The Massachusetts Register

Issue: 1089, Date: 10/19/2007

Published by: The Secretary of the Commonwealth, William Francis Galvin, Secretary $10.00

THE COMMONWEALTH OF MASSACHUSETTS Secretary of the Commonwealth - William Francis Galvin The Massachusetts Register

TABLE OF CONTENTS

Page - THE GENERAL COURT Acts and Resolves 1

- OFFICE OF THE GOVERNOR Executive Order No. 490: Mandating Preparation, Review, Updating, and Electronic 3 Management of Continuity of Government and Continuity of Operations Plans Revoking and Superseding Executive Order No. 475 - DIVISION OF HEALTH CARE FINANCE AND POLICY Informational Bulletin 07-09: 114.3 CMR 43.00: Hospice Services 7

Informational Bulletin 07-10: 114.3 CMR 50.00: Home Health Services 10

Informational Bulletin 07-11: 114.3 CMR 22.00: Durable Medical Equipment, 11 Oxygen and Respiratory Therapy Equipment - ADMINISTRATIVE PROCEDURES Notice of Public Review of Prospective Regulations 12

Cumulative Table 17

Emergency Expiration 31

Emergency Regulations 35

Permanent Regulations 41

MASSACHUSETTS REGISTER (THE) (ISSN-08963681) is published biweekly for $300.00 per year by the Secretary fo the Commonwelath, State House, Boston, MA 02133. Second Class postage is paid at Boston, MA. POSTMASTER: Send address chagne to: Massachusetts Register, State Bookstore, Room 116, State House, Boston, MA 02133.The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Page

Emergency Expiration

322 CMR Marine Fisheries, Division of

4.0 Fishing and Shellfish Equipment 31 Implements reduced incidental landing/possession limit for lobster harvested by gillnet gear in the Outer Cape Cod Lobster Conservation Management Area to support sustainable harvest and achievement of conservation goals.

6.0 Regulation of Catches 33 Implements reduced incidental landing/possession limit for lobster harvested by gillnet gear in the Outer Cape Cod Lobster Conservation Management Area to support sustainable harvest and achievement of conservation goals.

Emergency Regulations

106 CMR Transitional Assistance, Department of

364.000 Food Stamp Program: Determining Household Eligibility and Benefit Level 35 Implements cost-of-living increases mandated by the United States Department of Agriculture as follows: The maximum food stamp benefit levels for all assistance unit sizes have increased. The Gross, Net and 165% Income Eligibility Standards have increased. The maximum Shelter Deduction (for assistance units not containing an elderly or disabled member) has increased to $ 431. The heating standard utility allowance has increased to $534. The nonheating standard utility allowance has increased to $334. The telephone standard utility allowance has increased to $39.

322 CMR Marine Fisheries, Division of

4.00 Fishing & Shellfish Equipment 37 Implements reduced incidental landing/possession limit for lobster harvested by gillnet gear in the Outer Cape Cod Lobster Conservation Management Area to support sustainable harvest and achievement of conservation goals.

6.00 Regulation of Catches 39 Implements reduced incidental landing/possession limit for lobster harvested by gillnet gear in the Outer Cape Cod Lobster Conservation Management Area to support sustainable harvest and achievement of conservation goals.

Permanent Regulations

106 CMR Transitional Assistance, Department of

204.000 Transitional Aid to Families with Dependent Children: Financial Eligibility 41

362.00 Food Stamp Program: Nonfinancial Eligibility Standards 43

129 CMR Health Care Quality and Cost Council

2.00 Uniform Reporting System For Health Care Claims Data Sets 45 Requires insurers and third party administrators (TPAs), as defined at M.G.L. c. 6A, §1 6J, to submit health care claims datasets. The datasets shall include de-identified patient-level claims data, including member eligibility, medical claims and pharmacy claims files, as well as HEDIS and CAHPS quality of care survey data. The datasets will include information such as patient diagnosis, procedure, pharmacy and revenue codes; charges; payment amounts; provider information; and member demographic information. The datasets shall not include personal data that identifies an individual patient, such as name, address and social security number. The Council shall protect the privacy, security and confidentiality of the data, in compliance with the provisions of M.G.L. c. 66A, the Fair Information Practices Act, and federal HIPAA requirements.

130 CMR Medical Assistance, Division of

403.000 Home Health Agency 47 Clarifies the description of eligibility for home health services; revises payment rules for skilled nursing visits; alters requirements for approvals on providing services to members aged 60 or older; creates new requirements for those members enrolled in the Primary Care Clinician (PCC) Plan; and clarifies provider eligibility language.

450.000 Administrative and Billing Regulations 49 Clarifies the methods for calculating both member and MassHealth liability when the member has other insurance and the provider has agreed to accept less than its charges from the other insurer.

450.000 Administrative and Billing Regulations 51

505.000 MassHealth: Coverage Types 53 Bring MassHealth Family Assistance premium assistance into compliance with health-care reform law.

506.00 MassHealth: Financial Requirements 55

650.000 Insurance Partnership Employer Regulatiions 57

211 CMR Insurance, Division of

79.00 Private Passenger Motor Vehicle Insurance Rates 59

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Page 211 CMR 79.00 applies to Rates and premium charges for all types of coverages under private passenger motor vehicle insurance policies, including, but not limited to, the form and content of Rate and Advisory Filings for the Voluntary Market in accordance with M.G.L. c. 175E and M.G.L. c. 175A; Residual Market Rate Filings in accordance with M.G.L. c. 175A; activities of Rating Organizations, and the conduct of hearings and related proceedings under M.G.L. c. 175A and M.G.L. c. 175E

225 CMR Executive Office of Economic Development

14.00 Division of Energy Resources 61 Iimplements the statutory mandate in M.G.L. c. 25A, § 11F that requires all retail electricity suppliers selling electricity to end-use customers in the Commonwealth to obtain specific minimum percentages of their electricity supply from new renewable energy generation sources according to a prescribed schedule.

257 CMR Operators of Wastewater Treatment Facilities, Board of Registration of 2.00 Certification of Operators of Wastewater Treatment Facilities 63

310 CMR Environmental Protection, Department of

1.00 Adjudicatory Proceedings 65 Cross reference from adjudicatory procedure rule for new adjudicatory hearing procedure for appeal pursuant to 310 CMR 10.05.

10.00 Wetlands Protection 67 Establishes procedural rules for the conduct of hearings and resolution of appeals before the Department of Environmental Protection.

4.00 Timely Action Schedule and Fee Provisions 69

44.00 DEP Selection, Approval and Regulation of Water Pollution Abatement 71 Projects Receiving Financial Assistance from the State Revolving Fund Sets forth the Department's authority and responsibilities to select, approve and regulate water pollution abatement projects receiving financial assistance under the State Revolving Fund (SRF) program

7.00 Air Pollution Control 73 Further reduces emissions of volatile organic compounds (VOCs) from architectural and industrial maintenance (AIM) coatings (e.g., paints, stains, varnishes, etc.) and consumer products (e.g., household cleaners, hairsprays, etc.). VOC emissions contribute to the formation of ground-level ozone. Massachusetts is currently in non-attainment of the 8-hour ozone National Ambient Air Quality Standard. These regulations will be submitted to the United States Environmental Protection Agency (EPA) as part of the Massachusetts Ozone State Implementation Plan (SIP).

314 CMR Division of Water Pollution Control The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Page

7.00 Sewer System Extensions and Connection Permit Program 75

322 CMR Marine Fisheries, Division of

6.00 Regulation of Catches 77 Implements amended maximum size and v-notch regulations for commercial and recreational fishermen harvesting lobsters in LCMAs 2, 3, 4, 5, & 6 and the Southern New England Recreational Lobster Area in compliance with Addendum XI to the Interstate Fishery Management Plan for American Lobster; establishes a 100-lb. possession limit and prohibition on finning for smooth dogfish; and amends state regulations governing mobile gear harvest of loligo squid to complement current federal trimester quota system.

8.00 Coastal Fisheries Conservation and Management 79 Reduces the recreational possession limit for weakfish from 10 to 6 fish as required by Addendum II to the Interstate Fishery Management Plan for weakfish

930 CMR Ethics Commission, State

5.00 Exemptions from M.G.L. c. 268A 81 Provides reasonable exemptions from the provisions of M.G.L. c. 268A, §§ 3 through 7, 11 through 14, 17 through 20, and 23. Includes exemptions related to public employees receiving gifts, benefits and payments of travel and admissions; state employees receiving payments from the Department of Social Services; and public employees participating in and disclosing interests in school fees.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Acts 2007 CHAPTER BILL TITLE DATE NUMBER NUMBER

114 S 1870 Relative to Brain Aneurysm Awareness Month. 9/13/2007

115 H 4167 Relative to Garages in the First Fire Zone in the City of Boston. 9/19/2007

116 H 4210 Establishing a Sick Leave Bank for Mary Hardiman, an 9/26/2007 Employee of the Department of Public Health.

117 S 1169 Authorizing the Springfield Water and Sewer Commission to 9/26/2007 Convey Certain Land.

118 H 4225 Establishing a Sick Leave Bank for Karen Byrnes, an Employee 9/26/2007 of the Department of Conservation and Recreation.

119 H 4117 Relative to the School Department of the Town of Tewksbury. This bill was returned by the Governor to the House of Represent- atives, the branch in which it originated, with his objections thereto, was passed by the House of Representatives on September 18, 2007, and in concurrence by the Senate on September 20, 2007, the objections of the Governor notwithstanding, in the manner prescribed by the Constitution, and therefore has the force of law. 120 H 2465 Relative to Certain Written Majority Authorization Evidence of 9/27/2007 Collective Bargaining Results.

121 H 3990 Authorizing the Town of Orleans to Lease Certain Town Land. 9/27/2007

122 H 4254 Making Appropriations for the Fiscal Year 2007 to Provide for 10/1/2007 Supplementing Certain Existing Appropriations and for Certain Other Activities.

123 H 4235 Establishing a Sick Leave Bank for Robert Bozarjian, an 10/1/2007 Employee of the Department of Education.

124 H 4078 Placing Certain Members of the Fire Department of the Town of 10/1/2007 Wrentham Under the Civil Service Law.

125 H 4071 Providing for the Election of City Councilors and School 10/1/2007 Committee Persons within the City of Springfield.

126 S 1644 Establishing a Sick Leave Bank for Deborah King, and Employee 10/5/2007 of the Department of Mental Retardation.

127 S 2252 Authorizing the Appointment of Jonathan M. Robertson as a 10/5/2007 Firefighter in the Town of Milford notwithstanding the Maximum Age Requirement.

128 S 2263 Authorizing the Town of Auburn to Establish an Auburn High 10/5/2007 School Gymnasium Health and Recreation Trust Fund.

129 H 3947 Relative to the Elections in the Town of Merrimac. 10/5/2007

130 H 4160 Establishing an Electronic Health Records Task Force in the 10/10/2007 Office of Health and Human Services.

131 H 4183 Establishing a Sick Leave Bank for Colleen Hannon, an 10/10/2007 Employee of the Trial Court.

132 H 4147 Authorizing the Town of Foxborough to Grant 12 Additional 10/10/2007 Licenses for the Sale of all Alcoholic Beverages to be Drunk on the Premises.

133 S 2253 Authorizing the Appointment of Antonio F. Dinis as a Police 10/10/2007 Officer in the Town of Milford notwithstandig the Maximum Age Requirement.

134 H 1931 Designating a Certain Landing in the Town of Winthrop as the 10/11/2007 Charles J. Famolare Landing.

135 H 4259 Relative to Civil Service Preference for a Firefighter in the City of Boston. The foregoing was laid before the Governor on the first day of October, 2007 and after ten days had the force of law as prescribed by the Constitution as it was not returned by him to the branch in which it originated with his objections thereto within that time. 136 S 2254 Authorizing the Appointment of Alcino Fernandes as a Police 10/18/2007 Officer in the Town of Milford notwithstanding the Maximum Age Requirement.

137 S 9 Relative to Residency Requirements for Regular Fire and Police 10/18/2007 Officers in the Town of Boxborough.

138 H 3593 Designating a Certain Bridge in the Town of Wellesley as State 10/18/2007 Senator David H. Locke Bridge.

139 S 2159 Relative to the Westfield Light Board in the City of Westfield. 10/18/2007

140 H 4282 Making Appropriations for the Fiscal Year 2007 to Provide for 142 H 1315 Protecting Patient Confidentiality.0/25/2007 10/18/2007 Supplementing Certain Existing Appropriations and for Certain Activities and Projects. 143 H 3401 Relative to Joint Public Libraries./25/2007

Relative to the Department of public Works in the Town of 144 S 2238 Hatfield./25/2007

STATE HOUSE • BOSTON 02133

(617) 725-4000

DEVAL L. PATRICK GOVERNOR

TIMOTHY P. MURRAY LIEUTENANT GOVERNOR By His Excellency

DEVAL L. PATRICK GOVERNOR

EXECUTIVE ORDER NO.~

Mandating Preparation, Review, Updating, and Electronic Management of Continuity of Government and Continuity of Operations Plans

Revokinq and SupersedinQ Executive Order No. 475

WHEREAS, the security and well-being of the people of the Commonwealth depend on our ability to ensure continuity of government;

WHEREAS, effective preparedness planning requires the identification of functions that must be performed during an emergency and the assignment of responsibility for developing and implementing plans for performing those functions;

WHEREAS, to accomplish these aims each secretariat within the executive department was directed to develop a Continuity of Government plan identifying an official line of succession for vital positions, prioritizing essential functions, designating alternate command sites, and establishing procedures for safeguarding personnel and resources; and each secretariat and agency within the executive department was directed to develop a Continuity of Operations Plan establishing emergency operating procedures, deleg8ting specific emergency authority to key personnel, establishing reliable, interoperable communications, and providing for the safekeeping of critical systems, records, and databases;

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. WHEREAS, Continuity of Government and Continuity of Operations plans have been developed by the Office of the Governor and every secretariat and agency within the executive department and all one hundred and two of these plans are currently stored in paper form at the Massachusetts Emergency Management Agency;

WHEREAS, to achieve a maximum state of readiness, these plans should be incorporated into the daily operations of every secretariat and agency in the executive department, and should be reviewed on a regular basis and, with respect to agencies supplying services critical in times of emergency, exercised regularly;

WHEREAS, to allow greater access to these plans, ensure their security and sustainability, and encourage more active participation and review by the secretariats and agencies, they should be maintained on a secure online database; and

WHEREAS, the Executive Office of Public Safety and Security and Massachusetts Emergency Management Agency are collaborating with the Information Technology Department to develop an online tool and database to maintain these Continuity of Government and Continuity of Operations plans;

NOW, THEREFORE, I, Deval L. Patrick, Governor of the Commonwealth of Massachusetts, by virtue of the authority vested in me by the Constitution, Part 2, c. 2, § I, Art. I, do hereby revoke Executive Order 475 and order as follows:

Section 1. Each secretariat and agency within the executive department shall continue to consider emergency preparedness functions in the conduct of its regular operations, particularly those functions which would be critical in a time of emergency.

Section 2. The Secretary of Public Safety and Security (hereinafter, "the Secretary"), in his discretion, shall designate secretariats and agencies as either critical or non-critical for the purpose of determining the detail, frequency of submission, and testing of Continuity of Government and Continuity of Operations plans.

2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Section 3. The Secretary shall notify all secretariats and agencies of the completion of the online Continuity of Operation / Continuity of Government tool and database (hereinafter, "the online tool"). Within 120 days of notification of completion of the online tool, each secretariat and agency shall submit, via the online tool, the appropriate Continuity of Government plan and/or Continuity of Operations plan based upon its critical or non-critical designation.

Section 4. If the Secretary designates a secretariat or agency as critical, then that secretariat or agency shall regularly, and in no event less than once per calendar year, conduct trainings and exercises to put into practice its submitted Continuity of Government and Continuity of Operations plans.

Section 5. These trainings and exercises shall be designed to simulate emergency situations which may arise, and shall be designed to test the effectiveness of the various components of the Continuity of Government and Continuity of Operations plans. These exercises must, at a minimum, include transfer of command functions to an emergency relocation site and the use of emergency communication systems.

Section 6. Each designated critical secretariat within the executive department shall incorporate findings from these trainings and exercises into its Continuity of Government and Continuity of Operations plans, and based on these findings, shall regularly, and in no event less than once per calendar year, update these plans using the online tool. Likewise, each designated critical agency within the executive department shall incorporate findings from these trainings and exercises into its Continuity of Operations plan, and based on these findings, shall regularly, and in no event less than once per calendar year, update its Continuity of Operations plan using the online tool. In addition, each critical secretariat and agency shall submit an annual report to the Executive Office of Public Safety and Security detailing the trainings and exercises conducted and the actions taken to incorporate the findings of such trainings and exercises into updated Continuity of Government and Continuity of Operations plans.

3 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Section 7. Each non-critical agency within the executive department shall conduct activities on an annual basis that support the implementation of its Continuity of Operations plan, including but not limited to ensuring that the plan is current and viable, and shall regularly, and in no event less than once per calendar year, update these plans using the online tool. In addition, each non-critical agency shall submit an annual report to the Executive Office of Public Safety and Security detailing the actions taken to implement such plan.

Section 8. The Executive Office of Public Safety and Security shall submit an annual report to the Office of the Governor regarding the status of the Continuity of Government plan of each secretariat within the executive department, and the status of the Continuity of Operations plan of each secretariat and agency within the executive department.

Section 9. This Executive Office shall continue in effect until amended, superseded, or revoked by subsequent Executive Order.

BostonGiven atthisthe&..~ayEx~~utiveof SeptemberChamber inin the year of our Lord two thousand and seven, and of the Independence of the United States of America two hundred and..Jhirty-one.

EVAL L. PATRICK GOVERNOR Commonwealth of Massachusetts I

WILLIAM FRANCIS GALVIN Secretary of the Commonwealth

GOD SAVE THE COMMONWEALTH OF MASSACHUSETTS

4 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. The Commonwealth of Massachusetts Executive Office of Health and Human Services Division of Health Care Finance and Policy Two Boylston Street Boston, MA 02116

DEVAL L. PATRICK JUDYANN BIGBY, M.D. 617-988-3100· Fax TTY 617-988-3175 Governor 617-727-7662· Secretary www.mass.gov/dhcfp TIMOTHY P. MURRAY SARAH ISELIN Lieutenant Governor Commissioner

Informational Bulletin 07-09

114.3 CMR 43.00: Hospice Services Effective October 1, 2007

Rate Update

Pursuant to regulation 114.3 CMR 43.04, the Division of Health Care Finance and Policy has updated the hospice per diem and per hour rates for MassHealth hospice providers. As outlined in section 114.3 CMR 43.04(3), changes in Medicare rates result in like changes in MassHealth rates and are announced in a Division of Health Care Finance and Policy Information Bulletin.

Change to the Regulation

The new Medicaid per diem or per hourly rates will be effective October 1, 2007 through September 30, 2008.

The expected fiscal impact for MassHealth for the effective period of these rates is $210,292 based upon projected expenditures of $5.27 million for the fiscal year October 1, 2006 to September 30, 2007 and an average change in rates of 3.99%. Projected overall MassHealth hospice expenditures for the same timeframe total $85.4 million, with the difference represented by nursing home room and board expense.

The revised hospice per diem or per hour rates by county appear in the attached tables:

.. -..:r

aOJ =r-• C'J=

Norfolk, Plymouth, Suffolk Current Rates New Rates Routine Home Care $158.13$166.68$$695.5838.42 $$151.07$160.08$667.1436.83 InpatientContinuousGeneral InpatientRespiteHome Care

Middlesex Current Rates New Rates Routine Home Care $160.66$$151.09$666.4636.71 $$156.92$147.89$651.8735.93 InpatientGeneralContinuousInpatientRespiteHome Care

Essex Current Rates New Rates Routine Home Care $155.97$$145.63$643.8435.38 $626.77$$151.72$141.8234.46 InpatientGeneralContinuousInpatientRespiteHome Care

Bristol Current Rates New Rates Routine Home Care $159.07$$149.24$658.8036.26 $145.91$643.72$$155.2335.45 InpatientGeneralContinuousInpatientRespiteHome Care

Berkshire and Pittsfield Current Rates New Rates Routine Home Care $154.67$144.11$637.57$ 35.01 $148.80$$138.40$612.6233.63 GeneralInpatientContinuousInpatientRespiteHome Care

H den. H . hire. Frankl' C R Routine Home Care $629.91$153.09$142.26$ 34.56 $615.26$149.34$$139.0433.78 GeneralInpatientContinuousInpatientRespiteHome Care

Worcester Current Rates New Rates Routine Home Care $158.55$656.30$$148.6436.11 $$155.74$646.17$146.5135.60 GeneralInpatientContinuousInpatientRespiteHome Care

Rural Mass Current Rates New Rates Routine Home Care $166.52$$157.94$694.8138.37 $614.00$$149.08$138.7333.71 InpatientGeneralContinuousInpatientRespiteHome Care

Barnstable Current Rates New Rates Routine Home Care $166.65$$730.86$173.9940.49 $$708.41$161.54$168.6239.25 InpatientContinuousGeneral InpatientRespiteHome Care

DEVAL L. PATRICK JUDYANN BIGBY, M.D. 617-988-3100 • Fax 617-727-7662 • TTY 617-988-3175 Governor Secretary www.mass.govl dhcfp TIMOTHY P. MURRAY SARAH ISELIN Lieutenant Governor Commissioner

Informational Bulletin 07-10

114.3 CMR 50.00 Home Health Services

Minimum Compensation Reviews

Regulation 114.3 CMR 50.05 mandates a minimum level of compensation that must be paid to private duty nurses employed by an agency. Compliance with this mandate is determined through a review of each agency's salaries and fringe benefits as documented in an annual submission to the Division of Health Care Finance and Policy.

The Division will exclude the hours attributable to paid time off, including but not limited to sick, vacation and holiday pay, from the total hours worked in the review' of compensation paid to agency private duty nurses to determine compliance with the provisions of 114.3 CMR 50.05 for the years 2004 through 2006. The wages paid will be included in the compensation dollars. The classification of any type of paid time off claimed by the agency is subject to the Division's review.

Beginning with the review for 2007, the hours and dollars for paid time off will be included in the calculation.

