertise or promote wagering via mediums that appeal primarily to minors (i.e. children’s television programming, children’s publications, direct advertisements in schools).For the avoidance of doubt, advertisements via mass media and/or social media that incidentally are viewed by minors are not prohibited;
2. Shall contain a disclaimer displaying a prominent message providing the 1-800- GAMBLER hotline phone number for assistance;
3. Shall contain a disclaimer stating that patrons must be at least eighteen (18)years of age or older to wager;
4. Shall not imply greater chances of winning versus other Advance Deposit Wagering Operators;
5. Shall not imply greater chances of winning based on wagering in greater quantity or amount;
6. All direct marketing shall allow the option to unsubscribe;
7. Depictions of the use of alcohol and tobacco are prohibited; and
8. Advertising must comply with all applicable Maine and federal laws.

A record of the terms and conditions of all promotions made available to Maine residents shall be retained for no less than twenty-four (24) months following the date of such promotion.

All Licensees shall be responsible for the content and conduct of any and all advance deposit wagering advertising, marketing, or branding done on its behalf or to its benefit whether conducted by the licensee, an employee, or an affiliate.

On receipt of notice from the Board that advertising may be in violation of these rules or other laws of the State of Maine and upon request by the Board or its designee to do so, the advance deposit wagering licensee will suspend, or cause its agent or representative to suspend, the advertising campaign. Suspension of the use of the advertising materials in question will continue pending resolution of the matter, including any proceedings pursuant to 8 M.R.S. Chapter 31, Subchapter 5.

§9 ESTABLISHING AN ACCOUNT.

An account application must be approved the Board and must include at a minimum the following information concerning the account applicant:

1. Full legal name;
2. Principal residence address;
3. Telephone number;
4. Social Security number (last four digits, at a minimum);
5. Proper State of Maine identification or certification demonstrating that the account applicant is at least eighteen (18) years of age and is a resident of this state; and
6. As needed, any other information required by the Board or the advance deposit wagering operator.

The advance deposit wagering licensee may utilize a third party approved by the Board to verify the age and address of each account applicant during the application process.

The account application must be presented: (i) in person by the account holder to a commercial track, off-track betting facility or electronically through an account wager provider for identity verification, or (ii) electronically through using an identity verification method approved by the Board.

§10 ACCOUNT INFORMATION.

Each account application may be subject to verification.

Advance deposit wagering accounts are non-transferable and non-assignable.

§11 IDENTIFYING AN ACCOUNT NUMBER.

Each account must have a unique identifying account number. The identifying account number may be changed at any time by the advance deposit wagering operator provided the advance deposit wagering operator informs the account holder in writing prior to the change.

§12 SECURE PERSONAL IDENTIFICATION CODE

The account applicant must supply the advance deposit wagering operator with an alpha- numeric password, personal identification number (PIN), biometric login or two factor authentication to be used as a secure personal identification code when the account holder is logging into his or her account or using his or her wagering account. The account holder has the right to change this code at any time.

§13 PRINCIPAL RESIDENCE

The principal residence address of the account holder will be established by reliance on the information submitted on the account application, certified by the account applicant and verified by the advance deposit wagering operator or provider.

§14 INFORMATION RECEIVED BY ACCOUNT HOLDER

Upon approval of an account, the advance deposit wagering licensee must provide the account holder with the following:

1. A unique account identification number;
2. A copy of the advance deposit wagering rules and such other information and material that is pertinent to the operation of the account; and
3. Such other information as the advance deposit wagering operator or Board may deem appropriate.

The advance deposit wagering licensee must distribute to account holders, upon request a statement of account activity including starting and ending balances, aggregate number of bets placed, dollar amount of bets won, and dollar amount of bets lost for the previous calendar quarter.

§15 CLOSE OR REFUSE TO OPEN AN ACCOUNT

The advance deposit wagering operator may close or refuse to open an account, for what it deems good and sufficient reason, and will order an account closed if it is determined that information that was used to open an account was false, or that the account has been used in violation of these rules. The advance deposit wagering operator must report accounts of State of Maine residents that were closed in the previous month to the Board no later than five (5) days of the end of the current month including the:

1. Name of account holder;
2. Address of account holder;
3. Telephone and/or email contact information, if available; and
4. Reason for the closing.

§16 ACCOUNT HOLDER RESPONSIBILITIES

The advance deposit wagering operator must require the following as terms of service for holding an account:

1. Accounts are for the personal use of the account holder;
2. Security - The account holder is responsible for maintaining the secrecy of the account number and the personal identification code;
3. Account Losses - Except where the advance deposit wagering operator or its employees or agents act without good faith or fail to exercise ordinary care, the advance deposit wagering operator is not responsible for any loss arising from the use by any other person or persons of an account holder's account; and
4. Notification of Account Security Breach – The account holder must immediately notify the advance deposit wagering operator of a breach of the account's security.

§17 OPERATION OF AN ACCOUNT

Operator May Refuse Deposits - The advance deposit wagering operator may refuse deposits to an account for what it deems good and sufficient reason.

Operator May Suspend or Close Account - The advance deposit wagering operator may suspend or close any account at any time provided that within five (5) business days of closing the account the advance deposit wagering operator returns to the account holder all monies then on deposit by sending it to the principal residence address as listed on the account application or direct deposit.

§18 CREDITS TO AN ACCOUNT

After the initial establishment of an account, credits to an account may be made as follows:

1. Deposits - deposits to an account by an account holder must be made in the following forms: 1. Cash given to the advance deposit wagering operator, a commercial track, off- track betting facility, licensed casino or other entity that has been issued a Board license or has otherwise been approved by the Board; 2. Personal or cashier check, or money order given or sent to an advance deposit wagering operator; 3. Charges made to an account holder’s credit card or debit card upon the direct and personal instruction of the account holder. Such instructions may be given by telephone or any electronic device to the advance deposit wagering operator by the account holder if the use of the card has been approved by the advance deposit wagering operator; 4. Transfer by means of an electronic funds transfer from a monetary account controlled by an account holder to his or her account. The account holder is liable for any charges imposed by the transmitting or receiving entity with such charges to be deducted from the account; 5. Transfers to an account by means of the electronic benefits transfer system administered by the Department of Health and Human Services under 22

M.R.S. Chapter 1, Subchapter 1-A are prohibited; and/or

• 1. Any other method as approved by the Board.

1. Credit for Winnings - Credit for winnings from wagers placed with funds in an account and credit for account wagers on entries that are scratched will be posted to the account by the advance deposit wagering operator.
2. Accordance with Financial Institution - Checks, money orders and other negotiable instruments will be posted to the credit of the account holder in accordance with financial institution funds availability schedules.

§19 DEBITS TO AN ACCOUNT

After the initial establishment of an account, debits to an account may be made as follows:

1. Upon receipt by the advance deposit wagering operator of an account wager, the advance deposit wagering operator debits the account in the amount of the wager; or
2. The advance deposit wagering operator may debit an account for fees for service or other transaction-related charges by the advance deposit wagering operator.

Account Withdrawals - An advance deposit wagering operator may authorize a withdrawal from an account when one (1) of the following exists:

1. The account holder of an account appears personally at the advance deposit wagering operator’s location and provides the following: 1. Proper identification; 2. The correct secure personal identification code; and 3. A properly completed and signed withdrawal slip.
2. The account holder sends to the advance deposit wagering operator a properly completed and signed withdrawal slip by any means electronic or otherwise.
3. Upon receipt of a properly completed and signed withdrawal slip, and if there are sufficient funds in the account to cover the withdrawal, the advance deposit wagering operator must, within five (5) business days of its receipt, send a check or other form of payment in readily available funds to the account holder. The check must be payable to the holder of the account and in the amount of the requested withdrawal.
4. If funds are not sufficient to cover the withdrawal, the account holder will be notified in writing and those funds in the account will be withdrawn and sent to the account holder within the five (5) business days. Electronic funds transfers may be used for withdrawals in lieu of a check at the discretion of the account holder and the advance deposit wagering operator, subject to the same conditions described for electronic funds transfer credits.
5. In the case of an abandoned advance deposit wagering account, the advance deposit wagering licensee shall send a notice to the account holder at the mailing address listed on the account application requesting that the account holder take steps necessary to close the account or indicate that he or she wishes to keep the account open. If the account holder fails to notify the advance deposit wagering licensee of his or her intentions after sixty (60) calendar days the advance deposit wagering licensee shall close the account and return all monies then on deposit by sending a check payable to the account holder at said mailing address. Any monies returned as undeliverable shall be considered “abandoned property” and will be subject to 33 M.R.S. Chapter 41. The advance deposit wagering license must forward a list of such accounts and balances to the Board.
6. In the event an account holder is deceased, funds accrued in the account will be released to the decedent's legal representative upon receipt of a copy of a valid death certificate, tax releases or waivers, probate court authorizations or other documents required by applicable laws.

§20 WAGERS IN EXCESS OF ACCOUNT BALANCE

The advance deposit wagering operator will not accept wagers from an account holder in an amount in excess of the account balance.

With the exception of credits to an account allowed by §§ 19 and 22of this rule, the advance deposit wagering operator will not extend credit to any account holders.

§21 ACCOUNTS WILL NOT BEAR ANY INTEREST

Monies deposited with the advance deposit wagering operator for advance deposit wagering must not bear any interest to the account holder.

§22 PAYMENTS ON WINNING PARI-MUTUEL WAGERS

Payments on winning pari-mutuel wagers and credits for account wagers on entries which are scratched must be posted to the credit of the account holder as soon as practicable after the race is declared official.

Payments on pari-mutuel wagers are subject to interception per 8 M.R.S. § 300-B.

§23 MAILING ADDRESS

The principal residence address, provided in writing by the account holder at the time of account application, is deemed to be the proper address for the purpose of mailing checks, statements of account, account withdrawals, notices, or other appropriate correspondence. The mailing of checks or other correspondence to the address given by the account holder is at the sole risk of the account holder.

§24 POWERS OF THE GAMBLING CONTROL BOARD TO REVIEW AND AUDIT RECORDS

The advance deposit wagering operator must give the Board access to all records and financial information related to operations licensed under 8 M.R.S. Chapter 31 for review and audit. The Board may require that the advance deposit wagering operator annually submit to the Board audited financial statements of the advance deposit wagering system.

§25 CONFIDENTIAL INFORMATION

No confidential information related to the placing of any wager or to the operation of the advance deposit wagering operator may be divulged by any employee or agent of the advance deposit wagering operator, except, as required by these rules, to the account holder or the Board, or as otherwise required by state or federal law or regulation or the rules of the Board.

§26 APPLICABLE LAWS, RULES, AND REGULATIONS

All advance deposit wagering operators must adhere to all applicable state and federal laws, rules, and regulations.

§27 COLLECTION OF PAYMENTS FROM ADVANCE DEPOSIT WAGERING LICENSEE

All fees, fines, charges, taxes, and penalties required by 8 M.R.S. Chapter 31 and rules adopted pursuant to Chapter 31 shall be submitted to the Board or as directed by the Board as they are due. Payment shall be in the form of certified check, cashier’s check or money order made out to the “Treasurer State of Maine/Gambling Control Board.” In lieu of these payment forms, the Board or State of Maine may accept an electronic wire transfer to a designated account.

By 5:00 pm on the 10^th day of each month the advance deposit wagering licensee shall submit the net commission for the previous month to the Board in one payment for distribution by the Board in accordance with 8 M.R.S. § 1072.

§28 PENALTIES

Any person violating any of the provisions of these rules is subject to the penalties provided for in the contract between the Board and the advance deposit wagering licensee.

History

• STATUTORY AUTHORITY: 8 M.R.S. § 1073; 8 M.R.S. § 1041(1); 8 M.R.S. § 1003 (3)(J)
• EFFECTIVE DATE: June 23, 2018
• AMENDED: September 14, 2021 – filing 2021-180
• AMENDED: October 8, 2024 – filing 2024-222

Chapter 29 Promotional Credits and Other Player Incentives

Code Me. R. 16-633 Ch. 29 Promotional Credits and Other Player Incentives {#sec-16-633-ch.-29 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 29}

§1. Promotional Credits

1. Each licensed slot machine operator and casino operator that issues promotional credits for use at slot machines, including but not limited to promotional credits based on player history, must submit internal control procedures on the use of those promotional credits to the Board for approval. Those internal control procedures must include, at a minimum, the following:

Description of the program and tracking system used to record promotional credits;

Administrative and accounting controls applicable to recording, calculating and auditing promotional credits;

The levels of patron play required for the issuance of promotional credits to include no play;

Employee titles authorized to issue promotional credits at each level; and

Any expiration dates for promotional credits.

2. Each card or device used to track player history must require at least a four-digit personal identification number (PIN) for the use of promotional credits. If a player enters an invalid PIN, a slot machine must not allow more than five (5) attempts to re-enter a PIN before deactivation of the card or device.

3. Any activity involving a card or device used to track player history must be recorded and maintained in a database. Access to the database must be made available to the Board or the Department of Public Safety upon request.

4. Promotional credits:

Must be issued in the form of free play credits on a ticket, voucher, or player card to be used solely to play a slot machine;

May be moved between slot machines by way of player card uploading; and

Cannot be redeemed for cash.

Each licensed slot machine operator and casino operator must file with the Board any promotions involving the use of promotional credits for slot machines prior to their use.

Each licensed slot machine operator and casino operator must file every month with the Boarda report on any daily or 24-hour issuance of a total of $250 or more in promotional credits redeemed by a patron, including the amount issued, the name of patron, and the name and number of the employee who issued the credit.

§ 2 Table Game Player Incentives

“Match Play” means a method of promotional play at a table game in which the total wager consists of equivalent fixed value contributions from the patron and a promotional item in voucher form issued by the licensed casino operator.

“Free Bet” means a promotional item in voucher form with a fixed amount placed on a single bet at a table game.

Each licensed casino operator that uses vouchers at table games must submit internal control procedures on the use of those vouchers to the Board for approval. Those internal control procedures must include, at a minimum, the following:

Description of the program and voucher process used to issue and record vouchers;

Administrative and accounting controls applicable to issuing, recording, calculating and auditing vouchers;

Description of Match Play and Free Bet promotions;

The levels of patron play required for the issuance of vouchers to include no play;

Employee titles authorized to issue vouchers at each level; and

Any expiration dates for vouchers.

Vouchers shall contain at least the following specific information:

An identification of the type of voucher (either Match Play or Free Bet);

Operator name and logo;

Value of voucher;

Name of recipient and, if applicable, the rewards number of the recipient;

Expiration date, if applicable;

Specific games for use, if applicable;

Directions for redemption;

Bar code with numbers, if applicable; and

A resource on obtaining assistance with a gambling problem.

Match Play must employ the following controls:

1. A promotional item in voucher form, that is issued by a licensed casino operator, must be used by any patron engaging in match play.
2. The promotional item must have a fixed stated play ratio and value.
3. The patron’s gaming chips used for match play must be equivalent to or greater than the value to the promotional item.
4. The patron’s total wager shall equal the combined value of the promotional item and the patron’s gaming chips.
5. The amount the patron receives as the result of a winning match play wager shall be determined using the combined value of the patron’s gaming chips and their accompanying promotional item.

History

• STATUTORY AUTHORITY: 8 M.R.S. §§ 1001(26), 1003(1)(B), (2)(I), (3)(E), (3)(J)
• EFFECTIVE DATE: June 8, 2020 – filing 2020-135
• AMENDED: June 9, 2021 – filing 2021-120

Chapter 30 Rules Relating to Beano by Federally Recognized Indian TribesAppendix-A (PDF): Beano/Bingo or Associated Equipment Technical Standards

Code Me. R. 16-633 Ch. 30 Rules Relating to Beano by Federally Recognized Indian Tribes {#sec-16-633-ch.-30 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 30}

SUMMARY: This chapter provides the rules relating to the licensing and operation of Beano and/or Bingo games on Indian reservations by federally recognized Indian tribes pursuant to 17 M.R.S.A. §314‑A, as enacted by Chapter 197 of the Public Laws of 1987 .This chapter also details requirements for equipment and associated materials used in high-stakes Beano or Bingo.

§1. Definitions. As used in this chapter, the following terms have the following meanings:

1. Director “Director” has the same meaning as set forth in 17 M.R.S.A §311.

2. Occasion “Occasion” means a single gathering or session at which a series of successive Beano games are played.

3. Blackout “Blackout” also known as “coverall” means a bingo pattern that requires that every number on the tally card be covered.

4. Electronic Beano Card Dauber "Electronic beano card dauber" (herein after referred to as "Electronic Dauber") is an electronic appliance used by a player to identify beano cards that contain numbers or symbols input by a player. This device electronically stores preprinted beano cards purchased by a player, provides a means for a player to input numbers or symbols called by the licensee, compares the numbers or symbols input by the player to beano cards previously stored in an electronic database, and identifies to the player those stored beano cards that contain the numbers or symbols input by the player: provided, that player-owned devices, which are not directly interfaced with or connected to equipment used to conduct beano games or the electronic database in which electronically generated beano cards are stored in any manner, are not "electronic beano card daubers" for purposes of these Rules and Regulations.

5. Electronic Beano Card Computer System " electronic beano card computer system” is the computer hardware and software system that loads the electronic beano cards purchased by each electronic beano card player into the electronic dauber.

6. Eligible Organization “Organization” has the same meaning as set forth in 17 M.R.S. §314-A.

7. Gambling Control Unit “Gambling Control Unit” or “unit” has the same meaning as set forth in 17 M.R.S. §311.

§2. General Requirements

1. All games of Beano or Bingo shall be conducted in a building or area approved for public use by state and local officials, including the State Fire Marshal’s Office.

2. A commercial hall permittee shall conspicuously post the commercial beano hall permit at the leased or rented hall in the room or area where Beano is being conducted.

3. All Beano license applications must be received by The Gambling Control Unit, 87 State House Station, 45 Commerce Drive, Augusta, Maine 04333-0087 at least 10 business days prior to the first date desired to operate. To the extent, if any, that information of a material nature supplied in the application or otherwise supplied by the applicant becomes outdated, inaccurate or incomplete, the applicant shall so notify the unit in writing as soon as it is aware that the information is inaccurate or incomplete, and shall at that time supply the information necessary to correct the timeliness, inaccuracy or incompleteness of the information.

4. House rules shall be developed and posted to include, at a minimum, no charges for admission, allow or disallow reserved seating and prizes for attendance according to M.R.S. Title 17, Chapter 13-A, §314-A(2-A).

5. A licensee may conduct only one occasion of Beano or Bingo on the same date.

6. A licensee conducting Beano or Bingo shall comply with the following advertising standards:

Advertising of any obscene or indecent nature is prohibited.

False, misleading and deceptive advertising is prohibited.

Depictions of the use of alcohol and tobacco are prohibited.

Depictions of persons under the age of 16 engaged in beano are prohibited.

Guarantees of success, riches or beano winnings are prohibited.

Advertising must include a disclaimer as follows: “Persons under 16 years of age are prohibited unless authorized under Maine Revised Statute s, Title 17, Chapter 13-A.”

Advertising must comply with all applicable Maine and federal laws.

7. Post or provide at each entrance or in a conspicuous place where Beano or Bingo are conducted, written materials concerning the nature and symptoms of problem gambling and the Maine 211 number or cost free brochures from Department of Health and Human Services, Maine Center for Disease Control and Prevention that provide information and referral services for problem gamblers. The provisions of this regulation are solely regulatory in nature and neither create a minimum standard of care toward the public nor establish a private cause of action for non- compliance.

§ 3. EQUIPMENT

Any electronic beano device or associated equipment designated for shipment within or to Maine must meet or exceed the standards outlined in Appendix A of the State of Maine Beano/Bingo or Associated Equipment Standards .

This rule incorporates by reference the State of Maine Beano/Bingo or Associated Equipment Standards , 2018 edition consisting of:

1. GLI-15, Electronic Bingo and Keno Systems, version 1.3,
2. GLI-11, Gaming Devices in Casinos, version 3.0,
3. GLI-13, On-Line Monitoring and Control Systems (MCS), and Validation Systems in Casinos, version 2.1

Electronic beano devices or associated equipment shall not be shipped into, within or out of Maine without first obtaining a written authorization for such transport from the Director. Written authorization shall be obtained from applications furnished by the Unit.

Equipment includes the electronic beano card computer system, which shall:

1. Be capable of printing hard copies of all beano cards purchased by electronic beano card players at the time of sale and before release of the electronic dauber to the player; and
2. Be capable of summarizing and printing at the completion of each beano occasion a record of the following:

i. The beginning and ending card numbers purchased by each player;

ii. The beginning and ending transaction numbers;

iii. The total number of cards sold;

iv. The total number of sales transactions;

v. The total dollar amount of sales; and

vi. The number and dollar amounts of all voids and overrings.

Each electronically-stored Beano card shall meet the requirements of section 4. herein and shall display a serial number. The Beano numbers on that electronically-stored card shall be identical to the numbers on the paper card displaying the same serial number.

Each Beano or tally card shall have twenty-five squares which are divided into five vertical and five horizontal rows, making five squares to a row. At the top of each vertical row will appear one letter of the word "Beano" beginning at the extreme left row with the letter "B" and continuing in sequence through "O" at the extreme right row. Each square shall be numbered making five numbers to a row, the exception being the center or third vertical row which has four numbers and a center space. (The most commonly used cards are those numbered 1 to 75 inclusive. In this series the numbers 1 to 15, inclusive, are used in the first vertical row; numbers 16 to 30, inclusive, in the second row; 31 to 45, inclusive, in the third row; 46 to 60, inclusive, in the fourth row; and 61 to 75, inclusive, in the fifth row. Each card may have a different combination of numbers either vertically, horizontally or diagonally).

One of the following methods shall be used in securing the numbers "called" in the conduct of the game:

1. An electrically operated blower machine containing balls which the operator may take from the air one at a time while the blower is in operation or which provides a trap or other mechanical means for automatically catching no more than one ball at a time while the blower is in operation.
2. A mechanically or manually operated cage which provides a trap or other mechanical means for automatically catching no more than one ball at a time while the cage is in operation.

A chalkboard, dry erase board or electric flashboard must be used to display the numbers called in the conduct of the game

§ 4. Conduct of Beano

Before commencing the first game on any occasion at which a series of Beano games is to be held, all numbers shall be removed from the blower, or from such other mechanical means used to catch the numbers, and shall be placed in appropriate position to enable any interested person, or persons, to determine that all numbers 1 thru 75, are present.

All cards which have not been purchased and paid for shall be removed from the tables and the immediate vicinity of any player while the games are in progress.

All players will be furnished a ticket, receipt or some other easily and quickly identifiable device indicating the maximum number of cards purchased and which may be played at any single game. At no time will a participant play more than the number of Beano cards actually purchased and identified by the furnished ticket, receipt or other identifiable device used by the Licensee organization to signify the maximum number of cards purchased. The device used to indicate the number of cards purchased will remain in full sight of any interested person to view during the game.

All players must be seated in the same area with the operator calling the numbers.

The Licensee shall conspicuously post the license to operate Beano, the Location Permit, and a copy of house and game rules in the room or area where Beano is being conducted.

The Licensee shall conspicuously post the price or combination of prices of all Beano cards in the room or area where Beano is being conducted.

The particular arrangement of numbers required to be covered in order to win the game shall be clearly described and announced to the players immediately before each game begins.

Each number shall remain within the blower or cage until ready to be called. Upon removal, said number shall be called without delay unless a Beano or Bingo is called, at which time no additional numbers will be called, and at which time the card shall be checked. If a number was removed from the blower or cage and had not been announced when the Beano was called, this number shall be placed back in the blower or cage. Each number as called must be clearly marked on a chalkboard, dry erase board or electric flashboard visible to all players, and must remain on such chalkboard, dry erase board or electric flashboard until after the winner or winners have been determined.

The player must notify the licensee when they have a winning pattern or "Beano”.

The winner's card shall be checked against the numbers called by the licensee.

An organization may not operate a game to require the pre-announced or randomly marked number to appear at a specific place or in a specific order within the winning arrangement of numbers.

On each Beano/Bingo occasion all cards shall be purchased and winners determined. The prize shall be awarded at the conclusion of each game.

No person conducting or assisting in the conduct of Beano/Bingo may participate as a player, or assist any player by playing their cards, in any game of Beano/Bingo during the same occasion.

All members of the Licensee who are involved in the conduct of Beano/Bingo shall be thoroughly familiar with the provisions of the Statutes pertaining to Beano/Bingo and with these Rules.

All monetary prizes given to the winners shall be legibly recorded in a bonded log containing the date of the occasion, game number, amount won, winners name and address which shall be retained for not less than three (3) years and made available to the Gambling Control Unit upon request.

The registrant shall announce or describe the prize to the players before each game begins.

When more than one player is found to be the winner in the same game, the Licensee shall divided the monetary prize among the winners as equally as possible.