I CJ;

~-..

DEVAL L. PATRICK JUDYANN BIGBY, M.D. 617-988-3100' Fax TTY 617-988-3175 Governor 617-727-7662' Secretary www.mass.gov/dhcfp TIMOTHY P MURRAY SARAH ISELIN Lieutenant Governor Commissioner

Informational Bulletin 07-11

114.3 CMR 22.00: Durable Medical Equipment, Oxygen and Respiratory Therapy Equipment

\ October 4, 2007 Lj, (Effective Date November 1, 2007) HCPCS Updates and Corrections c ('"-: Under authority of Regulation 114.3 CMR 22.01, the Division of Health Care Finance and Policy has implemented a number of changes in codes and rates for durable medical equipment, oxygen and respiratory therapy equipment services. As outlined in 22.01(5), Coding Updates and Corrections, the Division may publish such changes in the form of an Informational Bulletin that lists: (a) codes for which the code numbers changed, with the corresponding crosswalks; (b) codes for which the descriptions changed; (c) deleted codes for which there are no crosswalks; and (d) for new codes that require new pricing, the Division may list these codes and price them at a percentage of the prevailing Medicare fees as described in 114.3 CMR 22.03(15), when Medicare fees are available. When Medicare fees are not available, the Division may apply individual consideration in reimbursing for these new codes until appropriate rates can be developed. For payment on an individual consideration (I.C.) basis, refer to the methodology described under 114.3 CMR 22.02 General Definitions. The changes are effective as of November 1,2007.

The following new codes have been added:

New CodeNasalOralCombination179.35cushion49.54Ratepillows20.24 fororal/nasalforcombinationcombinationonly, pairDescriptionmask,(neworal/nasalusedoral/nasalequipment)with mask,mask,continuousreplacementreplacementpositive K0553NU Ii K0554NUK0555NU only,airwayeachpressure(new device,equipment)each (new equipment)

NOTICES OF PUBLIC REVIEW OF PROSPECTIVE REGULATIONS PUBLISHED IN COMPLIANCE WITH M.G.L. c. 30A, SECTIONS 2 AND 3

Published October 19, 2007

Highways, Department of 720 CMR 9.00 11/2/07 @ 10:30 A.M. Written (formerly Public Works) comments accepted

Transitional Assistance, 106 CMR 364.000 Comments accepted on or before Department of 10/26/07.

Building Regulations and 780 CMR 11/6/07 @ 1:00 P.M. Written Standards, State Board of comments accepted

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 12 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. COMMONWEALTH OF MASSACHUSETTS DEPARTMENT OF TRANSITIONAL ASSISTANCE NOTICE OF PROPOSED AMENDMENT OF REGULATIONS

The Department proposes to amend its regulations under the authority of M.G.L. c. 18, s. 10 and pursuant to M.G.L. c. 30A, s. 3. The Department describes the substance of the proposed actions as amendments to regulations regarding:

Chapter affected: 106 CMR 364 Food Stamp Program: Determining Household Eligibility and Benefit Level: The Department implemented cost-of-living increases mandated by the United States Department of Agriculture as follows: The maximum food stamp benefit levels for all assistance unit sizes have increased. The Gross, Net and 165 percent Income Eligibility Standards have increased. The maximum Shelter Deduction (for assistance units not containing an elderly or disabled member) has increased to $ 431. The heating standard utility allowance has increased to $534. The nonheating standard utility allowance has increased to $334. The telephone standard utility allowance has increased to $39.

These regulations became effective 10/1/2007 as emergency regulations.

All persons desiring to submit data, views or arguments concerning these proposed actions shall file the same with the Director, Food Stamp Program, Department of Transitional Assistance, 600 Washington Street, Boston, Massachusetts 02111, on or before 10/26/2007.

All persons desiring to review the current draft of the proposed actions shall request a copy in writing to the above address, in person, by phone (617-348-8470), Fax (617-727-0166), E-mail (Policy _ [email protected]) or by accessing www.mass.gov/dta.

The Department may adopt a revised version of the proposed actions taking into account relevant comments and any other practical alternatives which come to the Department's attention.

By Order of the Department of Transitional Assistance Julia E. Kehoe, Commissioner

(10/5/2007)

Deval L. Patrick tlne-~ 9~, ~/8tJ/ Kevin M. Burke Governor (jg~, ~ tJ.?/tJrf-/O'/rf Secretary Timothy P. Murray Thomas G. Gatzunis, P.E. Lieutenant Governor 9~ i6'/l:J )".?)"J.?tJtJ Commissioner Gary Moccia, P.E. .rtZd/ i6'/l:J )".?)" -..f'),,8.? Chairman ~ (0/;:)?.??t7t7/.9

eu«HQ-.m4M;;WV-/~ 780 CMR NOTICE OF PUBLIC HEARING

The State Board of Building Regulations and Standards will hold a public hearing pursuant to Chapter 30A and Chapter 143, §§94 and 97, to hear testimony on petitions to:

• Replace the present 6th Edition State Building Code with a new yth Edition State Basic Building Code as such relates to other than one- and two-family stand-alone dwellings.

• Consider petitions affecting the yth Edition Basic Building Code relative to height and area, fireresistance and fire wall requirements.

• Further amend the yth Edition Building Code for One- and Two-Family Dwellings, addressing, but not limited to, basic wind speeds, wind design, snow load design, typographical and grammatical corrections.

Date, Time and Place of Public Hearing Tuesday, November 6,2007 @ 1:00 p.m., Hurley Building, 19 Staniford Street, !?th Floor, Minihan Hall, Boston, MA.

A copy of the proposed Regulations are available for examination at www.mass.gov/dps. All persons desiring to file written comments regarding on any of these petitions must file same with Robert Anderson, Administrator, Board of Building Regulations and Standards, One Ashburton Place, Room 1301, Boston, MA 02108, no later than December 6, 2007.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 16 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 2007 CUMULATIVE TABLE TO THE MASSACHUSETTS REGISTER 1069-1089

The cumulative Table lists all regulations and amendments thereto published in the Massachusetts Register during the current year. The Table is published in each Register.

State agencies are listed in the Table as they appear in the Code of Massachusetts Regulations (CMR or Code) in CMR numerical order which is based on the cabinet structure. For example, all Human Service agencies are prefaced by the number “1" and are designated as 101 CMR through 130 CMR.

The Cumulative Tables published in the last issue of previous years will have a listing of all regulations published for that year. These Registers are: April 6, 1976 - 1977 Register: # 88 Date: 1992 Register: #702 1978 138 1993 729 1979 193 1994 755 1980 241 1995 871 1981 292 1996 Supp. # 2 807 1982 344 1997 833 1983 396 1998 859 1984 448 1999 885 1985 500 2000 911 1986 546 2001 937 1987 572 2002 963 1988 598 2003 989 1989 624 2004 1016 1990 650 2005 1042 1991 676 2006 1068

Effective Issue Date

103 CMR Department of Correction 423.00 Special Management Units - Compliance (MA Reg. # 1066) ...... 1072 11/10/06 410.00 Sentence Computation ...... 1073 3/9/07 453.00 Selection Procedures for Cadre Positions ...... 1073 3/9/07

104 CMR Department of Mental Health 27.00 Licensing and Operational Standards for Mental Health Facilities - Correction (MA Reg. # 1048) ...... 1072 4/3/06

105 CMR Department of Public Health 128.000 Health Insurance Consumer Protection ...... 1075 4/6/07 130.000 Hospital Licensure...... 1072 2/23/07 ...... 1088 10/5/07 150.000 Licensing of Long-term Care Facilities - Compliance (MA Reg. # 1066) ...... 1071 11/14/06 ...... 1069 1/12/07 170.000 Emergency Medical Services System ...... 1072 2/23/07 ...... 1085 8/24/07 220.000 Immunization of Students before Admission to School ...... 1077 5/4/07 221.000 Promoting Awareness of Meningococcal Disease and Vaccine . . . . . 1077 5/4/07 300.000 Reportable Diseases, Surveillance, and Isolation and Quarantine Requirements ...... 1071 2/9/07 305.000 Confidential Birth Information ...... 1071 2/9/07 410.000 Minimum Standards of Fitness for Human Habitation, State Sanitary Code, Chapter II...... 1070 1/26/07 800.000 Requests and Consent for Anatomical Donations ...... 1085 8/24/07

106 CMR Department of Transitional Assistance 204.000 Transitional Aid to Families with Dependent Children: Financial Eligibility - Emergency ...... 1082 2/1/07 - Compliance (MA Reg. # 1082) ...... 1084 2/1/07 - Emergency ...... 1087 9/1/07 - Compliance (MA Reg. # 1087) ...... 1089 9/1/07 309.000 Emergency Assistance - Emergency ...... 1082 2/1/07 - Compliance (MA Reg. # 1082) ...... 1084 2/1/07 - Emergency ...... 1082 6/1/07 - Compliance (MA Reg. # 1082) ...... 1084 6/1/07 - Emergency ...... 1082 6/1/07 - Compliance (MA Reg. # 1082) ...... 1084 6/1/07 361.000 Food Stamp Program: The Application Program ...... 1074 4/1/07 362.000 Food Stamp Program: Nonfinancial Eligibility Standards - Emergency ...... 1087 9/4/07 - Compliance ...... 1089 9/1/07 363.000 Food Stamp Program: Financial Eligibility Standards ...... 1071 2/9/07 364.000 Food Stamp Program: Determining Household Eligibility and Benefit Level ...... 1071 2/9/07 - Correction (MA Reg. #1063) ...... 1078 10/1/06 - Emergency ...... 1082 2/1/07 - Compliance - (MA Reg. # 1082) ...... 1084 2/1/07 - Emergency ...... 1089 10/19/07 365.000 Food Stamp Program: Special Situation Households ...... 1071 2/9/07 366.000 Food Stamp Program: Additional Certification Functions ...... 1071 2/9/07 - Emergency ...... 1073 2/1/07 - Compliance (MA Reg. # 1073) ...... 1077 2/1/07 ...... 1074 4/1/07

107 CMR Massachusetts Rehabilitation Commission 4.00 Referral, Application, Eligibility and Order of Selection ...... 1087 9/21/07

110 CMR Department of Social Services 16.00 Requests for Research ...... 1085 8/24/07

114 CMR Division of Health Care Finance and Policy 114.1 4.00 The Determination of Reasonable Operating Costs and Exclusions for Third-party Reimbursement to Be Followed in the Preparation of Rate Setting Commission Reporting Forms ...... 1078 5/18/07 25.00 Review of Acute Hospital Charges; for Determination for Acute Hospitals of Approved Gross Patient Service Revenue, Medicaid Rates of Payment, Other Public Assistance Rates of Payment and Industrial Accident Rates of Payment; and for the Administration of the Statewide Uncompensated Care Pool ...... 1078 5/18/07 28.00 Systems for Review and Approval of Non-acute Hospital Charges, Publicly Assisted Rates of Payment, and Industrial Accident Rates of Payment ...... 1078 5/18/07 29.00 Rate and Charge Determination for Certain Intermediate Care Facilities for the Mentally Retarded Operated by the Department of Mental Retardation ...... 1072 1/1/07 33.00 Review and Approval of Acute Hospital Charges and Determination of Rates of Payment by Third Party Payors Other than Medicare ...... 1078 5/18/07 36.00 Acute Hospital Charges and Rates of Payment for Certain Publicly Assisted Individuals - Compliance (MA Reg. # 1067) ...... 1072 11/22/06 37.00 Systems for Review and Approval of Charges, Publicly Assisted Rates of Payment, and Industrial Accident Rates of Payment for Certain Chronic/Rehabilitation Hospitals ...... 1078 5/18/07 38.00 Systems for Review and Approval of Non-acute Hospital Charges . . 1078 5/18/07 114.2 3.00 Prospective Rate Determination for Intermediate Care Facilities for the Mentally Retarded (ICF-MR) ...... 1078 5/18/07 4.00 Rates of Payment to Residential Care Facilities ...... 1074 1/1/07 6.00 Standard Payments to Nursing Facilities - Emergency ...... 1084 8/1/07 114.3 3.00 Home Health Agency Services ...... 1078 5/18/07 4.00 Rates for Community Health Centers - Emergency ...... 1087 10/1/07 6.00 Rates of Payment for Mental Health Services Provided in Community Health Centers and Mental Health Centers ...... 1075 3/1/07 8.00 Outpatient Tuberculosis Control Services ...... 1085 8/1/07 13.00 Rates for Freestanding Clinics Providing Abortion and Sterilization Services ...... 1085 8/1/07 16.00 Surgery and Related Anesthesia Services ...... 1084 7/1/07 17.00 Medicine ...... 1084 7/1/07 18.00 Radiology...... 1084 7/1/07

22.00 Durable Medical Equipment, Oxygen and Respiratory Therapy . . . . 1081 7/1/07 - Correction (MA Reg. # 1081) ...... 1085 7/1/07 23.00 Hearing Aid Dispensers...... 1073 1/1/07 24.00 Private Duty Nursing Care...... 1078 5/18/07 26.00 Podiatric Care ...... 1078 5/18/07 34.00 Prostheses, Prosthetic Devices and Orthotic Devices ...... 1080 6/1/07 37.00 Chronic Maintenance Dialysis Treatments and Home Dialysis Supplies ...... 1080 6/1/07 43.00 Hospice Services - Compliance (MA Reg. # 1067)...... 1072 10/1/06 45.00 Temporary Nursing Services ...... 1073 3/9/07 50.00 Home Health Services ...... 1077 1/1/07 114.5 17.00 Employer Surcharge for State Funded Health Costs ...... 1069 1/1/07 - Emergency ...... 1070 1/12/07 - Emergency ...... 1082 7/1/07 - Compliance (MA Reg. # 1082) ...... 1088 7/1/07 18.00 Health Insurance Responsibility Disclosure - Emergency ...... 1069 1/1/07 - Emergency ...... 1070 1/12/07 - Emergency ...... 1082 7/1/07 ...... 1088 9/21/07 114.6 4.00 Labor Shortage Fund ...... 1078 5/18/07 7.00 Administration of Acute Hospital Uncompensated Care Pool under M.G.L. c. 118G ...... 1078 5/18/07 8.00 Participation of the Community Health Centers in the Acute Hospital Uncompensated Care Pool under M.G.L. c. 118G ...... 1078 5/18/07 13.00 Health Safety Net Eligible Services ...... 1088 10/1/07 14.00 Health Safety Net Payments and Funding ...... 1088 10/1/07

117 CMR Department of Medical Security 2.00 Administration of Acute Hospital Uncompensated Care Pool and Criteria for Credit and Collection Policies ...... 1078 5/18/07 3.00 Student Health Insurance Program ...... 1078 5/18/07 4.00 Labor Shortage Fund ...... 1078 5/18/07 5.00 Health Care for the Unemployed Program ...... 1078 5/18/07 6.00 Uncompensated Care Assessments and Payments to Acute Care Hospitals ...... 1078 5/18/07 7.00 Administration of Acute Hospital Uncompensated Care Pool and Criteria for Credit and Collection Policies under M.G.L. c. 118F as Most Recently Amended by St. 1995, c. 38 ...... 1078 5/18/07 8.00 Participation of the Community Health Centers in the Acute Hospital Uncompensated Care Pool under M.G.L. c. 118F as Most Recently Amended by St. 1994, c. 60...... 1078 5/18/07 9.00 Medical Security Plan ...... 1078 5/18/07

129 CMR Health Care Quality and Cost Council 2.00 Uniform Reporting System for Health Care Claims Data Sets ...... 1089 10/19/07

130 CMR Division of Medical Assistance 401.000 Independent Clinical Laboratory Services - Emergency ...... 1080 2/1/07 - Emergency Refile (MA Reg. # 1080) ...... 1087 2/1/07 ...... 1088 2/2/07 403.000 Home Health Agency...... 1089 11/1/07 406.000 Pharmacy Services - Emergency ...... 1079 7/1/06 - Compliance (MA Reg. #1079) ...... 1084 7/1/06 408.000 Adult Foster Care...... 1070 2/1/07 410.000 Outpatient Hospital Services - Emergency ...... 1079 7/1/06 - Correction (MA Reg. #1079) ...... 1084 7/1/06 - Compliance (MA Reg. #1079) ...... 1084 7/1/06 ...... 1086 1/1/07 414.000 Independent Nurse ...... 1086 9/15/07 420.000 Dental Services - Emergency ...... 1079 7/1/06 - Compliance (MA Reg. # 1079) ...... 1084 7/1/06 424.000 Podiatrist Services - Emergency ...... 1079 7/1/06 - Compliance (MA Reg. #1079) ...... 1084 7/1/06 433.000 Physician Services ...... 1072 7/2/06 - Emergency ...... 1079 7/1/06 - Compliance (MA Reg. #1079) ...... 1084 7/1/06 450.000 Administrative and Billing Regulations - Emergency ...... 1072 1/1/06 - Compliance (MA Reg. # 1072) ...... 1077 1/1/06 - Emergency ...... 1081 6/1/07 - Compliance (MA Reg. # 1081) ...... 1085 6/1/07 - Emergency ...... 1085 1/1/07 - Compliance (MA Reg. # 1085) ...... 1089 1/1/07 ...... 1086 1/1/07 ...... 1086 9/15/07 ...... 1089 11/1/07 502.000 Health Care Reform: MassHealth: The Request for Benefits . . . . 1069 1/15/07 505.000 MassHealth: Coverage Types - Correction (MA Reg. # 1054) ...... 1074 2/15/06 - Emergency ...... 1081 6/1/07 - Compliance (MA Reg. # 1081) ...... 1085 6/1/07 - Emergency ...... 1084 10/1/06 ...... 1089 10/19/07 506.000 MassHealth: Financial Requirements - Emergency ...... 1081 6/1/07 - Compliance (MA Reg. 1081) ...... 1085 6/1/07 - Emergency ...... 1084 10/1/06 - Compliance (MA Reg. # 1084) ...... 1089 10/1/06 - Emergency ...... 1086 7/1/06 519.000 MassHealth: Coverage Types - Emergency ...... 1081 1/1/07 - Compliance (MA Reg. # 1081) ...... 1084 1/1/07

520.000 MassHealth: Financial Eligibility ...... 1069 1/15/07 ...... 1069 7/1/06 - Emergency ...... 1072 7/1/06 - Compliance (MA Reg. # 1072) ...... 1077 7/1/06 - Emergency ...... 1078 10/1/06 - Compliance (MA Reg. # 1078) ...... 1082 10/1/06 - Emergency ...... 1081 1/1/07 - Compliance (MA Reg. # 1081) ...... 1084 1/1/07 - Emergency ...... 1081 6/1/07 - Compliance ...... 1085 6/1/07 - Emergency ...... 1086 7/1/07 ...... 1086 1/1/07 610.000 MassHealth: Fair Hearing Rules - Emergency ...... 1083 12/29/06 - Emergency Correction (MA Reg. # 1083) ...... 1088 12/29/06 - Compliance (MA Reg. # 1083) ...... 1088 12/29/06 650.000 Insurance Partnership Employer Regulations - Emergency ...... 1084 10/1/06 - Compliance (MA Reg. # 1084) ...... 1089 10/1/06

204 CMR Alcoholic Beverages Control Commission 2.00 Regulations of the Alcoholic Beverages Control Commission, Insurance Plans by Certain License Holders - Emergency ...... 1069 12/22/06 - Compliance (MA Reg. # 1069) ...... 1075 12/22/06

205 CMR State Racing Commission 2.00 United States Trotting Association Rules - Correction MA Reg.# 1027) ...... 1079 6/3/05 6.00 Pari-mutual Rules for Thoroughbred Racing, Harness Racing and Greyhound - Emergency ...... 1071 1/23/07

209 CMR Division of Banks and Loan Agencies 42.00 The Licensing of Mortgage Lenders and Mortgage Brokers .... 1086 9/7/07

211 CMR Division of Insurance 25.00 Risk-based Capital (RBC) for Health Organizations ...... 1086 9/7/07 41.00 Nongroup Health Insurance Rate and Policy Form Filings, Review, and Hearing Procedures Under M.G.L. c. 176M ...... 1076 4/20/07 - Correction (MA Reg. # 1076) ...... 1079 4/20/07 - Correction (MA Reg. # 1076) ...... 1085 4/20/07 63.00 Young Adult Health Benefit Plans - Emergency ...... 1077 4/17/07 - Compliance (MA Reg. # 1077) ...... 1082 4/17/07 - Correction (MA Reg # 1082) ...... 1085 4/17/07 66.00 Small Group Health Insurance...... 1076 4/20/07 - Correction (MA Reg. # 1076) ...... 1079 4/20/07 - Correction (MA Reg. # 1076) ...... 1085 4/20/07 79.00 Private Passenger Motor Vehicle Insurance Rates ...... 1089 10/19/07

101.00 Procedures Concerning Rate Filings Made Pursuant to M.G.L. c. 175C and the Conduct of Hearings on Such Filings - Emergency ...... 1074 3/2/07 - Compliance (MA Reg. # 1074) ...... 1080 3/2/07

212 CMR Auto Damage Appraisers Licensing Board 2.00 The Appraisal and Repair of Damaged Motor Vehicles ...... 1081 6/29/07

225 CMR Division of Energy Resources 14.00 Renewable Energy Portfolio Standard ...... 1089 10/19/07

237 CMR Board of State Examiners of Electricians and Board of Electricians’ Appeals 13.00 Eligibility Criteria for Initial Licensure ...... 1083 7/27/07 17.00 Mandatory Continuing Education (MCE) ...... 1083 7/27/07

243 CMR Board of Registration in Medicine 2.00 Licensure Provisions - Correction (MA Reg. #1038) ...... 1074 2/10/95 2.00 Licensure Provisions - Correction (MA Reg. #1032) ...... 1074 7/25/05

247 CMR Board of Registration in Pharmacy 6.00 Registration, Management and Operation of a Pharmacy or Pharmacy Department...... 1081 6/29/07 10.00 Disciplinary Proceedings ...... 1081 6/29/07

248 CMR Board of State Examiners of Plumbers and Gas Fitters 10.00 Uniform State Plumbing Code - Emergency ...... 1082 6/26/07 - Compliance (MA Reg. # 1082) ...... 1088 6/26/07 11.00 Education and Experience Standards and Requirements for Licensure 1082 7/13/07

250 CMR Board of Registration of Professional Engineers and Land Surveyors 3.00 Application and Examination ...... 1074 2/23/07

257 CMR Board of Registration of Operators of Wastewater Treatment Facilities 2.00 Certification of Operators of Wastewater Treatment Facilities . . . . . 1069 1/12/07 - Emergency ...... 1082 6/29/07 - Compliance (MA Reg. # 1082) ...... 1089 6/29/07

264 CMR Board of Registration of Real Estate Appraisers 4.00 Renewal Procedures and Continuing Education Requirements . . . . . 1073 3/9/07

265 CMR Board of Registration of Hearing Instrument Specialists 6.00 Standards of Practice ...... 1088 10/5/07

302 CMR Department of Conservation and Recreation 14.00 Forester Licensing Regulations ...... 1076 4/20/07

304 CMR Division of State Parks and Recreation 10.00 Forester Licensing Regulations ...... 1076 4/20/07

310 CMR Department of Environmental Protection 1.00 Adjudicatory Proceedings ...... 1089 10/19/07 4.00 Timely Action Schedule and Fee Provisions ...... 1067 1/12/07 ...... 1081 7/1/07 - Emergency ...... 1082 6/29/07 - Compliance (MA Reg. # 1082) ...... 1089 6/29/07 ...... 1088 10/5/07 7.00 Air Pollution Control ...... 1069 1/12/07 ...... 1077 5/4/07 ...... 1081 6/29/07 ...... 1089 10/19/07 10.00 Wetlands Protection...... 1089 10/19/07 30.000 Hazardous Waste ...... 1081 6/29/07 - Correction (MA Reg. # 1081) ...... 1084 6/29/07 ...... 1082 7/13/07 40.0000 Massachusetts Contingency Plan ...... 1082 7/13/07 42.00 Certification and Operation of Environmental Analysis Laboratories 1088 10/5/07 44.00 DEP Selection, Approval and Regulation of Water Pollution Abatement Projects Receiving Financial Assistance from the State Revolving Fund...... 1089 10/19/07 50.00 Toxics Use Reduction ...... 1079 6/1/07 70.00 Environmental Result Program Certification ...... 1069 1/12/07 71.00 Industrial Wastewater Regulations for Photo Processors and Printers 1069 1/12/07

314 CMR Division of Water Pollution Control 3.00 Surface Water Discharge Permit Program ...... 1069 1/12/07 7.00 Sewer System Extensions and Connection Permit Program ...... 1069 1/12/07 - Emergency ...... 1082 6/29/07 - Compliance (MA Reg. # 1082) ...... 1089 8/27/07 9.00 Water Quality Certification - Correction (MA Reg. # 1068) ...... 1073 12/29/07 12.00 Operation and Maintenance and Pretreatment Standards for Wastewater Treatment Works and Indirect Dischargers ...... 1069 1/12/07 17.00 Industrial Wastewater Management for Biotechnology Operations . . 1069 1/12/07

321 CMR Division of Fisheries and Wildlife 2.00 Miscellaneous Regulations Relating to Fisheries and Wildlife ...... 1088 10/5/07 3.00 Hunting ...... 1088 10/5/07 3.00 Hunting ...... 1088 10/5/07 10.00 Massachusetts Endangered Species Act Regulations - Emergency ... 1084 7/18/07

322 CMR Division of Marine Fisheries 4.00 Fishing and Shellfish Equipment - Emergency ...... 1083 7/3/07 - Emergency ...... 1089 10/1/07 6.00 Regulation of Catches - Compliance (MA Reg. # 1065) ...... 1072 10/31/06 - Compliance (MA Reg. # 1067) ...... 1072 11/30/06 ...... 1077 5/4/07 - Emergency ...... 1082 6/25/07 - Correction (MA Reg. # 1082) ...... 1084 6/25/07 - Compliance (MA Reg. # 1082) ...... 1084 6/25/07 - Emergency ...... 1083 7/3/07 ...... 1084 8/10/07 - Emergency ...... 1085 8/10/07 ...... 1087 9/21/07 - Emergency ...... 1089 10/1/07 ...... 1089 10/19/07 7.00 Permits - Correction (MA Reg. # 1047) ...... 1071 3/10/06 ...... 1071 2/9/07 ...... 1087 9/21/07 8.00 Coastal Fisheries Conservation and Management - Emergency ..... 1070 1/3/07 - Emergency ...... 1082 6/25/07 - Compliance (MA Reg. # 1082) ...... 1084 6/25/07 ...... 1089 10/19/07 9.00 Management of Sea Herring ...... 1084 8/10/07 15.00 Management of Marine Aquaculture ...... 1075 4/6/07

333 CMR Pesticide Board 11.00 Rights-of-way Management...... 1073 3/9/07 13.00 Standards for Application ...... 1071 2/9/07

430 CMR Division of Unemployment Assistance 5.00 Employer Requirement Series ...... 1071 2/9/07 ...... 1076 4/20/07 7.00 Medical Security Plan for the Unemployed ...... 1071 2/9/07 15.00 Fair Share Employer Contribution ...... 1082 7/13/07

501 CMR Executive Office of Public Safety 7.00 Approved Weapon Rosters ...... 1083 7/27/07 11.00 Financing the Repair, Renovation, and Construction of Municipal Police Stations ...... 1076 4/20/07

503 CMR Underground Storage Tank Petroleum Product Cleanup Fund Administrative Review Board 2.00 Underground Storage Tank Petroleum Product Cleanup Fund Regulations Implementing M.G.L. c. 21J - Emergency ...... 1088 9/21/07

505 CMR Office of the Chief Medical Examiner 2.00 Release of Unclaimed or Unidentified Bodies - Compliance (MA Reg. # 1065) ...... 1071 10/30/06 3.00 Storage and Disposal of Biological Material ...... 1071 2/9/07

520 CMR Department of Public Safety 5.00 Amusement Devices ...... 1075 4/6/07

524 CMR Board of Elevator Regulations 1.00 Elevator, Escalator, Wheelchair Lift, Dumbwaiter and Other Special Hoisting Equipment: Installation and Maintenance - Correction .... 1051 5/5/06 4.00 Accident and Injury Reporting Requirements ...... 1073 3/9/07 17.00 Power Passenger and Freight Elevators (for installations made prior to July 1, 1989) ...... 1078 5/18/07

527 CMR Board of Fire Prevention Regulations 10.00 Fire Prevention, General Provisions - Emergency Re-file ...... 1073 8/15/06 ...... 1079 6/1/07 31.00 Carbon Monoxide Alarms - Emergency ...... 1075 3/22/07 ...... 1079 6/1/07

540 CMR Registry of Motor Vehicles 23.00 Licensing, Certification and Operating Requirements for Professional Driving School Instructors; Professional Driving Schools; Public School Driver Education Instructors; Public School Driver Education Programs; Driver Skills Development Program Instructors; and Driver Skills Development Programs . . . . . 1080 6/15/07

603 CMR Department of Education 4.00 Vocational Technical Education ...... 1082 7/13/07 28.00 Special Education ...... 1074 3/23/07 30.00 Massachusetts Comprehensive Assessment System and Standards for Competency Determination - Correction (MA Reg. # 1065) ...... 1073 11/17/06 31.00 Massachusetts Certificate of Mastery - Correction (MA Reg. # 1065) 1073 11/17/06 41.00 Regional School Districts ...... 1071 2/9/07

651 CMR Executive Office of Elder Affairs 5.00 Elder Abuse Reporting and Protective Services Program - Emergency 1072 2/7/07 ...... 1080 6/15/07

760 CMR Department of Housing and Community Development 58.00 Urban Center Housing Tax Increment Financing (UCH-TIF) Program - Correction (MA Reg. # 1026) ...... 1085 5/20/05

780 CMR Board of Building Regulations and Standards 1.00 Administration - Emergency ...... 1069 12/19/06 - Emergency ...... 1075 3/21/07 ...... 1078 5/18/07 2.00 Definitions - Emergency ...... 1069 12/19/06 - Emergency ...... 1075 3/21/07 - Emergency ...... 1070 1/2/07 - Emergency Re-file (MA Reg. # 1070) ...... 1075 1/2/07 8.00 Interior Finishes - Emergency ...... 1070 1/2/07 - Emergency Re-file (MA Reg. # 1070) ...... 1075 1/2/07 9.00 Fire Protection Systems - Emergency ...... 1070 1/2/07 - Emergency Re-file (MA Reg. # 1070) ...... 1075 1/2/07 ...... 1078 5/18/07 26.00 Plastic - Emergency ...... 1070 1/2/07 - Emergency Re-file (MA Reg. # 1070) ...... 1075 1/2/07 31.00 Special Construction - Emergency ...... 1069 12/19/06 - Emergency ...... 1075 3/21/07 34.00 Repair, Alteration, Addition, and Change of Use of Existing Structures - Emergency ...... 1070 1/2/07 - Emergency Re-file (MA Reg. # 1070) ...... 1075 1/2/07 36.00 One and Two Family Dwellings - Emergency ...... 1070 1/2/07 - Emergency Re-file (MA Reg. # 1070) ...... 1075 1/2/07 ...... 1074 3/21/07 51.00 Administration for Single- and Two- Family Dwellings ...... S1074 4/1/07 52.00 Definitions ...... S1074 4/1/07 53.00 Building Planning for Single- and Two-family Dwellings ...... S1074 4/1/07 54.00 Foundations ...... S1074 4/1/07 55.00 Floors ...... S1074 4/1/07 56.00 Wall Construction ...... S1074 4/1/07 57.00 Wall Covering ...... S1074 4/1/07 58.00 Roof-ceiling Construction...... S1074 4/1/07 59.00 Roof Assemblies ...... S1074 4/1/07 60.00 Chimneys, Fireplaces and Solid Fuel-burning Appliances ...... S1074 4/1/07 61.00 Energy Efficiency ...... S1074 4/1/07 62.00 Mechanical Administration ...... S1074 4/1/07 63.00 General Mechanical System Requirements ...... S1074 4/1/07 64.00 Heating and Cooling Equipment ...... S1074 4/1/07 65.00 Exhaust Systems ...... S1074 4/1/07 66.00 Duct Systems ...... S1074 4/1/07 67.00 Combustion Air ...... S1074 4/1/07 68.00 Chimneys and Vents ...... S1074 4/1/07 69.00 Special Fuel-burning Equipment ...... S1074 4/1/07 70.00 Boilers and Water Heaters...... S1074 4/1/07 71.00 Hydronic Piping...... S1074 4/1/07 72.00 Special Piping and Storage Systems ...... S1074 4/1/07 73.00 Solar Systems...... S1074 4/1/07 74.00 Fuel Gas ...... S1074 4/1/07 75.00 Plumbing Administration...... S1074 4/1/07

76.00 General Plumbing Requirements ...... S1074 4/1/07 77.00 Plumbing Fixtures ...... S1074 4/1/07 78.00 Water Heaters ...... S1074 4/1/07 79.00 Water Supply and Distribution ...... S1074 4/1/07 80.00 Sanitary Drainage ...... S1074 4/1/07 81.00 Vents ...... S1074 4/1/07 82.00 Traps ...... S1074 4/1/07 83.00 General Requirements ...... S1074 4/1/07 84.00 Electrical Definitions...... S1074 4/1/07 85.00 Services ...... S1074 4/1/07 86.00 Branch Circuit and Feeder Requirements ...... S1074 4/1/07 87.00 Wiring Methods ...... S1074 4/1/07 88.00 Power and Lighting Distribution ...... S1074 4/1/07 89.00 Devices and Luminaires...... S1074 4/1/07 90.00 Appliance Installation ...... S1074 4/1/07 91.00 Swimming Pools (Electrical Requirements) ...... S1074 4/1/07 92.00 Class 2 Remote-control, Signaling and Power-Limited Circuits . . . . S1074 4/1/07 93.00 Repair, Renovation, Alteration, Addition, Demolition and Change of Use of Existing One-and Two-family Dwellings ...... S1074 4/1/07 100.00 Referenced Standards ...... S1074 4/1/07 110.00 Special Regulations ...... S1074 4/1/07 120.00 Appendices...... S1074 4/1/07 Appendix H Historic Structures ...... 1078 5/18/07 Appendix M Procedures for Establishing Temporary Emergency Use in Support of Statewide Emergencies - Emergency ...... 1069 12/19/06 - Emergency ...... 1075 3/21/07

801 CMR Executive Office for Administration and Finance 4.00 Rates...... 1080 6/15/07

807 CMR Teachers’ Retirement Board 12.00 Rollover Distributions and Trust Transfers - Emergency ...... 1070 1/12/07 - Compliance (MA Reg. # 1070) ...... 1074 1/12/07 16.00 Qualified Excess Benefit Arrangement - Emergency ...... 1078 5/2/07 - Compliance (MA Reg. # 1078) ...... 1082 5/2/07

811 CMR Designer Selection Board 3.00 Expedited Procedure for Selection of Designers When an Emergency Situation Exists...... 1080 6/15/07 4.00 Procedures for Establishing Three Classes of Projects and Selection of Finalists by Panels of less than the Full Board ...... 1080 6/15/07

830 CMR Department of Revenue 14.00 Department of Revenue Personnel ...... 1082 7/13/07 62.00 Tax Administration ...... 1082 7/13/07 62C.00 State Tax Administration...... 1077 5/4/07 ...... 1082 7/13/07 ...... 1082 7/13/07 ...... 1082 7/13/07 63.00 Taxation of Corporations - Correction (MA Reg. # 1063) ...... 1077 10/20/06 ...... 1082 7/13/07 ...... 1088 10/5/07

831 CMR Appellate Tax Board 1.00 Appellate Tax Board Rules of Practice and Procedure ...... 1077 5/4/07

930 CMR State Ethics Commission 5.00 Exemptions from M.G.L. c. 268A ...... 1089 10/19/07

940 CMR Office of the Attorney General 25.00 Foreclosure Rescue Transactions and Foreclosure Related Services - Emergency ...... 1080 6/1/07 ...... 1087 9/21/07

941 CMR State Board of Retirement 4.00 Qualified Excess Benefit Arrangement - Emergency ...... 1081 6/11/07 - Compliance (MA Reg. # 1081) ...... 1087 6/11/07

950 CMR Office of the Secretary of the Commonwealth 12.00 Registration of Broker-dealer, Agents, Investment Adviser, Investment Adviser Representatives and Notice Filing Procedures for Federal Covered Advisers...... 1079 6/1/07 61.00 Adjudicatory Proceedings, Trademark Section - Compliance ...... 1071 10/26/06 62.00 Trademark Administration, General Provisions and Definitions - Compliance ...... 1071 10/26/06 63.00 Filing Fees and Forms - Compliance ...... 1071 10/26/06 119.00 Vehicle Protection Product Warranty Registration, General Provisions - Emergency ...... 1080 6/1/07 - Emergency ...... 1088 9/13/07 140.00 Practices and Procedures Relative to Revised M.G.L. c. 106, Article 9 of the Uniform Commercial Code ...... 1081 6/29/07

956 CMR Commonwealth Health Insurance Connector Authority 3.00 Eligibility and Hearings Process for Commonwealth Care - Correction (MA Reg. # 1068) ...... 1069 12/29/06 - Emergency ...... 1077 4/20/07 ...... 1081 6/29/07 4.00 Employer Sponsored Health Insurance Access - Emergency ...... 1075 3/21/07 ...... 1081 6/29/07 5.00 Minimal Creditable Coverage ...... 1081 6/29/07 6.00 Determining Affordability for the Individual Mandate ...... 1081 6/29/07

961 CMR State Lottery Commission 2.00 Rules and Regulations - Emergency ...... 1077 4/11/07 - Compliance (MA Reg. # 1077) ...... 1080 4/11/07

NOTICE OF EXPIRATION OF EMERGENCY REGULATION

CHAPTER NUMBER:322 CMR 4.00

CHAPTER TITLE:Fishing and Shellfish Equipment

AGENCY:Division of Marine Fisheries

THIS REGULATION WAS ORIGINALLY ADOPTED AS AN EMERGENCY: EFFECTIVE: 07/03/2007

Published in Massachusetts Register Num 1083 Date: 07/27/2007

There having been no action by the agency in compliance with the public review provisions of M.G.L. c. 30A, section 2 or 3 during the three months after this regulation was filed with the State Secretary, this emergency is deemed to have expired and is removed from all current records of the Code of Massachusetts Regulations. Emergency expired effective:

10/03/2007

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 31 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 32 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 640 THE COMMONWEALTH OF MASSACHUSETTS Office of the Secretary of the Commonwealth

NOTICE OF EXPIRATION OF EMERGENCY REGULATION

CHAPTER NUMBER:322 CMR 6.00

CHAPTER TITLE:Regulation of Catches

AGENCY:Division of Marine Fisheries

THIS REGULATION WAS ORIGINALLY ADOPTED AS AN EMERGENCY: EFFECTIVE: 07/03/2007

Published in Massachusetts Register Num 1083 Date: 07/27/2007

10/03/2007

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 33 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 34 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 3,307

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth SL 1329 Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 106 CMR 364.000

CHAPTER TITLE: Food Stamp Program: Determining Household Eligibility and Benefit Level

AGENCY: Department of Transitional Assistance

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Chapter affected: 106 CMR 364 Food Stamp Program: Determining Household Eligibility and Benefit Level: The Department implemented cost-of-living increases mandated by the United States Department of Agriculture as follows: The maximum food stamp benefit levels for all assistance unit sizes have increased. The Gross, Net and 165 percent Income Eligibility Standards have increased. The maximum Shelter Deduction (for assistance units not containing an elderly or disabled member) has increased to $ 431. The heating standard utility allowance has increased to $534. The nonheating standard utility allowance has increased to $334. The telephone standard utility allowance has increased to $39.These regulations are effective 10/1/2007 as emergency regulations.

REGULATORY AUTHORITY: M.G.L.c18S.10

AGENCY CONTACT: Phuoc Cao, Director, Food Stamp Program PHONE: 617 348 5395

ADDRESS: 600 Washington Street Boston, MA 02111

Compliance with M.G.L. c. 30A

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency. These regulations are being adopted as emergency regulations to benefit applicants and clients.

Date of public hearing or comment period:

For the first five years:

No fiscal effect: None

SMALL BUSINESS IMPACT - State the impact of this regulation on small business. Include a description of reporting, record keeping and other compliance requirements as well as the appropriateness of performance versus design standards and whether this regulation duplicates or conflicts with any other regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation:

PROMULGATION - State the action taken by this regulation and its effect on existing provisions of the Code of Massachusetts Regulations (CMR) or repeal, replace or amend. List by CMR number: Amends 106 CMR 364.400, 364.500, 364.600, 364.945, 364.946, 364.950, 364.970, 364.975, 364.980

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST:

SIGNATURE: SIGNATURE ON FILE DATE: Sep 27 2007

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007

EFFECTIVE DATE: 10/01/2007

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: THIS IS AN EMERGENCY THERE ARE NO REGULATION REPLACEMENT PAGES

10/01/2007 mrs

364.370: Determining Eligibility Based on Gross Income

Assistance units must meet the gross income standard, except for assistance units containing elderly or disabled member(s) meeting the requirements of 106 CMR 361.210 or public assistance categorically eligible assistance units, in accordance with 106 CMR 365.180. FS-Only TANF Services categorically eligible assistance units must meet the gross income standard at 106 CMR 364.976. The assistance unit’s gross income minus the exclusions listed in 106 CMR 363.230 must be compared to the appropriate maximum gross monthly income standard for the assistance unit size in accordance with 106 CMR 364.950 and 106 CMR 364.976. If this countable gross income is greater than the standard, the assistance unit is ineligible. If the countable gross income is equal to or less than the standard, the assistance unit’s net income eligibility must be determined in accordance with 106 CMR 364.550. Net income in accordance with 106 CMR 364.550 is the sole basis of eligibility for assistance units with an elderly or disabled member meeting the requirements of 106 CMR 361.210 that are not categorically eligible (see 106 CMR 365.180).

364.400: Determining Deductions

There are seven deductions from income. No other deductions are allowed.

(A) Standard Deduction. The standard deduction varies according to AU size. No AU receives more than the standard deduction for an AU size of six. This deduction is adjusted each year for cost-of-living increases.

Assistance Unit Size Standard Deduction

1 $ 134.00 2 134.00 3 134.00 4 143.00 5 167.00 6 or greater 191.00

(B) Earned Income Deduction. 20% of gross monthly earned income is allowed as a deduction. No additional deduction(s) from earned income shall be made. Excluded earned income and any portion of income earned under a wage supplementation or support program attributable to public assistance shall not be allowed this deduction. This deduction shall not be allowed in determining an overissuance if the household fails to report earned income in a timely manner.

(C) Excess Medical Deduction. Medical expense(s) in excess of $35 per month are allowed as a deduction when incurred by an elderly or disabled assistance unit member meeting one of the requirements of 106 CMR 361.210. No spouses or other assistance unit members are eligible for this deduction. Special diets are not an allowable medical expense. Only the following are allowable medical expenses. (1) Medical and dental care, including psychotherapy and rehabilitation services provided by a licensed practitioner or other qualified health professional. (2) Hospitalization (inpatient or outpatient) or nursing home care in a State recognized facility and nursing care. Payments made by the assistance unit for an individual who was a food stamp assistance unit member immediately before entering a hospital or nursing home are an allowable deduction under 106 CMR 364.400(C). (3) Over-the-counter medical medication, including insulin, when approved by a licensed practitioner or other qualified health professional; and the cost of medical supplies, sickroom equipment (including rental) or other prescribed equipment. (4) The actual cost of prescription drugs prescribed by a licensed practitioner or in the case of a Medicare Prescription Drug Discount Program participant: (a) The value of the appropriate monthly subsidy, the monthly flat allowance, current out-of-pocket prescription drug expenses and other medical expenses; or

10/19/07 (Effective 10/1/07) 735 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.400: continued

(b) The value of actual out-of-pocket-prescription drug expenses incurred before Medicare Prescription Drug Discount Program Participation, if the value of the actual out-of-pocket prescription drug expenses is greater than the value of the appropriate monthly subsidy, the monthly flat allowance and current out-of-pocket prescription drug expenses. (c) In 106 CMR 364.400(C)(4)(a) and (b), the value of the monthly subsidy and the monthly flat allowance shall not exceed the total yearly amount or approved monthly amount as prescribed by the federal government. (5) Health and hospitalization insurance policy premiums. The premiums for health and accident policies such as those payable in lump sum settlements for death or dismemberment and the premiums for income maintenance policies such as those that continue mortgage and loan payments while the beneficiary is disabled are not deductible. (6) Medicare premiums. (7) Any cost-sharing or spend-down expenses incurred by Medicaid recipients. (8) Dentures, hearing aids and prosthetics. (9) Securing and maintaining a seeing eye dog or hearing dog including the cost of dog food and veterinarian bills. (10) Eye glasses prescribed by a physician skilled in eye disease or by an optometrist. (11) Reasonable cost of transportation and lodging to obtain medical treatment or services. (12) Maintaining an attendant, homemaker, home health aide, housekeeper or child care services which are necessary due to age, infirmity, or illness. When these services qualify as either a medical deduction or a dependent care deduction, the expense is treated as a medical deduction. In addition to the actual expense of these services, an amount equal to a one-person food stamp benefit allotment shall be deducted if the assistance unit furnishes a majority of meals to the person providing the service. The allotment for this meal-related deduction is that in effect at the time the assistance unit is given the deduction. If the allotment amount changes during a certification period, the total deduction amount must be updated to reflect the new allotment amount no later than the assistance unit's next scheduled recertification.