When the division of a prize is non-monetary, the Licensee may;

a) Substitute prizes whose aggregate value does not exceed that permitted by these Rules, or may

b) Continue the play of the game until a single winner can be determined using the following method;

i. The tied players will each use the same card that was played during the tied game.

ii. Licensee will call the next number for the tied players.

iii. The first player to cover that next number called on that card shall be declared the winner of the prize.

c) If the tied game was a blackout game, the tied players will not have any remaining numbers on their cards available for play. In that instance, the Licensee shall break the tie and establish a single winner by returning all balls to the blower or cage. The first player who can match the next number called to any number on his card will be declared the single winner.

§ 5. Conduct of Electronic Beano

In addition to the rules under section 4 above, the following apply to the use of electronic beano card dauber and computer systems.

Electronic daubers shall not be reserved for any player. However, an electronic dauber may be reserved for a player with a disability that would restrict the ability to mark paper tally cards when such disability is consistent with definitions set forth in the Americans with Disabilities Act (ADA). If there are no requests for use of this reserved dauber prior to fifteen (15) minutes before the scheduled start of the occasion, it may be made available for use by any player.

At the time of sale of any electronic Beano cards and prior to releasing the electronic dauber to the player, the licensee must print a hard copy of any electronic cards purchased by the player. An electronic Beano card player cannot exchange the cards being played until completion of a Beano game. In order to exchange the cards being played, the player must return the electronic dauber, and the hard copy of any previously-purchased electronic Beano cards, to the licensee for loading and printing of the new cards.

No electronic dauber shall be programmed to play more than 54 Beano cards in a single game.

The electronic Beano card player must input each number called by the licensee into the memory of the electronic dauber by use of a separate dauber function. Automatic or global marking of numbers is prohibited.

After commencing the first game, and until the end of the occasion, there shall be no electronic communication from the electronic dauber to the electronic Beano card computer system or any other electronic destination or from the electronic Beano card computer system to any other electronic destination. However, the Bingo caller may advance the game and/or part of the game for the electronic daubers from the calling station.

§ 7. Expenditures

The Licensee may pay as compensation to a member of the Licensee, who has been in good standing as such for at least two years previous to application, an amount not to exceed 200% of the minimum wage as established by Title 17, Chapter 13-A, § 326 for advising, controlling and managing the conduct of Beano.

The Licensee may also pay as compensation to a member of the Licensee who has been in good standing for at least one year previous to application, an amount not to exceed 200% of the minimum wage as established by Title 17, Chapter 13-A, § 326, for assisting in the conduct of Beano.

The Licensee may pay as compensation to any member or employee an amount not to exceed 200% of the minimum wage as established by Title 17, Chapter 13-A, §326, for janitorial services.

The Licensee may also pay reasonable amounts for the use of suitable premises, furniture and goods, wares, or merchandise to be given as prizes.

All such payments shall be made from the respective Beano and Games of Chance accounts and reported on the respective Beano and Games of Chance disposition of funds reports.

At no time shall the payments made pursuant to this rule exceed 20% of the net revenue after deducting expenses for prizes, license fees and any other direct expense.

The Licensee shall, in addition to the other books and records required hereafter, maintain and keep a separate financial account in a reputable banking establishment.

§ 8. Reports and Records Required

Within ten (10) business days after any period in which Bingo or Beano is conducted, the Licensee shall file with the Gambling Control Unit a disposition of funds form prescribed and furnished by the Gambling Control Unit, even if the event canceled, which shall include:

a. An exact account of all income from Beano or Bingo;

b. A list of all expenses, including, but not limited to, the cost of all prizes, printing, licenses and administration; and

c. An exact account of the disposition of all other proceeds from Beano or Bingo, including, but not limited to, all gifts, grants and payments to any person, firm, corporation, association or organization for any purpose whatsoever, provided, however, that nothing in these Regulations shall be construed to prevent a Licensee from making a payment to the general fund of its respective Indian Nation or Tribe after all necessary expenditures entailed in its Beano/Bingo operation have been made. Every such statement shall be made under oath by the member in charge of such occasion.

All records of financial transactions involving Beano/Bingo shall be separate and distinguishable from all other financial records of the Licensee.

Each Licensee shall maintain and keep for a period of three (3) years following the date the occasion was held such books and records as may be necessary to substantiate the reports required thereafter.

The Director or their authorized representative may examine the books and records of any Licensee at any time, so far as those books and records relate to the transactions connected with the holding, operating and conducting of Beano/Bingo, and the Licensee shall cooperate with the Director or their representative by making such books and records available to them. The Gambling Control Unit may also examine any manager, officers, director, agent, member or employee of the licensee in relation to the conduct of a game of Beano/Bingo, or concerning the conduct of Beano/Bingo.

History

• STATUTORY AUTHORITY: 17 M.R.S. §314-A.
• STATUTORY AUTHORITY: Formerly filed under Department of Public Safety, Bureau of State Police, as 16-222 ch. 7:
• EFFECTIVE DATE: October 9, 1987 (EMERGENCY) – filing 87-360
• EFFECTIVE DATE OF PERMANENT RULE: March 2, 1988 – filing 88-66
• AMENDED: March 26, 1990 – filing 90-117
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996 – filing 96-218
• EFFECTIVE DATE (ELECTRONIC CONVERSION): Transferred to 16-633, Department of Public Safety, Gambling Control Board, as 16-633 ch. 30:
• AMENDED: July 25, 2018 – filing 2018-140
• AMENDED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 31 Rules Relating to Beano

Code Me. R. 16-633 Ch. 31 Rules Relating to Beano {#sec-16-633-ch.-31 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 31}

SUMMARY: This chapter provides the rules relating to the registration and conduct of Beano and Bingo by eligible organizations. This chapter also details requirements for equipment and associated materials used in Beano or Bingo.

§1. Definitions As used in this chapter, the following terms have the following meanings:

1. Director “Director” has the same meaning as set forth in 17 M.R.S. §311

2. Occasion “Occasion” means a single gathering or session at which a series of successive Beano games are played.

3. Blackout “Blackout” also known as “coverall” means a bingo pattern that requires that every number on the tally card be covered.

4. Electronic Beano Card Dauber "Electronic beano card dauber" (herein after referred to as "Electronic Dauber") is an electronic appliance used by a player to identify beano cards that contain numbers or symbols input by a player. This device electronically stores preprinted beano cards purchased by a player, provides a means for a player to input numbers or symbols called by the licensee, compares the numbers or symbols input by the player to beano cards previously stored in an electronic database, and identifies to the player those stored beano cards that contain the numbers or symbols input by the player: provided, that player-owned devices, which are not directly interfaced with or connected to equipment used to conduct beano games or the electronic database in which electronically generated beano cards are stored in any manner, are not "electronic beano card daubers" for purposes of these Rules and Regulations.

5. Electronic Beano Card Computer System "electronic beano card computer system” is the computer hardware and software system that loads the electronic beano cards purchased by each electronic beano card player into the electronic dauber.

6. Eligible Organization “Organization” has the same meaning as set forth in 17 M.R.S. §313-C.

7. Gambling Control Unit “Gambling Control Unit” or “unit” has the same meaning as set forth in 17 M.R.S. §311.

8. Registrant ”Registrant” has the same meaning as set forth in 17 M.R.S. §311 (9)

9. Wild Number Beano. "Wild Number Beano" means a beano occasion, game or series of beano games in which a number is picked or denoted as a wild number.

10. Winner-take-all. "Winner-take-all" means a beano game or series of beano games in which all the proceeds from the sale of the cards are paid to participants as prizes.

§2. General Requirements

1. All games of Beano or Bingo shall be conducted in a building or area approved for public use by state and local officials, including the State Fire Marshal’s Office.

2. A commercial hall permittee shall conspicuously post the commercial beano hall permit at the leased or rented hall in the room or area where Beano is being conducted.

3. All Beano registration applications must be received by The Gambling Control Unit, 87 State House Station, 45 Commerce Drive, Augusta, Maine 04333-0087 at least 10 business days prior to the first date desired to operate. To the extent, if any, that information of a material nature supplied in the application or otherwise supplied by the applicant becomes outdated, inaccurate or incomplete, the applicant shall so notify the unit in writing as soon as it is aware that the information is inaccurate or incomplete, and shall at that time supply the information necessary to correct the timeliness, inaccuracy or incompleteness of the information.

4. House rules shall be developed and posted, including, at a minimum, the following;

a. No charges for admission;

b. No prizes awarded for attendance;

c. Allow or disallow reserved seating; and

d. Use of Wild Number Beano.

5. A Registrant may conduct only one occasion of Beano or Bingo on the same date.

6. A registrant conducting Beano or Bingo shall comply with the following advertising standards:

Advertising of any obscene or indecent nature is prohibited.

False, misleading and deceptive advertising is prohibited.

Depictions of the use of alcohol and tobacco are prohibited.

Depictions of persons under the age of 16 engaged in beano are prohibited.

Guarantees of success, riches or beano winnings are prohibited.

Advertising must include a disclaimer as follows: “Persons under 16 years of age are prohibited unless authorized under 17 M.R.S., Chapter 13-A.”

Advertising must comply with all applicable Maine and federal laws.

7. Post or provide at each entrance or in a conspicuous place where Beano or Bingo are conducted, written materials concerning the nature and symptoms of problem gambling and the Maine 211 number or cost free brochures from Department of Health and Human Services, Maine Center for Disease Control and Prevention that provide information and referral services for problem gamblers. The provisions of this regulation are solely regulatory in nature and neither create a minimum standard of care toward the public nor establish a private cause of action for non- compliance.

§ 3. EQUIPMENT

1. Any electronic beano device or associated equipment designated for shipment within or to Maine must meet or exceed the standards outlined in Appendex A of the State of Maine Beano/Bingo or Associated Equipment Standards.

2. This rule incorporates by reference the State of Maine Beano/Bingo or Associated Equipment Standards, 2018 edition consisting of:

a) GLI-15, Electronic Bingo and Keno Systems, version 1.3,

b) GLI-11, Gaming Devices in Casinos, version 3.0,

c) GLI-13, On-Line Monitoring and Control Systems (MCS), and Validation Systems in Casinos, version 2.1

3. Copies of this standard are available through the Maine Dept. of Public Safety,Gambling Control Unit, 45 Commerce Drive, Augusta, ME 04330.

4. Electronic beano devices or associated equipment shall not be shipped into, within or out of Maine without first obtaining a written authorization for such transport from the Director to include a certificate of approval of the equipment from a recognized independent laboratory. Written authorization shall be obtained from application(s) furnished by the Unit.

5. Be capable of printing hard copies of all beano cards purchased by electronic beano card players at the time of sale and before release of the electronic dauber to the player; and

6. Be capable of summarizing and printing at the completion of each beano occasion a record of the following:

a) The beginning and ending card numbers purchased by each player;

b) The beginning and ending transaction numbers;

c) The total number of cards sold;

d) The total number of sales transactions;

e) The total dollar amount of sales; and

f) The number and dollar amounts of all voids and overrings.

7. Each electronically-stored Beano card shall meet the requirements of section 8 herein and shall display a serial number. The Beano numbers on that electronically-stored card shall be identical to the numbers on the paper card displaying the same serial number.

8. Each Beano or tally card shall have twenty-five squares which are divided into five vertical and five horizontal rows, making five squares to a row. At the top of each vertical row will appear one letter of the word "Beano" beginning at the extreme left row with the letter "B" and continuing in sequence through "O" at the extreme right row. Each square shall be numbered making five numbers to a row, the exception being the center or third vertical row which has four numbers and a center space. (The most commonly used cards are those numbered 1 to 75 inclusive. In this series the numbers 1 to 15, inclusive, are used in the first vertical row; numbers 16 to 30, inclusive, in the second row; 31 to 45, inclusive, in the third row; 46 to 60, inclusive, in the fourth row; and 61 to 75, inclusive, in the fifth row. Each card may have a different combination of numbers either vertically, horizontally or diagonally).

9. One of the following methods shall be used in securing the numbers "called" in the conduct of the game:

a) An electrically operated blower machine containing balls which the operator may take from the air one at a time while the blower is in operation or which provides a trap or other mechanical means for automatically catching no more than one ball at a time while the blower is in operation.

b) A mechanically or manually operated cage which provides a trap or other mechanical means for automatically catching no more than one ball at a time while the cage is in operation.

10. A chalkboard, dry erase board or electric flashboard must be used to display the numbers called in the conduct of the game

§ 4. Conduct of Beano

Before commencing the first game on any occasion at which a series of Beano games is to be held, all numbers shall be removed from the blower, or from such other mechanical means used to catch the numbers, and shall be placed in appropriate position to enable any interested person, or persons, to determine that all numbers 1 thru 75, are present.

All cards which have not been purchased and paid for shall be removed from the tables

and the immediate vicinity of any player while the games are in progress.

All players will be furnished a ticket, receipt or some other easily and quickly identifiable

device indicating the maximum number of cards purchased and which may be played at any single game. At no time will a participant play more than the number of Beano cards actually purchased and identified by the furnished ticket, receipt or other identifiable device used by the registered organization to signify the maximum number of cards purchased. The device used to indicate the number of cards purchased will remain in full sight of any interested person to view during the game.

Beano shall be conducted in a building or area approved for public use by state and local officials, including the State Fire Marshal's Office.

All players must be seated in the same area with the operator calling the numbers.

The registrant shall conspicuously post the registration to operate Beano, the Location Permit, and a copy of house and game rules in the room or area where Beano is being conducted.

The registrant shall conspicuously post the price or combination of prices of all Beano cards in the room or area where Beano is being conducted.

The particular arrangement of numbers required to be covered in order to win the game shall be clearly described and announced to the players immediately before each game begins.

Each number shall remain within the blower or cage until ready to be called. Upon

removal, said number shall be called without delay unless a Beano or Bingo is called, at which time no additional numbers will be called, and at which time the card shall be checked. If a number was removed from the blower or cage and had not been announced when the Beano was called, this number shall be placed back in the blower or cage. Each number as called must be clearly marked on a chalkboard, dry erase board or electric flashboard visible to all players, and must remain on such chalkboard, dry erase board or electric flashboard until after the winner or winners have been determined.

The player must notify the registrant when they have a winning pattern or "Beano".

The winner's card shall be checked against the numbers called by the registrant.

An organization may not operate a game to require the pre-announced or randomly marked number to appear at a specific place or in a specific order within the winning arrangement of numbers.

On each Beano occasion all cards shall be purchased and winners determined. The prize shall be awarded at the conclusion of each game.

No person conducting or assisting in the conduct of Beano may participate as a player, or assist any player by playing their cards, in any game of Beano during the same occasion.

All members of the registrant who are involved in the conduct of Beano shall be thoroughly familiar with the provisions of the Statutes pertaining to Beano and with these Rules.

All monetary prizes given to the winners shall be legibly recorded in a binded log containing the date of the occasion, game number, amount won, winners name and address which shall be retained for not less than three (3) years and made available to the Gambling Control Unit upon request.

The registrant shall announce or describe the prize to the players before each game begins.

When more than one player is found to be the winner in the same game, the registrant shall divide the monetary prize among the winners as equally as possible.

When the division of a prize is non-monetary, the registrant may;

Substitute prizes whose aggregate value does not exceed that permitted by these Rules, or may

Continue the play of the game until a single winner can be determined using the following method;

The tied players will each use the same card that was played during the tied game.

Registrant will call the next number for the tied players.

The first player to cover that next number called on that card shall be declared the winner of the prize.

If the tied game was a blackout game, the tied players will not have any remaining numbers on their cards available for play. In that instance, the Licensee shall break the tie and establish a single winner by returning all balls to the blower or cage. The first player who can match the next number called to any number on his card will be declared the single winner.

§ 5. Conduct of Electronic Beano

In addition to the rules under section 4 above, the following apply to the use of electronic beano card dauber and computer systems.

Electronic daubers shall not be reserved for any player. However, an electronic dauber may be reserved for a player with a disability that would restrict the ability to mark paper tally cards when such disability is consistent with definitions set forth in the Americans with Disabilities Act (ADA). If there are no requests for use of this reserved dauber prior to fifteen (15) minutes before the scheduled start of the occasion, it may be made available for use by any player.

At the time of sale of any electronic Beano cards and prior to releasing the electronic dauber to the player, the licensee must print a hard copy of any electronic cards purchased by the player. An electronic Beano card player cannot exchange the cards being played until completion of a Beano game. In order to exchange the cards being played, the player must return the electronic dauber, and the hard copy of any previously-purchased electronic Beano cards, to the registrant for loading and printing of the new cards.

No electronic dauber shall be programmed to play more than 54 Beano cards in a single game.

The electronic Beano card player must input each number called by the registrant into the memory of the electronic dauber by use of a separate dauber function. Automatic or global marking of numbers is prohibited.

After commencing the first game, and until the end of the occasion, there shall be no electronic communication from the electronic dauber to the electronic Beano card computer system or any other electronic destination or from the electronic Beano card computer system to any other electronic destination. However, the Bingo caller may advance the game and/or any part of the game for the electronic daubers from the calling station.

§ 6. Maximum Prizes

No single prize awarded shall be in excess of $400 in value.

No more than $1,400.00 may be awarded during any one occasion.

$2,000.00 may be awarded once a year for one occasion with (10) ten business day prior notification to the Unit.

Non-monetary prizes shall be determined by the retail cost of an equivalent article on the open market.

Credit towards greater prizes shall not be given.

No goods, wares or merchandise that exceeds the valuation permitted by regulation shall be exhibited among the prizes to be awarded the winner or winners of games.

Notwithstanding the prize limits in Title 17, Chapter 13, §313-E, an organization operating a winner-take-all shall pay all proceeds from each winner-take-all round as prizes, provided no winner receives more than $500.

§ 7 Expenditures

The registrant may pay as compensation to a member of the registrant, who has been in good standing as such for at least two years previous to application, an amount not to exceed 200% of the minimum wage as established by Title 17, Chapter 13-A, §326, for advising, controlling and managing the conduct of Beano.

The registrant may also pay as compensation to a member of the registrant who has been in good standing for at least one year previous to application, an amount not to exceed 200% of the minimum wage as established by Title 17, Chapter 13-A, § 326 for assisting in the conduct of Beano.

The registrant may pay as compensation to any member or employee an amount not to exceed 200% of the minimum wage as established by for janitorial services.

The registrant may also pay reasonable amounts for the use of suitable premises, furniture and goods, wares, or merchandise to be given as prizes.

All such payments shall be made from the respective Beano and Games of Chance accounts and reported on the respective Beano and Games of Chance disposition of funds reports.

At no time shall the payments made pursuant to this rule exceed 20% of the net revenue after deducting expenses for prizes, license fees and any other direct expense.

The registrant shall, in addition to the other books and records required hereafter, maintain and keep a separate financial account in a reputable banking establishment.

§ 8 Reports and Records Required

1. Within ten (10) business days after any period in which Bingo or Beano is conducted, with other than an annual registration, a Licensee shall file with the Gambling Control Unit a disposition of funds form prescribed and furnished by the Gambling Control Unit. Within ten (10) business days after each calendar month of an annual registration period during which Bingo or Beano is conducted, the registrant shall maintain on file disposition of funds form prescribed and furnished by the Unit even if the event is canceled, which shall include:

a) An exact account of all income from Beano or Bingo;

b) A list of all expenses, including, but not limited to, the cost of all prizes, printing, licenses and administration; and

c) An exact account of the disposition of all other proceeds from Beano or Bingo, including, but not limited to, all gifts, grants and payments to any person, firm, corporation, association or organization for any purpose whatsoever.

2. Every such statement shall be made under oath by an officer of the organization in charge of such occasion.

3. All records of financial transactions involving Beano or Bingo shall be separate and distinguishable from all other financial records of the organization.

4. Each registrant shall maintain and keep for a period of three (3) years following the date the occasion was held such books and records as may be necessary to substantiate the reports required thereafter.

5. The Director or his authorized representative may examine the books and records of any registrant at any time, so far as those books and records relate to the transactions connected with the holding, operating and conduct of Beano, and the registrant shall cooperate with the Director or his representative by making such books and records available to them. The Gambling Control Unit may also examine any manager, officers, director, agent, member or employee of the licensee in relation to the conduct of a game of Beano, or concerning the conduct of Beano.

History

• STATUTORY AUTHORITY: Title 17, Chapter 13-A, Section 317
• STATUTORY AUTHORITY: Formerly filed under Department of Public Safety, Bureau of State Police, as 16-222 ch. 2:
• STATUTORY AUTHORITY: READOPTED under the new APA:
• STATUTORY AUTHORITY: July 31, 1979 (filed July 31, 1979)
• AMENDED: August 31, 1983 - Sec. 1(B), 6(A), 7(C)
• AMENDED: August 31, 1983 - Sec. 1(B), 3Q), 4(A), 6(A) & 7
• AMENDED: September 25, 1985 - Sec. 4(A), 7(B)
• AMENDED: July 10, 1988 - Sec. 3
• AMENDED: November 19, 1988 - Sec. 3
• AMENDED: July 18, 1989 - Sec. 5
• AMENDED: June 2, 1992 - Sec. 5
• AMENDED: June 29, 1994 - Sec. 3(H)
• AMENDED: March 18, 1995 - Sec. 2 & 3
• AMENDED: May 3, 1996 (EMERGENCY) - Sec. 3.01(F)
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 15, 1996
• AMENDED: February 23, 1997 - Sec. 1(F) added.
• AMENDED: August 1, 1998 - Sec. 3.03(W) added.
• NON-SUBSTANTIVE CORRECTIONS: July 6, 1998 - minor spelling, punctuation, formatting; repositioning of NOTE under 3.02(A) (not (AAA)).
• AMENDED: July 13, 1998 - Sec. 3.07.
• NON-SUBSTANTIVE CORRECTION: January 25, 1999 - title only.
• AMENDED: March 27, 2000 - Sec. 3.09 added.
• NON-SUBSTANTIVE CORRECTION: November 26, 2000 - address and phone number correction in Sec. 3.08.
• NON-SUBSTANTIVE CORRECTION: March 26, 2002 - proofed (lw).
• NON-SUBSTANTIVE CORRECTION: November 19, 2002 - corrected address in Sec. 3.01(D)
• AMENDED: February 16, 2004 - Sec. 3.02, filing 2004-57
• NON-SUBSTANTIVE CORRECTION: March 24, 2004 - minor spelling and punctuation
• AMENDED: December 12, 2009 – filing 2009-648
• AMENDED: Transferred to 16-633, Department of Public Safety, Gambling Control Board, as 16-633 ch. 31:
• AMENDED: July 25, 2018 – filing 2018-141
• AMENDED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 32 Rules Relating to Games of Chance

Code Me. R. 16-633 Ch. 32 Rules Relating to Games of Chance {#sec-16-633-ch.-32 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 32}

SUMMARY: This chapter describes all requirements that must be met to register or be licensed to operate games of chance. This chapter also details requirements for equipment and associated materials used in games of chance.

§1. Definitions. As used in this chapter, the following terms have the following meanings:

Committee “Committee” has the same meaning as set forth in 17 M.R.S. § 1832(1).

Director “Director” has the same meaning as set forth in 17 M.R.S. § 1831(2-A).

Electronic Video Machine “ Electronic Video Machine” has the same meaning as set forth in 17 M.R.S. § 1831(4).

Eligible Organization “Eligible Organization” has the same meaning as set forth in 17 M.R.S. § 1832(2).

Equipment. “Equipment” means any and all articles, implements, or apparatuses essential to the operation and conduct of a game of chance.

Gambling Control Unit “Gambling Control Unit” or “Unit” has the same meaning as set forth in 17 M.R.S. § 1831(4-A)

Game Night “Game Night” is a once in a calendar year event authorized by 17 M.R.S. § 1832(2-B) and conducted according to 17 M.R.S. § 1835-B.

Game Promotion. “Game promotion” includes, but is not limited to, any game, contest, sweepstakes, advertising scheme or plan, device, or promotion:

1. That is conducted in connection with the promotion of products or services;
2. In which a person may enter to win or become eligible to receive a prize with or without payment of something of value; and
3. Where the determination of a winner is based upon chance.

For the purpose of section 5, “operator” means any person, firm, corporation or association, or agent or employee thereof, who promotes, operates or conducts a game promotion.

Lucky Seven or similar sealed ticket game. “Lucky Seven or similar sealed ticket game” means a game consisting of tickets or cards with preprinted symbols, numbers or other figures that are hidden by an opaque removable material. Each ticket or card

represents a chance to win a specific single prize or specific single set of prizes. A winning ticket or card contains a predetermined winning configuration of symbols, numbers or other figures.

Distributor “Distributor” has the same meaning as set forth in 17 M.R.S. § 1831(3)

Immediate family members “immediate family members” means spouse, parents and children.

§ 2. License and Registration Applications

An applicant for a license, or as applicable, a registration to conduct or operate a game of chance shall apply on forms specified by the Unit. In addition to any information required by statute, application forms must be received by hand delivery or regular mail at least 10 business days prior to the first date desired to operate and no earlier than 90 days prior to the first date desired to operate, at:

Department of Public Safety Gambling Control Unit

87 State House Station

45 Commerce Drive, Suite 3

Augusta, Maine 04333-0087 207/626-3900

An applicant for a license to conduct a card game or tournament game must obtain written approval from the local governing authority where the game is to be operated or conducted. The local governing authority must:

1. Sign the application for the card game or tournament game; or
2. Provide the applicant a letter that is addressed to the Gambling Control Unit, which the applicant shall attach to the applicable application(s). The letter must address the game(s) for which the local governing authority is providing consent. The letter must be dated and must have an expiration date that is no greater than 5 years from the issue date.