(D) Dependent Care Deduction. The actual costs of the care of a child or other dependent necessary for an assistance unit member to accept or continue employment, comply with the Food Stamp Employment & Training Program (FS/ET) requirements at 106 CMR 362.310, or to attend training or education preparatory to employment are deductible. See 106 CMR 364.410. This deduction shall not exceed $200 per month for each child under age two and $175 per month for all other dependents.

(E) Child Support Deduction. Legally obligated child support payments paid by an assistance unit member to or for a non-assistance unit member, which are verified in accordance with 106 CMR 361.610(J), are allowed as a deduction. Assistance units that fail or refuse to obtain necessary verification of their legal obligation or of their child support payments shall have their eligibility and benefit level determined without consideration of a child support deduction. Legally obligated child support payments paid by an assistance unit member to a third party (e.g., a landlord or utility company) on behalf of the non-assistance unit member in accordance with the support order shall be included as part of the child support deduction. Payments that are made by the assistance unit to obtain health insurance for the child(ren) shall also be included as part of the child support deduction. The Department shall allow a deduction for amounts paid toward arrearage, even for assistance units without a payment history. Alimony payments made to or for a non-assistance unit member shall not be included in the child support deduction.

(F) Homeless Shelter/Utility Deduction. (1) Assistance units in which all members are homeless individuals and reside in a homeless facility (see 106 CMR 360.030(C)) that incur or reasonably expect to incur any shelter and/or utility expenses during a month shall be eligible for a $143 per month homeless shelter/utility deduction.

12/31/04 (Effective 11/12/04) 106 CMR - 736 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.400: continued

Assistance units in which all members are homeless individuals and reside in the home of another (see 106 CMR 360.030(C)) that incur or reasonably expect to incur any shelter and/or utility expenses during a month shall be eligible for a $143 per month homeless shelter/utility deduction. Assistance units that receive the $143 homeless shelter/utility deduction are not entitled to either the shelter deduction at 106 CMR 364.400(E) or the Standard Utility Allowance at 106 CMR 364.400(F) since the homeless shelter/utility deduction already includes both shelter and utility costs. (2) Assistance units in which all members are homeless individuals and reside in the home of another (see 106 CMR 360.030(C)) that verify shelter and/or utility expenses greater than $143 per month shall be eligible for the shelter deduction and the applicable Standard Utility Allowance.

(G) Shelter Deduction. A deduction is allowed for monthly shelter expenses and utility costs in excess of 50% of the assistance unit’s income after all of the above deductions have been allowed. The shelter deduction shall not exceed $431 per month. This limit on the shelter deduction amount does not apply if the assistance unit contains a member who is elderly or disabled in accordance with 106 CMR 361.210.

10/19/07 (Effective 10/1/07) 736.1 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

NON-TEXT PAGE

12/31/04 (Effective 11/12/04) 106 CMR - 736.2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.500: continued

(B) Earned Income Deduction. Multiply the gross earned income by 80% to determine the net monthly earned income.

(C) Unearned Income. Add the total monthly unearned income of all household members, minus income exclusions, to the net monthly earned income.

(D) Standard Deduction. Subtract the standard deduction of $134.

(E) Medical Expenses. Total the allowable medical expenses, less reimbursements (e.g., by a third-party insurer) for those household members who meet one of the requirements of 106 CMR 361.210. If these costs exceed $35 per month, go to the next step. If these costs are $35 or less, go to 106 CMR 364.500(G).

(F) Medical Deduction. Subtract that portion of the medical expenses that exceeds $35 per month.

(G) Dependent Care Deduction. Subtract monthly dependent care expenses, if any, up to $200 for each child under age two and $175 for all other departments. See 106 CMR 364.400(D) and 364.410.

(H) Allowable Child Support Payments. Subtract allowable monthly child support payments.

(I) Allowable Homeless Shelter/Utility Deduction. Subtract the allowable homeless shelter/utility deduction, if applicable.

(J) Excess Shelter Expense. Total the allowable shelter expenses, unless a homeless shelter deduction was provided. Subtract 50% of the assistance unit's preliminary adjusted net income (monthly income after all the above deductions have been subtracted) from the total shelter expenses. The remaining amount, if any, is the excess shelter expense. If there is no excess shelter expense, the assistance unit's net monthly income has been determined. If there is excess shelter expense, go to the next step.

(K) Shelter Deduction. Subtract the full amount of the excess shelter expense if the assistance unit contains an elderly or disabled member who meets one of the requirements of 106 CMR 361.210. For all other assistance units, subtract the excess shelter expense up to the maximum deduction amount. The maximum deduction amount for shelter is $431 per month. The assistance unit's net monthly income has been determined.

364.550: Determining Eligibility Based on Net Income

All assistance units must meet the net income standard, except for categorically eligible assistance units, in accordance with 106 CMR 365.180. Assistance units that contain an elderly or disabled member meeting the requirements of 106 CMR 361.210 must have their income eligibility based solely on net income standards. To determine eligibility with regard to net income standards, the assistance unit's net income must be compared to the Maximum Allowable Monthly Net Income Standards for the appropriate assistance unit size in accordance with 106 CMR 364.970. If the net income is greater than the standard, the assistance unit is ineligible. If the net income is equal to or less than the standard, the assistance unit is eligible with regard to net income.

364.600: Determining the Benefit Level

Once an assistance unit has been determined eligible for the Food Stamp Program considering both nonfinancial and financial eligibility standards, the worker must determine the assistance unit's benefit level or monthly allotment.

(A) Assistance Unit Size - One to Eight. Refer to 106 CMR 364.980: Food Stamp Program Issuance Tables, to find the monthly allotment based on the assistance unit's monthly net income (including cents) and assistance unit size. The minimum monthly allotment for one-person and two-person assistance units (noncategorically eligible assistance units whose income is within the net income standards and all categorically eligible assistance units) is $10.

10/19/07 (Effective 10/1/07) 741 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.600: continued

Categorically eligible assistance units with three or more members who do not qualify for a benefit because their income exceeds the level at which benefits are issued cannot be denied. These assistance units must be suspended, in accordance with 106 CMR 365.180.

(B) Assistance Unit Size - Over Eight. (1) Determine the maximum allotment for the size by adding $122 for each person in excess of eight to the maximum allotment for an eight-person assistance unit. (2) Determine the assistance unit's monthly net income in accordance with 106 CMR 364.500. (3) Multiply the assistance unit's monthly net income (including cents) by 30%. Drop any digits beyond the second decimal place. If the result is not whole dollars, round the result up to the next whole dollar. (4) Subtract this 30% amount from the maximum allotment for the assistance unit size. The resulting amount is the assistance unit's monthly allotment, except when the calculated amount is zero or less, the assistance unit is ineligible for benefits since its net income exceeds the level at which benefits are issued.

(C) For households containing both federal Food Stamp Program (FSP) members and legal noncitizens ineligible for federal food stamp benefits, the Department will: (1) Step One: Calculate food stamp benefits using all Assistance Unit (AU) members, all income and full deductions to determine the maximum food stamp benefits the AU would be entitled to if all members were federally-eligible. (2) Step Two: Calculate the food stamp benefits for FSP members excluding the income and deductions of legal noncitizens ineligible for FSP benefits. (3) Step Three: Compare the results from Step One and Step Two. (a) If the Step Two amount exceeds or is equal to the Step One amount, the Department will pay the Step One amount as the FSP benefit. (b) If the Step Two amount is less than the Step One amount, the Department will pay the Step Two amount as the FSP benefit.

364.650: Prorating Initial Month's Benefits

Food Stamp benefits for an assistance unit's initial month shall be prorated. An initial month is the first month for which an assistance unit is certified to participate in the Food Stamp Program following any period of time during which the assistance unit was not certified for participation, except for migrant and seasonal farmworker assistance units. For migrant and seasonal farmworker assistance units, an initial month is the first month for which an assistance unit is certified to participate in the Food Stamp Program following any period of more than one month during which the assistance unit was not certified to participate. A migrant or seasonal farmworker assistance unit that has participated within the month before application is entitled to a full month’s benefits. Assistance units which apply for initial benefits after the 15th day of the month and are determined eligible for expedited food stamp benefits in accordance with 106 CMR 365.800 et seq. must be issued a combined allotment. A combined allotment includes the initial month's prorated benefits plus the second month's full allotment. Combined allotments must be issued within the seven-day expedited service time frame.

10/19/07 (Effective 10/1/07) 742 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.910: Benefit Access Cards

(A) Requirements. The individual authorized to access the assistance unit’s food stamp benefits shall have a Benefit Access Card issued by the Department. This individual may be the head of the assistance unit, another assistance unit member or an authorized representative. When a Benefit Access Card is issued to someone other than the individual in whose name the food stamp benefits are issued, the Benefit Access Card shall contain the name of the individual in whose name the food stamp benefits are issued and the name, of the individual authorized to access the food stamp benefits. If requested by the individual in whose name the food stamp benefits are issued, a Benefit Access Card may be issued to both him or her and the individual authorized to access the food stamp benefits. The head of the assistance unit and/or the individual authorized to access the food stamp benefits must be informed that the Department may conduct matches authorized by law for the purposes of verifying eligibility and the effective administration of the Department’s programs.

(B) Emergency Benefit Access Cards. Emergency Benefit Access Cards shall be issued to an individual in whose name the food stamp benefits are issued, or the authorized representative, when the Department is unable to issue an initial or replacement Benefit Access Card because the Department’s card issuance system is not functioning. The Emergency Benefit Access Card shall be valid for five days.

364.945: The Standard Utility Allowances (SUA)

Heating SUA Nonheating SUA Phone SUA

$534 $334 $39

364.946: Disaster Food Stamp Program Maximum Gross Monthly Income and Asset Standard

Assistance Unit Size Maximum Gross Monthly Income and Assets

1 $1,416.00 2 1,706.00 3 1,996.00 4 2,295.00 5 2,609.00 6 2,923.00 7 3,213.00 8 3,503.00 For each additional member add 290.00

For more details on the Disaster Food Stamp Program, see 106 CMR 366.600 et seq.

364.950: Maximum Gross Monthly Income Standards*

For instructions for using this table, see 106 CMR 364.370.

Assistance Unit Size Maximum Gross Monthly Income Standard

1 $1,107.00 2 1,484.00 3 1,861.00 4 2,238.00 5 2,615.00 6 2,992.00 7 3,369.00 8 3,746.00

For each additional member add 377.00

10/19/07 (Effective 10/1/07) 751 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.970: Maximum Allowable Monthly Net Income Standards*

For instructions for using this table, see 106 CMR 364.550.

Assistance Unit Size Maximum Allowable Monthly Net Income Standard

1 $851.00 2 1,141.00 3 1,431.00 4 1,721.00 5 2,011.00 6 2,301.00 7 2,591.00 8 2,881.00

For each additional member add 290.00

* Public Assistance Categorically eligible assistance units do not have to meet either the gross or net income eligibility standards. FS-only TANF Services AUs are subject to the Gross Monthly Categorical Eligibility Standards at 106 CMR 364.976.

10/19/07 (Effective 10/1/07) 752 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.975: Standards for Special Circumstances Involving an Elderly and Disabled Individual

For instructions on using this table for special situations involving an elderly and disabled individual, see 106 CMR 361.200.

165% of the Maximum Allowable Assistance Unit Size Monthly Net Income Standard

1 $1,404.00 2 1,883.00 3 2,361.00 4 2,840.00 5 3,318.00 6 3,797.00 7 4,275.00 8 4,754.00

For each additional member add 479.00

364.976: Gross Monthly Categorical Eligibility Income Standards

For instructions on using this table for categorically eligible assistance units, see 106 CMR 365.180.

Assistance Unit Size 200% of Federal Poverty Level

1 $ 1,702.00 2 2,282.00 3 2,862.00 4 3,442.00 5 4,022.00 6 4,602.00 7 5,182.00 8 5,762.00

For each additional person add 580.00

10/19/07 (Effective 10/1/07) 753 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: Food Stamp Program Issuance Tables

An applicant or recipient who is eligible for food stamp benefits will receive 100% of food stamp benefit allotment listed on the following tables. The following symbols found in the Food Stamp Program Issuance Tables indicates: * Row with Maximum Food Stamp Allotment for Assistance Unit Size ** Maximum Net Income Standards (106 CMR 364.970) *** Categorical Benefit Level (106 CMR 365.180) Note: FS-only TANF Services AUs must meet the Gross Monthly Categorical Eligibility Standards (106 CMR 364.976)

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

0!00 162 298 426 542 643 772 853 975 1!3 161 297 425 541 642 771 852 974 4!6 160 296 424 540 641 770 851 973 7!10 159 295 423 539 640 769 850 972 11!13 158 294 422 538 639 768 849 971 14!16 157 293 421 537 638 767 848 970 17!20 156 292 420 536 637 766 847 969 21!23 155 291 419 535 636 765 846 968 24!26 154 290 418 534 635 764 845 967 27!30 153 289 417 533 634 763 844 966 31!33 152 288 416 532 633 762 843 965 34!36 151 287 415 531 632 761 842 964 37!40 150 286 414 530 631 760 841 963 41!43 149 285 413 529 630 759 840 962 44!46 148 284 412 528 629 758 839 961 47!50 147 283 411 527 628 757 838 960 51!53 146 282 410 526 627 756 837 959 54!56 145 281 409 525 626 755 836 958 57!60 144 280 408 524 625 754 835 957 61!63 143 279 407 523 624 753 834 956 64!66 142 278 406 522 623 752 833 955 67!70 141 277 405 521 622 751 832 954 71!73 140 276 404 520 621 750 831 953 74!76 139 275 403 519 620 749 830 952 77!80 138 274 402 518 619 748 829 951 81!83 137 273 401 517 618 747 828 950 84!86 136 272 400 516 617 746 827 949 87!90 135 271 399 515 616 745 826 948 91!93 134 270 398 514 615 744 825 947 94!96 133 269 397 513 614 743 824 946 97!100 132 268 396 512 613 742 823 945 101!103 131 267 395 511 612 741 822 944 104!106 130 266 394 510 611 740 821 943 107!110 129 265 393 509 610 739 820 942 111!113 128 264 392 508 609 738 819 941

10/19/07 (Effective 10/1/07) 754 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

114!116 127 263 391 507 608 737 818 940 117!120 126 262 390 506 607 736 817 939 121!123 125 261 389 505 606 735 816 938 124!126 124 260 388 504 605 734 815 937 127!130 123 259 387 503 604 733 814 936 131!133 122 258 386 502 603 732 813 935 134!136 121 257 385 501 602 731 812 934 137!140 120 256 384 500 601 730 811 933 141!143 119 255 383 499 600 729 810 932 144!146 118 254 382 498 599 728 809 931 147!150 117 253 381 497 598 727 808 930 151!153 116 252 380 496 597 726 807 929 154!156 115 251 379 495 596 725 806 928 157!160 114 250 378 494 595 724 805 927 161!163 113 249 377 493 594 723 804 926 164!166 112 248 376 492 593 722 803 925 167!170 111 247 375 491 592 721 802 924 171!173 110 246 374 490 591 720 801 923 174!176 109 245 373 489 590 719 800 922 177!180 108 244 372 488 589 718 799 921 181!183 107 243 371 487 588 717 798 920 184!186 106 242 370 486 587 716 797 919 187!190 105 241 369 485 586 715 796 918 191!193 104 240 368 484 585 714 795 917 194!196 103 239 367 483 584 713 794 916 197!200 102 238 366 482 583 712 793 915 201!203 101 237 365 481 582 711 792 914 204!206 100 236 364 480 581 710 791 913 207!210 99 235 363 479 580 709 790 912 211!213 98 234 362 478 579 708 789 911 214!216 97 233 361 477 578 707 788 910 217!220 96 232 360 476 577 706 787 909 221!223 95 231 359 475 576 705 786 908 224!226 94 230 358 474 575 704 785 907 227!230 93 229 357 473 574 703 784 906

10/19/07 (Effective 10/1/07) 755 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

231 - 233 92 228 356 472 573 702 783 905 234 - 236 91 227 355 471 572 701 782 904 237 - 240 90 226 354 470 571 700 781 903 241 - 243 89 225 353 469 570 699 780 902 244 - 246 88 224 352 468 569 698 779 901 247 - 250 87 223 351 467 568 697 778 900 251 - 253 86 222 350 466 567 696 777 899 254 - 256 85 221 349 465 566 695 776 898 257 - 260 84 220 348 464 565 694 775 897 261 - 263 83 219 347 463 564 693 774 896 262 - 266 82 218 346 462 563 692 773 895 267 - 270 81 217 345 461 562 691 772 894 271 - 273 80 216 344 460 561 690 771 893 274 - 276 79 215 343 459 560 689 770 892 277 - 280 78 214 342 458 559 688 769 891 281 - 283 77 213 341 457 558 687 768 890 284 - 286 76 212 340 456 557 686 767 889 287 - 290 75 211 339 455 556 685 766 888 291 - 293 74 210 338 454 555 684 765 887 294 - 296 73 209 337 453 554 683 764 886 297 - 300 72 208 336 452 553 682 763 885 301 - 303 71 207 335 451 552 681 762 884 304 - 306 70 206 334 450 551 680 761 883 307 - 310 69 205 333 449 550 679 760 882 311 - 313 68 204 332 448 549 678 759 881 314 - 316 67 203 331 447 548 677 758 880 317 - 320 66 202 330 446 547 676 757 879 321 - 323 65 201 329 445 546 675 756 878 324 - 326 64 200 328 444 545 674 755 877 327 - 330 63 199 327 443 544 673 754 876

331 - 333 62 198 326 442 543 672 753 875 334 - 336 61 197 325 441 542 671 752 874 337 - 340 60 196 324 440 541 670 751 873 341 - 343 59 195 323 439 540 669 750 872 344 - 346 58 194 322 438 539 668 749 871

10/19/07 (Effective 10/1/07) 756 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

347 - 350 57 193 321 437 538 667 748 870 351 - 353 56 192 320 436 537 666 747 869 354 - 356 55 191 319 435 536 665 746 868 357 - 360 54 190 318 434 535 664 745 867 361 - 363 53 189 317 433 534 663 744 866 364 - 366 52 188 316 432 533 662 743 865 367 - 370 51 187 315 431 532 661 742 864 371 - 373 50 186 314 430 531 660 741 863 374 - 376 49 185 313 429 530 659 740 862 377 - 380 48 184 312 428 529 658 739 861 381 - 383 47 183 311 427 528 657 738 860 384 - 386 46 182 310 426 527 656 737 859 387 - 390 45 181 309 425 526 655 736 858 391 - 393 44 180 308 424 525 654 735 857 394 - 396 43 179 307 423 524 653 734 856 397 - 400 42 178 306 422 523 652 733 855 401 - 403 41 177 305 421 522 651 732 854 404 - 406 40 176 304 420 521 650 731 853 407 - 410 39 175 303 419 520 649 730 852 411 - 413 38 174 302 418 519 648 729 851 414 - 416 37 173 301 417 518 647 728 850 417 - 420 36 172 300 416 517 646 727 849 421 - 423 35 171 299 415 516 645 726 848 424 - 426 34 170 298 414 515 644 725 847 427 - 430 33 169 297 413 514 643 724 846 431 - 433 32 168 296 412 513 642 723 845 434 - 436 31 167 295 411 512 641 722 844 437 - 440 30 166 294 410 511 640 721 843 441 - 443 29 165 293 409 510 639 720 842 444 - 446 28 164 292 408 509 638 719 841 447 - 450 27 163 291 407 508 637 718 840 451 - 453 26 162 290 406 507 636 717 839 454 - 456 25 161 289 405 506 635 716 838 457 - 460 24 160 288 404 505 634 715 837 461 - 463 23 159 287 403 504 633 714 836

10/19/07 (Effective 10/1/07) 757 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

464 - 466 22 158 286 402 503 632 713 835 467 - 470 21 157 285 401 502 631 712 834 471 - 473 20 156 284 400 501 630 711 833 474 - 476 19 155 283 399 500 629 710 832 477 - 480 18 154 282 398 499 628 709 831 481 - 483 10 153 281 397 498 627 708 830 484 - 486 10 152 280 396 497 626 707 829 487 - 490 10 151 279 395 496 625 706 828 491 - 493 10 150 278 394 495 624 705 827 494 - 496 10 149 277 393 494 623 704 826 497 - 500 10 148 276 392 493 622 703 825 501 - 503 10 147 275 391 492 621 702 824 504 - 506 10 146 274 390 491 620 701 823 507 - 510 10 145 273 389 490 619 700 822 511 - 513 10 144 272 388 489 618 699 821 514 - 516 10 143 271 387 488 617 698 820 517 - 520 10 142 270 386 487 616 697 819 521 - 523 10 141 269 385 486 615 696 818 524 - 526 10 140 268 384 485 614 695 817 527 - 530 10 139 267 383 484 613 694 816 531 - 533 10 138 266 382 483 612 693 815 534 - 536 10 137 265 381 482 611 692 814 537 - 540 10 136 264 380 481 610 691 813 541 - 543 10 135 263 379 480 609 690 812 544 - 546 10 134 262 378 479 608 689 811 547 - 550 10 133 261 377 478 607 688 810 551 - 553 10 132 260 376 477 606 687 809 554 - 556 10 131 259 375 476 605 686 808 557 - 560 10 130 258 374 475 604 685 807 561 - 563 10 129 257 373 474 603 684 806 564 - 566 10 128 256 372 473 602 683 805 567 - 570 10 127 255 371 472 601 682 804 571 - 573 10 126 254 370 471 600 681 803 574 - 576 10 125 253 369 470 599 680 802 577 - 580 10 124 252 368 469 598 679 801

10/19/07 (Effective 10/1/07) 758 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

581 - 583 10 123 251 367 468 597 678 800 584 - 586 10 122 250 366 467 596 677 799 587 - 590 10 121 249 365 466 595 676 798 591 - 593 10 120 248 364 465 594 675 797 594 - 596 10 119 247 363 464 593 674 796 597 - 600 10 118 246 362 463 592 673 795 601 - 603 10 117 245 361 462 591 672 794 604 - 606 10 116 244 360 461 590 671 793 607 - 610 10 115 243 359 460 589 670 792 611 - 613 10 114 242 358 459 588 669 791 614 - 616 10 113 241 357 458 587 668 790 617 - 620 10 112 240 356 457 586 667 789 621 - 623 10 111 239 355 456 585 666 788 624 - 626 10 110 238 354 455 584 665 787 627 - 630 10 109 237 353 454 583 664 786 631 - 633 10 108 236 352 453 582 663 785 634 - 636 10 107 235 351 452 581 662 784 637 - 640 10 106 234 350 451 580 661 783 641 - 643 10 105 233 349 450 579 660 782 644 - 646 10 104 232 348 449 578 659 781 647 - 650 10 103 231 347 448 577 658 780 651 - 653 10 102 230 346 447 576 657 779 654 - 656 10 101 229 345 446 575 656 778 657 - 660 10 100 228 344 445 574 655 777 661 - 663 10 99 227 343 444 573 654 776 664 - 666 10 98 226 342 443 572 653 775 667 - 670 10 97 225 341 442 571 652 774 671 - 673 10 96 224 340 441 570 651 773 674 - 676 10 95 223 339 440 569 650 772 677 - 680 10 94 222 338 439 568 649 771 681 - 683 10 93 221 337 438 567 648 770 684 - 686 10 92 220 336 437 566 647 769 687 - 690 10 91 219 335 436 565 646 768 691 - 693 10 90 218 334 435 564 645 767 694 - 696 10 89 217 333 434 563 644 766

10/19/07 (Effective 10/1/07) 759 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

697 - 700 10 88 216 332 433 562 643 765 701 - 703 10 87 215 331 432 561 642 764 704 - 706 10 86 214 330 431 560 641 763 707 - 710 10 85 213 329 430 559 640 762 711 - 713 10 84 212 328 429 558 639 761 714 - 716 10 83 211 327 428 557 638 760 717 - 720 10 82 210 326 427 556 637 759 721 - 723 10 81 209 325 426 555 636 758 724 - 726 10 80 208 324 425 554 635 757 727 - 730 10 79 207 323 424 553 634 756 731 - 733 10 78 206 322 423 552 633 755 734 - 736 10 77 205 321 422 551 632 754 737 - 740 10 76 204 320 421 550 631 753 741 - 743 10 75 203 319 420 549 630 752 744 - 746 10 74 202 318 419 548 629 751 747 - 750 10 73 201 317 418 547 628 750 751 - 753 10 72 200 316 417 546 627 749 754 - 756 10 71 199 315 416 545 626 748 757 - 760 10 70 198 314 415 544 625 747 761 - 763 10 69 197 313 414 543 624 746 764 - 766 10 68 196 312 413 542 623 745 767 - 770 10 67 195 311 412 541 622 744 771 - 773 10 66 194 310 411 540 621 743 774 - 776 10 65 193 309 410 539 620 742 777 - 780 10 64 192 308 409 538 619 741 781 - 783 10 63 191 307 408 537 618 740 784 - 786 10 62 190 306 407 536 617 739 787 - 790 10 61 189 305 406 535 616 738 791 - 793 10 60 188 304 405 534 615 737 794 - 796 10 59 187 303 404 533 614 736 797 - 800 10 58 186 302 403 532 613 735 801 - 803 10 57 185 301 402 531 612 734 804 - 806 10 56 184 300 401 530 611 733 807 - 810 10 55 183 299 400 529 610 732 811 - 813 10 54 182 298 399 528 609 731

10/19/07 (Effective 10/1/07) 760 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

814 - 816 10 53 181 297 398 527 608 730 817 - 820 10 52 180 296 397 526 607 729 821 - 823 10 51 179 295 396 525 606 728 824 - 826 10 50 178 294 395 524 605 727 827 - 830 10 49 177 293 394 523 604 726 831 - 833 10 48 176 292 393 522 603 725 834 - 836 10 47 175 291 392 521 602 724 837 - 840 10 46 174 290 391 520 601 723 841 - 843 10 45 173 289 390 519 600 722 844 - 846 10 44 172 288 389 518 599 721 847 - 850 10 43 171 287 388 517 598 720 ** 851 - 853*** 10 42 170 286 387 516 597 719 854 - 856 10 41 169 285 386 515 596 718 857 - 860 10 40 168 284 385 514 595 717 861 - 863 10 39 167 283 384 513 594 716 864 - 866 10 38 166 282 383 512 593 715 867 - 870 10 37 165 281 382 511 592 714 871 - 873 10 36 164 280 381 510 591 713 874 - 876 10 35 163 279 380 509 590 712 877 - 880 10 34 162 278 379 508 589 711 881 - 883 10 33 161 277 378 507 588 710 884 - 886 10 32 160 276 377 506 587 709 887 - 890 10 31 159 275 376 505 586 708 894 - 896 10 30 158 274 375 504 585 707 891 - 893 10 29 157 273 374 503 584 706 897 - 900 10 28 156 272 373 502 583 705 901 - 903 10 27 155 271 372 501 582 704 904 - 906 10 26 154 270 371 500 581 703 907 - 910 10 25 153 269 370 499 580 702 911 - 913 10 24 152 268 369 498 579 701 914 - 916 10 23 151 267 368 497 578 700 917 - 920 10 22 150 266 367 496 577 699 921 - 923 10 21 149 265 366 495 576 698 924 - 926 10 20 148 264 365 494 575 697 927 - 930 10 19 147 263 364 493 574 696

10/19/07 (Effective 10/1/07) 761 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

931 - 933 10 18 146 262 363 492 573 695 934 - 936 10 17 145 261 362 491 572 694 937 - 940 10 16 144 260 361 490 571 693 941 - 943 10 15 143 259 360 489 570 692 944 - 946 10 14 142 258 359 488 569 691 947 - 950 10 13 141 257 358 487 568 690 951 - 953 10 12 140 256 357 486 567 689 954 - 956 10 11 139 255 356 485 566 688 957 - 960 10 10 138 254 355 484 565 687 961 - 963 10 10 137 253 354 483 564 686

964 - 966 10 10 136 252 353 482 563 685 967 - 970 10 10 135 251 352 481 562 684 971 - 973 10 10 134 250 351 480 561 683 974 - 976 10 10 133 249 350 479 560 682 977 - 980 10 10 132 248 349 478 559 681 981 - 983 10 10 131 247 348 477 558 680 984 - 986 10 10 130 246 347 476 557 679 987 - 990 10 10 129 245 346 475 556 678 991 - 993 10 10 128 244 345 474 555 677 994 - 996 10 10 127 243 344 473 554 676 997 - 1000 10 10 126 242 343 472 553 675 1001 - 1003 10 10 125 241 342 471 552 674 1004 - 1006 10 10 124 240 341 470 551 673 1007 - 1010 10 10 123 239 340 469 550 672 1011 - 1013 10 10 122 238 339 468 549 671 1014 - 1016 10 10 121 237 338 467 548 670 1017 - 1020 10 10 120 236 337 466 547 669 1021 - 1023 10 10 119 235 336 465 546 668 1024 - 1026 10 10 118 234 335 464 545 667 1027 - 1030 10 10 117 233 334 463 544 666 1031 - 1033 10 10 116 232 333 462 543 665 1034 - 1036 10 10 115 231 332 461 542 664 1037 - 1040 10 10 114 230 331 460 541 663 1041 - 1043 10 10 113 229 330 459 540 662 1044 - 1046 10 10 112 228 329 458 539 661

10/19/07 (Effective 10/1/07) 762 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

1047 - 1050 10 10 111 227 328 457 538 660 1051 - 1053 10 10 110 226 327 456 537 659 1054 - 1056 10 10 109 225 326 455 536 658 1057 - 1060 10 10 108 224 325 454 535 657 1061 - 1063 10 10 107 223 324 453 534 656 1064 - 1066 10 10 106 222 323 452 533 655 1067 - 1070 10 10 105 221 322 451 532 654 1071 - 1073 10 10 104 220 321 450 531 653 1074 - 1076 10 10 103 219 320 449 530 652 1077 - 1080 10 10 102 218 319 448 529 651 1081 - 1083 10 10 101 217 318 447 528 650 1084 - 1086 10 10 100 216 317 446 527 649 1087 - 1090 10 10 99 215 316 445 526 648 1091 - 1093 10 10 98 214 315 444 525 647 1094 - 1096 10 10 97 213 314 443 524 646 1097 - 1100 10 10 96 212 313 442 523 645 1101 - 1103 10 10 95 211 312 441 522 644 1104 - 1106 10 10 94 210 311 440 521 643 1107 - 1110 10 10 93 209 310 439 520 642 1111 - 1113 10 10 92 208 309 438 519 641 1114 - 1116 10 10 91 207 308 437 518 640 1117 - 1120 10 10 90 206 307 436 517 639 1121 - 1123 10 10 89 205 306 435 516 638 1124 - 1126 10 10 88 204 305 434 515 637 1127 - 1130 10 10 87 203 304 433 514 636 1131 - 1133 10 10 86 202 303 432 513 635 1134 - 1136 10 10 85 201 302 431 512 634 1137 - 1140 10 10 84 200 301 430 511 633 ** 1141 - 1143*** 10 10 83 199 300 429 510 632 1144 - 1146 10 10 82 198 299 428 509 631 1147 - 1150 10 10 81 197 298 427 508 630 1151 - 1153 10 10 80 196 297 426 507 629 1154 - 1156 10 10 79 195 296 425 506 628 1157 - 1160 10 10 78 194 295 424 505 627 1161 - 1163 10 10 77 193 294 423 504 626

10/19/07 (Effective 10/1/07) 763 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

1164 - 1166 10 10 76 192 293 422 503 625 1167 - 1170 10 10 75 191 292 421 502 624 1171 - 1173 10 10 74 190 291 420 501 623 1174 - 1176 10 10 73 189 290 419 500 622 1177 - 1180 10 10 72 188 289 418 499 621 1181 - 1183 10 10 71 187 288 417 498 620 1184 - 1186 10 10 70 186 287 416 497 619 1187 - 1190 10 10 69 185 286 415 496 618 1191 - 1193 10 10 68 184 285 414 495 617 1194 - 1196 10 10 67 183 284 413 494 616 1197 - 1200 10 10 66 182 283 412 493 615 1201 - 1203 10 10 65 181 282 411 492 614 1204 - 1206 10 10 64 180 281 410 491 613 1207 - 1210 10 10 63 179 280 409 490 612 1211 - 1213 10 10 62 178 279 408 489 611 1214 - 1216 10 10 61 177 278 407 488 610 1217 - 1220 10 10 60 176 277 406 487 609 1221 - 1223 10 10 59 175 276 405 486 608 1224 - 1226 10 10 58 174 275 404 485 607 1227 - 1230 10 10 57 173 274 403 484 606 1231 - 1233 10 10 56 172 273 402 483 605 1234 - 1236 10 10 55 171 272 401 482 604 1237 - 1240 10 10 54 170 271 400 481 603 1241 - 1243 10 10 53 169 270 399 480 602 1244 - 1246 10 10 52 168 269 398 479 601 1247 - 1250 10 10 51 167 268 397 478 600 1251 - 1253 10 10 50 166 267 396 477 599 1254 - 1256 10 10 49 165 266 395 476 598 1257 - 1260 10 10 48 164 265 394 475 597 1261 - 1263 10 10 47 163 264 393 474 596 1264 - 1266 10 10 46 162 263 392 473 595 1267 - 1270 10 10 45 161 262 391 472 594 1271 - 1273 10 10 44 160 261 390 471 593 1274 - 1276 10 10 43 159 260 389 470 592 1277 - 1280 10 10 42 158 259 388 469 591

10/19/07 (Effective 10/1/07) 764 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

1281 - 1283 10 10 41 157 258 387 468 590 1284 - 1286 10 10 40 156 257 386 467 589 1287 - 1290 10 10 39 155 256 385 466 588 1291 - 1293 10 10 38 154 255 384 465 587 1294 - 1296 10 10 37 153 254 383 464 586 1297 - 1300 10 10 36 152 253 382 463 585 1301 - 1303 10 10 35 151 252 381 462 584 1304 - 1306 10 10 34 150 251 380 461 583 1307 - 1310 10 10 33 149 250 379 460 582 1311 - 1313 10 10 32 148 249 378 459 581 1314 - 1316 10 10 31 147 248 377 458 580 1317 - 1320 10 10 30 146 247 376 457 579 1321 - 1323 10 10 29 145 246 375 456 578 1324 - 1326 10 10 28 144 245 374 455 577 1327 - 1330 10 10 27 143 244 373 454 576 1331 - 1333 10 10 26 142 243 372 453 575 1334 - 1336 10 10 25 141 242 371 452 574 1337 - 1340 10 10 24 140 241 370 451 573 1341 - 1343 10 10 23 139 240 369 450 572 1344 - 1346 10 10 22 138 239 368 449 571 1347 - 1350 10 10 21 137 238 367 448 570 1351 - 1353 10 10 20 136 237 366 447 569 1354 - 1356 10 10 19 135 236 365 446 568 1357 - 1360 10 10 18 134 235 364 445 567 1361 - 1363 10 10 17 133 234 363 444 566 1364 - 1366 10 10 16 132 233 362 443 565 1367 - 1370 10 10 15 131 232 361 442 564 1371 - 1373 10 10 14 130 231 360 441 563 1374 - 1376 10 10 13 129 230 359 440 562 1377 - 1380 10 10 12 128 229 358 439 561 1381 - 1383 10 10 11 127 228 357 438 560 1384 - 1386 10 10 10 126 227 356 437 559 1387 - 1390 10 10 9 125 226 355 436 558 1391 - 1393 10 10 8 124 225 354 435 557 1394 - 1396 10 10 7 123 224 353 434 556

10/19/07 (Effective 10/1/07) 765 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

1397 - 1400 10 10 6 122 223 352 433 555 1401 - 1403 10 10 5 121 222 351 432 554 1404 - 1406 10 10 4 120 221 350 431 553 1407 - 1410 10 10 3 119 220 349 430 552 1411 - 1413 10 10 2 118 219 348 429 551 1414 - 1416 10 10 1 117 218 347 428 550 1417 - 1420 10 10 116 217 346 427 549 1421 - 1423 10 10 115 216 345 426 548 1424 - 1426 10 10 114 215 344 425 547 1427 - 1430 10 10 113 214 343 424 546 ** 1431 - 1433*** 10 10 112 213 342 423 545 1434 - 1436 10 10 111 212 341 422 544 1437 - 1440 10 10 110 211 340 421 543 1441 - 1443 10 10 109 210 339 420 542 1444 - 1446 10 10 108 209 338 419 541 1447 - 1450 10 10 107 208 337 418 540 1451 - 1453 10 10 106 207 336 417 539 1454 - 1456 10 10 105 206 335 416 538 1457 - 1460 10 10 104 205 334 415 537 1461 - 1463 10 103 204 333 414 536 1464 - 1466 10 10 102 203 332 413 535 1467 - 1470 10 10 101 202 331 412 534 1471 - 1473 10 10 100 201 330 411 533 1474 - 1476 10 10 99 200 329 410 532 1477 - 1480 10 10 98 199 328 409 531 1481 - 1483 10 10 97 198 327 408 530 1484 - 1486 10 10 96 197 326 407 529 1487 - 1490 10 10 95 196 325 406 528 1491 - 1493 10 10 94 195 324 405 527 1494 - 1496 10 10 93 194 323 404 526 1497 - 1500 10 10 92 193 322 403 525 1501 - 1503 10 10 91 192 321 402 524 1504 - 1506 10 10 90 191 320 401 523 1507 - 1510 10 10 89 190 319 400 522 1511 - 1513 10 10 88 189 318 399 521

10/19/07 (Effective 10/1/07) 766 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

1514 - 1516 10 10 87 188 317 398 520 1517 - 1520 10 10 86 187 316 397 519 1521 - 1523 10 10 85 186 315 396 518 1524 - 1526 10 10 84 185 314 395 517 1527 - 1530 10 10 83 184 313 394 516 1531 - 1533 10 10 82 183 312 393 515 1534 - 1536 10 10 81 182 311 392 514 1537 - 1540 10 10 80 181 310 391 513 1541 - 1543 10 10 79 180 309 390 512 1544 - 1546 10 10 78 179 308 389 511 1547 - 1550 10 10 77 178 307 388 510 1551 - 1553 10 10 76 177 306 387 509 1554 - 1556 10 10 75 176 305 386 508 1557 - 1560 10 10 74 175 304 385 507 1561 - 1563 10 10 73 174 303 384 506 1564 - 1566 10 10 72 173 302 383 505 1567 - 1570 10 10 71 172 301 382 504 1571 - 1573 10 10 70 171 300 381 503 1574 - 1576 10 10 69 170 299 380 502 1577 - 1580 10 10 68 169 298 379 501 1581 - 1583 10 10 67 168 297 378 500 1584 - 1586 10 10 66 167 296 377 499 1587 - 1590 10 10 65 166 295 376 498 1591 - 1593 10 10 64 165 294 375 497 1594 - 1596 10 10 63 164 293 374 496 1597 - 1600 10 10 62 163 292 373 495 1601 - 1603 10 10 61 162 291 372 494 1604 - 1606 10 10 60 161 290 371 493 1607 - 1610 10 10 59 160 289 370 492 1611 - 1613 10 10 58 159 288 369 491 1614 - 1616 10 10 57 158 287 368 490 1617 - 1620 10 10 56 157 286 367 489 1621 - 1623 10 10 55 156 285 366 488 1624 - 1626 10 10 54 155 284 365 487 1627 - 1630 10 10 53 154 283 364 486

10/19/07 (Effective 10/1/07) 767 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

1631 - 1633 10 10 52 153 282 363 485 1634 - 1636 10 10 51 152 281 362 484 1637 - 1640 10 10 50 151 280 361 483 1641 - 1643 10 10 49 150 279 360 482 1644 - 1646 10 10 48 149 278 359 481 1647 - 1650 10 10 47 148 277 358 480 1651 - 1653 10 10 46 147 276 357 479 1654 - 1656 10 10 45 146 275 356 478 1657 - 1660 10 10 44 145 274 355 477 1661 - 1663 10 10 43 144 273 354 476 1664 - 1666 10 10 42 143 272 353 475 1667 - 1670 10 10 41 142 271 352 474 1671 - 1673 10 10 40 141 270 351 473 1674 - 1676 10 10 39 140 269 350 472 1677 - 1680 10 10 38 139 268 349 471 1681 - 1683 10 10 37 138 267 348 470 1684 - 1686 10 10 36 137 266 347 469 1687 - 1690 10 10 35 136 265 346 468 1691 - 1693 10 10 34 135 264 345 467 1694 - 1696 10 10 33 134 263 344 466 1697 - 1700 10 10 32 133 262 343 465 1701 - 1703 10 10 31 132 261 342 464 1704 - 1706 10 10 30 131 260 341 463 1707 - 1710 10 10 29 130 259 340 462 1711 - 1713 10 10 28 129 258 339 461 1714 - 1716 10 10 27 128 257 338 460 1717 - 1720 10 10 26 127 256 337 459 ** 1721 - 1723*** 10 10 25 126 255 336 458 1724 - 1726 10 10 24 125 254 335 457 1727 - 1730 10 10 23 124 253 334 456 1731 - 1733 10 10 22 123 252 333 455 1734 - 1736 10 10 21 122 251 332 454 1737 - 1740 10 10 20 121 250 331 453 1741 - 1743 10 10 19 120 249 330 452 1744 - 1746 10 10 18 119 248 329 451

10/19/07 (Effective 10/1/07) 768 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

1747 - 1750 10 10 17 118 247 328 450 1751 - 1753 10 10 16 117 246 327 449 1754 - 1756 10 10 15 116 245 326 448 1757 - 1760 10 10 14 115 244 325 447 1761 - 1763 10 10 13 114 243 324 446 1764 - 1766 10 10 12 113 242 323 445 1767 - 1770 10 10 11 112 241 322 444 1771 - 1773 10 10 10 111 240 321 443 1774 - 1776 10 10 9 110 239 320 442 1777 - 1780 10 10 8 109 238 319 441 1781 - 1783 10 10 7 108 237 318 440 1784 - 1786 10 10 6 107 236 317 439 1787 - 1790 10 10 5 106 235 316 438 1791 - 1793 10 10 4 105 234 315 437 1794 - 1796 10 10 3 104 233 314 436 1797 - 1800 10 10 2 103 232 313 435 1801 - 1803 10 10 1 102 231 312 434 1804 - 1806 10 10 101 230 311 433 1807 - 1810 10 10 100 229 310 432 1811 - 1813 10 10 99 228 309 431 1814 - 1816 10 10 98 227 308 430 1817 - 1820 10 10 97 226 307 429 1821 - 1823 10 10 96 225 306 428 1824 - 1826 10 10 95 224 305 427 1827 - 1830 10 10 94 223 304 426 1831 - 1833 10 10 93 222 303 425 1834 - 1836 10 10 92 221 302 424 1837 - 1840 10 10 91 220 301 423 1841 - 1843 10 10 90 219 300 422 1844 - 1846 10 10 89 218 299 421 1847 - 1850 10 10 88 217 298 420 1851 - 1853 10 10 87 216 297 419 1854 - 1856 10 10 86 215 296 418 1857 - 1860 10 10 85 214 295 417 1861 - 1863 10 10 84 213 294 416