To the extent, if any, that information of a material nature supplied in the application or otherwise supplied by the applicant becomes outdated, inaccurate or incomplete, the applicant shall so notify the Unit in writing as soon as it is aware that the information is inaccurate or incomplete and shall at that time supply the information necessary to correct the timeliness, inaccuracy or incompleteness of the information.

The Director shall approve the application based on the criteria outlined in 17 M.R.S. § 1832.

Written authorization must be obtained in advance from the Director to permit the shipment of any electronic video machine or gambling equipment for game nights into, within, or out of Maine. Applications for written authorization to ship are available from the Unit.

Electronic video machines must be certified by an independent laboratory, approved by the Director.

Each electronic video machine prior to being placed in operation in Maine shall have a registration decal approved by the Director, with a registration control number placed thereon, affixed to the machine. The placement of the decal represents that the machine has been registered, inspected, and approved for operation in Maine. Only authorized Unit staff may affix a registration decal. Once a registration decal has been affixed, no person other than authorized Unit staff may remove a registration decal. No electronic video machine may be transported out of the State, within the State or in order to be destroyed until authorized Unit personnel have removed the decal containing the machine’s registration control number.

§3. Conduct of Games of Chance

The licensee or registrant operating a game of chance shall:

1. Not conduct a game of chance with any gambling equipment unless said equipment is owned or leased pursuant to Maine Revised Statute, Title 17, chapter 62, § 1840(5);
2. Not permit any disorderly or visibly intoxicated person to enter or remain within the room or area where any games of chance are being offered;
3. Not operate a game of chance unless some responsible person at least 18 years of age, exercises exclusive control of each game played;
4. Conspicuously post the games of chance license or registration in an area near the entrance to a licensed or registered location in which the game is being conducted;
5. Make available to players a copy of the Maine Revised Statutes, Title 17, chapter 62, the rules adopted pursuant to that chapter and the rules of play in the room or area where a licensed or registered game of chance is being conducted;
6. Ensure that any location or room where games of chance are being conducted is sufficiently lighted at all times during the conduct of the game for public safety;
7. Ensure that all prizes are designated, announced, posted or indicated to the players prior to the start of each game;
8. Ensure at the conclusion of each game of chance, winners are determined and the prize(s) awarded. No prize or any values derived from a previous prize shall be credited toward a greater prize;
9. Ensure that when more than one player is found to be the winner in the same game, the designated prize is divided as equally as possible.
10. Ensure that all members of an organization who are involved in the conduct of games of chance are thoroughly familiar with the provisions of Maine Revised

Statute, Title 17, chapter 62 pertaining to games of chance and the rules adopted pursuant to that chapter;

1. Comply with the following advertising standards: 1. Advertising of any obscene or indecent nature is prohibited. 2. False, misleading and deceptive advertising is prohibited. 3. Depictions of the use of alcohol and tobacco are prohibited. 4. Depictions of persons under the age of 18 engaged in games of chance are prohibited. 5. Guarantees of success, riches or games of chance winnings are prohibited. 6. Advertising must include a disclaimer as follows: “Persons under 18 years of age are prohibited unless authorized under 17 M.R.S. §1835-A(4).” 7. Advertising must comply with all applicable Maine and federal laws.
2. Post or provide at each entrance or in a conspicuous place where games of chance are conducted, written materials concerning the nature and symptoms of problem gambling and the Maine 211 number or free brochures from the Maine Department of Health and Human Services, Maine Center for Disease Control and Prevention that provide information and referral services for problem gamblers. The provisions of this regulation are solely regulatory in nature and neither create a minimum standard of care toward the public nor establish a private cause of action for non- compliance;
3. Operate a game of chance only in a building or area approved for public use by state and local officials, including the State Fire Marshal's Office;
4. Not permit person(s) involved in the conduct of a game of chance and their immediate family members to participate in the game of chance; and
5. Develop and post rules of play for the game(s) of chance conducted. The rules of play must include at a minimum the following information: 1. Who may participate in the game of chance; 2. The minimum bet limit and the maximum bet limit for the game of chance; 3. How the game of chance is conducted; and 4. How a winner is determined.

§4. Sealed Tickets

Registrants for a Lucky Seven or similar sealed ticket game shall meet the requirements of an eligible organization described in 17 M.R.S. § 1832(2).

Each Lucky Seven or similar sealed ticket game must contain no more than 12,000 individual tickets or cards, none of which are attached in any way to any other ticket or card.

Every Lucky Seven or similar sealed ticket game must have a unique serial number per game assigned by the manufacturer that shall be plainly visible to the contestants, participants, or other interested persons.

Lucky Seven or similar sealed ticket game in which the operator or registrant knows or can identify any winning ticket or card that has not been opened by the contestant or participant are prohibited.

Any additional rules of play beyond just purchase and pealing tickets must be included in the seal ticket application and posted.

Operators of Lucky Seven or similar sealed ticket games shall:

1. Offer all the tickets or cards per game for sale;
2. Not mix or add any tickets or cards from one Lucky Seven or similar sealed ticket game together with the tickets or cards to another Lucky Seven or similar sealed ticket game;
3. Not change the original odds in any manner;
4. Display the placard associated with the serial number game being conducted;
5. Not allow individual(s) who conduct the game and their immediate family members to participate as a player or contestant in that game;
6. Not deceive a participant or contestant by misrepresenting in any way that a prize has been or has not been awarded;
7. Close a serial- numbered game, before starting a new serial-numbered game;
8. Maintain the placard for the serial-numbered game along with all the winning tickets of $20 or more for a minimum of 2 months; and
9. Maintain an accounting of each serial-numbered game for 3 years on a single monthly sealed ticket form MGCU-5475 for all closed games, regardless of their selling location within the organization which must be submitted to the unit by the 10^th of each month for the previous month.

§5. Raffles

An application to conduct a raffle that is required to be registered with the Gambling Control Unit shall:

1. Submit an application on form MGCU-5425 at least 10 business days prior to the start of the event;
2. Include a complete list of prizes to be awarded along with the fair market value of those prizes; and
3. Provide rules for the raffle that include as a minimum; 1. Payment method; 2. Date, time and location of drawing; and 3. Whether winners have to be present;

The registration period for a raffle starts on the first day of ticket sales and ends on the date of the drawing.

The use of a payment management system by an eligible organization must be registered on form MGCU-5425 if the total value of all prizes is $10,000 or less with no fee.

Payment management systems must be presented to the director and be capable of the following:

1. Not permit the extension of credit to purchase a raffle chance or ticket;
2. Not permit providing payment by mail;
3. Ensures that a person who purchases a raffle chance or ticket is at least 18 years of age;
4. Includes geolocation technology to prevent a person from purchasing a raffle chance or ticket while the person is physically located in a state where the purchase of that raffle chance or ticket would not be legal under the laws of that state;
5. Provides for the immediate refund of the organization discovering that a person was under 18 years of age at the time of purchase or was physically located in a state where the raffle being conducted is not legally permitted at the time of purchase;
6. Providing adequate measures to protect the privacy and security of payment information by persons who purchase raffle chances or tickets; and
7. Enables the eligible organization to satisfy the record-keeping and reporting requirements in 17 M.R.S. § 1837-C(6).

A statement from the payment management systems provider that the system offered in Maine shall meet the requirements of above which shall be included with the application by the eligible organization.

Payment management system provider shall contact the unit within 48 hours of any refunds to purchasers under the legal age of 18 and those from states where raffles over the internet are not permitted by law.

§ 6. Game Promotions

Criteria: A game promotion is not a game of chance if:

1. No entry fee, payment, donation, or proof of purchase is required as a condition of entering to win or becoming eligible to receive a prize;
2. The game promotion is occasional and of limited duration;
3. During periods when a game promotion is not being conducted, the products or services promoted are offered for sale to the public and the purchase price of these products or services has not been increased to correspond with the period during which the game promotion is being conducted; and
4. A demand for the products or services exists independent of the demand for the game promotion and the chance to win its prize.

License or Registration required: Any game promotion that satisfies the criteria listed in subsection A is not a game of chance, that must be licensed or registered and conducted in accordance with the Maine Revised Statutes, Title 17, chapters 13-A or 62.

Sanctions: Any operator who conducts an unlicensed or unregistered game of chance may be subject to the penalties set forth in the Maine Revised Statutes, Title 17, chapters 13-A and 62 and Title 17-A, chapter 39.

Limitation: Nothing in this section is meant to limit any game, contest, advertising scheme or plan, device, or promotion that is authorized by Maine law.

§ 7. Game Nights

An eligible organization or a committee may conduct, once in a calendar year, a game night that may include the operation or conduct of card games and games of chance upon registration with the Unit.

Game nights must be held at a location owned, leased, or rented for the single event by the authorized eligible organization, and, if leased or rented, must be owned or leased by an independent third party. The venue cannot be a facility owned, leased, or rented, directly or indirectly, by a licensed Distributor, unless the Distributor leases or rents a specific venue for a Game Night only once per calendar year.

Game nights shall not be held simultaneously for multiple organizations at the same location.

Solid color non-denominational chips or tokens shall be used to play during game nights that have no value other than to the calculation to determine prize recipients, if any, in a manner consistent with the established rules of play set in advance by the organization or committee.

Applications, lease agreements, shipment requests must be received by the Unit 10 business days prior to the event or delivery of equipment.

§ 8. Reports and Records Required

Within 10 business days after any period in which a licensed game of chance is conducted, the licensee shall file with the Gambling Control Unit a disposition of funds form prescribed and furnished by the Gambling Control Unit, even if the event is canceled. The form must be made under oath by an officer of the Licensee or by the member in charge of the conduct of the game. The form must include:

1. An exact account of all income obtained by the entire organization from the licensed game of chance;
2. A list of all expenses related to the licensed game of chance, including, but not limited to, the cost of prizes, printing, licenses and administration; and
3. An exact account of the disposition of all proceeds obtained from the entire organization from the licensed game of chance, including, but not limited to, all gifts, grants and payments to any person, firm, corporation, association or organization for any purpose whatsoever.

All records of financial transactions involving games of chance must be separate and distinguishable from all other financial records of the licensee/registrant.

Each licensee /registrant maintain records of financial transactions involving a game of chance for 3 years following the date the game of chance was held.

The Director or the Director’s authorized representative may examine the books and records of any licensee or registrant at any time, so far as those books and records relate to the transactions connected with the holding, operation and conduct of games of chance, and the licensee or registrant shall cooperate with the Director or the Director’s representative by making such books and records available to them. The Gambling Control Unit may also examine any manager, officers, director, agent, member or employee of the licensee or registrant in relation to the conduct of a game of chance.

§ 9. Distributor Licenses

An application for a distributor license must be received by the Gambling Control Unit 60 days prior to the requested licensing start date. A renewal application for a distributor license must be received by the Gambling Control 60 days prior to the expiration of the current license.

The application must list the names of all Maine sales personnel.

The licensed distributor shall file a report by the 10th day of each month regarding sales activity from the previous month. The licensee shall file with the Gambling Control Unit a sales activity report on forms MGCU-6200 and MGCU-6300, even if no activity took place.

Sales, service agreements, copies of eligible organization or committee registrations or licenses approved by the Unit, and written authorization to make shipments must be received by the Gambling Control Unit at least 10 business days prior to the delivery of any gambling equipment or games of chance used for approval by the Director.

Lease agreements pertaining to gambling equipment leased to agricultural societies, or eligible organizations or committees, must be received by the Gambling Control Unit at least 10 business days prior to the delivery of any gambling equipment for approval by the Director, which shall include:

1. The name of the lessor;
2. Address of the lessor;
3. Name of the lessee;
4. Address of the lessee;
5. Description of the gambling equipment;
6. Serial number;
7. Model name or number of the gambling equipment; and
8. All prices and payments for the lease.

Each lease must be for a specific period of time no longer than the duration of the annual fair of that lessee or the game night under section 1832, subsection 2-B.

Gambling equipment for game nights must have a manufacturer serial number and be approved for shipment in a sealed container. Unit inspectors will break the seal, inspect and register the equipment. After the event, Unit inspectors will inspect and release the equipment and re-seal the container for shipment out of or within the State of Maine to the distributor’s location for storage.

History

• STATUTORY AUTHORITY: 17 M.R.S. Chapter 62, Section 1843
• STATUTORY AUTHORITY: Formerly filed under Department of Public Safety, Bureau of State Police, as 16-222 ch. 2:
• EFFECTIVE DATE: June 1, 1978 READOPTED:
• EFFECTIVE DATE: July 31, 1979 AMENDED:
• EFFECTIVE DATE: December 27, 1995 (EMERGENCY) - Sec. 2.01, 2.04 EFFECTIVE DATE (ELECTRONIC CONVERSION):
• EFFECTIVE DATE: May 15, 1996
• NON-SUBSTANTIVE CORRECTION: August 13, 1996 - added note on December 27, 1995 emergency filing.
• AMENDED: January 1, 1997 - added 2.01 (D), 2.04.
• NON-SUBSTANTIVE CORRECTIONS: November 20, 1996 - minor spelling and addresses March 26, 2002 - proofed (lw)
• NON-SUBSTANTIVE CORRECTIONS: November 19, 2002 - corrected address in 2.03(A) AMENDED:
• NON-SUBSTANTIVE CORRECTIONS: March 25, 2014 – filing 2014-046
• NON-SUBSTANTIVE CORRECTIONS: Transferred to 16-633, Department of Public Safety, Gambling Control Unit, as 16-633 ch. 32:
• AMENDED: July 25, 2018 – filing 2018-142 AMENDED:
• AMENDED: March 20, 2022 – filing 2022-039
• AMENDED: September 26, 2022 – filing 2022-189
• AMENDED: March 2, 2024 – filing 2024-043
• AMENDED: November 24, 2024 – filing 2024-263

Fantasy Contests: Fantasy Contests:

Chapter 33 Introduction

Code Me. R. 16-633 Ch. 33 Introduction {#sec-16-633-ch.-33 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 33}

---

§1. The Act to establish additional duties of the director of the Gambling Control Unit to license and regulate fantasy contests was enacted by the Legislature and made law without the Governor’s signature on August 2, 2017. The director of the Gambling Control Unit, created by that portion of the Public Law codified at Maine Revised Statutes, Title 8, chapter 31, is charged with the responsibility of adopting rules necessary to administer and enforce the laws applicable to fantasy contests.

_____________________________________________________________________________________

History

• STATUTORY AUTHORITY: 8 M.R.S. §§ 1102(1)(D), 1106
• EFFECTIVE DATE: June 13, 2021 – filing 2021-097

Chapter 34 Definitions

Code Me. R. 16-633 Ch. 34 Definitions {#sec-16-633-ch.-34 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 34}

---

§1. The following words and terms shall have the following meanings unless the context indicates otherwise.

1. “Auto draft" means athlete selection offered by a fantasy contest operator that does not involve any input or control by a fantasy contestant.
2. "Beginner fantasy contestant" has the same meaning as set forth in 8 M.R.S. §1101(1).
3. “Clearly and conspicuously” means:

To disclose in such a way that the disclosure is made through the same means through which the communication is presented;

Requires that if the communication is visual, the disclosure is placed in close proximity to relevant claims, expressed in clear and plain language and syntax, and the size, contrast, location, and other characteristics stand out from other visual elements so that the disclosure is prominently displayed and unavoidable;

1. Requires that the disclosure is repeated if necessary and is visible for a sufficient duration;
2. Requires that if the communication is audio, the disclosure is presented at adequate volume and cadence; and
3. Requires that the disclosure is made before the fantasy contestant decides to accept an offer.
4. “Commissioner” means the Commissioner of Public Safety.
5. "Director" has the same meaning as set forth in 8 M.R.S. §1101(2).
6. “Daily fantasy contest” is any fantasy contest other than a season-long fantasy contest, as defined herein.
7. "Entry fee" has the same meaning as set forth in 8 M.R.S. §1101(3).
8. "Fantasy contest" has the same meaning as set forth in 8 M.R.S. §1101(4).
9. "Fantasy contestant" has the same meaning as set forth in 8 M.R.S. §1101(5).
10. "Fantasy contest operator" has the same meaning as set forth in 8 M.R.S. §1101(6).
11. "Gross fantasy contest revenues" has the same meaning as set forth in 8 M.R.S. §1101(7).
12. "Highly experienced fantasy contestant" has the same meaning as set forth in 8 M.R.S. §1101(8).
13. “Minor” means any person who has not attained 18 years of age.
14. "Platform" has the same meaning as set forth in 8 M.R.S. §1101(9).
15. “Private contest" means a fantasy contest established among contestants known to each other and the terms and any prize of which are not established by a fantasy contest operator.
16. “Prize” means an award, incentive, promotion, or anything of value, including, but not limited to, money, contest credits, merchandise or admission to another fantasy contest.
17. “Script” means a list of commands that a fantasy-contest-related computer program can execute and that are created by fantasy contestants, or by third parties for the use of fantasy contestants, to automate processes on a fantasy contest platform.
18. “Season-long fantasy contest” means a fantasy contest offered by a fantasy contest operator that is conducted over an entire sports season.
19. “Session” means a period of time from log-in to log-out by a fantasy contestant.

History

• STATUTORY AUTHORITY: 8 M.R.S. §§ 1102(1)(D), 1106
• EFFECTIVE DATE: June 13, 2021 – filing 2021-098

Chapter 35 License Application

Code Me. R. 16-633 Ch. 35 License Application {#sec-16-633-ch.-35 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 35}

§1. An applicant for a license to act as a fantasy contest operator shall apply on forms specified by the director. In addition to the information required by 8 M.R.S. §§ 1103-1104, an applicant must provide the following information:

1. The physical address of the applicant’s principal place of business and the designated contact person for the applicant including a telephone number, address and email address for that contact.
2. Disclosure of ownership interests. A disclosure of the true ownership interests of the fantasy contest operator as follows: 1. The names, addresses, phone numbers, email addresses and dates of birth of the applicant’s directors and officers. 2. The percentages of shares of stock, if any, held by each person named in paragraph A above. 3. For limited liability companies (hereinafter, “LLC”), including professional LLCs, provide the full name, address, date of birth and telephone number of each member of the LLC having an ownership interest of five percent (5%) or more of the LLC. If the member is not a natural person, disclose the true ownership of the member (and successive levels of ownership, if necessary) until a natural person or another corporate entity is disclosed. If another corporate entity is disclosed, provide a complete disclosure of that corporate entity’s ownership in accordance with the specific rules for that entity contained herein (and successive levels of ownership, if necessary). 4. For general, limited, or limited liability partnerships, provide the full name, address, date of birth and telephone number of each partner having an ownership interest of five percent (5%) or more of the partnership. If the partner is not a natural person, disclose the true ownership of the partner (and successive levels of ownership if necessary) until a natural person, or another corporate entity, is disclosed. If another corporate entity is disclosed, provide a complete disclosure of that corporate entity’s ownership in accordance with the specific rules for that entity contained herein (and successive levels of ownership, if necessary). 5. For a corporation, provide the full name, address, date of birth and telephone number of any natural person or entity having an ownership interest of five percent (5%) or more of the outstanding shares of the corporation. If a corporate entity is disclosed, provide a complete disclosure of that corporate entity’s ownership in accordance with the specific rules for that entity contained herein (and successive levels of ownership, if necessary). 6. The intent of this rule is to require, to the fullest extent that the individual or corporate structure of an applicant allows, disclosure of names of individual natural persons who have a significant ownership interest in a fantasy contest operator.
3. Copies of the applicant's audited financial statements for the preceding three (3) fiscal years and a copy of internally prepared financial statements for the current fiscal year as of the close of the most recent fiscal quarter;
4. A copy of the Certificate of Authority to do business in the State of Maine, if incorporated outside of Maine;
5. Copies of any trade name registrations filed by the applicant;
6. Completed notarized affirmation and consent and authorization to release information to complete a criminal background check on: the applicant; any officer or director of the applicant; and any partner or shareholder who has an ownership interest of five percent (5%) or more in the fantasy contest operator or who is involved in the day to day management of fantasy contests and operations;
7. A copy of the minimum internal controls adopted to verify the identity of individuals seeking to establish accounts;
8. The applicant’s minimum internal controls related to protection of fantasy contestant deposits, including minimum internal controls related to the following: 1. Prevention of unauthorized withdrawals from fantasy contestant accounts by fantasy contest operators or others; 2. Reporting and responding to complaints by a fantasy contestant regarding the handling of the fantasy contestant account; and 3. Closure of fantasy contestant accounts.
9. The applicant’s minimum internal controls related to account monitoring to prevent cheating, manipulation or misuse of accounts, including minimum internal controls related to the following: 1. Detection and prevention of misuse of proxy servers; 2. Location verification; 3. Prevention of the use of unauthorized 3^rd party scripts; and 4. Prevention of the use of pre-selected teams.
10. The applicant’s minimum internal controls relating to fantasy contests for beginner fantasy contestants, including minimum internal controls related to the following: 1. Explanation of contest play; 2. Identification of highly experienced fantasy contestants, including symbols or other identification used; 3. Recommending beginner-fantasy-contestant-only contests and low-cost private contests; 4. Percentage of contests open only to beginner fantasy contestants and that exclude highly experienced fantasy contestants; 5. Prevention of access by highly experienced fantasy contestants to contests for beginner fantasy contestants directly or through a proxy; and 6. Suspension of accounts of highly experienced fantasy contestants who

participate in contests for beginner fantasy contestants only.

1. The applicant’s minimum internal controls relating to the locking of or making any changes to fantasy contests;
2. The applicant’s minimum internal controls relating to ensuring that winning outcomes of fantasy contests reflect the relative knowledge and skill of the fantasy contestant and that winning outcomes of fantasy contests are determined primarily by accumulated statistical results of the performance of human competitors in sports events;
3. The applicant’s minimum internal controls relating to not allowing the deposit of funds into an account that is derived from the extension of credit by affiliates or agents of the fantasy contest operator. For purposes of this subsection, credit shall not be deemed to have been extended where, although funds have been deposited into an account, the operator is awaiting actual receipt of such funds in the ordinary course of business;
4. The applicant’s minimum internal controls that: 1. Make clear that the funds in the segregated account do not belong to the fantasy contest operator and are not available to creditors other than the fantasy contestant whose funds are being held; 2. Prevent commingling of funds in the segregated account with other funds including, without limitation, funds of the operator; 3. Disclose the number of entries that a fantasy contestant may submit to each fantasy contest and provide reasonable steps to prevent fantasy contestants from submitting more than the allowable number; 4. Prohibit fantasy contestants from submitting more than one entry in any fantasy contest involving 12 entries or fewer; 5. Prohibit fantasy contestants from submitting more than 2 entries in any fantasy contest involving more than 12 entries but fewer than 36 entries; 6. Prohibit fantasy contestants from submitting more than 3 entries in any fantasy contest involving 36 or more entries but fewer than 101 entries; 7. Prohibit, unless otherwise provided by M.R.S. Title 8, Chapter 33, fantasy contestants from submitting more than 3% of all entries in any fantasy contest involving more than 100 entries; 8. Permit unlimited entries in no more than 3% of all fantasy contests; the entry fee for such contests must be a minimum of $150; 9. Inform fantasy contestants of state and federal tax obligations on certain winnings; 10. Include policies and procedures relating to assistance available for compulsive behavior; and 11. Include policies and procedures relating to implementation and enforcement of self-limitations and self-exclusions requested by fantasy contestants.

§2 Internal controls must be approved by the director prior to licensure.

§3 Review of the applicant’s application will not begin until receipt of the application fee.

§4 The application, as well as other documents submitted to the director or on behalf of the applicant for purposes of determining the qualifications of the applicant, shall be sworn to or affirmed before a notary public. If any form or document is signed by an attorney for the applicant, the signature shall certify that the attorney has read the forms or documents and that, to the best of the attorney’s knowledge, information and belief, based on diligent inquiry, the contents of the form or documents so supplied are true.

§5 To the extent, if any, that the applicant becomes aware that information of a material nature supplied in the application or otherwise supplied by the applicant or on the applicant's behalf, becomes outdated, inaccurate or incomplete, the applicant shall so notify the director in writing within 10 business daysand shall at that time supply the information necessary to correct the timeliness, inaccuracy or incompleteness of the information.

§6 The applicant shall cooperate fully with the director and the Gambling Control Unit with respect to the background investigation of the applicant.

History

• STATUTORY AUTHORITY: 8 M.R.S. §§ 1102(1)(D), 1106
• EFFECTIVE DATE: June 13, 2021 – filing 2021-099

Chapter 36 License Fee and Renewal

Code Me. R. 16-633 Ch. 36 License Fee and Renewal {#sec-16-633-ch.-36 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 36}

---

§1. An applicant for a fantasy contest operator license shall submit a one-time application fee of $5,000.00 for the business entity and $2,500.00 for each partner, officer, director or shareholder. If the application fee exceeds the actual cost of processing the application and performing all background investigations, the excess amount shall be applied to the license fee, if the applicant is issued a license, or reimbursed to an applicant not subject to a license fee in accordance with 8 M.R.S. § 1103(6) or to an applicant that was not issued a license.

§2. The initial and renewal fees for a license for a fantasy contest operator shall be in accordance with 8 M.R.S. § 1103(6).

§3. Licenses must be renewed annually, and the renewal fee must be included with the renewal application.

§4. Any person seeking to renew its application to be a licensed fantasy contest operator shall submit a renewal application, in a form available from the director, no later than 60 days prior to the expiration of the prior year’s license.

---

History

• STATUTORY AUTHORITY: 8 M.R.S. §§ 1102(1)(D) and 1103(5)
• EFFECTIVE DATE: June 13, 2021
• AMENDED: November 11, 2023 – filing 2023-227

Chapter 37 Fantasy Contest Monitoring

Code Me. R. 16-633 Ch. 37 Fantasy Contest Monitoring {#sec-16-633-ch.-37 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 37}

§1. Fantasy contest operators shall not allow fantasy contestants to use proxy servers for the purpose of misrepresenting their identity or location in order to engage in fantasy contests.

§2. In order to prevent the unauthorized use of a fantasy contestant’s account, a fantasy contest operator offering fantasy contests must use technologically and commercially reasonable measures to reasonably detect the physical location of a fantasy contestant attempting to access a fantasy contestant account and to monitor for simultaneous logins to a single account from geographically inconsistent locations. A fantasy contest operator may use a third party to provide these location services.

1. The geolocation service or application must be able to perform as follows: 1. Detect location notwithstanding the use of a proxy server; 2. Detect location when routing through a Virtual Private Network (VPN); 3. Use Global Positioning System (GPS) data when the fantasy contestant seeks access from a mobile device or network and prohibit users from entering contests or depositing funds if GPS is not turned on; 4. Check location each time the fantasy contestant attempts to enter a contest or make a deposit; 5. Utilize a mechanism to alert the fantasy contest operator if an account is being accessed from geographically inconsistent locations. For example, technology that alerts the fantasy contest operator that login locations were identified that would be impossible to travel between in the time reported.
2. The fantasy contest operator should implement procedures to disable account access if the fantasy contest operator receives information that an account is being accessed from a location that indicates that there is a likelihood of unauthorized or improper access.

§3. All advertising and promotions by fantasy contest operators shall comply with the following standards:

Inaccurate or misleading statements regarding the likelihood of winning are prohibited.

The targeting of minors is prohibited. Depictions of persons under the age of 18 engaged in fantasy contests are prohibited.

Fantasy contest operators must include in all advertising and promotions a statement explaining that individuals under 18 years of age may not participate in fantasy contests.

Fantasy contest operators must include a link to a local, state or federal hotline for assistance with problem gambling in all advertising and promotions.

Fantasy contest operators must not state or imply an endorsement by a minor in any advertising or promotions.

Fantasy contest operators must not target fantasy contestants who have a gambling addiction, including fantasy contestants who have requested to be restricted from play on a fantasy contest operator’s platform, in any advertising or promotions.

§4. A fantasy contest operator must disclose on its platform the number of entries an individual fantasy contestant may submit to each fantasy contest and the maximum number of entries allowed by the fantasy contest operator for each fantasy contest.

§5. A fantasy contest operator must provide information on its platform on how to participate and compete in fantasy contests, including an explanation of fantasy contest play and how to identify a highly experienced fantasy contestant.

§6. A fantasy contest operator’s system must identify a highly experienced fantasy contestant by means of a symbol or other identifier easily viewed by fantasy contestants engaged in the fantasy contest on the platform.

§7. The use of third-party scripts or third-party scripting programs for any fantasy contest is prohibited.

§8. A fantasy contest operator must implement methods to detect, deter and prevent cheating and improper manipulation of fantasy contests to the greatest extent possible.

§9. A fantasy contest operator must develop and offer fantasy contests that are limited to beginner fantasy contestants.

§10. A fantasy contest operator must ensure that winning outcomes of fantasy contests reflect the relative knowledge and skill of the fantasy contestant and that winning outcomes of fantasy contests are determined primarily by accumulated statistical results of the performance of human competitors in sports events.

§11. A fantasy contest operator must prohibit directors, officers and employees of the fantasy contest operator, and relatives living in the same household as those persons, from participating in a fantasy contest offered or operated by that fantasy contest operator.

§12. A fantasy contest operator must prohibit the following individuals from participating in a fantasy contest based on the sport, athletic event or competition in which the individual participates or is otherwise associated:

An athlete or individual who participates or officiates in a game, league, athletic event or competition that is the subject of a fantasy contest; or

A sports agent, team employee, referee or umpire or league official associated with a sport or athletic event that is the subject of a fantasy contest.

History

• STATUTORY AUTHORITY: 8 M.R.S. §§ 1102(1)(D), 1106
• EFFECTIVE DATE: June 13, 2021 – filing 2021-101

Chapter 38 Fantasy Contest Account Activity

Code Me. R. 16-633 Ch. 38 Fantasy Contestant Account Activity {#sec-16-633-ch.-38 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 38}

§1. Fantasy Contestant Accounts

Fantasy contestant accounts on the fantasy operator’s platform must be secured against invalid access or updates using methods approved by the director.

All deposit, withdrawal, transfer or adjustment transactions are to be maintained in an audit log.

A deposit into a fantasy contestant account made via a credit card transaction or other methods which can produce a sufficient audit trail must not be available for participation until such time as the funds are received from the issuer or the issuer provides an authorization number indicating that the funds are authorized.

Positive fantasy contestant identification. A fantasy contest operator shall use commercially and technologically reasonable means to independently verify the identity of the individual before the withdrawal of any monies held by the fantasy contest operator can be made.

An account is considered to be inactive if the fantasy contestant has not logged into the account for at least three (3) years. The fantasy contest operator’s published Terms and Conditions must address how the operator will handle any remaining funds in inactive accounts. Inactive accounts containing fantasy contestant funds must be protected against unauthorized access or withdrawal.

Fantasy operators must have in place redundancies or other data-recovery protections enabling them to recover records of monetary transactions.

Payments from an account are to be paid (including funds transfer) directly to an account with a financial institution in the name of the fantasy contestant or made payable to the fantasy contestant and forwarded to the fantasy contestant’s address or through another method that is not prohibited by Federal or State law. The name and address are to be the name and address as held in fantasy contestant registration details.

A fantasy contest operator must have in place security or authorization procedures to ensure that only authorized adjustments can be made to fantasy contestant accounts.

It shall not be possible to transfer funds between two fantasy contestant accounts.

History

• STATUTORY AUTHORITY: 8 M.R.S. §§ 1102(1)(D), 1106
• EFFECTIVE DATE: June 13, 2021 – filing 2021-102

Chapter 39 Registration of Fantasy Contestants

Code Me. R. 16-633 Ch. 39 Registration of Fantasy Contestants {#sec-16-633-ch.-39 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 39}

§1. Registering as a Fantasy Contestant

Before allowing a fantasy contestant to finish creating an account, a fantasy contest operator must collect:

1. The name of the individual; and
2. The individual’s date of birth showing the individual is 18 years of age or older.

No fantasy contestant shall be permitted to deposit or withdraw any funds until the individual has conducted the identity verification required by Subsection 3 and provided the following information:

1. The physical address where the individual resides; and
2. Any other information required by the fantasy contest operator to independently verify the identity of the fantasy contestant making a deposit or withdrawal.

A fantasy contest operator shall use commercially and technologically reasonable means to independently verify the identity of the individual making a deposit or a withdrawal. Third party entities may be used to verify the identity of a fantasy contestant.

A fantasy contest operator shall limit each fantasy contestant to one active and continuously used account.

Fantasy contest operators shall implement rules and clearly and conspicuously publish procedures to terminate all accounts of any fantasy contestant that establishes or seeks to establish more than one username or more than one account, whether directly or by use of another person as a proxy. Such procedures may allow a fantasy contestant that establishes or seeks to establish more than one username or more than one account, for one time only, to retain one account provided that the operator investigates and makes a good faith determination that the fantasy contestant’s conduct was not intended to obtain a competitive advantage.

A fantasy contestant who has established more than one username or account will not be entitled to retain any winnings earned from any account during the time period that more than one username or account is active. A fantasy contest operator must require that any subsequent action by a fantasy contestant of establishing or seeking to establish more than one username or more than one account will result in the fantasy contest operator prohibiting that fantasy contestant from establishing another future account with that fantasy contest operator within a period of two years.

If a fantasy contest operator determines that the information provided by a fantasy contestant to make a deposit or process a withdrawal is inaccurate or incapable of verification, or violates its minimum internal controls, the fantasy contest operator shall, within 10 calendar days, require the submission of additional information that can be used to verify the identity of the fantasy contestant. If such information is not provided or does not result in verification of the fantasy contestant’s identity, the fantasy contest operator shall:

1. Immediately suspend the fantasy contestant’s account and not allow the fantasy contestant to participate in any further contests;
2. Retain any winnings attributable to the fantasy contestant;
3. Refund the balance of deposits made to the account to the source of such deposit or by issuance of a check; and
4. Deactivate the account.

A fantasy contestant must be provided with (or create) an electronic identifier such as a digital certificate or an account description and a password to log into an account on a fantasy contest platform.

Fantasy contest operators must allow fantasy contestants to change their passwords.

Where a fantasy contestant has forgotten a password, the fantasy contest operator must provide a secure process for the re-authentication of the fantasy contestant and the retrieval and/or resetting of the password. Any and all processes for dealing with lost fantasy contestant user IDs or passwords must be clearly described to the fantasy contestant and sufficiently secure.

When a fantasy contestant logs into the fantasy contest platform, either the most recent time and date of login must be displayed, or the fantasy contestant must be able to access information listing the time and date of any fantasy contest entries and any withdrawals or deposits that have taken place in the fantasy contestant’s account within the last 30 days.

Each fantasy contest must have a unique identifier assigned by the fantasy contest operator which distinguishes entries into that fantasy contest from entries into other contests.

A fantasy contest operator must deny account registration to any person who enters a birthdate which indicates that the person is a minor under the age of 18. If the licensee discovers that a person under 18 years of age has accessed the platform as a potential or active fantasy contestant, the licensee shall immediately refund any entry fees or other deposits made by the person under 18 years of age.

A fantasy contest operator shall implement commercially and technologically reasonable procedures to prevent access to fantasy contests by minors on its fantasy contest platform, including but not limited to independent verification of age using information obtained from independent sources outside of the fantasy contestant seeking to open an account. Third-party services may be used to verify the age of a fantasy contestant.

Any statements by fantasy contest operators that are inaccurate or misleading regarding the likelihood of winning are prohibited.

A fantasy contest operator shall clearly and conspicuously display, on web pages that are accessed prior to registering for a fantasy contest, a statement explaining that individuals under 18 years of age cannot participate in a fantasy contest.

Fantasy contest operators must prominently display the following provisions in any Terms of Service, Terms of Use and/or Privacy Policies on the fantasy contest operator’s website:

1. That the information provided to the fantasy contest operator by the fantasy contestant to register is accurate;
2. That the fantasy contest operator must specify the handling of entry fees where the entry of a fantasy contestant is cancelled;
3. That the fantasy contest operator must specify the handling of entry fees for contests that are voided or abandoned;
4. That the fantasy contest operator must state that no individual under 18 years of age is permitted to participate in fantasy contests;
5. That the fantasy contest operator must describe the method by which fantasy contestants will be notified of updates to the terms and conditions and privacy policy;
6. That the fantasy contestant has been informed, and acknowledges, that, as an authorized fantasy contestant, the fantasy contestant is prohibited from allowing any other person access to or use of their fantasy contestant account; and
7. That the fantasy contestant acknowledges that the fantasy contestant’s account activity and winnings may be disclosed to the director and any other applicable state or federal entities.

History

• STATUTORY AUTHORITY: 8 M.R.S. §§ 1102(1)(D), 1106
• EFFECTIVE DATE: June 13, 2021 – filing 2021-103

Chapter 40 Fantasy Contestant Funds and Required Reserves

Code Me. R. 16-633 Ch. 40 Fantasy Contestant Funds and Required Reserves {#sec-16-633-ch.-40 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 40}

§1. Funds and Required Reserves

A fantasy contest operator shall neither extend credit to a fantasy contestant nor allow the deposit of funds into an account that is derived from the extension of credit by affiliates or agents of the operator. For purposes of this subsection, credit shall not be deemed to have been extended where, although funds have been deposited into an account, the operator is awaiting actual receipt of such funds in the ordinary course of business.

A fantasy contest operator shall maintain a reserve account that exceeds the amount of entry fees and any other funds on deposit. The reserve may not be used for operational activities.

Reserve funds may take the form of cash, cash equivalents, payment processor reserves, payment processor receivables, an irrevocable letter of credit, a bond or any combination thereof, and must be in an amount that exceeds the total balances of the fantasy contestants’ accounts with the fantasy contest operator.

“Cash equivalents” include commercial paper, treasury bills, short term government bonds, marketable securities, and money market holdings.

The reserve agreements must reasonably protect the reserve against claims of the fantasy contest operator’s creditors other than the authorized fantasy contestants for whose benefit and protection the reserve is established, and must provide that:

1. The reserve is established for the benefit and protection of authorized fantasy contestants to the extent fantasy contest operator holds money in fantasy contestant accounts for fantasy contestants;
2. The reserve must not be released, in whole or in part, except upon written instruction or approval of the director. The reserve must be available within sixty (60) days of the written demand or written instruction. If the reserve is released to the director, the director may take such steps as necessary to affect the proper distribution of the funds, including an action in court;
3. The fantasy contest operator may receive income accruing on the reserve, without obtaining permission from the director, but any such income must be reported to the director;
4. The fantasy contest operator has no interest in or title to the reserve; and
5. Maine law and this section govern the agreements and the fantasy contest operator’s interest in the reserve and income accruing on the reserve.

If the reserve is maintained in the form of a bond, it must be written by a bona fide insurance carrier. Reserves in the form of cash, cash equivalents, and irrevocable letter of credit must be established pursuant to a written agreement between the fantasy contest operator and the financial institution or insurance carrier, but the fantasy contest operator may engage an intermediary company or agent to deal with the financial institution or insurance carrier, in which event the reserve may be established pursuant to written agreements between the fantasy contest operator and the intermediary, and the intermediary and the financial institution or insurance carrier.

The proposed reserve arrangement is not effective for purposes of complying with 8 M.R.S. §1104(4)(B) until the director’s approval has been obtained. However, fantasy contest operators operating in the State of Maine pursuant to 8 M.R.S. §1103(9) on the date these rules become effective shall be provided no less than ninety (90) days from that effective date to submit a proposed reserve arrangement to the director. Nothing in this section shall require a fantasy contest operator operating in the State of Maine pursuant to 8 M.R.S. §1103(9) on the date these rules become effective to suspend operations while awaiting director approval of the proposed reserve arrangement.

The reserve arrangement agreements may be amended only with the prior written approval of the director.

Each fantasy contest operator shall submit to the director all information and copies of documents verifying its proposed reserve arrangements, including copies of the agreements described herein. The director shall determine whether the agreements and arrangements satisfy the purposes and requirements of this section, may require appropriate changes, or withhold approval if they do not, and shall notify the fantasy contest operator of the determination in writing.

In the event that a fantasy contest operator’s reserve account does not exceed the total balance of the fantasy contestants’ accounts with the fantasy contest operator, the fantasy contest operator must, within twenty-four (24) hours, notify the director of this fact by electronic mail or writing and must indicate the steps the fantasy contest operator has taken to remedy the deficiency.

The director may require that the reserve be increased to correct any deficiency or for good cause to protect authorized fantasy contestants.

History

• STATUTORY AUTHORITY: 8 M.R.S. §§ 1102(1)(D), 1106
• EFFECTIVE DATE: June 13, 2021 – filing 2021-104

Chapter 41 Licensee Records, Annual Reporting and Audits

Code Me. R. 16-633 Ch. 41 Licensee Records, Annual Reporting and Audits {#sec-16-633-ch.-41 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 41}

---

§1. A fantasy contest operator shall maintain records of fantasy contestant accounts, for a period of five (5) years, and make these records available for inspection at the request of the director or the director’s designee.

§2. A fantasy contest operator shall submit an annual report to the director that includes the information required by 8 M.R.S. § 1104(5) and, where applicable, the report required by 8 M.R.S. § 1104(4)(D).

§3. The following additional information shall be made available to the director upon the director’s request, for a period of five (5) years:

1. The number of fantasy contestants in Maine who requested a deposit limit increase;
2. The number of deposit limit increases granted to fantasy contestants in Maine;
3. The number of accounts in which a fantasy contestant in Maine was identified as a minor and the action taken as a result;
4. The number and amount of refunds given to fantasy contestants in Maine; and
5. The number of fantasy contestants in Maine who requested additional limitations on their accounts and the action taken as a result.

§4. The director may conduct a financial audit of any fantasy contest operator licensed in the State of Maine to ensure compliance with M.R.S. Title 8, Chapter 33, at any time.

§5. With each annual renewal application, the fantasy contest operator must provide to the director a copy of a SOC 2 Type II audit and compliance report for the previous year. Upon receipt of a written request, the director may agree to a different submission date.

_____________________________________________________________________________________

History

• STATUTORY AUTHORITY: 8 M.R.S. § § 1102(1)(D), 1102(1)(G) and 1103(3)(G)-(I).
• EFFECTIVE DATE: June 13, 2021
• AMENDED: November 11, 2023 – filing 2023-228

Chapter 42 Collection of Payments

Code Me. R. 16-633 Ch. 42 Collection of Payments {#sec-16-633-ch.-42 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 42}

§1. All fees, fines, charges, and penalties authorized by Maine Revised Statutes, Title 8, chapter 33, and rules adopted pursuant to Maine Revised Statutes, Title 8, chapter 33, must be submitted to the director or as directed by the director as they are due. Payment shall be in the form of certified check, cashier’s check or money order made out to the “Treasurer State of Maine/Gambling Control Unit.” In lieu of these payment forms, the director or State may accept an electronic wire transfer to a designated account.

§2. A fantasy contest operator that is licensed pursuant to Maine Revised Statutes, Title 8, chapter 33 and that has gross fantasy contest revenues of $100,000 or greater during the 12 months preceding its application for a license must submit to the director on an annual basis 10 percent of gross fantasy contest revenues, including any revenues earned while operating pending approval of an application submitted to the director as described in 8 M.R.S. §1103(9), for deposit to the General Fund. A fantasy contest operator must submit such revenues to the director at the time of the renewal of a fantasy contest operator license.

History

• STATUTORY AUTHORITY: 8 M.R.S. §§ 1102(1)(D), 1106
• EFFECTIVE DATE: June 13, 2021 – filing 2021-106

Chapter 43 Complaints and Disciplinary Actions

Code Me. R. 16-633 Ch. 43 Complaints and Disciplinary Actions {#sec-16-633-ch.-43 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 43}

This rule establishes procedures for the investigation and resolution of complaints received by the director. This rule should be read in conjunction with the statutory provisions for adjudicatory proceedings in the Maine Administrative Procedure Act . The rule helps to ensure that the investigation and resolution of complaints are handled in an expeditious and procedurally fair manner.

§1. Complaints

A fantasy contest operator must make contact information for complaints and dispute resolution, as well as a link to the Gambling Control Unit’s website, readily accessible to fantasy contestants through the communication channel used to access the fantasy contest platform.

A fantasy contest operator must implement a system within the platform that enables fantasy contestants to log complaints and disputes on a 24/7 basis. Fantasy contest operators must respond to the complaint within 48 hours of receipt of the initial complaint.

A fantasy contest operator must maintain records of all correspondence relating to a fantasy contestant’s complaint and/or dispute for a period of five years.

All complaints that are submitted to the director must be in writing. The director may initiate a complaint alleging any ground for disciplinary action.

The director may investigate complaints in accordance with 8 M.R.S. §1102(E).

The director must review all complaints and investigative files and, in the director's discretion, may consult with an Assistant Attorney General assigned to the Gambling Control Unit.

§2. Disciplinary Action

Following this review and any consultation, the director may take any of the following actions:

1. Take adverse action against an application or license in a written decision that informs the licensee of the right to appeal the decision to the commissioner;
2. Dismiss the complaint or otherwise close the investigation. Dismissal may be appropriate when the complaint alleges conduct that is not a violation of Maine Revised Statutes, Title 8, chapter 33 or the rules adopted pursuant to that chapter, is factually unfounded, or is of insufficient gravity to warrant further action. Notice of dismissal must be sent to any complainants; or
3. Request additional investigation.

If, based upon the information obtained from the investigation, the director determines that the complaint is or may be true and the violation is of sufficient gravity to warrant further action, the director may take adverse action against an application or license in a written decision that informs the licensee of the right to appeal the decision to the commissioner for a final decision in accordance with 8 M.R.S. §1103(8).

1. The written decision shall state the alleged violation, the statute or rule believed to have been violated, and the proposed resolution, and shall inform the licensee that the licensee has the right to request a hearing before the commissioner.
2. Service of the decision is complete upon mailing to the party or the party's attorney using the last known address, or upon in-hand delivery to the recipient or the recipient's office.
3. The licensee must file a written request for hearing within 30 days of receipt of the decision that informs the licensee of the opportunity for hearing. The request is considered filed when received by the director by mail, in-hand delivery or electronic mail.
4. Failure to make a timely request for hearing shall be a waiver of any right to a hearing and may result in the proposed action becoming final without further hearing, in accordance with 5 M.R.S. §9053(3), if the notice informed the licensee of the possibility of default.

In the event of a hearing, the provisions of the Administrative Procedure Act , Maine Revised Statutes, Title 5, chapter 375, subchapter 4 will govern.

For each violation of Maine Revised Statutes, Title 8, chapter 33, the rules adopted pursuant to that chapter, or conditions of licensure, the director may take one or more of the following actions in accordance with Maine Revised Statutes, Title 8, chapter 33:

1. Deny an application for licensure;
2. Refuse to renew a license;
3. Limit or restrict a license;
4. Suspend a license;
5. Revoke a license;
6. Impose a fine of up to $1,000.00 per violation;
7. Impose a fine not to exceed $5,000.00 for violations arising out of the same transaction or occurrence; and
8. Impose costs of investigation and hearing.

History

• STATUTORY AUTHORITY: 8 M.R.S. §§ 1102(1)(D), 1106
• EFFECTIVE DATE: June 13, 2021 – filing 2021-107

Sports Wagering: Sports Wagering:

Chapter 50 ) Introduction

Code Me. R. 16-633 Ch. 50 ) Introduction {#sec-16-633-ch.-50 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 50}

16 DEPARTMENT OF PUBLIC SAFETY

633 GAMBLING CONTROL UNIT Chapter 50: INTRODUCTION

The Act to establish additional duties of the Director of the Gambling Control Unit to license and regulate sports wagering was enacted by the Legislature and made law with the Governor’s signature on May 2, 2022. This portion of the Public Law is codified at Maine Revised Statutes, Title 8, Chapter 35, and charges the Director of the Gambling Control Unit with the responsibility of adopting rules necessary to administer and enforce the laws applicable to sports wagering.

History

• STATUTORY AUTHORITY: 8 M.R.S. Ch. 35; 8 M.R.S. § 1203(2)
• EFFECTIVE DATE: October 29, 2023 – filing 2023-197
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 51 Definitions

Code Me. R. 16-633 Ch. 51 Definitions {#sec-16-633-ch.-51 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 51}

16 DEPARTMENT OF PUBLIC SAFETY

633 GAMBLING CONTROL UNIT Chapter 51: DEFINITIONS

The following words and terms shall have the following meanings unless the context indicates otherwise:

1. “ACH” means the Automated Clearing House network maintained by Nacha that is a nationwide electronic fund transfer (EFT) system that provides for the inter-bank clearing of electronic credit and debit transactions and for the exchange of payment- related information among participating financial institutions.
2. “Adjusted gross sports wagering receipts” has the same meaning as set forth in 8

M.R.S. §1202

1. “Adverse action” includes, but is not limited to: 1. A condition placed upon an applicant’s license, or the operation of an applicant’s gambling or gambling-related business resulting from a finding of an administrative, civil or criminal violation by any licensing or administrative agency, or a court, in any jurisdiction in the United States or Canada; 2. A suspension or revocation of an applicant or operator’s license, by a licensing or administrative agency, or a court in any jurisdiction in the United States or Canada, or 3. A voluntary surrender of a license by an applicant or operator to avoid or resolve any civil, criminal, or other pending administrative disciplinary action in any jurisdiction in the United States or Canada.
2. “Affiliate” means an individual or entity that promotes sport wagering websites in exchange for a commission or fee.
3. “Age and identity verification” means a method, system, or device used by a sports wagering operator to verify the validity of a patron’s age and the patron’s identity.
4. "AML" means anti-money laundering.
5. "Authentication process" means a method used by a system to verify the validity of software.
6. "Bond'' means a bond held in escrow for the purpose of maintaining adequate reserves to account for losses suffered by an operator and owed to patrons and which cannot be released without consent of the Director.
7. "Cancelled wager" means a wager that has been cancelled due to any issue with a sports event that prevents its occurrence or completion, or that otherwise causes the wager to be unredeemable, or otherwise approved by the Director.
8. “Card” means the list of sports events from which a patron can make selections for a given pool.
9. “Cheating” means: 1. Any action taken by any individual, group of two or more individuals, entity, or group of entities that improves the chances of winning or that alters or improves the chances of altering the outcome of a wager or sporting event by deception, interference, or manipulation or use of non- public information. 2. Any action taken by any individual, group of two or more individuals entity, or group of entities that improves the chances of winning or that alters the outcome or improves the chances of altering the outcome or payout on a wager by use of any equipment, including software pertaining to or used in relation to a sports wagering system’s equipment, used for or in connection with a wager or sports event on which wagers are placed or are invited.
10. "Collegiate sports or athletic event" has the same meaning as set forth in 8 M.R.S.