10/19/07 (Effective 10/1/07) 769 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

1864 - 1866 10 10 83 212 293 415 1867 - 1870 10 10 82 211 292 414 1871 - 1873 10 10 81 210 291 413 1874 - 1876 10 10 80 209 290 412 1877 - 1880 10 10 79 208 289 411 1881 - 1883 10 10 78 207 288 410 1884 - 1886 10 10 77 206 287 409 1887 - 1890 10 10 76 205 286 408 1891 - 1893 10 10 75 204 285 407 1894 - 1896 10 10 74 203 284 406 1897 - 1900 10 10 73 202 283 405 1901 - 1903 10 10 72 201 282 404 1904 - 1906 10 10 71 200 281 403 1907 - 1910 10 10 70 199 280 402 1911 - 1913 10 10 69 198 279 401 1914 - 1916 10 10 68 197 278 400 1917 - 1920 10 10 67 196 277 399 1921 - 1923 10 10 66 195 276 398 1924 - 1926 10 10 65 194 275 397 1927 - 1930 10 10 64 193 274 396 1931 - 1933 10 10 63 192 273 395 1934 - 1936 10 10 62 191 272 394 1937 - 1940 10 10 61 190 271 393 1941 - 1943 10 10 60 189 270 392 1944 - 1946 10 10 59 188 269 391 1947 - 1950 10 10 58 187 268 390 1951 - 1953 10 10 57 186 267 389 1954 - 1956 10 10 56 185 266 388 1957 - 1960 10 10 55 184 265 387 1961 - 1963 10 10 54 183 264 386 1964 - 1966 10 10 53 182 263 385 1967 - 1970 10 10 52 181 262 384 1971 - 1973 10 10 51 180 261 383 1974 - 1976 10 10 50 179 260 382 1977 - 1980 10 10 49 178 259 381

10/19/07 (Effective 10/1/07) 770 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

1981 - 1983 10 10 48 177 258 380 1984 - 1986 10 10 47 176 257 379 1987 - 1990 10 10 46 175 256 378 1991 - 1993 10 10 45 174 255 377 1994 - 1996 10 10 44 173 254 376 1997 - 2000 10 10 43 172 253 375 2001 - 2003 10 10 42 171 252 374 2004 - 2006 10 10 41 170 251 373 2007 - 2010 10 10 40 169 250 372 ** 2011 - 2013*** 10 10 39 168 249 371 2014 - 2016 10 10 38 167 248 370 2017 - 2020 10 10 37 166 247 369 2021 - 2023 10 10 36 165 246 368 2024 - 2026 10 10 35 164 245 367 2027 - 2030 10 10 34 163 244 366 2031 - 2033 10 10 33 162 243 365 2034 - 2036 10 10 32 161 242 364 2037 - 2040 10 10 31 160 241 363 2041 - 2043 10 10 30 159 240 362 2044 - 2046 10 10 29 158 239 361 2047 - 2050 10 10 28 157 238 360 2051 - 2053 10 10 27 156 237 359 2054 - 2056 10 10 26 155 236 358 2057 - 2060 10 10 25 154 235 357 2061 - 2063 10 10 24 153 234 356 2064 - 2066 10 10 23 152 233 355 2067 - 2070 10 10 22 151 232 354 2071 - 2073 10 10 21 150 231 353 2074 - 2076 10 10 20 149 230 352 2077 - 2080 10 10 19 148 229 351 2081 - 2083 10 10 18 147 228 350 2084 - 2086 10 10 17 146 227 349 2087 - 2090 10 10 16 145 226 348 2091 - 2093 10 10 15 144 225 347 2094 - 2096 10 10 14 143 224 346

10/19/07 (Effective 10/1/07) 771 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

2097 - 2100 10 10 13 142 223 345 2101 - 2103 10 10 12 141 222 344 2104 - 2106 10 10 11 140 221 343 2107 - 2110 10 10 10 139 220 342 2111 - 2113 10 10 9 138 219 341 2114 - 2116 10 10 8 137 218 340 2117 - 2120 10 10 7 136 217 339 2121 - 2123 10 10 6 135 216 338 2124 - 2126 10 10 5 134 215 337 2127 - 2130 10 10 4 133 214 336 2131 - 2133 10 10 3 132 213 335 2134 - 2136 10 10 2 131 212 334 2137 - 2140 10 10 1 130 211 333 2141 - 2143 10 10 129 210 332 2144 - 2146 10 10 128 209 331 2147 - 2150 10 10 127 208 330 2151 - 2153 10 10 126 207 329 2154 - 2156 10 10 125 206 328 2157 - 2160 10 10 124 205 327 2161 - 2163 10 10 123 204 326 2164 - 2166 10 10 122 203 325 2167 - 2170 10 10 121 202 324 2171 - 2173 10 10 120 201 323 2174 - 2176 10 10 119 200 322 2177 - 2180 10 10 118 199 321 2181 - 2183 10 10 117 198 320 2184 - 2186 10 10 116 197 319 2187 - 2190 10 10 115 196 318 2191 - 2193 10 10 114 195 317 2194 - 2196 10 10 113 194 316 2197 - 2200 10 10 112 193 315 2201 - 2203 10 10 111 192 314 2204 - 2206 10 10 110 191 313 2207 - 2210 10 10 109 190 312 2211 - 2213 10 10 108 189 311

10/19/07 (Effective 10/1/07) 772 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

2214 - 2216 10 10 107 188 310 2217 - 2220 10 10 106 187 309 2221 - 2223 10 10 105 186 308 2224 - 2226 10 10 104 185 307 2227 - 2230 10 10 103 184 306 2231 - 2233 10 10 102 183 305 2234 - 2236 10 10 101 182 304 2237 - 2240 10 10 100 181 303 2241 - 2243 10 10 99 180 302 2244 - 2246 10 10 98 179 301 2247 - 2250 10 10 97 178 300 2251 - 2253 10 10 96 177 299 2254 - 2256 10 10 95 176 298 2257 - 2260 10 10 94 175 297 2261 - 2263 10 10 93 174 296 2264 - 2266 10 10 92 173 295 2267 - 2270 10 10 91 172 294 2271 - 2273 10 10 90 171 293 2274 - 2276 10 10 89 170 292 2277 - 2280 10 10 88 169 291 2281 - 2283 10 10 87 168 290 2284 - 2286 10 10 86 167 289 2287 - 2290 10 10 85 166 288 2291 - 2293 10 10 84 165 287 2294 - 2296 10 10 83 164 286 2297 - 2300 10 10 82 163 285 ** 2301 - 2303*** 10 10 81 162 284 2304 - 2306 10 10 80 161 283 2307 - 2310 10 10 79 160 282 2311 - 2313 10 10 78 159 281 2314 - 2316 10 10 77 158 280 2317 - 2320 10 10 76 157 279 2321 - 2323 10 10 75 156 278 2324 - 2326 10 10 74 155 277 2327 - 2330 10 10 73 154 276

10/19/07 (Effective 10/1/07) 773 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

2331 - 2333 10 10 72 153 275 2334 - 2336 10 10 71 152 274 2337 - 2340 10 10 70 151 273 2341 - 2343 10 10 69 150 272 2344 - 2346 10 10 68 149 271 2347 - 2350 10 10 67 148 270 2351 - 2353 10 10 66 147 269 2354 - 2356 10 10 65 146 268 2357 - 2360 10 10 64 145 267 2361 - 2363 10 10 63 144 266 2364 - 2366 10 10 62 143 265 2367 - 2370 10 10 61 142 264 2371 - 2373 10 10 60 141 263 2374 - 2376 10 10 59 140 262 2377 - 2380 10 10 58 139 261 2381 - 2383 10 10 57 138 260 2384 - 2386 10 10 56 137 259 2387 - 2390 10 10 55 136 258 2391 - 2393 10 10 54 135 257 2394 - 2396 10 10 53 134 256 2397 - 2400 10 10 52 133 255 2401 - 2403 10 10 51 132 254 2404 - 2406 10 10 50 131 253 2407 - 2410 10 10 49 130 252 2411 - 2413 10 10 48 129 251 2414 - 2416 10 10 47 128 250 2417 - 2420 10 10 46 127 249 2421 - 2423 10 10 45 126 248 2424 - 2426 10 10 44 125 247 2427 - 2430 10 10 43 124 246 2431 - 2433 10 10 42 123 245 2434 - 2436 10 10 41 122 244 2437 - 2440 10 10 40 121 243 2441 - 2443 10 10 39 120 242 2444 - 2446 10 10 38 119 241

10/19/07 (Effective 10/1/07) 774 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

2447 - 2450 10 10 37 118 240 2451 - 2453 10 10 36 117 239 2454 - 2456 10 10 35 116 238 2457 - 2460 10 10 34 115 237 2461 - 2463 10 10 33 114 236 2464 - 2466 10 10 32 113 235 2467 - 2470 10 10 31 112 234 2471 - 2473 10 10 30 111 233 2474 - 2476 10 10 29 110 232 2477 - 2480 10 10 28 109 231 2481 - 2483 10 10 27 108 230 2484 - 2486 10 10 26 107 229 2487 - 2490 10 10 25 106 228 2491 - 2493 10 10 24 105 227 2494 - 2496 10 10 23 104 226 2497 - 2500 10 10 22 103 225 2501 - 2503 10 10 21 102 224 2504 - 2506 10 10 20 101 223 2507 - 2510 10 10 19 100 222 2511 - 2513 10 10 18 99 221 2514 - 2516 10 10 17 98 220 2517 - 2520 10 10 16 97 219 2521 - 2523 10 10 15 96 218 2524 - 2526 10 10 14 95 217 2527 - 2530 10 10 13 94 216 2531 - 2533 10 10 12 93 215 2534 - 2536 10 10 11 92 214 2537 - 2540 10 10 10 91 213 2541 - 2543 10 10 9 90 212 2544 - 2546 10 10 8 89 211 2547 - 2550 10 10 7 88 210 2551 - 2553 10 10 6 87 209 2554 - 2556 10 10 5 86 208 2557 - 2560 10 10 4 85 207 2561 - 2563 10 10 3 84 206

10/19/07 (Effective 10/1/07) 775 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

2564 - 2566 10 10 2 83 205 2567 - 2570 10 10 1 82 204 2571 - 2573 10 10 81 203 2574 - 2576 10 10 80 202 2577 - 2580 10 10 79 201 2581 - 2583 10 10 78 200 2584 - 2586 10 10 77 199 2587 - 2590 10 10 76 198 ** 2591 - 2593*** 10 10 75 197 2594 - 2596 10 10 74 196 2597 - 2600 10 10 73 195 2601 - 2603 10 10 72 194 2604 - 2606 10 10 71 193 2607 - 2610 10 10 70 192 2611 - 2613 10 10 69 191 2614 - 2616 10 10 68 190 2617 - 2620 10 10 67 189 2621 - 2623 10 10 66 188 2624 - 2626 10 10 65 187 2627 - 2630 10 10 64 186

2631 - 2633 10 10 63 185 2634 - 2636 10 10 62 184 2637 - 2640 10 10 61 183 2641 - 2643 10 10 60 182 2644 - 2646 10 10 59 181 2647 - 2650 10 10 58 180 2651 - 2653 10 10 57 179 2654 - 2656 10 10 56 178 2657 - 2660 10 10 55 177 2661 - 2663 10 10 54 176 2664 - 2666 10 10 53 175 2667 - 2670 10 10 52 174 2671 - 2673 10 10 51 173 2674 - 2676 10 10 50 172 2677 - 2680 10 10 49 171

10/19/07 (Effective 10/1/07) 776 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

2681 - 2683 10 10 48 170 2684 - 2686 10 10 47 169 2687 - 2690 10 10 46 168 2691 - 2693 10 10 45 167 2694 - 2696 10 10 44 166 2697 - 2700 10 10 43 165 2701 - 2703 10 10 42 164 2704 - 2706 10 10 41 163 2707 - 2710 10 10 40 162 2711 - 2713 10 10 39 161 2714 - 2716 10 10 38 160 2717 - 2720 10 10 37 159 2721 - 2723 10 10 36 158 2724 - 2726 10 10 35 157 2727 - 2730 10 10 34 156 2731 - 2733 10 10 33 155 2734 - 2736 10 10 32 154 2737 - 2740 10 10 31 153 2741 - 2743 10 10 30 152 2744 - 2746 10 10 29 151 2747 - 2750 10 10 28 150 2751 - 2753 10 10 27 149 2754 - 2756 10 10 26 148 2757 - 2760 10 10 25 147 2761 - 2763 10 10 24 146 2764 - 2766 10 10 23 145 2767 - 2770 10 10 22 144 2771 - 2773 10 10 21 143 2774 - 2776 10 10 20 142 2777 - 2780 10 10 19 141 2781 - 2783 10 10 18 140 2784 - 2786 10 10 17 139 2787 - 2790 10 10 16 138 2791 - 2793 10 10 15 137 2794 - 2796 10 10 14 136

10/19/07 (Effective 10/1/07) 776.1 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

2797 - 2800 10 10 13 135 2801 - 2803 10 10 12 134 2804 - 2806 10 10 11 133 2807 - 2810 10 10 10 132 2811 - 2813 10 10 9 131 2814 - 2816 10 10 8 130 2817 - 2820 10 10 7 129 2821 - 2823 10 10 6 128 2824 - 2826 10 10 5 127 2827 - 2830 10 10 4 126 2831 - 2833 10 10 3 125 2834 - 2836 10 10 2 124 2837 - 2840 10 10 1 123 2841 - 2843 10 10 122 2844 - 2846 10 10 121

2847 - 2850 10 10 120 2851 - 2853 10 10 119 2854 - 2856 10 10 118 2857 - 2860 10 10 117 2861 - 2863 10 10 116

2864 - 2866 10 10 115 2867 - 2870 10 10 114 2871 - 2873 10 10 113 2874 - 2876 10 10 112 2877 - 2880 10 10 111 ** 2881 - 2883*** 10 10 110 2884 - 2886 10 10 109 2887 - 2890 10 10 108 2891 - 2893 10 10 107 2894 - 2896 10 10 106 2897 - 2900 10 10 105 2901 - 2903 10 10 104 2904 - 2906 10 10 103 2907 - 2910 10 10 102 2911 - 2913 10 10 101

10/19/07 (Effective 10/1/07) 776.2 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

2914 - 2916 10 10 100 2917 - 2920 10 10 99 2921 - 2923 10 10 98 2924 - 2926 10 10 97 2927 - 2930 10 10 96 2931 - 2933 10 10 95 2934 - 2936 10 10 94 2937 - 2940 10 10 93 2941 - 2943 10 10 92 2944 - 2946 10 10 91 2947 - 2950 10 10 90 2951 - 2953 10 10 89 2954 - 2956 10 10 88 2957 - 2960 10 10 87 2961 - 2963 10 10 86 2964 - 2966 10 10 85 2967 - 2970 10 10 84 2971 - 2973 10 10 83 2974 - 2976 10 10 82 2977 - 2980 10 10 81 2981 - 2983 10 10 80 2984 - 2986 10 10 79 2987 - 2990 10 10 78 2991 - 2993 10 10 77 2994 - 2996 10 10 76 2997 - 3000 10 10 75 3001 - 3003 10 10 74 3004 - 3006 10 10 73 3007 - 3010 10 10 72 3011 - 3013 10 10 71 3014 - 3016 10 10 70 3017 - 3020 10 10 69 3021 - 3023 10 10 68 3024 - 3026 10 10 67 3027 - 3030 10 10 66

10/19/07 (Effective 10/1/07) 776.3 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

3031 - 3033 10 10 65 3034 - 3036 10 10 64 3037 - 3040 10 10 63 3041 - 3043 10 10 62 3044 - 3046 10 10 61 3047 - 3050 10 10 60 3051 - 3053 10 10 59 3054 - 3056 10 10 58 3057 - 3060 10 10 57 3061 - 3063 10 10 56 3064 - 3066 10 10 55 3067 - 3070 10 10 54 3071 - 3073 10 10 53 3074 - 3076 10 10 52 3077 - 3080 10 10 51 3081 - 3083 10 10 50 3084 - 3086 10 10 49 3087 - 3090 10 10 48 3091 - 3093 10 10 47 3094 - 3096 10 10 46 3097 - 3100 10 10 45 3101 - 3103 10 10 44 3104 - 3106 10 10 43 3107 - 3110 10 10 42 3111 - 3113 10 10 41

3114 - 3116 10 10 40 3117 - 3120 10 10 39 3121 - 3123 10 10 38 3124 - 3136 10 10 37 3127 - 3130 10 10 36

3131 - 3133 10 10 35 3134 - 3136 10 10 34 3137 - 3140 10 10 33 3141 - 3143 10 10 32 3144 - 3146 10 10 31

10/19/07 (Effective 10/1/07) 776.4 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

364.980: continued

FOOD STAMP ALLOTMENT BY ASSISTANCE UNIT SIZE

Monthly Net One Two Three Four Five Six Seven Eight Income Person Persons Persons Persons Persons Persons Persons Persons

3147 - 3150 10 10 30 3151 - 3153 10 10 29 3154 - 3156 10 10 28 3157 - 3160 10 10 27 3161 - 3163 10 10 26

3164 - 3166 10 10 25 3167 - 3170 10 10 24 3171 - 3173 10 10 23 3174 - 3176 10 10 22 3177 - 3180 10 10 21

3181 - 3183 10 10 20 3184 - 3186 10 10 19 3187 - 3190 10 10 18 3191 - 3193 10 10 17 3194 - 3196 10 10 16

3197 - 3200 10 10 15 3101 - 3103 10 10 14 3204 - 3206 10 10 13 3207 - 3210 10 10 12 3211 - 3213 10 10 11

3214 - 3216 10 10 10 3217 - 3220 10 10 9 3221 - 3223 10 10 8 3224 - 3226 10 10 7 3227 - 3230 10 10 6

3231 - 3233 10 10 5 3234 - 3236 10 10 4 3237 - 3240 10 10 3 3241 - 3243 10 10 2 3244 - 3246 10 10 1

10/19/07 (Effective 10/1/07) 776.5 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

NON-TEXT PAGE

10/19/07 (Effective 10/1/07) 776.6 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 648

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 322 CMR 4.00

CHAPTER TITLE: Fishing & Shellfish Equipment

AGENCY: Division of Marine Fisheries

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Implements reduced incidental landing/possession limit for lobster harvested by gillnet gear in the Outer Cape Cod Lobster Conservation Management Area to support sustainable harvest and achievement of conservation goals.

REGULATORY AUTHORITY: M.G.L. c.21As.2, c.30As.2, c.130ss.17A & 44B

AGENCY CONTACT: Melanie Griffin PHONE: 617.626.1528

ADDRESS: 251 Causeway St., Suite 400; Boston, MA 02114

Compliance with M.G.L. c. 30A

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency. DMF is taking emergency action to decrease unsustainable incidental harvest of lobster; gear that catch lobster as a bycatch (e.g., gillnets) may undermine regional rebuilding objectives and recent achievements of effort control plans in this area.

Date of public hearing or comment period:

For the first five years:

No fiscal effect:

Reduced catch of lobster caught by gillnets

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation:

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST:

SIGNATURE: SIGNATURE ON FILE DATE: Sep 28 2007

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007

EFFECTIVE DATE: 10/01/2007

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: THIS IS AN EMERGENCY THERE ARE NO REGULATION REPLACEMENT PAGES

10/01/2007 JG

4.05: continued

(a) all waters within an area bounded by an imaginary line beginning at the westernmost tip of the southern entrance jetty at Pamet Harbor to the Number 1 buoy on Billingsgate Shoal, thence southerly to the Number 1 gong off Sesuit Harbor, thence to the northernmost tip of the east entrance jetty off Sesuit Harbor, thence along the shoreline of Dennis, Orleans, Eastham, Wellfleet and Truro to the westernmost tip of the southern entrance jetty at Pamet Harbor.

(7) Closure Procedures. An area closure shall not be effective until: (a) it has been approved by a majority of the members of the Marine Fisheries Advisory Commission; (b) a notice of closure has been filed with the Massachusetts Register; and (c) a copy of the notice of closure has been mailed to all gillnet regulated fishery permit holders.

(8) Prohibitions. It is unlawful for any person to harvest, catch or take or attempt to harvest, catch or take any bluefish by means of a gillnet in the southern area; (a) without a valid regulated fishery permit; (b) between ½ hour after sunset to ½ hour before sunrise; (c) with greater than 1500 feet of net; (d) with any net which is unmarked by high-flyers or floats, or which has not been legibly marked with the regulated fishery permit number; (e) with any net which has a stretched mesh opening of less than five inches; (f) with any net that is left unattended; (g) having failed to file a timely and accurate catch report or having falsified a catch report; (h) when the gillnet fishery has been closed by a notice of closure; or (i) when an area has been closed by the Director pursuant to 322 CMR 4.05(6).

(9) Penalties. Violation of 322 CMR 4.05 shall be governed by the provisions of M.G.L. c. 130, §§ 2 and 80.

(10) Notice of Closure. Pursuant to the authority of 322 CMR 4.05(6) and (7) the Director has determined that gear conflicts are occurring in that area established in 332 CMR 4.05(6) between the charter boats and the gillnet boats. Such gear conflicts are causing social disruptions among the fishermen. Accordingly, the aforementioned area is closed to any fishing for bluefish by means of a gillnet: All waters within an area bounded by an imaginary line beginning at the westernmost tip of the southern entrance jetty at Pamet Harbor to the Number 1 buoy on Billingsgate Shoal, thence southerly to the Number 1 gong off Sesuit Harbor, thence to the northernmost tip of the east entrance jetty off Sesuit Harbor, thence along the shoreline of Dennis, Orleans, Eastham, Wellfleet and Truro to the westernmost tip of the southern entrance jetty at Pamet Harbor.