§1202(2).

1. “Combo license” means a license combining a casino employee and a sports wagering employee license.
2. “Commissioner” has the same meaning as set forth in 8 M.R.S. §1202(3).
3. “Counter” means an area specified for the use of wagering cashiers to accept and payout wagers.
4. “Department” has the same meaning as set forth in 8 M.R.S. §1202(4).
5. “Director” has the same meaning as set forth in 8 M.R.S. §1202(5).
6. "Dormant account" means a sports wagering account which has had no patron-initiated activity for a period of one year.
7. “Electronic sports” or “e-sports” means competitions in which the players compete at video games in organized events, at the professional or collegiate level.
8. "Event number" means a set of alphabetical and/or numerical characters that correspond to a sports event or an event ancillary to a sports event.
9. “Exchange wagering” means a form of wagering in which two or more persons place identically opposing wagers in a given market, allowing patrons to wager on both winning and non-winning outcomes in the same event.
10. “Facility operator” has the same meaning as set forth in 8 M.R.S. §1202(6).
11. “Free bet” means a bet made by patrons using non-cashable vouchers, coupons, electronic credits or electronic promotions provided by sports wagering operators.
12. “Geolocation system” means a process or system to detect the physical, geographical location of a patron when said patron is attempting to access the wagering system and place a wager.
13. "Incompatible function" means a function for accounting control purposes that places any person or department in a position to both perpetrate and conceal errors or irregularities in the normal course of his/her duties. Anyone recording transactions and having access to assets ordinarily is in a position to perpetrate errors or irregularities. Persons shall be deemed to have incompatible functions if such persons are members of departments that have supervisors not independent of each other.
14. "Institutional investor" means (a) a bank as defined in Section 3(a)(6) of the Federal Securities Exchange Act; (b) an insurance company as defined in Section 2(a)(17) of the Investment Company Act of1940, as amended; (c) an investment company registered under Section 8 of the Investment Company Act of 1940, as amended; (d) an investment advisor registered under Section 203 of the Investment Advisors Act of 1940, as amended; (e) collective trust funds as defined in Section 3(c)(11) of the Investment Company Act of 1940, amended (f) an employee benefit plan or pension fund that is subject to the Employee Retirement Income Security Act of 1974, as amended, excluding an employee benefit plan or pension fund sponsored by a publicly traded corporation affiliated with a operator; (g) a state or federal government pension plan; (h) a group comprised entirely of persons specified in (a) through (g); or (i) such other persons as the Director may determine for reasons consistent with the public policies of the State of Maine.
15. "Integrity monitoring provider or system" means an independent individual, entity or system licensed or approved by the Director through which an operator identifies and reports suspicious wagering activity.
16. “Internal controls" mean the internal procedures, administration, and accounting controls designed by the operator to conduct sports wagering operations.
17. "Key personnel" has the same meaning as set forth in 8 M.R.S. §1204 (2)C.
18. "Layoff wager" means a wager placed by a facility operator with another facility operator for the purpose of offsetting patron wagers made pursuant to these sports wagering rules.
19. “License” has the same meaning as set forth in 8 M.R.S. §1202(7).
20. “Management services provider” is a person or entity that has been issued a management services license by the Director consistent with the statutory criteria in 8 M.R.S. §§1209, 1204 and 1205.
21. "Mobile sports wagering" means a sports wagering operation in which wagers on sports events are made through computers, mobile devices or other approved interactive devices accepted through a wagering system approved by the Director to operate mobile sports wagering.
22. "Mobile operator" has the same meaning as set forth in 8 M.R.S. §1202(8).
23. "Multi-factor authentication" means a type of authentication that uses two of the following to verify a patron's identity: 1. Information known only to the patron, such as a password, pattern, or answers to challenge questions; 2. An item possessed by a patron such as an electronic token, physical token or an identification card; or 3. A patron's biometric data, such as fingerprints, facial or voice recognition.
24. "Operator" has the same meaning as set forth in 8 M.R.S. §1202(9).
25. "Parlay wager" means a single wager that incorporates two (2) or more individual bets for purposes of earning a higher payout if each bet incorporated within the wager wins.
26. "Patron" means a person who is: 1. Twenty-one (21) years of age or older; 2. Physically present in the State of Maine when placing a wager: 3. Not prohibited from placing a wager under the Maine Statute; and 4. Not a prohibited sports wagering participant.
27. "Patron session" means a period of time when a patron is logged on to a mobile sports wagering system.
28. ''Person" or “Persons" means an individual, a group of individuals, a trust, corporation, or other business entity.
29. "Pending wager account" means the account maintained by a sports wagering system that holds the total balance of all wagers pending disposition and all other funds attributable to future sports events.
30. “Pool” means a wagering or promotional offering where patrons may make selections of outcomes on a set number of sports events on a card in order to enter for a chance to win all or a portion of the prize pool.
31. “Prize pool” means the prizing available for an individual pool.
32. "Professional sports or athletic event" has the same meaning as set forth in 8

M.R.S. §1202(10).

1. "Prohibited sports event" has the same meaning as set forth in 8 M.R.S.

§1202(11).

1. "Prohibited sports wagering participant" means any individual who is prohibited from making wagers as set forth in 8 M.R.S. §1213, and those individuals described below: 1. Any individual whose participation may undermine the integrity of the wagering or the sports event or any person who is prohibited from participating in sports wagering by the Director for good cause shown; 2. Any individual placing a wager as an agent or proxy; 3. Any individuals on the “unauthorized persons” list under these sports wagering rules; 4. Any person who is an athlete, coach, referee, player, or a referee personnel member in or on any sports event overseen by that person’s sports governing body based on publicly available information; 5. A person who holds a position of authority or influence sufficient to exert influence over the participants in a sports event, including, but not limited to, coaches, managers, handlers, and athletic trainers; a person with access to certain types of exclusive information on any sports event overseen by that person’s sports governing body based on publicly available information; and 6. Any employee of the Gambling Control Unit or a licensed facility or mobile operator.
2. "Prohibited wager" means a wager or an attempted wager on any sports event or occurrence by any prohibited sports wagering participant which is not permitted under Maine Statute or by these sports wagering rules.
3. "Promotional credit" means free plays, deposit matches, odds boosts, risk-free bets, and any other bonus that an operator offers or gives to a patron as an incentive to open an account or wager that shall not be accounted for against taxable revenue.
4. “Proposition (Prop) bet” means a wager made regarding the occurrence or nonoccurrence of an event or circumstance during a sports event that is not dependent on the final outcome of the sports event.
5. “Rake” means the fee that is deducted by a sports wagering operator from entry fees paid by patrons who participate in a pool.
6. “Rake adjustment” means an adjustment made by the sports wagering operator to account for any shortfall in connection with a pool.
7. "Secure transaction file" means a file that contains data which cannot be modified without detection.
8. “Shared liquidity pool” means a wagering or promotional offering in Maine and at least one other jurisdiction where patrons may make selections of outcomes on a set number of sports events on a card in order to enter for a chance to win all or a portion of the prize pool.
9. “SOC-2 Type II” means an audit completed by an independent accounting and auditing firm to review and examine an organization’s control objectives and activities and tested those controls to ensure that they are operating effectively. SOC 2 Type II is based on internal controls, policies and procedures, communications and monitoring to achieve security, availability, integrity, confidentiality and privacy.
10. "Sports event" has the same meaning as set forth in 8 M.R.S. §1202(12) which does not include horse racing.
11. "Sports governing body" has the same meaning as set forth in 8 M.R.S.

§1202(13).

1. "Sports wagering" has the same meaning as set forth in 8 M.R.S. §1202(14).
2. "Sports wagering account" means an account established by a mobile operator or a patron with a mobile operator for an individual patron to use for mobile sports wagering.
3. “Sports wagering area” means an area(s), as designated by an operator and approved by the Director, in which sports wagering is conducted by a licensed facility operator.
4. “Sports wagering kiosk” means an automated device used by patrons to make wagers on sports events; the kiosk may also be used to obtain sports wagering information, process sports wagering vouchers and sports wagering tickets, and any other automated functions approved by the Director. All self-service sports wagering devices must be located in an approved designated sports wagering area or other location as approved by the Director.
5. "Sports wagering manager" means a qualified management employee of the facility operator, or a qualified management employee of a licensed management services provider that has the power to exercise authority or direct management or policies and procedures of a person or having power to exercise a significant influence over decisions concerning the operations of sports wagering.
6. "Sports wagering system" means all equipment and software used in conjunction with the sports wagering operation, including, but not limited to, the following: 1. Sports wagering interactive components, including all hardware, software, and associated equipment that comprise the sports wagering system for the purpose of authorizing sports wagering and online and mobile sports wagering; 2. Self-service sports wagering kiosks; 3. Ticket or voucher redemption devices; or 4. Any other device, service, or system that the Director determines to be related to the sports wagering system.
7. "Sports wagering ticket” means a printed record issued, or an electronic record maintained, by the sports wagering system that evidences a sports wager.
8. “Sports wagering voucher" means a printed record issued by a sports wagering system that may be used to fund a sports wager or may be redeemable for cash according to house rules.
9. "Supplier(s)" means a type of person or entity who holds a supplier license as defined in 8 M.R.S. §1202(7)(C) and issued consistent with 8 M.R.S. §1208 and that fits any of the three criteria below:

A. Provides goods and/or services, directly or indirectly, to an operator in connection with sports wagering, but does not accept wagers, including but not limited to the following types of providers of goods and/or services:

i. Bookmakers,

ii. Geolocation providers,

iii. Identity and/or age verification service providers,

iv. Risk management providers or odds management providers,

v. Integrity monitoring providers,

vi. League data providers,

vii. Marketing affiliates, and

vii. Payment processors.

B. Directly interfaces or interacts with sports wagering accounts or sports wagering systems and receives payment or compensation based on a revenue sharing agreement in which the supplier receives a percentage of the adjusted gross sports wagering receipts of any operator; or

C. Provides any services similar to those described above that are material to conducting sports wagering.

"Suspicious wagering activity" means unusual or abnormal wagering activity which cannot be explained, made or attempted to be made by an agent or proxy (i.e., messenger wagering) or is indicative of match fixing, the manipulation of an event, misuse of inside information, sports corruption, cheating, theft, embezzlement, collusion, money laundering or other prohibited activity.

“Unit” means the Gambling Control Unit within the Department of Public Safety.

''Voided wager" means a wager voided by a ticket writer with supervisor approval for a specified event within the operator’s system of internal controls.

"Wager" has the same meaning as set forth in 8 M.R.S. §1202.

History

• STATUTORY AUTHORITY: 8 M.R.S. § 1203(2)
• EFFECTIVE DATE: October 29, 2023 – filing 2023-198
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 52 License Applications, Fee and Renewal

Code Me. R. 16-633 Ch. 52 License Application, Fee and Renewal {#sec-16-633-ch.-52 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 52}

SUMMARY: All sports wagering facility operators, mobile sports wagering operators, and all persons participating in offering sports wagering to bettors within a facility or through a mobile operation, or as a management services provider, supplier or as an employee must apply for and be granted the appropriate license as specified by 8 M.R.S.A. § 1204-1210.

Sports Wagering Operators, Management Services Providers, Suppliers and Key Personnel

1. A person or entity may not engage in any sports wagering activities in this State that require a license or any activities ancillary to activities for which a person or entity must hold a license under this chapter unless that person or entity has obtained all necessary licenses in accordance with Title 8, chapter 35 and these sports wagering rules.
2. An application for any type of license under these rules shall be submitted on forms issued by the Director and available on the Gambling Control Unit’s website, in accordance with the requirements of Maine statute. The version of the application form on the Gambling Control Unit’s website is the current form. Any applications submitted on any other version of the form will be deemed incomplete. The most current forms shall be used or returned as incomplete.
3. An eligible person or entity may submit an application provided by the Director for sports wagering activities. In addition to the information required by 8 M.R.S. §§ 1204- 1210, all applicants must provide the following information: 1. The physical address of the applicant’s principal place of business and the designated contact person for the applicant including an address, telephone number and email address for that contact; 2. Disclosure of ownership interests. A disclosure of the true ownership interests of the applicant as follows: 1. The names, addresses, phone numbers, email addresses and dates of birth of the applicant’s board of directors, corporate executives, directors, officers, key personnel and managers having the power to exercise influence over decisions concerning any part of the applicant's or operator's sports wagering or related business operations; 2. The percentages of shares of stock, if any, held by each person named in subparagraph (1) above; 3. For limited liability companies (hereinafter, “LLC”), including professional LLCs, provide the full name, address, date of birth and telephone number of each member of the LLC having an ownership interest of ten percent (10%) or more of the LLC. If the member is not a natural person, disclose the true ownership of the member (and successive levels of ownership, if necessary) until a natural person or another corporate entity is disclosed. If another corporate entity is disclosed, provide a complete disclosure of that corporate entity’s ownership in accordance with the specific rules for that entity contained herein (and successive levels of ownership, if necessary); 4. For general, limited, or limited liability partnerships, provide the full name, address, date of birth and telephone number of each partner having an ownership interest of ten percent (10%) or more of the partnership. If the partner is not a natural person, disclose the true ownership of the partner (and successive levels of ownership if necessary) until a natural person, or another corporate entity, is disclosed. If another corporate entity is disclosed, provide a complete disclosure of that corporate entity’s ownership in accordance with the specific rules for that entity contained herein (and successive levels of ownership, if necessary); 5. For a corporation, provide the full name, address, date of birth and telephone number of any natural person or entity having an ownership interest of ten percent (10%) or more of the outstanding shares of the corporation. If a corporate entity is disclosed, provide a complete disclosure of that corporate entity’s ownership in accordance with the specific rules for that entity contained herein (and successive levels of ownership, if necessary); 6. Any institutional investor having a (10%) or more ownership interest in the applicant shall provide to the Director a sworn-to affidavit executed by an institutional officer who can bind the entity that the institutional investor has no influence over the day-to-day sports wagering operations of the applicant; and 7. The names, addresses, employer identification numbers, social security numbers, and dates of birth, as applicable, of each individual, group of individuals, trust or business entity associated with an applicant, including, but not limited to, a holding company, parent company, or subsidiary company of the applicant that has the ability to control the activities of the applicant or elect a majority of the board of directors or select the manager or general partner of the applicant. 3. A notarized affirmation and consent and authorization to release information about the applicant necessary to complete a background check; 4. Copies of the applicant's audited financial statements for the preceding three (3) fiscal years and a copy of internally prepared financial statements for the current fiscal year as of the close of the most recent fiscal quarter by a Certified Public Accountant in accordance with generally accepted accounting principles and applicable state and federal law. If an applicant has audited financial statements prepared at the parent company level, the applicant shall include with its audited consolidated financial statements a supplement I schedule (either audited or unaudited) of the operator applicant’s sports wagering operations and an attestation from the operator applicant’s Certified Public Accountant that the applicant has implemented procedures to accurately report its adjusted sports wagering receipts from sports wagering operations in Maine; 5. A copy of the Certificate of Authority to do business in the State of Maine, if the applicant is incorporated outside of Maine; 6. Copies of any trade name registrations filed by or under which the applicant conducts any business activities; 7. Copies of applicant’s State and Federal returns for a period of three (3) fiscal years; 8. Copies of declaration pages of all insurance policies insuring the applicant and/or premises in Maine; 9. If the applicant is a corporation, annual reports and SEC filings, if any, for the past three (3) years; 10. A list of all jurisdictions where the applicant has: 1. Applied for a sports wagering or any other gaming license; 2. Been issued a sports wagering or any other gaming license; 3. Been the subject of a law enforcement or government subpoena, cease and desist letter, attorney general or government legal opinion, or other correspondence regarding any non-routine law enforcement or government investigation concerning conduct related to gambling operations (including casino gaming, horse racing, dog racing, pari-mutuel pools, lottery, sports wagering, fantasy contests, esports, igaming, etc.); 4. Had any sports wagering or gaming license denied, suspended, or revoked; and 5. The current status of any such adverse actions and copies of such documents relating to (3) or (4); 11. A copy of the final order of all civil judgments rendered against the applicant, any person identified in (B) above, or others individually described by subparagraphs J (2), (3), or (4) above, including those judgments pertaining to antitrust or security regulation laws of the federal government, of the State of Maine or of any other state, jurisdiction, province, or country; 12. A full copy of the applicant’s most recent SOC-2 Type II audit authenticated by the entity that performed the assessment; and verification that a SOC 2 Type II audit shall be completed on an annual basis and results shall be submitted to the Director within 10 days of completion. An assessment must be completed as part of the initial application; 13. The applicant’s minimum internal controls as required under chapter 53 herein for approval by the Director; 14. An organizational chart listing all sports wagering employee positions and their job descriptions. Members of the board of directors are not required to be included on the organizational chart; 15. A completed Gambling Control Unit form MGCU-8100 with notarized affirmation and consent and authorization to release information to complete a criminal background check on: any officer or director of the applicant; and any partner or shareholder who has the ability to control the activities of the applicant in the sports wagering facility or mobile operator, management services provider or supplier; 16. Management services providers provide information, resumes, documentation, references, written testimony and other assurances required to establish that the applicant has sufficient business ability and sports wagering experience to create and maintain a successful and efficient sports wagering operation in Maine; and 17. Any other information the Director requests that is necessary for their determination of the suitability, honesty and integrity of the applicant.

The application, and all other documents submitted to the Director or on behalf of the applicant for purposes of determining the qualifications of the applicant, shall be sworn to or affirmed before a notary public. If any form or document is signed by an attorney for the applicant, the signature shall certify that the attorney has read the forms or documents and that, to the best of the attorney’s knowledge, information and belief, based on diligent inquiry, the contents of the form or documents so supplied are true.

A management services provider may enter into a final contract with an operator only upon meeting the following requirements:

1. Be licensed by the Director as a management services provider;
2. Its proposed contract with the operator has been approved by the Director prior to the conduct of sports wagering;
3. If the management services provider contracts with more than one operator, its contracts with those operators must include a method approved by the Director for separately accounting for each sports wagering operator’s gross receipts from sports wagering and adjusted gross sports wagering receipts; and
4. Its contract with an operator does not authorize the person providing management services to receive more than 30% of the operator’s adjusted gross sports wagering receipts; except that the Director may approve a contract under the criteria of chapter 65 authorizing the management services provider to receive up to 40% of the operator’s adjusted gross sports wagering receipts.

In addition to the requirements of 8 M.R.S. § 1204(4), to the extent the applicant becomes aware that information of a material nature supplied in the application or otherwise supplied to the Director in support of its application by the applicant or on the applicant’s behalf, becomes outdated, inaccurate or incomplete, the applicant shall so notify the Director in writing within 30 calendar days and shall at that time supply the information necessary to supplement or correct the inaccuracy or incompleteness of the information.

The applicant shall cooperate fully with the Director, the Department, the Gambling Control Unit and any 3^rd party contractor under contract with the Department to perform any investigation with respect to the background investigation of the applicant. Failure to cooperate or provide information necessary for licensure may result in denial of the applicant’s license application.

Mobile operators shall provide the Director with certificates of insurance prior to approval of the license and with each renewal application. The company issuing the insurance shall be financially rated A or better by a nationally recognized rating entity and duly licensed, admitted, and authorized to transact business in the State of Maine. Subject to (1 and 2) below, Mobile operators shall maintain the following types and amounts of insurance while they are an approved operator to conduct sports wagering activities in Maine.

1. Mobile operators who anticipate, during the upcoming year of licensure, having less than 100,000 patron accounts and $15,000,000 in revenue shall maintain the following types and amounts of insurance:

Cyber liability insurance in the amount of five million dollars ($5,000,000); and

Errors and Omissions insurance in the amount of five million dollars ($5,000,000).

Mobile operators who anticipate, during the upcoming year of licensure, having more than 100,000 patron accounts and $15,000,000 in revenue, shall maintain the following types of insurance:

Cyber liability insurance in the amount of ten million dollars ($10,000,000); and

Errors and Omissions insurance in the amount of ten million dollars ($10,000,000).

Mobile operators that are unable to obtain the coverage amounts specified in 9. A or B above must maintain coverage in the maximum amounts allowable by the issuing insurance company. Such operators must provide a notarized statement or letter from their insurance agent or broker stating that the operator was unable to obtain required insurance coverage after a diligent effort and the reason for the deficiency. Such operator shall provide the Director with a detailed plan of how it intends to compensate for the deficiency in insurance coverage, which must be approved by the Director prior to licensure.

Fees

1. The initial non-refundable fee for background investigation shall be $5,000.00 for a facility operator license and $10,000.00 for a mobile operator, management services provider or supplier license. The hourly rate shall be no more than $250.00. If the cost surpasses the initial deposit amount, the applicant shall be invoiced for the actual remaining balance due which shall be paid before issuance of a license.
2. All applicants for licenses shall pay all costs of investigations into their backgrounds, suitability, and qualifications for licensure which may include, but are not limited to: 1. Transportation; 2. Lodging; 3. Meals; 4. Other expenses associated with traveling; 5. Significant office expense; 6. Document reproduction costs; 7. Preparation time; 8. 3^rd party independent contractors to the Department; 9. Time necessary for administration of the investigation (including additional staffing on a temporary basis); and 10. Other similar expenses incurred until the conclusion of the investigation.
3. Applications shall include the initial license fee of $4,000.00 for a facility license,

$200,000.00 for a mobile license, $40,000.00 for a management services license,

$40,000.00 for a supplier license and $250.00 for an occupational license.

1. The fee for a criminal history record check is fifty-one dollars $51.00 for occupational applications only.
2. Each license shall expire (4) years from issuance and a renewal must be submitted 60 days before the expiration date including the same fee as the initial fee stated in 3. Above, except the occupational license.

Temporary License

1. Upon receipt of a completed application, internal controls and all fees, the Director shall review the request and may approve a temporary license. A temporary license shall be good for one (1) year from the date of issuance or until a final determination on the application is made, whichever is sooner.
2. An applicant may be eligible to receive a temporary license to conduct sports wagering activities prior to receiving a permanent license if the applicant has: 1. Submitted a complete application; 2. Included a SOC II Type 2 audit on the system that will be used to operate all software, hardware and systems which was completed within the 2 years prior to application; 3. No adverse actions taken against a gambling or gambling-related license the applicant holds in any other jurisdiction that could call into question suitability in order to be licensed; 4. No litigation, past or present involving business practices that could call into question suitability in order to be licensed; 5. Any similar gambling or sports wagering license in another U.S. state, such license is in good standing as demonstrated by proof from the licensing state: and 6. Paid the initial fees associated with the license and background investigation.
3. Any sports wagering operation or mobile sports wagering operation not permanently licensed within that one year or: 1. Whose license application has been denied pursuant to 8 M.R.S. §1205; 2. Who has failed to establish its qualifications for licensure; or 3. Who failed to submit any materials required by the Director to evaluate an application,

shall immediately cease sports wagering operations upon either the expiration of its temporary license or upon receipt of the Director’s written denial of its license application, whichever is sooner.

1. All sports wagering conducted under authority of a temporary license shall comply with all Maine sports wagering laws and rules. A temporary operator, management services provider or supplier shall be subject to all the same disciplinary sanctions as a permanent operator, management services provider or supplier.

Occupational License

1. In addition to the requirements of 8 M.R.S. §1202(7)(E), any person whose job description including those persons considered to have control of an applicant or a licensee under section 1204(2).
2. Occupational operators, after a one-year initial license may renew for one year for a fee of $25.00 or for three years for a fee of $50.00.
3. An individual who is actively licensed under section 1015 as an employee of a casino that has a facility sports wagering license may apply for and renew a combination “combo” license on Gambling Control Unit form MGCU-8300 without paying a separate initial license fee or a renewal license fee for the sports wagering occupational license.
4. A combo license will be valid for the duration of the employee’s current casino gaming license and after renewal for the same duration as the renewed employee license.
5. Any person or entity seeking to renew its application to be a licensed facility or mobile operator, management services provider, supplier or occupational employee shall submit a renewal application at least 60 days prior to the expiration of their current license.

History

• STATUTORY AUTHORITY: 8 M.R.S. § 1203(2)
• EFFECTIVE DATE: October 29, 2023 – filing 2023-199
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 53 Internal Controls

Code Me. R. 16-633 Ch. 53 Internal Controls {#sec-16-633-ch.-53 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 53}

16 DEPARTMENT OF PUBLIC SAFETY

633 GAMBLING CONTROL UNIT Chapter 53: INTERNAL CONTROLS

Operators shall develop, implement and follow internal control procedures to ensure compliance with Title 8 M.R.S. Chapter 35.

Operators shall submit to the Director for approval a written description of internal controls procedures that demonstrate compliance with the rules adopted under this chapter and incorporate administrative and accounting controls with its application and shall obtain the Director’s approval before commencing sports wagering.

Each operator’s internal controls shall include a detailed diagram or description of the operator’s organizational structure. The proposed organizational structure shall provide for:

1. A system of personnel and chain of command which holds management and supervisory personnel accountable for actions or omissions that violate Maine sports wagering laws or rules within their areas of responsibility;
2. The segregation of incompatible functions so that no employee is in a position both to commit an error or to perpetrate a fraud and to conceal the error or fraud in the normal course of his or her duties;
3. Primary and secondary supervisory positions which permit the authorization or supervision of necessary transactions at all relevant times;
4. Areas of responsibility which are sufficiently limited in scope that the responsibilities can practically be performed or monitored by one person.

The internal controls shall address the following items regarding the sports wagering operations, at a minimum:

1. User access controls for all wagering systems for all sports wagering department or licensed employee personnel;
2. Segregation of duties;
3. Automated and manual integrity management general authorization procedures;
4. Risk management procedures, including procedures to govern emergencies such as suspected or actual cyber-attacks on, hacking of, or tampering with the sports wagering system and associated equipment. The procedures shall include the process for the reconciliation or repayment of a sports wagering account;
5. Procedures for identifying and reporting fraud, suspicious wagering activity and suspicious conduct which have as their primary objective rapid identification, effective analysis, and prompt reporting of any potential conduct listed above;
6. Procedures for promptly sharing reporting information required in Section (4)(E)

above with each operator and disseminating all reports of suspicious activity to all management services providers. All sports wagering operators shall review such reports and notify other operators of whether or not they have experienced similar activity;

1. Procedures that prevent wagering by patrons prohibited from wagering;
2. Procedures that ensure a refund of any prohibited wager placed and reporting of the transaction to the Unit within seven (7) business days of the placement of the prohibited wager;
3. Detailed description of all types of wagers that will be offered by the applicant or the wagering system;
4. Description of federal and state anti-money laundering “AML” compliance standards, to include: 1. Process for accepting wagers and issuing pay outs in excess of $10,000, and the measures in this system that prevent the system from being used in money- laundering; 2. A process for creating and maintaining a log of wagers of $5,000 or more; 3. Methods within the system that identify and prevent the use of structured multiple- wagers within a 24-hour period that patrons might use to circumvent reporting and recording requirements; and 4. Reporting to the appropriate authorities.
5. The following requirements for facility sports wagering operators, where applicable: 1. A detailed procedure for reconciliation of assets and documents contained in a sports wagering area cashier’s drawer or sports wagering kiosks, which shall include the drop and count procedures for sports wagering kiosks; 2. A procedure requiring cashiers assigned to an outgoing shift to record on a

daily cashier’s shift form, the face value of each cashier inventory item counted and the total of the opening and closing cashier inventories;

• 1. A procedure to reconcile the total closing inventory with the total opening inventory; 2. Systems sufficient to ensure an auditable trail that permits the review of wagers or reconstruction of transactions; 3. A process for maintaining and tracking the custody of inventory, forms, tickets, documents, records and the exchange of currency and coin, utilized by wagering cashiers; 4. A detailed description of the process and system for clandestine and continual video surveillance recording of all areas of sports wagering-related activities and the retention or electronic filing of those recordings for a period of no less than 14 calendar days; 5. Be capable of processing expired wagering tickets within the sports wagering operator’s system; 6. A method of redeeming tickets (lost, damaged, torn, etc.); 7. Procedures for cashing winning tickets at the cage after the sports wagering area has

closed, if applicable; and

• 1. Procedures for accepting value chips at licensed casinos for sports wagers.

1. If promotional funds or free bets are accepted or offered by the operator, procedures for issuance and acceptance of promotional funds and free bets for sports wagering in conjunction with requirements in chapter 64 of these rules;
2. Procedures for the interception of sports wagering winnings according to 8 M.R.S.

§1217;

1. Description of all integrated third-party systems;
2. Description of all software applications that comprise the system;
3. Description of all types of wagers available to be offered by the system;
4. The process for identifying and restricting prohibited sports wagering participants;
5. Descriptions of the method to prevent past posting;
6. Description for the retention of all transactional wagering data for sports pool systems for a period of five (5) years;
7. A process to close out dormant accounts after one year of no activity and return any remaining funds in the account to the patron holder;
8. Detailed procedures that describe how a patron may make adjustments to their sports wagering account, the method by which a patron can close out their account, and how patrons will be refunded after the closure of an account;
9. The method for verifying geolocation systems to reliably establish patrons’ geographic locations are within the State of Maine;
10. Process and systems for using commercially reasonable methods for maintaining the security of patrons’ identity and financial information, wagering data and other confidential information from unauthorized access and dissemination;
11. Detailed responsible wagering program according to Chapter 63;
12. A method for securely issuing, modifying, and resetting a patron’s account password, Personal Identification Number (PIN), biometric login, two factor authentication or other approved security feature, when applicable;
13. Methods of patron notification including any password or security modification via electronic or regular mail, text message, or other manner approved by the Director. Such methods shall include at a minimum: 1. Proof of identity, if in person; 2. The correct response to two or more challenge questions; 3. Strong authentication using a combination of upper-case and lower-case letters, numbers and symbols; or 4. Two-factor authentication.
14. System to guarantee all adjustments over $250.00 must be authorized by supervisory personnel prior to being entered and for reporting such activity to the Director on a monthly basis from the wagering system;
15. Detail the location of the sports wagering servers, including any third-party remote location servers, and what controls ensure the physical security and access to the sports wagering servers;
16. Terms and conditions for sports wagering shall be included as an appendix;
17. Description of the process for line setting and line moving;
18. Method by which the sports wagering operator will identify and cancel wagers, including defining “obvious error”;
19. A process for voiding wagers;
20. Include copies of all reports, forms or documents used or referenced in the internal controls or produced by the sports wagering system with a brief description of the report;
21. Any other internal controls ensuring regulatory compliance with Maine sports wagering or gambling statutes;
22. Description of the process for handling incorrectly posted events, odds, wagers, or results;
23. Effect of schedule changes; and
24. Method of contacting the operator for questions and complaints.

In the event of a failure of the sports wagering system's ability to pay winning wagers, the operator shall have internal controls detailing the method of paying winning wagers.

The operator shall also file with the Director an incident report for each system failure and document the date, time and reason for the failure along with the date and time the system was restored.

An operator’s system of internal controls shall include the investigation of any patron complaint and provide a response to the patron within ten (10) calendar days. For complaints that cannot be resolved to the satisfaction of the patron, related to sports wagering accounts, settlement of wagers, and/or illegal activity, a copy of the complaint and operator's response, including all relevant documentation, shall be provided to the Director as applicable for a formal investigation by the Unit.

No operator shall alter its internal controls unless and until such changes are approved in writing by the Director.

Amendments to previously approved internal controls must be filed in writing on form MGCU-8400 with the Director for approval prior to implementation, highlighting the amendment(s) with strike through for deletions and underlining for additions.

1. The Director and his/her designated personnel shall review the request. After the review is completed, the Director shall communicate to the operator, in writing, the result of the review and: 1. Shall accept the change as submitted; 2. Reject the submission as not in the best interest of the State of Maine; or 3. Propose a revision. In this case, the Director will communicate in writing to the operator about further changes that will have to be made to the submission before final approval.
2. If the operator accepts the Director’s recommended changes, the operator shall make the changes as suggested by the Director and re-submit the request for change document. If the operator does not accept the suggested changes, the request shall be denied.
3. Step A shall be repeated until the Director is completely satisfied with the request for change document.
4. The Director shall send to the operator an accepted version of the submitted request for change with date and signature signifying approval.
5. The Director will make every effort to make a determination concerning a submission for change no later than 30 days following receipt of the proposed change unless the Director and the operator agree to extend the period for making such a determination. No operator shall alter its internal controls unless and until such changes are approved in writing by the Director.

An operator shall inform the Unit of any action that the applicant or operator believes would constitute a violation of statute, rules or internal controls. A person who so informs the Unit may not be discriminated against by another applicant or operator because of the supplying of such information.

History

• STATUTORY AUTHORITY: 8 M.R.S. § 1203(2)
• EFFECTIVE DATE: October 29, 2023 – filing 2023-200
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 54 Facility Operator Operational Requirements

Code Me. R. 16-633 Ch. 54 Facility Operator Operational Requirements {#sec-16-633-ch.-54 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 54}

A facility operator shall include, at a minimum, the following departments and/or positions. Each of these departments and/or positions shall be required to cooperate with, yet perform independently of, all other departments or positions. Mandatory departments or positions are as follows:

1. A sport wagering department or position(s) that during times of operation report to an owner, supervisor or highest-ranking position for the operator of the facility. The sports wagering department shall be responsible for all sports wagering activity including the use and operation of sports wagering kiosks.
2. A surveillance department or position(s) that during times of operation report to an owner or highest-ranking position for the operator at the facility. 1. The surveillance department or positions shall be responsible for, without limitation, the following: 1. The clandestine and continual video surveillance and recording of all areas where sports wagering, and sports wagering-related activities is occurring. These video surveillance recordings must be retained or electronically filed for a period of no fewer than 14 calendar days; 2. The detection of cheating, theft, embezzlement, and other illegal activities in the vault, count room, wagering cashiers’ counter or windows and the notification of the appropriate owners, supervisors and the Unit upon the detection of listed activities; and 3. Identify, record and report any potential violations of statute, rules or internal controls. 2. The video surveillance system must include components that meet or exceed the following requirements or listed features: 1. Installation which prevents obstruction, tampering, or disabling; 2. Data storage redundancy to prevent the loss of any data; 3. Date and time stamps on all digital recordings that are visible on all monitors based on a synchronized and accurate clock; 4. The ability to provide exported copies of video, audio (if applicable), and image recordings. The system must include a mechanism for authenticating exported recordings; 5. Audible and visual notification of any failure of recording; 6. Secure and separated from other systems, either entirely or by appropriate

firewalls, so that access to the surveillance system is restricted only to appropriately designated persons;

• • 1. Reformat and erase capabilities must be restricted to appropriate personnel and all actions taken to reformat or erase digital recordings must be documented to a permanent and auditable file; 2. Access must be limited to Unit personnel and users authorized by the operator and must be secured by unique user identification and a confidential password; and 3. Passwords must be specific to each user and must be changed at least annually. 1. The surveillance system must monitor and record the following: 1. General activities in the sports wagering area; 2. The entrances and exits to the sports wagering facility or designated area with enough clarity to identify all persons entering or leaving the sports wagering facility or designated area; 3. Each cashier station or window, covering all activity, with enough clarity to identify the employees performing the different functions, patrons conducting transactions, and the values of cash or other instruments presented by or returned to patrons; 4. An overview of each kiosk or self-service sports wagering terminal with enough clarity to identify all persons accessing the kiosk, and to determine if an individual is participating in sports wagering; 5. Wagers be embedded or stamped into the monitoring and recording; and 6. All areas where cash or cash equivalents may be stored or counted. 2. All images and video and audio recordings of activities perceived by sports wagering employees to be suspicious, suspected criminal activity, or in violation of Title 8 M.R.S., Chapter 35 or the rules adopted thereunder, or recorded at the request of the Unit, must be retained until the Director or his/her designee gives approval to delete or destroy the recordings, or as required to by law, including upon issuance of a valid subpoena, court order, or other similar document. 3. Sports wagering activity will cease in any area of the sports wagering facility where an outage or other malfunction of the surveillance system prevents the operator from maintaining, monitoring, and recording the area, as required by this chapter. 4. The sports wagering facility must report to the Unit and Director by phone and email, when surveillance equipment no longer meets the standards set forth in these rules. 5. The sports wagering facility must keep its surveillance system, including any stations used to access the system, in secured areas that are effectively restricted to authorized personnel. 6. The sports wagering facility must provide “real time live” remote access, meeting ONVIF Profile S and Profile G standards to permit IP based cameras, networks and video encoders to transmit video data over an IP network to the Unit at its main offices in Augusta, Maine. 7. The sports wagering facility system shall retain over-ride capabilities. 8. Images captured from video or audio recordings made by the facility’s surveillance system shall not be transferred to anyone other than the Unit unless the transfer is approved by the facility’s owner or highest-ranking employee or officer and the Director is notified. Violation of this requirement may lead to discipline imposed on the individual or facility. 9. All events that involve suspicious activity, or suspected violations of criminal laws or Maine sports wagering laws or rules must be initially reported within 12 hours to the Unit by email or phone as under investigation. The operator must thereafter submit a completed investigation, security and surveillance report within 72 hours. 10. Surveillance reports must be maintained and stored electronically, organized chronologically, and include the following information: 1. The date and time of each entry; 2. The identity of the employee making the entry; 3. A narrative summary of the event recorded; 4. Details of the result of any surveillance monitoring; 5. Details of any copies made of recordings of the activity; 6. The details of steps or procedures undertaken to investigate the incident and the results of those investigative steps or procedures; and 7. Any additional information deemed necessary by the sports wagering operator or its employees. 11. The Unit shall have complete access to all surveillance reports upon request. 12. The sports wagering facility must maintain the surveillance system and equipment to ensure its operation and security continue to function as designed and remain compliant with the requirements of this rule. Routine and emergency maintenance of any and all surveillance equipment must be completed without compromising any of the required surveillance coverage under this chapter.

1. A security department or position(s) during times of operation who report to an owner or highest-ranking position for the operator at the facility. 1. The security department or position(s) shall be responsible for, without limitation, the following: 1. The physical safety of personnel employed by the operator; 2. The physical safeguarding of assets transported to and from the sports wagering kiosks; 3. The protection of the operator’s property; 4. The maintenance of a security log of all routine and non-routine security department assignments and/or incidents; 5. The means by which access to assets, sports wagering equipment, or the sensitive areas will be controlled; 6. Security training; and 7. Security staffing. 2. Sports wagering facilities must have at least one sports wagering occupational licensed security officer stationed in the sports wagering facility whenever the sports wagering facility is open for business, where applicable. 3. Occupational licensed security officers shall be responsible for not allowing those under the age of 21 to wager on sports events.
2. An accounting department or position(s) during times of operation who report to an owner or highest-ranking position for the operator at the facility. The accounting department shall be responsible for, without limitation, the following:

Accounting controls;

The preparation and control of records and data;

The control of stored data, the supply of unused forms, and the accounting for and comparing of forms used in operations;

The operation of the count rooms;

The operation of a vault or money room other than a count room; and

The custody of currency, coin, tickets, documents and records normally associated with the operation of the sports wagering department.

Sports wagering transactions in a sports wagering facility shall be conducted from a sports wagering cashier window that accepts wagers, kiosks or when a window is closed, a designated area for redemption of winning tickets as approved by the Director.

Vaults shall be under the control of the accounting department. The storage or removal of currency from vaults shall be documented, and the amount of currency in each vault shall be reconciled daily.

The cashiers assigned to an outgoing shift shall record on a daily cashier’s shift form the face value of each cashier inventory item counted and the total of the opening and closing cashier inventories and shall reconcile the total closing inventory with the total opening inventory.

At the end of the operator’s hours of operation for each day, a copy of the cashier’s shift form and related documentation shall be forwarded to the accounting department for agreement with opening and closing inventories and transactions.

History

• STATUTORY AUTHORITY: 8 M.R.S. § 1203(2)
• EFFECTIVE DATE: October 29, 2023 – filing 2023-201
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 55 Physical Premise Requirements

Code Me. R. 16-633 Ch. 55 Physical Premises Requirements {#sec-16-633-ch.-55 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 55}

A sports wagering facility must submit a design plan including a detailed description and 8

½” x 14” drawing to scale of the proposed sports wagering facility to the Director for approval prior to the initial opening of the sports wagering facility.

The design plan must show the proposed placement of the following features, as applicable:

1. A designated wagering area where the facility operator shall permit authorized persons to conduct or participate in sports wagering.
2. A counter which shall be located in or immediately adjacent to the designated sports wagering area to house the wagering cashiers and to serve as the central location for the following: 1. The custody of inventory, forms, tickets, documents, records and the exchange of currency and coin, utilized by wagering cashiers; 2. The responsibility for the overall reconciliation of all documentation generated by wagering cashiers; and 3. The receipt of currency, tickets or vouchers from the count room in conformity with these documents.
3. The counter shall be designed and constructed to provide security for the materials housed therein and the activities performed therein; such design and construction shall provide for the following: 1. Manually triggered silent alarm systems for the counter, its ancillary office space and any related vault, that are connected directly to local law enforcement or surveillance or security departments that are manned during operating hours; 2. Any entrance to the counter area, count room, and vault areas (known as “sensitive areas”) that is not a double door entry and exit system shall have badge access controls and/or a single key entry with push bar emergency exit when an access system is malfunctioning or not working.
4. The operator shall have within its facility a count room used for counting of sports wagering funds which shall be performed at separate times and independent of counts from any other operation or business within the facility. 1. The count room shall have: 1. Metal doors equipped with badge access control or single key access: 2. Tables constructed of clear lexan or similar material to clearly identify currency, coin, tickets or vouchers; and 3. Video surveillance equipment to capture any and all movement, equipment and documentation used within the room.
5. The operator shall have within its facility a vault used exclusively for storing currency and coin, accepting funds from the count, deliveries of funds and preparing deposits which shall be separate from any other operation or business within the facility. 1. Each vault shall include the following: 1. A metal door with one key or electronic access control that shall be maintained by the operator; and 2. Surveillance cameras approved by the Director to cover all activity within the vault.

All keys shall be secured within the security department that shall be distributed to pre- authorized employees electronically or manually by signing keys out and back in on a bounded book provided by the operator.

Any changes to the design plan must be approved by the Director in writing before any changes may be made.

If the sports wagering facility is located within a casino operator facility, then the design plan required by this section may use features also used in a casino facility when the sports wagering area is adjacent to the area in the casino where similar features will be utilized as approved by the Director.

The location of self-service sports wagering kiosks and cash containers not in use.

Access to assets or restricted areas of sports wagering equipment must be restricted to occupational licensed personnel only.

All persons licensed as a facility sports wagering operator or management services provider must display their licenses, in a manner plainly visible to the public, on the premises.

Every person licensed as a sports wagering occupational employee must wear in plain view identification issued by the Director.

A person holding a license under Title 8 M.R.S., chapter 35 shall permit the Director or a designee of the Unit or the Department unrestricted access, during regular business hours, including access to locked or secured areas, to inspect any facility and any equipment, prizes, records or items and materials used or to be used in the operation of any sports wagering or wagering equipment owned, distributed or operated by that person. A person holding a license under these sports wagering rules shall consent in writing to the examination of all the operator's books and records related to licensed operations and shall authorize all 3^rd parties in possession or in control of those books and records to allow the Director or the Director's designee to examine such books and records as the Director determines necessary.

History

• STATUTORY AUTHORITY: 8 M.R.S. § 1203(2)
• EFFECTIVE DATE: October 29, 2023 – filing 2023-202
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 56 House Rules

Code Me. R. 16-633 Ch. 56 House Rules {#sec-16-633-ch.-56 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 56}

16 DEPARTMENT OF PUBLIC SAFETY

633 GAMBLING CONTROL UNIT Chapter 56: HOUSE RULES

Operators shall adopt comprehensive house rules governing sports wagering to be approved by the Director prior to implementation and must include, at minimum, the following:

1. Method for calculation and payment of winning wagers;
2. Effect of schedule changes and/or cancelled events;
3. Method of notifying patrons of odds or proposition changes;
4. A description of all types of wagers that may be accepted;
5. Acceptance of wagers at terms other than those posted;
6. Expiration of any winning ticket or 183 days after the date of the event;
7. Lost, torn, or damaged ticket policy;
8. Method of contacting the operator for questions and complaints;
9. Description of prohibited sports wagering participants;
10. Availability of the unauthorized list and restriction programs;
11. Method of funding a sports wager;
12. Maximum payouts;
13. A provision prohibiting the structuring of wagers to avoid federal currency transactional reporting thresholds;
14. A policy by which the sports wagering operator can cancel or void wagers in accordance with these rules, including defining “obvious error”; and
15. A clear statement that the person who accepts and settles a wager is responsible for being a part of the investigation and response to any patron dispute.

The house rules, together with any other information the Director deems appropriate, shall be conspicuously displayed in the sports wagering facility, posted on the operator’s website, mobile applications or other digital platforms, included in the terms and conditions and copies shall be made readily available to patrons.

Amendments to previously approved house rules must be filed with the Director for approval prior to implementation, highlighting the amendment(s) with strike through for deletions and underlining additions.

The Director and his/her designated personnel shall review the request. After the review is completed, the Director shall communicate to the operator, in writing, the result of the review and:

1. Shall accept the change as submitted, or
2. Reject the submission as not in the best interest of the State of Maine, or
3. Propose a revision. In this case, the Director will communicate in writing to the operator about further changes that will have to be made to the submission before final approval.

If the operator accepts the Director’s recommended changes, the operator shall make the changes as suggested by the Director and re-submit the request for change document. If the operator does not accept the suggested changes, the request shall be denied.

Step 4 shall be repeated until the Director is completely satisfied with the request for change document.

The Director shall send to the operator an accepted version of the submitted request for change with date and signature signifying approval.

The Director will make every effort to make a determination concerning a submission for change no later than 30 days following receipt of the proposed change unless the Director and the operator agree to extend the period for making such a determination. No operator shall alter its house rules unless and until such changes are approved in writing by the Director.

The Director may at any time request additional explanation or modification of any current house rules.

History

• STATUTORY AUTHORITY: 8 M.R.S. § 1203(2)
• EFFECTIVE DATE: October 29, 2023 – filing 2023-203
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 57 Sports Wagering System Requirements

Code Me. R. 16-633 Ch. 57 Sports Wagering System Requirements {#sec-16-633-ch.-57 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 57}

Prior to operating sports wagering or mobile sports wagering in the State, all equipment and software used in conjunction with its operation shall be submitted to a Department approved independent testing laboratory recognized by the Director for certification of the use for operation in the State. A Department approved independent testing laboratory must certify that the sports wagering system used in conjunction with the sports wagering operation meets or exceeds the standards approved by the Director, and the standards established by this rule. Sports wagering operations are prohibited from offering sports wagering in Maine without such certification.

This rule incorporates by reference the State of Maine Sports Wagering or Associated Equipment Standards, 2022 edition consisting of GLI-33 version 1.1, Standards for Event Wagering Systems and its appendices, and GLI-CMP, version 1.0, Change Management Program Guide. Copies of this standard are available through the Maine Department of Public Safety, Gambling Control Unit, 45 Commerce Drive, Augusta, ME 04330.

The Director will make available, upon request, those laboratories approved to certify sports wagering systems for use. A sports wagering operator may seek recognition of an alternative testing laboratory for use in completing the certification by submitting a written request to the Director. The Director will review the qualifications and experience of the testing laboratory and determine whether to recognize that entity as an approved provider. The Director will make available the names of organizations that are approved to complete certifications upon request.

All wagers on authorized sports events shall be initiated, received, and otherwise made within this State unless otherwise determined by the Director in accordance with applicable federal and state laws. Consistent with the intent of the United States Congress as articulated in the Unlawful Internet Gambling Enforcement Act of 2006 (31 U.S.C. s.5361 et seq.), the intermediate routing of electronic data relating to a lawful intrastate wager authorized under this provision shall not determine the location or locations in which such wager is initiated, received, or otherwise made.

A sports wagering operator shall document and maintain any system malfunction or deviation from the equipment and software and maintain that data for a minimum period of five (5) years.

A sports wagering operator must locate the primary server in the State of Maine. The primary server shall be the server responsible for the acceptance and storage of patron wagers. The location selected must have adequate security, access controls and the same twenty-four (24) hour surveillance as required of the sports wagering facility. Access to the primary server location by the Director, and all information necessary for the Department to conduct any investigation shall be provided to the Department immediately upon request.

A sports wagering system shall maintain all transactional wagering data for a period of five (5) years.

The Director may approve the use of cloud storage for duplicate data, or data not related to transactional wagering data upon written request by a sports wagering operation.

A sports wagering system shall be capable of recording and maintaining the following information for each wager made, and be capable of transmitting it to the Director upon request:

1. Description of event;
2. Event number;
3. Wager selection;
4. Type of wager;
5. Amount of wager;
6. Date and time of wager;
7. Unique wager identifier;
8. Patron identification number (if applicable);
9. Current wager status (active, cancelled, redeemed, pending voided, etc.);
10. An indication of when the ticket expires;
11. Name and address of the party issuing the ticket;
12. Results of wagering;
13. Amount won;
14. Date and time winning wager was paid to patron; and
15. Additional requirements for all tickets generated by a cashier or at a kiosk.