This closure shall remain in effect until further notice.

4.06: Use of Mobile Gear

(1) Definitions. For purposes of 322 CMR 4.06 only the following words shall have the following meanings:

Director means the Director of the Division of Marine Fisheries, 100 Cambridge Street, Boston, MA.

Ghost gear means any fixed fishing gear including but not limited to gillnets with their flyers and floats and lobster pots with their buoys and line, which are no longer buoyed to the surface of the water, are not visible from the surface and become entangled with mobile gear.

Hauling back means retrieving a net from the ocean bottom and placing the contents of the cod end on the deck or hold of the vessel.

12/1/93 322 CMR - 23 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

4.06: continued

Mobile Gear means any moveable or encircling fishing gear or nets which are towed, hauled or dragged through the water for the harvest of fish including but not limited to pair trawls, otter trawls, beam trawls, mid-water trawls, scottish seines, danish seines, pair seines, purse seines or shellfish dredges.

Molted Lobster means any newly molted lobster whose carapace has not hardened and may be dented by exerting lateral pressure with the fingertips.

Night Fishing means conducting fishing operations with mobile gear by a vessel between ½ hour after sunset to ½ hour before sunrise.

Vessel means any commercial fishing vessel registered under the laws of the state and conducting commercial fishing operations within waters under the jurisdiction of the Commonwealth.

(2) Gear Retrieval. Any vessel with mobile gear whose gear becomes entangled with ghost gear may haul said ghost gear on board for the purpose of identification and return to the rightful owner, if authorized in writing by said owner.

(3) Closures. The Director may close those waters under the jurisdiction of the Commonwealth determined by him to be either: (a) susceptible to gear conflicts at night due to high densities of fixed fishing gear; or (b) in need of special and immediate conservation measures based upon high densities of molted lobsters.

(4) Procedure. A closure shall not be effective until: (a) it has been approved by a majority of the members of the Marine Fisheries Advisory Commission; (b) a notice of closure has been filed with the Massachusetts Register stating: 1. a determination of need and the basis for the closure; 2. the exact area to be closed; and 3. the duration during which the closure shall remain in effect; and (c) the notice of closure has been posted in conspicuous places accessible to the fishermen.

(5) Comment Period. During the effective date of any closure the Director shall consider any written comments on the closure which may be submitted to the Director by the public or a state or federal agency. Based upon these written comments the Director may alter, amend or rescind the closure pursuant to the procedural requirements of 322 CMR 4.06(5).

(6) Prohibitions. It shall be unlawful: (a) for any vessel fishing with mobile gear or hauling back in waters under the jurisidiction of the Commonwealth to exceed the lobster landing/possession limits established in 322 CMR 6.26; (b) for any vessel or its occupants to molest, damage, destroy, cut or deface any fixed and stable fishing gear; (c) for any vessel or its occupants to possess any ghost gear without proper written authorization of the owner; or (d) to use in any manner any mobile fishing gear in or possess any fish including lobsters harvested from an area which has been closed pursuant to 322 CMR 4.06(5).

10/19/07 (Effective 10/1/07) 24 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

4.06: continued

(7) Penalties. Violations of any provision of 322 CMR 4.06 may result in: (a) forfeiture of all fish and lobsters unlawfully possessed; (b) forfeiture of all vessels and gear unlawfully used; (c) suspension of the commercial fisherman permit; (d) a fine of not less than $50 nor more than $1,000; or (e) any combination of the above.

4.08: Use of Bottom Gillnets North of Cape Cod

(1) Definition. For purposes of 322 CMR 4.08 a bottom or sink gillnet means any gillnet, anchored or otherwise, that is designed to be, capable of being, or is fished on or near the bottom in the lower third of the water column.

(2) Prohibition. It is unlawful to use, set, maintain, or fish with bottom or sink gillnets: (a) during the period November 1 through November 30, inclusive, in territorial waters encompassed by an imaginary line beginning at the intersection of the 42° 45'N parallel of latitude with the shoreline of Plum Island; thence in an easterly direction following the 42° 45'N parallel of latitude to a point where it intersects the territorial seas line; thence in a northerly direction following the territorial sea line to the Massachusetts/New Hampshire boundary; thence shoreward along the boundary to the shore; thence in a southerly direction along the shore to the starting point. (b) during the period March 1 through March 31, inclusive, in territorial waters encompassed by an imaginary line beginning at the intersection of the 42° 30'N parallel of latitude with the shoreline of Marblehead; thence in an easterly direction following the 42° 30'N parallel of latitude to a point where it intersects the territorial seas line; thence in a southerly and then easterly direction following the territorial seas line to its intersection with an imaginary straight line extending from 42° 04.8'N/70° 10'W to 42° 12'N/70° 15'W; thence in a southeasterly direction following said line to the shore in Provincetown; thence in a westerly direction along the shore of Cape Cod Bay and Massachusetts Bay to the starting point.

4.09: Use of Gillnets South and West of Cape Cod

(1) Definition. For the purposes of 322 CMR 4.09 gillnets are defined as anchored or drifting vertical walls of webbing, buoyed on top and weighted at the bottom, designed to capture fish by entanglement, gilling, or wedging.

(2) Prohibition. It is unlawful to use, set, maintain, or fish with any gillnets during the period April 1 through November 15, inclusive, in waters under the jurisdiction of the Commonwealth in Mount Hope Bay and circumscribed by an imaginary line beginning at the intersection of the Loran C line 9960-Y-43940 with the Chatham shoreline; thence seaward following the Loran C line 9960-Y-43940 to the territorial seas line; thence in a southerly direction following the territorial seas line to its intersection with a point at 70° 00'; thence in a southerly direction following the 70° 00' line to its intersection with the territorial seas line; thence following the territorial seas line in a southerly direction and south of Nantucket Island and Martha's Vineyard to the Massachusetts/Rhode Island boundary; thence in a northerly direction following the Massachusetts/Rhode Island boundary to the shoreline; thence following the shoreline in an easterly direction to the starting point.

(3) Exception. 322 CMR 4.09 shall not apply to persons: (a) using gillnets less than 200 square feet to take bait for personal use; (b) with inshore net permits authorized in accordance with 322 CMR 4.02 to take bait for personal use with nets larger than 200 square feet; (c) permitted to take bluefish in accordance with 322 CMR 4.05.

4.10: Use of Sea Scallop Dredges

(1) Dredge Width. It is unlawful to possess a sea scallop dredge or combination of dredges with an effective fishing width greater than ten feet while fishing in waters under the jurisdiction of the Commonwealth.

10/19/07 (Effective 10/1/07) 25 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

4.10: continued

(2) Measurement. Effective fishing width is the distance measured between the extreme outside edges of the mouth of the dredge or dredges.

(3) Minimum ring size. It is unlawful to possess a sea scallop dredge with rings less than 3½ inches.

(4) Measurement. Ring size is determined by measuring the shortest straight line passing through the center of the ring from one inside edge to the opposite inside edge of the ring. The measurement shall not include normal welds from ring manufacturing or links. The rings to be measured will be at least five rings away from the mouth of the dredge and at least two rings away from other rigid portions of the dredge.

4.11: Use of Gillnets In Massachusetts Bay

(1) Definition. For the purpose of 322 CMR 4.11 a bottom gillnet is defined as vertical walls of webbing, whether anchored or drifting, which is buoyed on the top and weighted on the bottom to remain in an upright position, designed to capture fish on or near the seabed by entanglement, gilling or wedging.

(2) Prohibition. It is unlawful to use, set, place or maintain any bottom gillnet from May 15 to November 1 within the management area set forth in 322 CMR 4.11(3).

(3) Management Area. Beginning at the intersection of the Loran C 9960-Y-44250 line with the shoreline of the town of Hull; thence following the 44250 line to the so-called otter and beam trawl line otherwise known as the old exterior line of the Commonwealth; thence following said line in a northerly direction to the intersection with the Loran C 9960-Y-44290 line; thence following the 44290 line in a westerly direction to the shoreline north of Deer Island; thence along the shoreline of Deer Island in a southerly direction to the southeasternmost tip of Deer Island; thence along an imaginary straight line to the northernmost point of Lovell Island; thence along the shore of Lovell Island to its southernmost point; thence along an imaginary straight line to the tower on Telegraph Hill in the town of Hull; thence along the shore eastward to Pt. Allerton and southward along Nantasket Beach to the intersection of the shore with the Loran C 44250 line at the point of beginning, all as appearing on the following chart.

1/24/97 322 CMR - 26 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 649

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 322 CMR 6.00

CHAPTER TITLE: Regulation of Catches

AGENCY: Division of Marine Fisheries

REGULATORY AUTHORITY: M.G.L. c.21As.2, c.30A.s.2, c.130ss. 17A & 44B

AGENCY CONTACT: Melanie Griffin PHONE: 617.626.1528

ADDRESS: 251 Causeway St., Suite 400; Boston, MA 02114

Compliance with M.G.L. c. 30A

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency. DMF is taking emergency action to reduce unsustainable incidental harvest of lobster in this area; gears that catch lobster as a bycatch (e.g., gillnets) may undermine regional rebuilding objectives and recent achievements of effort control plans in this area.

Date of public hearing or comment period:

For the first five years:

No fiscal effect:

Reduced catch of lobster by gillnets

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation:

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST:

SIGNATURE: SIGNATURE ON FILE DATE: Sep 28 2007

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007

EFFECTIVE DATE: 10/01/2007

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: THIS IS AN EMERGENCY THERE ARE NO REGULATION REPLACEMENT PAGES

10/01/2007 JG

6.24: continued

(7) Prohibitions. (a) It shall be unlawful for any vessel fishing in areas closed to mobile gear fishing under the exception provided in 322 CMR 6.24(5)(f) to conduct fishing operations during the period ½ hour after sunset to ½ hour before sunrise at Boston, MA. (b) It shall be unlawful for any person fishing under the authority of a Regulated Fishery Permit endorsed for sea urchins to retain any bycatch of regulated species, including any lobsters, finfish, or shellfish. (c) It shall be unlawful for any person to dredge for sea urchins in areas defined in 322 CMR 8.09 during the period February 1st through April 30th.

6.25: Lobster Landing Window

(1) Definition. "To land" means to transfer the catch of any lobster from any vessel onto any land or dock, pier, wharf, or other artificial structure.

(2) It is unlawful during the period February 1 trough April 30, for commercial fishermen to land from 8:00 P.M. through 6:00 A.M. any lobsters caught with nets, pots, or any other fishing gear capable of catching lobster.

6.26: Bycatch Lobster Landing/Possession Limits

(1) Definitions. For the purposes of 322 CMR 6.26:

Bottom or Sink Gillnet means a gillnet, anchored or otherwise, that is designed to be, capable of being, or is fished on or near the bottom in the lower third of the water column.

Day means any 24-hour period.

1-day Fishing Trip means a trip 24 hours or less.

2-day Fishing Trip means a trip greater than 24 hours up to 48 hours.

3-day Fishing Trip means a trip greater than 48 hours up to 72 hours.

4-day Fishing Trip means a trip greater than 72 hours up to 96 hours.

5-day Fishing Trip means a trip greater than 96 hours up to 120 hours.

Lobster Car means any container, enclosure or any other container or contrivance designed to hold and store lobster away from the vessel.

Lobster Crate means a covered container with a volume equal to or less than 3.9 cubic feet.

Mobile Gear means any movable or encircling fishing gear or nets which are set, towed, hauled or dragged through the water for the harvest of fish, squid, and shellfish including but not limited to otter trawls, beam trawls, mid-water trawls, bottom and mid-water pair trawls, Scottish seines, Danish seines, pair seines, purse seines, shellfish dredges, and sea scallop dredges.

Net Hauler means any device capable of pulling all or portions of gillnets out of the sea for the purpose of removing catches of lobster and fish.

Rigged for Netting means a vessel having a trawl net and doors on board.

Trips Greater than 5-days means a trip greater than 120 hours.

(2) Bycatch Limits in Commercial Fisheries. (a) Non-lobster Commercial Permit Holders. It is unlawful for any person without a commercial lobster permit to land or possess any lobsters. (b) Mobile Gear. It is unlawful for any person with either an offshore lobster permit or coastal lobster permit fishing or seen fishing with mobile gear to land or possess:

10/19/07 (Effective 10/1/07) 57 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

6.26: continued

1. any lobsters harvested in waters under the jurisdiction of the Commonwealth; or 2. more than 100-lobsters harvested from federal waters per 24-hour day, provided the vessel they are fishing aboard is properly permitted by NOAA Fisheries to take lobster from federal waters, not to exceed more than 500 lobsters for any fishing trip five days or longer. When the duration of a trip in number of hours, cannot be documented for the Office of Environmental Law Enforcement, the 100-lobster commercial limit shall apply. (c) Bottom or Sink Gillnets. It is unlawful for any person with an offshore lobster permit or a coastal lobster permit to land or possess more than: 1. 100 lobsters per 24-hour day when fishing or seen fishing with gillnets exclusively in waters outside of the Outer Cape Cod Lobster Conservation Management Area. 2. an amount of lobsters exceeding the capacity of two lobster crates, not to exceed 100 lobsters, per 24-hour day when fishing or seen fishing with gillnets in waters within the Outer Cape Cod Lobster Conservation Management Area (OCCLCMA), or authorized to fish with gillnets in the OCCLCMA. All lobsters retained in accordance with 322 CMR 6.26(2)(c)1. shall be separated from the rest of the catch and stored in lobster crates or placed in lobster crates immediately upon request of law enforcement. (d) Presumption. It is a rebuttable presumption that a vessel: 1. rigged for netting or equipped with a net hauler, and 2. having both lobster and fish in possession, caught the lobsters with gear other than pots or traps and is thereby subject to the lobster limits described in 322 CMR 6.26.

(3) Duration of Fishing Trips. A vessel landing lobsters taken by any gear other than pots or traps during any fishing trip shall document the hourly duration of the fishing trip through vessel reports or through any other method prescribed by the Director. Such records shall be kept on board the vessel and made available for inspection by any agent of the Director.

(4) Exception. It is lawful for a vessel possessing lobsters caught by mobile gear or gillnets to exceed the daily possession limit as defined by 322 CMR 6.26(2)(b) and (c)1.: (a) lobsters are held separate from the fishing vessel in holding cars in locations subject to approval of the Director; (b) the landing limit described in 322 CMR 6.26(2) is not exceeded for any trip; (c) prior to carring lobsters, fishermen notify the Office of Environmental Law Enforcement of their intent to car lobster and the location of the holding cars; (d) not more than the daily authorized landing/possession limit are in possession for each day of fishing following notification; (e) not more than 500 lobsters are in possession at any one time; and (f) fishermen provide accurate records of their daily fishing activities and amounts of lobster carred each day.

(5) Prohibitions. It is unlawful for any commercial fisherman or vessel fishing gillnets in the Outer Cape Cod Lobster Conservation Management Area (OCCLCMA), or authorized to fish in the OCCLCMA, to store lobster in any lobster car in waters under the jurisdiction of the Commonwealth.

6.27: Scup and Black Sea Bass Permitting and Reporting Requirements

(1) Permits. A scup and black sea bass special permit issued by the Director shall be: (a) required of all commercial fishermen taking or landing scup and black sea bass in the Commonwealth; (b) carried by the holder at all times when catching, taking, or landing scup and black sea bass in the Commonwealth; (c) displayed forthwith on demand by any Environmental Police officer or other official authorized to enforce 322 CMR 6.27.

(2) Dealers. It is unlawful for dealers to purchase scup and black sea bass from commercial fishermen without written authorization from the Director.

(3) Consignment. Commercial fishermen selling on consignment shall be considered dealers subject to the permit and reporting requirements of 322 CMR 6.27(2) and (4).

10/19/07 (Effective 10/1/07) 58 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

6.27: continued

(4) Reporting Requirements. (a) Commercial fishermen shall accurately report their catch of scup and black sea bass to the Director on forms supplied by the Division. Said catch reports shall be filed no later than January 31 of each year. Pursuant to M.G.L. c. 130, § 21, catch reports shall be held strictly confidential by the Director, and shall be signed under the pains and penalties of perjury. Failure to complete and submit an accurate reporting form prior to January 31st or falsification of any such reporting form shall result in suspension, revocation, or a non- renewal of the scup and black sea bass special permit; (b) Dealers shall report all purchases of scup and black sea bass by phone and in writing based on schedules established and on forms provided by the Division; and (c) Dealers accepting scup and black sea bass shall weigh and record all scup and black sea bass purchases at the time of landing with pounds landed, date, time, and fishermen’s name and permit number for inspection by the Division of Environmental Law Enforcement.

6.28: Commercial Scup and Black Sea Bass Fishery Limits

(1) Winter I (January through April) and Winter II (November through December) Possession Limits. (a) Declaration of Annual Specifications. The Director may, by declaration, establish and adjust the manner and times of taking scup, and the legal size limits, numbers and/or quantities of scup to be taken as prescribed by M.G.L. c. 130, § 17A and specified by the Atlantic States Marine Fisheries Commission (ASMFC). (b) Declaration Process. Annual specifications shall not be effective until: 1. a notice has been filed with the Massachusetts Register; 2. a notice has been published by at least one local newspaper; 3. a copy of the notice has been emailed via the Marine Fisheries Listserv and posted on the Division’s website; 4. a two-week comment period has been conducted by the Division; and 5. it has been approved by a majority of the members of the Massachusetts Marine Fisheries Advisory Commission.

(2) May through October Possession Limits for Commercial Fishermen. (a) Trawlers. 1. During the squid season (as listed in 322 CMR 6.39) it is unlawful to possess more than 400 lbs. of scup. 2. From June 10th until the annual scup quota is reached it is unlawful to possess more than 400 lbs. of scup except on any Friday and Saturday during this period when possession of scup is prohibited. (b) Weirs. Weir fishermen shall not be subject to daily possession limits until scup landings among all weirs combined reach 225,000 lbs. (c) All Other Gear Types. 1. During the black sea bass open fishing days during the period May 1st through July 31st as authorized in 322 CMR 6.28(3)(b), commercial fishermen using hook and line or pots shall not possess more than 200 lbs. of scup daily except on any Friday and Saturday when possession of scup is prohibited. 2. From August 1st until the annual quota is reached it is unlawful to possess more than 400 lbs. of scup except on any Friday and Saturday when possession of scup is prohibited.

(3) Black Sea Bass Commercial Fishery Possession Limits. The commercial black sea bass quota is managed with seasonal and gear-specific trip limits, no-fishing days and seasonal allocations of the quota split between January 1st through July 31st and August 1st through December 31st. (a) January 1st through April 30th. It is unlawful for commercial fishermen to land or possess more than 100 lbs. of black sea bass during a 24-hour day.

10/19/07 (Effective 10/1/07) 58.1 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

6.28: continued

(b) May 1st through May 22nd; June 1st through July 31st. During a 24-hour day, it is unlawful for commercial fishermen to land or posses more than 500 lbs. of black sea bass in the directed sea bass pot fishery and weir fishery, 200 lbs of black sea bass for all other gear types, or 100 lbs. in the commercial lobster trap fishery. It is unlawful for commercial fishermen to land or possess any black sea bass from May 23rd through May 31st or once the Director has determined that 50% of the annual Massachusetts commercial fishery quota has been reached during this period. The landing and/or possession of black sea bass on Fridays and Saturdays is prohibited. (c) August 1st through December 31st. During a 24-hour day, it is unlawful for commercial fishermen to land or posses more than 500 lbs. of black sea bass in the directed sea bass pot fishery and weir fishery, 100 lbs of black sea bass in the directed scup pot fishery, 200 lbs of black sea bass for all other gear types, or 100 lbs. in the commercial lobster fishery during a 24-hour day. It is unlawful for commercial fishermen to land or possess black sea bass once the Director has determined that 100% of the annual Massachusetts commercial fishery quota has been reached. The landing and/or possession of black sea bass on Fridays and Saturdays is prohibited.

(4) The possession limits described in 322 CMR 6.28 shall be based on a 24-hour day, shall be vessel limits, and shall apply regardless of the number of commercial fishermen with scup or black sea bass special permits on board said vessel.

(5) Commercial Fishery Limit Adjustments. (a) The director may adjust scup and black sea bass commercial fishery landing/possession limits to correspond to limits established by the Atlantic States Marine Fisheries Commission. (b) Authorized sea bass pot fishermen must maintain records of landings and sales of sea bass on the vessel on forms provided by the Director, and submit them to DMF on schedules established by the Director, and make them available for inspection upon request of any person authorized to enforce 322 CMR 6.00. For enforcement purposes weekly limits shall be enforced for any period that begins on a Sunday at 12:01 A.M. and ends on the following Saturday at midnight. After quarterly trip limits are adjusted, it shall be unlawful for any authorized sea bass pot fishermen to possess, land or sell amounts of sea bass that in aggregate per week exceeds any weekly limit listed in 322 CMR 6.28(3)(b) through (d). (c) An adjustment has been filed with the Massachusetts Register and has been made available to all commercial scup or black sea bass permit holders and dealers authorized to purchase scup or black sea bass. (d) The director shall consider any written comments submitted by the public or a state or federal agency, and based on these comments, the Director may alter, amend, or rescind the adjustments pursuant to the procedural requirements of 322 CMR 6.28(5)(b).

6.29: Acushnet River Estuary Fisheries Closures

(1) Definitions. For purposes of 322 CMR 6.30 the following words shall have the following meanings:

Area 1 means all waters north of the Hurricane Dike in New Bedford including all if New Bedford Harbor and the Acushnet River. This area corresponds to Area I described in 105 CMR 260.000.

Area 2 means all waters encompassed by an imaginary straight line beginning at the southernmost part of Ricketsons Point in Dartmouth; thence in an easterly direction to the southernmost part of Wilbur Point in Sconticut Neck, Fairhaven; thence along the western shoreline of Sconticut Neck in a northerly direction along the Fairhaven shoreline; thence along the Hurricane Dike to the New Bedford shoreline; thence in a southerly direction to Clarks Point and along the shoreline of Clarks Cove to the starting point. This area corresponds to Area II described in 105 CMR 260.000.

(2) Area 1 and 2 Prohibitions. It is unlawful to harvest, catch, or take lobster from Areas 1 and 2.