If the sports wagering system issues and redeems a sports wagering voucher, the system shall be capable of recording the following information for each voucher:

1. Amount of voucher;
2. Date, time and location of issuance;
3. Unique operator/operator identifier;
4. Expiration date of the voucher; and
5. Date, time and location of redemption.

A sports wagering system that offers in-play wagering or bets placed during a game or event shall be capable of the following:

1. The accurate and timely update of odds for in-play wagers;
2. The ability to notify the patron of any change in odds after a wager is attempted;
3. The ability to confirm to the patron the wager after notification of the odds change; and
4. The ability to freeze or suspend the offering of wagers when necessary.

A sports wagering system shall be configured to allow a sports wagering operator to rescind, void, or cancel a wager, which it may only do if one or more of the following conditions is met prior to the time at which the outcome of the related event is known:

1. Upon approval of the Director;
2. In the event that the wager was placed by a prohibited participant or a person outside of Maine;
3. In the case of obvious error, as specified in the sports wagering operator’s terms and conditions, house rules or internal controls; or
4. In the case of a wager indicating suspicious wagering activity.

A sports wagering operator or management services provider receiving a report of suspicious wagering activity shall be permitted to suspend wagering on events related to the report but may only cancel related wagers after Director approval.

When a sports wager is voided or cancelled, the sports wagering system shall clearly indicate that the ticket is voided or cancelled, render it nonredeemable and make an entry in the system indicating the void or cancellation and identity of the cashier or automated process with management’s specific authorizations. The operator must notify the Unit of any wagers that have been rescinded, voided, or cancelled in accordance with this rule within 12 hours by email or phone.

A sports wagering system shall prevent past posting of wagers and the voiding or cancellation of wagers after the outcome of an event is known.

A sports wagering system shall employ a mechanism capable of maintaining a copy of all the information required to be logged in this section on a separate and independent logging device capable of being administered by an employee with no incompatible function. If the sports wagering system can be configured such that any logged data is contained in a secure transaction file, a separate logging device is not required.

A sports wagering system shall, at least once every 24 hours, perform a self- authentication process on all software used to offer, record and process wagers to ensure there have been no unauthorized modifications. In the event of an authentication failure, at a minimum, shall immediately notify the operator and Director within 24 hours by email. The results of all self-authentication attempts shall be recorded by the system and maintained for a period of not less than 90 days.

A sports wagering system shall have controls in place to review the accuracy and timeliness of any data feeds used to offer or settle wagers. In the event that an incident or error occurs resulting in a loss of communication with data feeds used to offer or redeem wagers, such error shall be recorded in a log capturing the date and time of the error, the nature of the error and a description of its impact on the system's performance. Such information shall be maintained for a period of not less than two (2) years.

The operator or management service operating a sports wagering system shall provide access to wagering transactions and related data as deemed necessary by the Director in the manner required by the Director in real time.

A sports wagering system shall be capable of maintaining the following:

1. Description of the event;
2. Event number;
3. Wager selection;
4. Type of wager;
5. Amount of wager;
6. Amount of potential payout;
7. Date and time of wager;
8. Identity of the cashier accepting the wager if applicable;
9. Unique ticket identifier;
10. Expiration date of ticket;
11. Patron name, if known;
12. Date, time, amount, and description of the settlement;
13. Location where wager was made;
14. Location of redemption; and
15. Identity of cashier settling the wager if applicable.

No payment of a ticket shall be made unless the ticket meets the following requirements:

1. It is presented on a fully legible, valid, printed ticket on paper approved by the Director, containing the information as required.
2. It is not mutilated, altered, unreadable, or tampered with in any manner, or previously paid.
3. It is not counterfeit in whole or in part.
4. It is presented by a person authorized to play.

If an operator finds suspicious wagering activity, they shall immediately notify an independent integrity monitor, who will disseminate the information to all other operators, the Director, and all other regulatory agencies or governing authorities as approved by the Director.

A sports wagering system shall provide the Director with remote access of real time live attempts of transactions and any reports of suspicious wagering activity in Maine.

Notwithstanding the other provisions of this section, all information and data received related to suspicious wagering activity shall be considered confidential and shall not be revealed in whole or in part, except upon the lawful order of a court of competent jurisdiction or with any law enforcement entity, or regulatory agency, governing body, independent third-party integrity monitor or auditor or other entity that the Director deems appropriate.

A SOC 2 Type II audit that includes all five trust principles shall be completed by licensed operators by June 1 of each year, for the previous calendar year, on any and all sports wagering systems for use in Maine or to support Maine sports wagering activity operated and/or maintained by operators, management services providers or suppliers. A copy of that audit shall be forwarded to the Director by June 30 of each year which must include at a minimum the following:

1. The scope of review;
2. Name and company affiliation of the individual(s) who conducted the audit;
3. Date(s) of audit;
4. Findings with regard to compliance with the sports wagering system requirements set forth in statute, rules and internal controls;
5. Recommended corrective action, if any; and
6. The operator’s response to the findings and recommended corrective action.

A sports wagering system shall utilize sufficient security to ensure patron access is appropriately limited to the account holder. Unless otherwise authorized by the Director, security measures shall include at a minimum:

1. A username; and
2. Compliance with NIST Special Publication 800-63-3 “Digital Identity Guidelines”

for password and access security including requiring two of the three multi-factor identification methods; or

1. Other requirements set forth by the Director.

A sports wagering system shall be designed to detect and report:

1. Suspicious behavior, such as cheating, theft, embezzlement, collusion, money laundering, or other illegal activities; and
2. The creation of an account by an excluded person or any individual who is prohibited from any form of sports wagering.

History

• STATUTORY AUTHORITY: 8 M.R.S. § 1203(2)
• EFFECTIVE DATE: October 29, 2023 – filing 2023-204
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 58 Sports Wagers

Code Me. R. 16-633 Ch. 58 Sports Wagers {#sec-16-633-ch.-58 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 58}

16 DEPARTMENT OF PUBLIC SAFETY

633 GAMBLING CONTROL UNIT Chapter 58: SPORTS WAGERS

An operator or management services provider shall not offer or accept any wager on a sports event unless it has been approved in writing by the Director before the first time that wagering on a category of a wagering event (for example, wagering on a particular type of professional sport) or type of wager (for example an in-play wager or exchange wager) is offered to the public. Written approval from the Director shall be received prior to accepting a wager on any sports event.

An approved list of sports events and types of wagers shall be maintained on the Unit’s website.

The Director reserves the right to prohibit the acceptance of wagers on any sports event for which wagering would be contrary to the public policies of the State and may order the cancellation and refund of such wagers.

Any operator may petition the Director for approval of a new sports event or type of wager upon which wagers may be placed or accepted on form MGCU-8400.

1. A petition for approval of a proposed new sports event must be submitted a minimum of thirty (30) business days or for types of wagers submissions must be submitted within ten (10) business days, prior to being offered.
2. A proposed new sports event or type of wager may be a variation of an authorized sports event or type of wager, a composite of an authorized sports event or wager or any other sports event or wager compatible with the public interest, by statute and/or rule.
3. Form MGCU-8400 shall be submitted for Director approval and shall include the following information: 1. The name of the petitioner; 2. Whether the new sports event or type of wager is a variation of an authorized sports event, a composite of an authorized sports event, or any other sports event compellable with the public interest, by statute and/or rule; 3. A complete and detailed description of the new sports event or type of wager for which approval is sought; 4. Evidence of governing body rules and regulations or independent integrity monitoring of the new sports event or type of wager; and 5. Any other pertinent information or material requested by the Director.

Amendments to previously approved sports events must be filed with the Director for approval prior to implementation, highlighting the amendment(s) with strike through for deletions and underlining additions.

The Director and his/her designated personnel shall review the request. After the review is completed, the Director shall communicate to the operator, in writing, the result of the review and:

1. Shall accept the change as submitted, or
2. Reject the submission as not in the best interest of the State of Maine, or
3. Propose a revision. In this case, the Director will communicate in writing to the operator about further changes that will have to be made to the submission before final approval.

If the operator accepts the Director’s recommended changes, the operator shall make the changes as suggested by the Director and re-submit the request for change document. If the operator does not accept the suggested changes, the request shall be denied.

The Director shall send to the operator an accepted version of the submitted request for change with date and signature signifying approval.

The Director will make every effort to make a determination concerning a submission for change no later than ten (10) business days following receipt of the proposed change unless the Director and the operator agree to extend the period for making such a determination.

An operator or management services provider shall only accept wagers on sports events and other events for which:

1. The outcome can be verified;
2. The outcome can be generated by a reliable and independent process;
3. The outcome cannot be affected by any wager placed; and
4. The event is conducted in conformity with all applicable laws.

Wagers placed in sports wagering lounges or other approved areas within a licensed facility shall be made with:

1. Cash;
2. Cash equivalent;
3. Promotional funds;
4. Sports wagering vouchers or tickets;
5. Value casino gaming chips; or
6. Any other means approved the Director.

The sports events available for wagering shall be displayed in a manner visible to the public, such as odds boards or odds sheets, and the operator's surveillance system. The display shall include the event number, odds, and a brief description of the event.

An operator may, in its discretion, accept a layoff wager from another licensed sports wagering operator. A licensed sports wagering operator placing a layoff wager shall disclose its identity to the other licensed sports wagering operator accepting the wager. These wagers shall be reported to the Director or his/her designee immediately after the wager has been made. Layoff wagers are prohibited with operators in other jurisdictions.

Pool, shared liquidity pool, contest, or weekly pick event means a wagering or promotional offering where patrons may make selections of outcomes on a set number of sports events on a card in order to enter for a chance to win all or a portion of the prize pool.

Prior to offering a pool, contest or weekly pick event that will be made available to patrons in Maine, or a shared liquidity pool available to patrons in Maine and other jurisdictions, with the prize pool being comprised of entry fees collected from patrons in multiple jurisdictions, a sports wagering operator must obtain approval from the Director. The request must provide a detailed description of the pool, shared liquidity pool, contest or weekly pick event, and must include the rules, requirements for entry, the rake and winning pay out(s). Once a sports wagering operator receives approval to offer a pool, shared liquidity pool, contest, or weekly pick event the sports wagering operator shall not be required to seek additional approvals from the Director for each subsequent offering that is substantially similar.

The sports wagering operator shall be responsible for establishing the rake. The sports wagering operator’s rake collected from patrons that enter a pool, shared liquidity pool, contest or weekly pick while located in the State of Maine, less any rake adjustment, if applicable, shall be considered net sports wagering proceeds.

At no time shall the calculation resulting from a rake adjustment be negative.

The rake rate must be the same for all jurisdictions participating in a shared liquidity pool available to patrons in Maine and other jurisdictions.

Agents or proxies shall not be allowed in a wagering offering. A pool, shared liquidity pool, contest or weekly pick event that is offered for promotional or other purpose that do not involve activity that can be characterized as gambling and/or sports wagering in violation of Maine laws and rules must identify any agent and/or proxy acting on behalf of any participant and the name of that individual.

Unauthorized sports wagering participants include any individual whose participation may undermine the integrity of the wagering or the sports event, or any person who is prohibited including, but not limited to:

Any individual placing a wager as an agent or proxy;

Any person who is an athlete, coach, referee, or player, in any sports event overseen by

that person's sports governing body based on a list provided to the sports wagering operators by that person’s sports governing body through the Director;

A person who holds a position of authority or influence sufficient to exert influence over the participants in a sporting contest, including, but not limited to, coaches, managers, handlers, or athletic trainers based on a list provided to the applicable sports wagering operators by that person’s sports governing body through the Director;

A person under the age of 21;

A person with access to certain types of exclusive information on any sports event overseen by that person’s sports governing body based on publicly available information, or based on a list provided to the applicable sports wagering operators by that person’s sports governing body through the Director;

A list provided to the Director by a sports governing body shall be in a format and contain data fields designated by the Director or the Director’s designee. When a list or updated list is provided, the Director will direct that list to all sports wagering operators. This list shall be deemed confidential and only be used for compliance with this rule.

A prohibited sports wagering participant must refrain from engaging in sports wagering in the State of Maine.

A sports wagering operator shall use a commercially reasonable method to confirm that the patron is not a prohibited sports wagering participant.

History

• STATUTORY AUTHORITY: 8 M.R.S. § 1203(2)
• EFFECTIVE DATE: October 29, 2023 – filing 2023-205
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 59 Sports Wagering Kiosks

Code Me. R. 16-633 Ch. 59 Sports Wagering Kiosks {#sec-16-633-ch.-59 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 59}

16 DEPARTMENT OF PUBLIC SAFETY

633 GAMBLING CONTROL UNIT Chapter 59: SPORTS WAGERING KIOSKS

The facility operator or its management service provider may utilize sports wagering kiosks for wagering transactions in conjunction with an approved sports wagering system in a location within the facility approved by the Director.

This rule incorporates by reference the State of Maine Sports Wagering or Associated Equipment Standards, 2022 edition consisting of GLI-20 version 2.0, Standards for Kiosks. Copies of this standard are available through the Maine Department of Public Safety, Gambling Control Unit, 45 Commerce Drive, Augusta, ME 04330.

The Director will make available, upon request, those laboratories approved to certify sports wagering systems for use.

When used to redeem sports wagering tickets or vouchers, sports wagering kiosks shall work in conjunction with an approved sports wagering system and shall be designed to:

1. Accurately obtain the unique identification number of the item presented for redemption and cause such information to be accurately and securely relayed to the sports wagering system for the purpose of redemption;
2. Issue currency or a sports wager voucher or both in exchange for the item presented only if the sports wagering system has authorized and recorded the transaction; and
3. Return a sports wager ticket and voucher to the patron when it cannot be validated by the sports wagering system or is otherwise unredeemable.

When used to redeem sports wager vouchers, the sports wagering kiosk or sports wagering kiosk computer system shall be capable of generating a voucher redemption report and a voucher issuance report for each gaming day. The reports shall include each voucher’s unique identifier, the date and time of redemption or issuance and the value of each voucher.

When used to redeem sports wager tickets, the sports wagering kiosk or sports wagering kiosk computer system shall be capable of generating a ticket redemption report for each gaming day. The report shall include each ticket’s unique identifier, the date and time of redemption or issuance and the value of each ticket.

A sports wagering kiosk used in accordance with this section shall not:

1. Redeem a sports wagering voucher with a value of more than $3,000; or
2. Issue a ticket with a potential payout of more than $10,000.

An operator of a sports wagering kiosk shall replenish kiosk cassettes which shall be completed by alternating personnel from the accounting department and escorted by security and monitored and recorded by surveillance on a schedule approved by the Director or his/her designee.

An operator of a sports wagering kiosk shall remove the bill validator boxes for counting purposes by personnel from the sports wagering department on a schedule approved by the Director while escorted by security, monitored and recorded by surveillance to the count room.

The counting of boxes shall be completed by at least two alternating personnel with incompatible functions in a count room documented by a bounded log consisting of date, time entered, name and time departed for each entry into the room of which the entire process shall also be monitored and/or recorded by surveillance and kept for (14) fourteen calendar days.

Procedures and requirements for conducting the count shall be the following:

1. Personal items or any items other than those required to complete the count shall not be allowed in any count or vault room;
2. Prepare or generate reports that summarizes the total boxes counted by box number, currency, sports wagering tickets, and sports wagering vouchers counted;
3. Complete a dual count of which one shall be manually and reconciliation;
4. Segregation of bills, tickets, or vouchers and resolving any discrepancies;
5. Handling of torn or mutilated bills, tickets, or vouchers;
6. Utilization of counting machines;
7. The contents of each box shall be emptied on the count table and counted separately;
8. The inside of the empty box shall be held up to the full view of a surveillance camera;
9. Transfer the currency to the vault for preparing a bank deposit and any reports; and
10. Maintain original sports wagering tickets and vouchers in a secured location until approved for destruction by the Director after 2 years.

The operators shall reconcile the sports wagering cashiers and kiosks transactions daily by employees with incompatible functions. Any variance of $ 500.00 or more shall be documented by the accounting department and reported in writing to the Director within 72 hours of the end of the gaming day during which the variance was discovered.

The report shall include a surveillance review of all transactions, indicate the cause of the variance, if known, contain any copies of documentation required to support the reason for the variance and the resolve to prevent the variance from taking place in the future, if applicable.

All accounting forms shall be forwarded to the accounting or similar department and filed securely for a period of at least 5 years with Director approval to destroy at the end of that period.

History

• STATUTORY AUTHORITY: 8 M.R.S. § 1203(2)
• EFFECTIVE DATE: October 29, 2023 – filing 2023-206
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 60 Sports Wagering Accounts

Code Me. R. 16-633 Ch. 60 Sports Wagering Accounts {#sec-16-633-ch.-60 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 60}

16 DEPARTMENT OF PUBLIC SAFETY

633 GAMBLING CONTROL UNIT Chapter 60: SPORTS WAGERING ACCOUNTS

The following applies only to mobile sports wagering conducted via an individual's sports wagering account:

All sports wagering systems authorized by this chapter shall be designed to ensure the integrity and confidentiality of all patron communications and ensure the proper identification of the sender and receiver of all communications. If communications are performed across a public or third-party network, the system shall either encrypt the data packets or utilize a secure communications protocol to ensure the integrity and confidentiality of the transmission.

A sports wagering system shall provide a mechanism for the Director to query and export all sports wagering system data in a format required by the Director.

System specifications and sports wagering system logging requirements shall include all information required by the internal controls.

Mobile sports wagering shall be made by patrons who have established a sports wagering account.

In order to establish a sports wagering account, an operator or management services provider shall:

1. Create an electronic patron file, which shall include at a minimum: 1. Patron’s legal name; 2. Patron's date of birth; 3. Entire or last four digits of the patron's social security number or equivalent for a foreign patron such as a passport number or taxpayer identification number; 4. Patron's mobile sports wagering account number; 5. Patron's residential address (a post office box is not acceptable); 6. Patron's electronic mail address; 7. Patron's telephone number; 8. Any other information collected from the patron used to verify his or her identity; 9. The method used to verify the patron's identity; and 10. Date of verification.
2. Encrypt all of the following information contained in an electronic patron file: 1. Patron's social security number or equivalent for a foreign patron such as a passport number or taxpayer identification number; 2. Patron's passwords and/or PINs; and 3. Credit or debit card numbers, bank account numbers, or other personal financial information.
3. Verify the patron's identity in accordance with the document number of the government issued credential examined or other methodology for remote multi- sourced authentication, which may include third-party and governmental databases, as approved by the Director.
4. Require the patron to establish a password and multi-factor authentication or other access security feature as approved by the Director and advise the patron of the ability to utilize "strong authentication" login protection;
5. Verify that the patron is 21 years old or older, not on the unauthorized list, or otherwise prohibited from participation in sports wagering;
6. Record the patron's acceptance of the operator’s terms and conditions to participate in wagering through the mobile application or any authorized digital system accepting wagers online;
7. Record the patron's certification that the information provided to the operator by the individual who registered is accurate;
8. Record the patron's acknowledgement that the legal age for sports wagering is 21, and that he or she is prohibited from allowing any other person to access or use his or her sports wagering account and will be placed on the involuntary list of excluded patrons, if found in violation of this paragraph; and
9. Notify the patron of the establishment of the account via electronic mail or regular mail.

A patron shall have only one sports wagering account for each operator or management services provider. Each sports wagering account shall be:

1. Non-transferable;
2. Unique to the patron who establishes the account; and
3. Distinct from any other account number that the patron may have established with the operator.
4. The operator shall implement procedures to terminate all accounts of any patron that establishes or seeks to establish more than one account, whether directly or by use of another person as proxy. The operator shall also implement capabilities to detect and prevent proxy wagering from occurring on the sports wagering system.

A patron's sports wagering account for mobile sports wagers may be funded using:

1. A patron's deposit account;
2. A patron's deposit of cash or gaming chips at a facility lounge;
3. Promotional or bonus credit;
4. Winnings;
5. Adjustments made by the operator with documented notification to the patron; or
6. Any other means approved by the Director.

An operator or management services provider shall not permit a patron to transfer funds to another patron.

Sports wagering operators shall establish the minimum and maximum wager a patron may make on a single sports bet.

All adjustments to sports wagering accounts for amounts of $250.00 or under shall be periodically reviewed by audit personnel. All adjustments over $250.00 shall be authorized by supervisory personnel prior to being entered and such activity shall be reported to the Director monthly.

An operator’s sports wagering system must employ a mechanism that can detect and prevent any wagering or withdrawal activity by a patron that would result in a negative balance in that patron’s account.

A process to provide patrons with information about their play. This includes history, money spent, games played, net wins/losses, limits history, and any other relevant information.

A process to provide patrons with updates during play about time and money spent and account balances in cash.

Providing credit to patron sports wagering accounts is strictly prohibited.

Sports wagering systems shall require a patron after fifteen minutes of user inactivity, as measured by the electronic wagering system, to re-enter his or her username and password manually or through biometric authentication, or any other method approved by the Department.

An operator’s sports wagering system shall provide an account statement with account details to a patron on demand, which shall include detailed account activity for at least the six months preceding 24 hours prior to the request. In addition, an operator’s sports wagering system shall, upon request, be capable of providing a summary statement of all patron activity during the past year.

The operator shall have specific measures in place to protect their patrons during certain “high risk transactions” on their account, where there is an increased susceptibility to fraud schemes such as bonus abuse, account takeover, payment fraud, or friendly fraud / first party fraud. These high-risk transactions shall be mitigated using biometrics, device fingerprinting, location intelligence and/or other fraud detection techniques. These “high risk transactions” include:

1. Modification of contact information;
2. Addition of a new funding method or modification of an existing funding method;
3. Addition or modification of a withdrawal method;
4. Withdrawal of a certain amount, however this threshold can be raised for specific patrons, provided the operator utilizes analytical tools determining an individual patron’s transactional behavior and establish “high-risk” threshold on an individual basis based on historical activity; and
5. Activity from an OFAC restricted region.

An operator shall maintain a segregated account separate from all other operating accounts to ensure the security of funds held in patron sports wagering accounts. The balance maintained in the segregated account shall be greater than or equal to the sum of the daily ending cashable balance of all patron sports wagering accounts, funds on game, and pending withdrawals. An operator shall have unfettered access to all patron sports wagering account and transaction data to ensure the amount held in its independent account is sufficient. The operator shall file a monthly attestation with the Director that the funds have been safeguarded pursuant to this subsection.

An operator or management services provider shall periodically re-verify a patron's identification upon reasonable suspicion that the patron's identification has been compromised.

A mobile sports wagering system shall provide a conspicuous and readily accessible method for a patron to close his or her account through the account management or similar page. Any balance remaining in a patron's sports wagering account closed by a patron shall be refunded pursuant to the operator’s approved internal controls.

Operators shall obtain a bond in the amount of Five Hundred Thousand Dollars ($500,000.00) in order to conduct sports wagering in the State of Maine. The bond will be used to fund the reserve. The company issuing the bond shall be financially rated “A” or better by a nationally recognized rating agency and duly licensed, admitted, and authorized to transact business in the State of Maine. Operators shall provide the original bond to the Director. The bond shall be renewable annually and shall list the Director as oblige of the bond. The bond may not be cancelled without prior approval from the Director.

Operators shall also maintain a reserve in the form of cash, cash equivalents, irrevocable letter of credit, in addition to the above-referenced bond, of not less than the amount necessary to ensure the ability to cover the outstanding liability related to the sports wagering accounts.

The outstanding liability of sports wagering accounts shall be the sum of the following amounts:

1. Amounts held by the operator for sports wagering accounts:
2. Aggregate amounts accepted by the operator as wagers on sports events with outcomes that have not been determined; and
3. Amounts owed but unpaid by the operator on winning wagers.

Operators must receive Director approval to remove, release, or withdraw funds that are held in the reserve account that are in excess of the operator's reserve requirement.

Operators shall calculate their reserve requirements each day. In the event an operator determines that its reserve is not sufficient to cover the calculated requirement, the operator, within twenty-four (24) hours, must notify the Unit auditor assigned to sports wagering activity of this occurrence and indicate the steps the operator has taken to remedy any deficiency. All reserve funds must be held with a financial institution that is federally insured by the FDIC or NCUA and lawfully operating in Maine.

The sports wagering system shall have access to reporting, analytics, and automation capabilities to ensure ongoing prevention and reporting of fraudulent activities, including but not limited to:

1. Real time monitoring tools and recurring reports detecting all fraud types including bonus abuse, identity theft, account takeover, bot abuse, fraudulent chargebacks, payment fraud and collusion;
2. Recurring reports focused on patron analytics at the following levels: device, account, and location;
3. Detection and cessation of organized fraud groups, fraud rings;
4. Provide link analysis between locations, accounts and devices;
5. Prevent the victimization of genuine individuals;
6. Identify and mitigate locations that are deemed high risk, eg. and/or where rapid account creation is identified and occurring; suspicious activity, fraud rings, etc.;
7. Suspend devices and accounts when deemed highly suspicious;
8. Suspicious Activity Report (SARs);
9. Prior to conducting internet/mobile gaming, internet/mobile sports wagering or establishing an account, the operator shall develop and implement a policy for the handling of patrons discovered to be using an account in a fraudulent manner, that includes but is not limited to: 1. The maintenance of information about any patron’s activity, such that if fraudulent activity is detected the regulatory authority and/or law enforcement has all of the necessary information to investigate and take appropriate action; 2. The suspension process for any account discovered to be providing access to fraudulent patrons; and 3. The treatment of deposits, wagers, and wins associated with a fraudulent account.

A sports wagering account shall be suspended under the following conditions:

1. When requested by the patron for a specified period of time, which must not be less than seventy-two hours;
2. When required by the Director;
3. When an operator determines that the patron is a prohibited sports wagering participant; or
4. When an operator has evidence that indicates that the account has been used for illegal activity; that the account has a negative balance; or that the patron has violated the account’s terms and conditions.

When a sports wagering account is suspended, the operator must do all of the following:

1. Prevent the patron from placing sports wagers;
2. Prevent the patron from depositing funds unless the account is suspended due to having a negative balance, but only to the extent the account balance is brought back to zero dollars;
3. Prevent the patron from withdrawing funds from their account, unless the operator determines that the funds have cleared, and that the reason(s) for suspension would not prohibit a withdrawal;
4. Prevent the patron from making changes to their account;
5. Prevent the patron from permanently closing their account; and
6. Prominently display to the patron that their account is suspended, the restrictions placed on their account, and any further course of action needed to lift the suspension.

An account suspension may be lifted for any of the following reasons:

1. Upon expiration of the time period established by the patron;
2. If authorized by the Director;
3. When the patron is no longer a prohibited sports wagering participant; or
4. When the operator has investigated the evidence of illegal activity, a negative account balance, or a violation of the account’s terms and conditions, and determined that the suspension should be lifted.

History

• STATUTORY AUTHORITY: 8 M.R.S. § 1203(2)
• EFFECTIVE DATE: October 29, 2023 – filing 2023-207
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 61 Sports Wagering Revenue Reconciliations

Code Me. R. 16-633 Ch. 61 Sports Wagering Revenue Reconciliations {#sec-16-633-ch.-61 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 61}

Payments due to the state for sports wagering operations shall be due by 5:00 pm EST on April 10^th, July 10^th, October 10^th and January 10^th for each previous quarter in the calendar year. The tax imposed on the adjusted gross sports wagering receipts is 10% due to the Director for distribution by the Treasurer of State. Late payments shall be charged a 1.5% interest fee on the unpaid balance per month until paid in addition to any monetary disciplinary action for violation of this rule.

For calculating gross sports wagering revenue due the state, free play, sign on bonuses or any other marketing promotion shall not be given credit towards the calculation of adjusted gross wagering receipts.

A list of all reports available from the sports wagering system and a brief description shall be part of the internal controls approved by the Director.

The sports wagering system shall be required to generate reports of adjusted gross sports wagering receipts, wagering liability, ticket redemption, and such other information relating to sports wagering as deemed necessary by the Director. Such reporting shall be done using cash basis accounting.

All required reports shall be generated by the sports wagering system, even if the period specified contains no data to be presented. The report generated shall indicate all required information and may contain an indication of "No Activity" or similar message if no data appears for the period specified.

All system generated data required by this rule must be available in report image formats as well as database type formats as approved by the Director.

A sports wagering system shall, at a minimum, generate the daily reports for each gaming day in order to calculate the taxable revenue or to ensure the integrity of operations related to operating sports wagering.

All reports available by any sports wagering system shall be immediately available upon request by the Director and forwarded to the auditor assigned to the sports wagering area.

History

• STATUTORY AUTHORITY: 8 M.R.S. § 1203(2)
• EFFECTIVE DATE: October 29, 2023 – filing 2023-208
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 62 Geolocation and Remote Access

Code Me. R. 16-633 Ch. 62 Geolocation and Remote Access {#sec-16-633-ch.-62 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 62}

A mobile operator or management services provider shall only accept mobile wagers from patrons that have been affirmatively located as being physically present in the State of Maine at the time of their wager.

In order to prevent unauthorized use of a mobile sports wagering system, the operator or management services provider must utilize a geolocation system to reasonably detect the physical location of a patron attempting to access the mobile sports wagering system; and to monitor and block unauthorized attempts to access the mobile sports wagering system.

Geolocation timing and verification frequency:

1. To ensure the patron is continually located within the permitted boundary, and that the device maintains compliance to all geolocation and fraud requirements throughout the wagering session, the mobile sports wagering system must be equipped to dynamically monitor the patron's location and block unauthorized attempts to access the system throughout the duration of the patron session.
2. The internet or mobile sports wagering system shall trigger: 1. A geolocation check prior to the placement of the first bet or wager; 2. Recurring periodic geolocation checks, if a patron session is longer than a single bet or wager, shall be administered as follows: 1. Static connections: recheck at least every twenty (20) minutes or five (5) minutes if within one (1) mile of the border. 2. Mobile connections: recheck intervals to be based on a patron's proximity to the border with an assumed travel velocity of 65 miles per hour or a demonstrated average velocity of a roadway/path. This interval shall not exceed twenty (20) minutes. 3. Upon a change of IP address, a geolocation check shall occur prior to placement of the next wager; 4. An immediate recheck if the patron cannot be located due to a momentary absence of location data mid-session (and the immediately preceding geolocation check during the same wagering session was successful). A total of five (5) rechecks within a period of 5 minutes are permitted in this scenario; thereafter, wagering must cease if the patron cannot be successfully located. Exercising this option is acceptable only when the device is accessing the internet utilizing a static (non-mobile) access point. 5. If all required geolocation rechecks have been exhausted, and the location of the patron is still inconclusive, the mobile sports wagering system may permit the patron to complete their current round of play, including any continuation bets, before their wagering session is terminated.

The geolocation service provider shall provide the regulator with a real-time dashboard tool and data feed which:

Is customizable and provides geolocation data and visuals on demand.

Provides historical geolocation data up to six months prior.

Displays and is filterable by, at a minimum, the following data:

Time period;

Username;

Operator name;

Device identifier;

Country, state/province, city;

Passed/failed transactions and failure reasons;

IP address;

Device type and device operating system; and

Distance to border or boundary

Provides an interactive mapping tool capable of:

Displaying locations of geolocation transactions;

Geofencing to building level; and

Using coordinates to pinpoint locations.

Provides data, visuals, and reporting capabilities identifying suspicious activity, including:

Malicious or repeated location spoofing;

Account sharing and device sharing;

Inconsistent locations (location jumping); and

Other high-risk transactional data.

Tools should comply with data privacy and security standards and regulations to protect user data and privacy.

A geolocation system supplier shall be licensed in the state as a sports wagering supplier.

A Geolocation system shall, prior to use, undergo a system certification conducted by an independent testing laboratory, approved by the Director. Specific requirements may also be issued by the Director at times when updates or changes are required.

History

• STATUTORY AUTHORITY: 8 M.R.S. §1203(2)
• EFFECTIVE DATE: October 29, 2023 – filing 2023-209
• AMENDED: April 7, 2024 – filing 2024-083
• AMENDED: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 63 Responsible Wagering Program

Code Me. R. 16-633 Ch. 63 Responsible Wagering Program {#sec-16-633-ch.-63 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 63}

Each facility or mobile license applicant shall propose a responsible wagering program as an element of its license application. An operator shall maintain its plan for as long as the operator accepts wagers in the State of Maine. An operator may propose amendments to its responsible wagering program provided it submits the amendment for approval by the Director at least thirty (30) calendar days before the proposed effective date of any changes to the plan.

The responsible wagering program shall include, at a minimum, the following unauthorized list requirements:

A clear statement of policy and commitment, training, procedures, and certification of implementation to begin at time of licensure;

A process for individuals to make a request to be placed on the unauthorized list on a form(s) approved by the Director, which shall include;

Any person may request to be added to the unauthorized list pursuant to these rules by appearing in person at an office of the State of Maine Gambling Control Unit, a licensed facility operator; or

An affiliate office of the Problem Gambling Services Provider of the Maine Center for Disease Control and Prevention; or

Links provided by the Gambling Control Unit, mobile operator or management services provider website to the problem gambling service provider for a virtual request to the unauthorized list.

A procedure to satisfy and or close prior wagers and accounts before being accepted to the unauthorized list;

A procedure for removing a person from a licensed facility or preventing or cancelling a wager from a mobile operator who is on the unauthorized list;

Identify the procedures designed to prevent promotional materials or communications from being directed specifically to individuals who have been added to the unauthorized list, applied a restriction on their account or who have requested that they not receive such materials or communications;

A clear and conspicuous display on the operator's website(s), mobile app(s) or advertisements indicating that it is unlawful for a person under twenty-one (21) years of age to wager on sports in the State of Maine;

A plan for providing comprehensive responsible wagering training to employees who may interact with patrons or mobile operator employees to respond to circumstances in which sports wagering account activity may indicate signs that are consistent with gambling addiction, including annual refresher training;

Time frames available for placement on the unauthorized list shall be available for terms of one, three or five years initially and shall automatically terminate upon expiration. The expiration will occur on the last day of the month of the original request for placement on the unauthorized list;

Procedures for the interception of sports wagering winnings to pay child support debt as required in Title 8, Chapter 35, §1217; and

Upon completion of one of the three terms in (H.) a person may request lifetime and shall be required to complete ten years before being able to request removal from the list which shall be in writing and submitted to the Director.

The Gambling Control Unit will maintain the official unauthorized list and notify each operator of any addition to or deletion from the list by password protected electronic mail or fax and on a monthly basis will provide the entire list.

A responsible wagering program shall include, at a minimum, the following restriction requirements:

A clear statement of policy and commitment, training, procedures, and certification of implementation to begin at time of licensure;

A process for the operator to prevent individuals who have requested restrictions from placing wagers. For each individual who makes such a request, operators shall provide the individual with additional responsible wagering resources; and

Restrictions shall be offered at a minimum for the following:

Amounts wagering;

Time from wagering;

Deposit amounts; and

Session-times.

A plan for making responsible wagering information available and legible on the operator's website(s), mobile app(s) or advertisements including publication of the 1-800 GAMBLER helpline.

The height of the font used for responsible wagering messaging must be at least the same size as the majority of the text used in the operator’s webpage or profile page.

Information furnished to or obtained by the Director pursuant to this chapter will be deemed confidential and will not be disclosed except in accordance with this chapter or as required by statute.

Sports wagering licensees, their employees, or agents thereof, may not disclose the unauthorized list or any information about a person who has requested to be on the unauthorized list except as necessary to comply with this chapter or as otherwise required by law.

History

• STATUTORY AUTHORITY: 8 M.R.S. § 1203(2)
• EFFECTIVE DATE: October 29, 2023 – filing 2023-210
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 64 Advertising and Promotions

Code Me. R. 16-633 Ch. 64 Advertising and Promotions {#sec-16-633-ch.-64 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 64}

16 DEPARTMENT OF PUBLIC SAFETY

634 GAMBLING CONTROL UNIT Chapter 64: ADVERTISING AND PROMOTIONS

Each sports wagering operator shall retain a copy of all advertising, marketing, branding and other promotional materials promoting or intended to promote any sports wagering, including a log of when, how, and with whom, those materials have been published, aired, displayed, or disseminated, for five (5) years. Each sports wagering operator shall provide a complete copy of any sports wagering advertising or marketing materials to the Director, or their designee, upon request. Sports wagering operators shall disclose to the Director all social media platforms on which they advertise, or market sports wagering and will provide clear identification of every account the operator, or someone on the operator’s behalf, uses to advertise or market sports wagering on each social media platform. For all directed or targeted advertising and marketing, a sports wagering operator shall maintain records sufficient to describe all targeting parameters used.

All advertising, marketing, branding, and other promotional materials by a sports wagering operator related to sports wagering and the log described in section (1), above, shall be made available to the Director or his/her designee upon request.

All advertising and promotions by a sports wagering operator related to sports wagering shall comply with the following standards:

1. Inaccurate or misleading statements regarding the likelihood of winning are prohibited;
2. Guarantees of success, riches or gambling winnings are prohibited;
3. Depictions of the use of alcohol and tobacco are prohibited;
4. The use of cartoon characters, professional or Olympic athletes, celebrities, entertainers, images, symbols and or language designed to appeal specifically to those under 21 years old is prohibited;
5. Depictions of persons under the age of 21 engaged in sports wagering is prohibited;
6. Sports wagering shall not be advertised or marketed in or on any Maine college or university campus that is targeted at or distributed in such a way to reach an audience that is primarily under 21 years of age except via generally available advertising;
7. Flyers, handouts or in person account signups shall not be distributed to or used for any person under 21 years of age;
8. No sports wagering message or logo, including trademarks or brand names, should be used or licensed for use on clothing, toys, games or game equipment for sale in Maine intended primarily for persons below the age of 21;
9. Sports wagering advertising must include a disclaimer as follows: “Persons under 21 years of age may not participate in sports wagering” and the 1-800 GAMBLER hotline phone number shall be included for assistance;
10. Sports wagering advertising must not state or imply an endorsement by a minor; and
11. Sports wagering advertising must not specifically target sports wagering patrons who have a gambling addiction, including sports wagering patrons who have requested to be restricted from play temporarily or excluded formally from access to sports wagering systems.

All sports wagering licensees shall be responsible for the content and conduct of any and all sports wagering advertising, marketing, or branding done on its behalf or to its benefit whether conducted by the licensee, an employee, an affiliate, or any other person or entity.

Offer terms and the record of all offers related to sports wagering shall include at a minimum:

The date and time presented;

The date and time the offer is active and expires;

Patron eligibility, including any limitations on patron participation;

Any restriction on withdrawals of funds;

The ability to unsubscribe from direct marketing (i.e. email, text, regular mail);

Wagering requirements and limitations;

The order in which funds are used for wagers;

Eligible events or wagers; and

Rules regarding cancellation.

All promotions and bonuses related to sports wagering must:

Include terms and conditions that are full, accurate, clear, concise, transparent and do not contain misleading information;

Ensure advertising materials include material terms and conditions for that promotion or bonus and have those material terms in close proximity to the headline claim of the promotion or bonus;

Disclose applicable terms if the patron has to risk or lose the patron's own money as part of the promotion or bonus or has conditions attached to the patron's own money as a result of the promotion or bonus;

Not be described as risk free if the patron needs to incur any loss or risk the patron's own money to use or withdraw winnings from the risk-free bet; and

Not restrict the patron from withdrawing the patron’s own funds or withdrawing winnings from bets placed using the patron’s own funds.

For calculating gross sports wagering revenue due the state, free play, sign on bonuses or any other marketing promotion shall not be given credit towards the calculation of adjusted gross wagering receipts.

History

• STATUTORY AUTHORITY: 8 M.R.S. § 1203(2)
• EFFECTIVE DATE: October 29, 2023 – filing 2023-211
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 65 Management Service Contract Criteria

Code Me. R. 16-633 Ch. 65 Management Services Contract Criteria {#sec-16-633-ch.-65 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 65}

This rule establishes the criteria that will be used to approve a contract more than 30% but not more than 40% of the operator’s adjusted gross wagering receipts if the Director determines that the management services provider demonstrates that the additional percentage is commercially reasonable in relation to the capital investments and operator’s projected adjusted gross sports wagering receipts. The rule ensures transparency and consistency in the deciding factors.

The following words and terms shall have the following meanings unless the context indicates otherwise:

1. “Commercially reasonable” means that the particular arrangement furthers a legitimate business purpose of the parties to the arrangement and is sensible, considering the characteristic of the parties, including their size, type, scope and specialty.
2. “Capital investments” means an expenditure of money or permanent fixed assets to fund a company’s long-term growth.

Management services providers shall submit in addition to the application for licensure as a management services provider in the State of Maine, the following:

1. Up to two contracts with facility or mobile sports operators in other jurisdictions to establish basic services with redactions as necessary for confidentiality;
2. Written explanation of any projected adjusted gross sports wagering receipts to warrant the increase above 30%, but not more than 40% and if any of those projections are not met, what the adjustment will be, if any;
3. Written explanation of the capital investments of the management services provider to warrant the increase above 30%, but not more than 40%;
4. Written explanation of the commercially reasonable arrangement between the management services provider and facility or mobile operator;
5. Include that the contract does not exclude the facility operator, mobile operator or management services provider from any disciplinary action under Title 8, Chapter 35 of the Maine Revised Statutes as a result of one or the other’s actions.

History

• STATUTORY AUTHORITY: 8 M.R.S. § 1203(2)
• EFFECTIVE DATE: October 29, 2023 – filing 2023-212
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 66 Complaints and Disciplinary Actions

Code Me. R. 16-633 Ch. 66 Complaints and Disciplinary Actions {#sec-16-633-ch.-66 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 66}

This rule establishes procedures for the investigation and resolution of complaints received by the Director. This rule should be read in conjunction with the statutory provisions for adjudicatory proceedings in the Maine Administrative Procedure Act . The rule helps to ensure that the investigation and resolution of complaints are handled in an expeditious and procedurally fair manner.

An operator must make contact information for complaints and dispute resolution, as well as a link to the Gambling Control Unit’s website, readily accessible to sports wagering patrons through the communication channel used to access the sports wagering system and available through brochures and or signage at facility operator locations.

Mobile operators shall have a guest service link to resolve inquiries such as “password reset”.

Patrons must be able to lodge complaints and disputes any time of the day and any day of the week. Operators must respond to the complaint within 48 hours of receipt of the initial complaint.

A sports wagering operator shall attempt to resolve all patron disputes with a patron. A sports wagering operator shall investigate each patron complaint and provide a response to the patron within ten (10) business days and provide a copy of the response to the Director. The response shall inform the patron of their right to appeal the decision of the operator to the Director.

With a request for appeal from the patron, the Director shall conduct whatever investigation is necessary and must determine whether a different resolution shall be made. A Unit inspector may investigate the dispute and shall report to the Director for a decision.

The Director must notify the operator and the patron in writing of the Director’s decision regarding the dispute, within ten (10) business days after the completion of the investigation.

A patron or operator aggrieved by the decision of the Director may appeal the decision to the Commissioner of Public Safety for a final decision. After review, the Commissioner shall issue a decision to uphold, modify or overrule the Director's decision. In the case of appeal to the Commissioner, the patron or operator must be afforded the opportunity for an adjudicatory hearing in accordance with this chapter and the Maine Administrative Procedure Act at the expense of the patron or operator, if applicable. A person aggrieved by the final decision of the Commissioner may appeal the Commissioner's decision to the Superior Court in accordance with Title 5, chapter 375, subchapter 7.

An operator must maintain records of all correspondence relating to a patron’s complaint and/or dispute for a period of five years.

All complaints that are submitted to the Director must be in writing. The Director may initiate a complaint alleging any ground for disciplinary action.

The Director may investigate complaints in accordance with 8 M.R.S. §1205(3).

The Director may review all complaints and investigative files.

Sanctions under 8 M.R.S. §1205(4) may be proposed by the Director or imposed by the Commissioner after a hearing.

If the Director determines that the complaint is or may be true and the violation is of sufficient gravity to warrant further action, the Director may take appropriate action against an application or license in a written decision that informs the operator, management services provider, or other licensee of the right to appeal the decision to the Commissioner for a final decision in accordance with 8 M.R.S. § 1205(5).

1. The written decision shall state the alleged violation, the statute or rule believed to have been violated, and the proposed resolution, and shall inform the operator, management services provider, or other licensee that the operator, management services provider, or other licensee has the right to request a hearing before the Commissioner.
2. Service of the decision is complete upon mailing to the party or the party's attorney using the last known address, or upon in-hand delivery to the recipient or the recipient's office.
3. The operator, management services provider, or other licensee must file a written request for hearing within 30 days of receipt of the decision that informs the operator, management service provider, or other licensee of the opportunity for hearing. The request is considered filed when received by the Director by mail, in-hand delivery or electronic mail.
4. Failure to make a timely request for hearing shall be a waiver of any right to a hearing and may result in the proposed action becoming final without further hearing, in accordance with 5 M.R.S. §9053(3), if the notice informed the operator, management services provider, or other licensee of the possibility of default.

For each violation of Maine Revised Statutes, Title 8, chapter 35, the rules adopted pursuant to that chapter, or conditions of licensure, the Director may take one or more of the following actions in accordance with Maine Revised Statutes, Title 8, chapter 35:

1. A written reprimand;
2. Issue a probationary license with conditions;
3. Suspend a license;
4. Revoke a license; or
5. Impose a civil penalty of up to $25,000.00 per violation of any provision of this chapter or rule adopted pursuant to this chapter.

History

• STATUTORY AUTHORITY: 8 M.R.S. § 1203(2)
• EFFECTIVE DATE: October 29, 2023 – filing 2023-213
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025

Chapter 67 Involuntary Placement of Persons on the Unauthorized Persons List

Code Me. R. 16-633 Ch. 67 Involuntary Placement of Persons on the Unauthorized Persons List {#sec-16-633-ch.-67 omnilex-key=us-me-regs-official--dept-public-safety--16-633 Ch. 67}

The Director shall maintain a list of those persons who have been placed on the unauthorized person list involuntarily.

Persons who may be involuntarily placed on the unauthorized persons list include:

1. Any individual whose participation may undermine the integrity of the wagering or the sports event;
2. Any individual who has placed a wager as an agent or proxy, as demonstrated by reliable evidence;
3. Any career or professional offenders whose presence in the facility or on a wagering system would be inimical to the interest of the State, including persons whose gambling or sports wagering licenses have been revoked or are currently under suspension as a result of disciplinary action in this State or another gambling jurisdiction; and persons convicted of sports wagering-related or gambling-related offenses, including violations of Title 8 M.R.S. Chapters 31 or 35; Title 17, Chapters 13-A or -62; Title 17-A, Chapter 39; other sports wagering-related or gambling-related offenses in violation of Maine law; and substantially similar offenses in other jurisdictions;
4. Persons subject to an order of a court regarding a sports wagering, casino or gambling- related incident or an order of a regulatory agency excluding such persons from sports wagering activities or gambling facilities;
5. Persons who have been convicted of a crime involving dishonesty or false statement;
6. Persons who pose a threat to the safety of patrons or employees; and
7. Persons whose conduct or documented history of conduct involves the undue disruption of the wagering operations, including but not limited to criminal mischief, disorderly conduct, harassment, or cheating.

Persons may only be entered on the Director’s unauthorized person list pursuant to the following procedures:

1. Upon receipt of information that a person meets any criteria in Section (2) above, the Director shall notify the person in writing of placement of the person's name on the unauthorized persons list and the reasons for that decision;
2. The person may, within 30 days of receipt of this notice, appeal that determination to the Commissioner pursuant to 8 M.R.S.A. §1205(3);
3. The request for appeal must be made in writing and outline the factual and legal basis for the appeal;
4. If no request for appeal is timely received, the decision becomes final, and the Director shall notify licensed Operators of the person's placement on the list.

The Involuntary Unauthorized Persons list shall contain the following information:

1. The person's full name, and known aliases or nicknames;
2. Date of birth;
3. The basis for the person’s addition to the list;
4. A physical description of the person including height, weight, gender, hair color, eye color and any other physical characteristic that may assist in the identification of the person;
5. The effective date the person's name was placed on the Involuntary Unauthorized Persons list; and
6. A photograph of the person, if available.

The Involuntary Unauthorized Persons list will be updated by the Director or their designee on a monthly basis and the list will be circulated to licensed Operators on a monthly basis.

Removal from the Involuntary Unauthorized Persons list is available under the following procedures:

1. Persons on the Involuntary Unauthorized Persons list may petition to have their name removed from the list one year after placement on the list by filing a request in writing to the Director. The request must state with specificity the reasons for the request and include documentation of material changes in the circumstances underlying the basis for exclusion.
2. If the Director grants the request, the person's name shall be removed from the Involuntary Unauthorized Persons list. The Director or their designee shall delete the name of the person from the list and notify each Operator of such deletion from the list as described in Section 4.

All Operators who control patron access will develop procedures to keep persons on the Involuntary Unauthorized Persons list from accessing the Operator’s sports wagering facilities or mobile systems. These procedures must be reviewed and approved by the Director. The procedures must include detailed processes for:

1. Detecting when persons who are currently on the Involuntary Unauthorized Persons list are attempting to access the sports wagering facility or mobile system;
2. Preventing persons who are currently on the Involuntary Unauthorized Persons list from accessing the sports wagering facility or mobile system; and
3. Upon discovery of a person who is currently on the Involuntary Unauthorized Persons list, removal from the sports wagering area or sports wagering mobile system.

Operators must submit any changes to their procedures outlined in Section 6 above for review and approval by the Director 45 days prior to the anticipated effective date of the new procedures.

History

• STATUTORY AUTHORITY: Title 8 M.R.S.A. §1203(2)(K)
• EFFECTIVE DATE: April 7, 2024 – filing 2024-084
• EFFECTIVE DATE: APAO WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 18, 2025