10/19/07 (Effective 10/1/07) 58.2 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

6.30: American Eels

(1) Permit. It shall be unlawful for any person to take or land American eels (Anquilla rostrata) for commercial purposes without a regulated fishery permit issued by the Director.

(2) Reporting. Each holder of a regulated fishery permit for American eels shall file a monthly catch report on forms supplied by the Division. Failure to report shall be grounds for suspension and non-renewal of the permit.

(3) Dealers. Wholesale Dealers who purchase American eels from licensed fishermen shall register with the Division and keep records of purchases on forms supplied by the Division.

(4) Minimum Size. It is unlawful for any person to fish for, take, or have in possession American eels measuring less than six inches in total length unless authorized by a special permit issued by the Director.

(5) Non-commercial Harvest Limit. It shall be unlawful for any person to harvest more than 50 eels per calendar day for personal use, or possess more than 50 eels while eel fishing, unless said person holds a regulated fishery permit for American eel.

(6) Prohibited Fishing Gear. During the period February 15th through June 15th, it shall be unlawful for any person, while in or on the waters of or upon the banks of streams or rivers within the coastal waters, to possess or have under his/her control any device with mesh or openings measuring less than c inch, including, but not limited to dip nets, set nets, and traps adapted for the taking of elvers, or to leave any such gear in said areas during the closed season.

10/19/07 (Effective 10/1/07) 58.2.1 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

NON-TEXT PAGE

10/19/07 (Effective 10/1/07) 58.2.2 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 3306

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Notice of Compliance Secretary of the Commonwealth Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 106 CMR 204.000

CHAPTER TITLE: Transitional Aid to Families with Dependent Children: Financial Eligibility

AGENCY: Department of Transitional Assistance

THIS REGULATION WAS ORIGINALLY ADOPTED AS AN EMERGENCY: Published in Massachusetts Register Number: 1087 Date: 09/21/2007 PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. The agency has met requirements of E.O. 485

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period be filed with the Secretary of the Commonwealth, published in appropriate newspapers, and sent to persons to whom specific notice must be given at least 21 days prior to such hearing or comment period. Date of public hearing or comment period: 9/7/2007 - 9/28/2007

AGENCY CONTACT: Dana A. Stancill, Regulation Specialist PHONE: 617 348 5915

ADDRESS: 600 Washington Street, Boston MA 02111

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST: SIGNATURE ON FILE Oct 2 2007 SIGNATURE: DATE: Publication - To be completed by the Regulations Division MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007 EFFECTIVE DATE: 09/01/2007 CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 221 - 224 221 - 224

10/02/2007 mo

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 41 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 42 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

204.330: continued

(1) Persons who are not required to be in the filing unit and are not applying for or receiving TAFDC for themselves shall have their income deemed available to the filing unit in accordance with 106 CMR 204.235. (2) Persons who are required to be in the filing unit but are excluded from the assistance unit because they failed to cooperate and/or have been sanctioned in accordance with 106 CMR 203.400, 203.610, 203.700, 203.770, 203.800, 204.550, 207.200 or 706.305 shall have their income made available to the filing unit in accordance with 106 CMR 204.310.

204.400: Table of Eligibility Standards - Exempt Assistance Units

The figures in the Eligibility Standards columns are used in the 185% test of financial eligibility (See 106 CMR 204.260(A)) for exempt assistance units. If in any month the total gross income of the filing unit, excluding only the types of noncountable income listed in 106 CMR 204.250, is above the appropriate Eligibility Standard for the exempt assistance unit, the assistance unit is ineligible. Column A is used for assistance units that are not eligible for the Rent Allowance, and Column B is used for assistance units that are eligible for the Rent Allowance (See 106 CMR 705.910).

A. Eligibility Standards B. Eligibility Standards Assistance Unit Size No Rent Allowance With Rent Allowance 1 $717.80 $791.80 2 908.35 982.35 3 1,097.05 1,171.05 4 1,278.35 1,352.35 5 1,465.20 1,539.20 6 1,657.60 1,731.60 7 1,844.45 1,918.45 8 2,029.45 2,103.45 9 2,214.45 2,288.45 10 2,401.30 2,475.30 Incremental 194.25 194.25

From September 1, 2007 to September 30, 2007, the appropriate Eligibility Standard shall be increased by $277.50 for each applicant and recipient under age 19.

204.405: Table of Eligibility Standards - Nonexempt Assistance Units

The figures in the Eligibility Standards columns are used in the 185% test of financial eligibility (See 106 CMR 204.260(A)) for nonexempt assistance units. If in any month the total gross income of the filing unit, excluding only the types of noncountable income listed in 106 CMR 204.250, is above the appropriate Eligibility Standard for the nonexempt assistance unit, the assistance unit is ineligible. Column A is used for assistance units that are not eligible for the Rent Allowance, and Column B is used for assistance units that are eligible for the Rent Allowance (See 106 CMR 705.910).

A. Eligibility Standards B. Eligibility Standards Assistance Unit Size No Rent Allowance With Rent Allowance 1 $699.30 $ 773.30 2 884.30 958.30 3 1,069.30 1,143.30 4 1,245.05 1,319.05 5 1,428.20 1,502.20 6 1,613.20 1,687.20 7 1,796.35 1,870.35 8 1,973.95 2,047.95 9 2,155.25 2,229.25 10 2,336.55 2,410.55 Incremental 190.55 190.55

10/19/07 (Effective 9/1/07) 106 CMR - 221 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

204.405: continued

From September 1, 2007 to September 30, 2007, the appropriate Eligibility Standard shall be increased by $277.50 for each applicant and recipient under age 19.

204.410: Table of Need Standards - Exempt Assistance Units

The figures in the Need Standards columns are used in the test of financial eligibility. Column A is used for exempt assistance units that are not eligible for the Rent Allowance, and Column B is used for exempt assistance units that are eligible for the Rent Allowance (See 106 CMR 705.910). If the countable monthly income of the filing unit is at or below the appropriate Need Standard for the exempt assistance unit, the assistance unit is financially eligible. The monthly grant is the difference between the appropriate Need Standard and countable income after appropriate disregards have been applied so long as the difference does not exceed the appropriate Payment Standard (See 106 CMR 204.425). If the difference between the appropriate Need Standard and countable income exceeds the appropriate Payment Standard, the monthly grant shall equal the Payment Standard.

A. Need Standards B. Need Standards Assistance Unit Size No Rent Allowance With Rent Allowance 1 $388.00 $428.00 2 491.00 531.00 3 593.00 633.00 4 691.00 731.00 5 792.00 832.00 6 896.00 936.00 7 997.00 1,037.00 8 1,097.00 1,137.00 9 1,197.00 1,237.00 10 1,298.00 1,338.00 Incremental 105.00 105.00

From September 1, 2007 to September 30, 2007, a one-time, nonrecurring clothing allowance shall be paid by increasing the appropriate Need Standard $150.00 for each applicant and recipient under age 19.

204.415: Table of Need Standards - Nonexempt Assistance Units

The figures in the Need Standards columns are used in the test of financial eligibility. Column A is used for nonexempt assistance units that are not eligible for the Rent Allowance, and Column B is used for nonexempt assistance units that are eligible for the Rent Allowance (See 106 CMR 705.910). If the countable monthly income of the filing unit is at or below the appropriate Need Standard for the nonexempt assistance unit, the assistance unit is financially eligible. The monthly grant is the difference between the appropriate Need Standard and countable income after appropriate disregards have been applied so long as the difference does not exceed the appropriate Payment Standard (See 106 CMR 204.425). If the difference between the appropriate Need Standard and countable income exceeds the appropriate Payment Standard, the monthly grant shall equal the Payment Standard.

A. Need Standards B. Need Standards Assistance Unit Size No Rent Allowance With Rent Allowance 1 $ 378.00 $418.00 2 478.00 518.00 3 578.00 618.00 4 673.00 713.00 5 772.00 812.00 6 872.00 912.00 7 971.00 1,011.00 8 1,067.00 1,107.00 9 1,165.00 1,205.00 10 1,263.00 1,303.00 Incremental 103.00 103.00

10/19/07 (Effective 9/1/07) 106 CMR - 222 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

204.415: continued

204.420: Table of Payment Standards - Exempt Assistance Units

The figures in the Payment Standards columns are the maximum amounts that an exempt assistance unit may receive as a monthly grant. Column A is used for exempt assistance units that are not eligible for the Rent Allowance, and Column B is used for exempt assistance units that are eligible for the Rent Allowance. (See 106 CMR 705.910.)

A. Payment Standards B. Payment Standards Assistance Unit Size No Rent Allowance With Rent Allowance 1 $ 388.00 $428.00 2 491.00 531.00 3 593.00 633.00 4 691.00 731.00 5 792.00 832.00 6 896.00 936.00 7 997.00 1,037.00 8 1,097.00 1,137.00 9 1,197.00 1,237.00 10 1,298.00 1,338.00 Incremental 105.00 105.00

From September 1, 2007 to September 30, 2007, a one-time, nonrecurring clothing allowance shall be paid by increasing the appropriate Payment Standard $150.00 for each applicant and recipient under age 19.

204.425: Table of Payment Standards - Nonexempt Assistance Units

The figures in the Payment Standards columns are the maximum amounts that an nonexempt assistance unit may receive as a monthly grant. Column A is used for nonexempt assistance units that are not eligible for the Rent Allowance, and Column B is used for nonexempt assistance units that are eligible for the Rent Allowance. (See 106 CMR 705.910.)

A. Payment Standards B. Payment Standards Assistance Unit Size No Rent Allowance With Rent Allowance 1 $378.00 $ 418.00 2 478.00 518.00 3 578.00 618.00 4 673.00 713.00 5 772.00 812.00 6 872.00 912.00 7 971.00 1,011.00 8 1,067.00 1,107.00 9 1,165.00 1,205.00 10 1,263.00 1,303.00 Incremental 103.00 103.00

10/19/07 (Effective 9/1/07) 106 CMR - 223 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

204.500: Calculation of the Grant Amount

The grant amount is calculated as follows:

Step 1: Identify the earned income of each member of the filing unit, excluding any earned income specified in 106 CMR 204.250: Noncountable Income and: (1) the income from the Full Employment Program as specified in 106 CMR 207.180; (2) the earned income of a dependent child(ren) who is a full-time student or a part-time student who is a part-time employee or (3) the earned income of a dependent child(ren) who is not a student or is a part-time student and a full-time employee and is a participant in a Job Training Partnership Act (JTPA) program during the same six months in a calendar year used in the 185% Test of Financial Eligibility (See 106 CMR 204.260(A)).

Step 2: Subtract sequentially from the remaining gross earnings of each member of the assistance unit an amount of income equal to: (a) the work-related expense deduction (See 106 CMR 204.270: Work-Related Expense Deduction); and (b) if appropriate, from the remaining income of each member of the exempt assistance unit, $30 and one-third of the remainder (See 106 CMR 204.280: Eligibility for the $30 and One-Third Disregard) or from the remaining income of each member of the nonexempt assistance unit, $30 and one-half of the remainder (See 106 CMR 204.285: Eligibility for the $30 and One-Half Disregard)

Step 3: Subtract the appropriate dependent-care deduction (See 106 CMR 204.275: Dependent Care Deduction).

Step 4: Total the countable earned income of all members of the filing unit.

Step 5: Total all unearned and other income not excluded under 106 CMR 204.250: Noncountable Income. This total includes deemed income in accordance with 106 CMR 204.235 plus the gross income for those members of the filing unit that are excluded from the assistance unit.

Step 6: Add the results of Step 4 and Step 5.

Step 7: Subtract the result of Step 6 from the applicable Need Standard (See 106 CMR 204.410 and 204.415) for the number of persons in the assistance unit. Round this amount down to the next lower whole dollar. The result, if $10 or greater, but less than the applicable Payment Standard (See 106 CMR 204.420 and 204.425), is the amount to be paid monthly. If the result is less than or equal to the applicable Need Standard but greater than the applicable Payment Standard, the amount to be paid monthly shall equal the applicable Payment Standard. If the result is zero or greater but less than $10, the assistance unit is considered to be receiving assistance but will not receive a monthly grant. If the result is less than zero, the assistance unit is financially ineligible.

Step 8: Multiply the grant amount by a percentage determined by the Department.

204.510: Guide for Income-in-Kind

The following table provides the amounts for specific items in the Payment Standard. These amounts are to be used to determine:

(A) The amount to be authorized as vendor payments to meet the immediate needs of applicants in accordance with 106 CMR 702.125(F): Immediate Needs; and

(B) The value of shelter (rent, mortgage, fuel, utilities) and/or food provided at no cost to an applicant or recipient. This also applies to a family in a temporary emergency shelter.

8/16/02 (Effective 4/26/02) 106 CMR - 224 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 3305

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Notice of Compliance Secretary of the Commonwealth Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 106 CMR 362.000

CHAPTER TITLE: Food Stamp Program: Nonfinancial Eligibility Standards

AGENCY: Department of Transitional Assistance

AGENCY CONTACT: Dana A. Stancill, Regulation Specialist PHONE: 617 348 5915

ADDRESS: 600 Washington Street, Boston MA 02111

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST: SIGNATURE ON FILE Oct 2 2007 SIGNATURE: DATE: Publication - To be completed by the Regulations Division MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007 EFFECTIVE DATE: 09/04/2007 CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 701, 702 701, 702

10/02/2007 mo

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 43 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 44 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

362.340: continued

(H) Voluntary Quit for Participating Household. When a worker makes a determination of voluntary quit during a household's paricipation in the program, a Notice of Adverse Action shall be sent within ten days after the determination of a voluntary quit is made. The diqualification period shall be in accordance with 106 CMR 367.800

(I) Ending a Voluntary Quit Disqualification. Following the end of the disqualification period, a household may begin participation in the program if it applies again and is determined eligible. Eligibility may be reestablished during a disqualification period and the household shall be permitted to resume participation in the program, if the household is otherwise eligible and the member who caused the disqualification: (1) gets a new job that is comparable in salary or hours to the job that was quit (comparable employment may entail fewer hours or a lower net salary than the job that was quit); (2) leaves the household; or (3) becomes exempt from FS/ET (see 106 CMR 362.310(B) with the exception of 106 CMR 362.310(B)(10).)

362.400: Student Status

(A) Definition. A student is an individual aged 18 through 49 who is enrolled at least half-time in an institution of post-secondary education, a vocational or technical school at any level, a program that provides for completion of a secondary school diploma or the equivalent, or a school at any level for the physically or mentally handicapped. A student shall be ineligible to participate in the Food Stamp Program unless he or she meets one of the eligibility requirements in 106 CMR 362.410. An institution of post-secondary education is any public or private educational institution that admits persons who are beyond the age of compulsory school attendance in the state in which the institution is located or normally requires a high school diploma or equivalency certificate for enrollment. The institution must be legally authorized or recognized by the state to provide an educational program beyond secondary education in the state or to provide a training program that will prepare students for gainful employment. This includes but is not limited to colleges, universities, and correspondence schools. This student definition does not apply to individuals who are: (1) under age 18 or age 50 or older; (2) physically or mentally unfit for employment; (3) attending high school; (4) participating in on-the-job training programs during the period training is actually being conducted by the employer; (5) enrolled full-time in schools and training programs that are not institutions of higher education; or (6) enrolled for the exclusive purpose of obtaining training in English as a Second Language (ESL), provided that the courses are not taken for credit as part of a total program.

(B) Verification. If mental or physical unfitness for employment is claimed and the unfitness is not evident, verification may be required. Appropriate verification may consist of: (1) receipt of temporary or permanent disability benefits from a government or private source; (2) a statement from a physician or licensed or certified psychologist stating that the person is physically or mentally unfit for employment; or (3) participation in a Massachusetts Rehabilitation Commission program or other Massachusetts approved vocational rehabilitation programs.

362.410: Student Eligibility Requirements

To be eligible to participate in the Food Stamp Program, a student, as defined in 106 CMR 362.400(A), must meet at least one of the following requirements:

(A) Be employed at least 20 hours per week or be employed for 20 hours per week averaged monthly and be paid for the employment, or, if self-employed, be employed for a minimum of 20 hours per week or be employed for 20 hours per week averaged monthly and receive weekly earnings at least equal to the federal minimum wage multiplied by 20 hours;

10/19/07 (Effective 9/4/07) 106 CMR - 701 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 106 CMR: DEPARTMENT OF TRANSITIONAL ASSISTANCE

362.410: continued

(B) Participate during the school year in a federally-funded work-study program (financed at least partially under Title IV-C of the Higher Education Act of 1965) or a state-funded work-study program;

(D) Be responsible for the care of a dependent household member who has reached the age of six but is under the age of 12 for whom adequate child care is not available to enable the student to attend school and work a minimum of 20 hours per week, or participate in a federally-funded or state-funded work-study program during the regular school year;

(E) Be receiving TAFDC or AFDC;

(F) Be assigned to or placed in an institution of higher learning through: (1) a program under the Job Training Partnership Act (JTPA); (2) a program under Section 236 of the Trade Act of 1974; (3) an employment and training program under the Food Stamp Act; or (4) an employment and training program operated by a state or local government; or

(G) Be a single parent enrolled full-time in an institution of higher education and responsible for the care of a dependent child under the age of 12 regardless of the availability of adequate child care.

362.420: Continuous Enrollment

The enrollment status of a student begins on the first day of the school term of the institution. Such enrollment continues through normal periods of class attendance, vacation, and recess unless the student graduates, is suspended or expelled, drops out, or does not intend to register for the next normal school term (excluding summer school).

362.500: Social Security Numbers

(A) Requirements. (1) Each household member applying for food stamp benefits must provide a Social Security Number (SSN) before the initial certification period, unless good cause exists in accordance with 106 CMR 362.500(C). (2) If an SSN cannot be provided for each household member applying for food stamp benefits, the applicant or recipient must receive written verification from SSA stating that the household member for whom the SSN cannot be provided: (a) has applied for an SSN; or (b) has requested an already-existing SSN validated. (3) An Assistance Unit (AU) eligible for expedited food stamp benefits must meet the SSN requirement before the first full month of participation. (4) Food stamp benefits may not be denied, delayed or decreased pending the issuance or verification of an SSN if the applicant or recipient has complied with the requirements specified in 106 CMR 362.500(A) and (B). (5) Each household member applying for food stamp benefits who does not meet the SSN requirement shall be considered a disqualified AU member in accordance with 106 CMR 365.520. An otherwise eligible AU member disqualified for failing to meet the SSN requirements becomes eligible upon meeting the requirements.

(B) Verification. (1) The Department will verify the SSN provided for each household member applying for food stamp benefits by computer match with the SSA. SSA sources that verify the SSN include, but are not limited to, BENDEX Title II and Title XVIII data, Numident, State Data Exchange information and the enumeration process.

4/11/03 (Effective 4/14/03) 106 CMR - 702 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 1

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 129 CMR 2.00

CHAPTER TITLE: Uniform Reporting System For Health Care Claims Data Sets

AGENCY: Health Care Quality and Cost Council

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. The proposed regulation requires insurers and third party administrators (TPAs),as defined at M.G.L. c.6A, §16J, to submit health care claims datasets. The datasets shall include de-identified patient-level claims data, including member eligibility, medical claims and pharmacy claims files, as well as HEDIS and CAHPS quality of care survey data. The datasets will include information such as patient diagnosis, procedure, pharmacy and revenue codes; charges; payment amounts;provider information; and member demographic information. The datasets shall not include personal data that identifies an individual patient, such as name, address and social security number. The Council shall protect the privacy, security and confidentiality of the data, in compliance with the

REGULATORY AUTHORITY: M.G.L. c. 6A

AGENCY CONTACT: Katharine London, HCQCC Executive Director PHONE: 617-988-3196

ADDRESS: 2 Boylston Street, Boston, MA 02116

Compliance with M.G.L. c. 30A

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency.

PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. John Robertson (6/28/2007) Marilyn Contreas (6/28/07) MA Municipal Assoc. Dept. of Housing & Community Dev. 1 Winthrop Sq., Boston, Ma 02110 1 Congress Street, Boston, MA 02114

Date of public hearing or comment period: August 7, 2007

For the first five years: Making this data publicly available may reduce the growth in health care costs. No fiscal effect:

No Impact

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: Health Care Claims Data, Public Reporting, Data Submission Requirements

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST:

SIGNATURE: SIGNATURE ON FILE DATE: Oct 2 2007

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007

EFFECTIVE DATE: 10/19/2007

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: ______1 - 4 11 - 64

10/04/2007 M.O.

Table of Contents

Page

(129 CMR 1.00: RESERVED) 3

129 CMR 2.00: UNIFORM REPORTING SYSTEM FOR HEALTH CARE CLAIMS DATA SETS 11

Section 2.01: Authority 11 Section 2.02: Purpose and Scope 11 Section 2.03: Effective Date 11 Section 2.04: Definitions 11 Section 2.05: Reporting Requirements For All Licensed Carriers 14 Section 2.06: Protection of Confidentiality 15 Section 2.07: Data Filing and Penalties 15 Section 2.08: Compliance with Data Standards 16 Section 2.09: Coding and Claims Submission Rules 17 Section 2.10: Registration and Transmission Requirements 18 Section 2.11: Health Care Claims Data Filing Format 20 Section 2.12: Source Codes 59 Section 2.13: Administrative and Technical Bulletins and Severability 64

10/19/07 129 CMR - 1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

NON-TEXT PAGE

10/19/07 129 CMR - 2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

(129 CMR 1.00: RESERVED)

10/19/07 129 CMR - 3 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

(PAGES 5 THROUGH 10 ARE RESERVED FOR FUTURE USE.)

10/19/07 129 CMR - 4 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

129 CMR 2.00: UNIFORM REPORTING SYSTEM FOR HEALTH CARE CLAIMS DATA SETS

Section

2.01: Authority 2.02: Purpose and Scope 2.03: Effective Date 2.04: Definitions 2.05: Reporting Requirements For All Licensed Carriers 2.06: Protection of Confidentiality 2.07: Data Filing and Penalties 2.08: Compliance with Data Standards 2.09: Coding and Claims Submission Rules 2.10: Registration and Transmission Requirements 2.11: Health Care Claims Data Filing Format 2.12: Source Codes 2.13: Administrative and Technical Bulletins and Severability

2.01: Authority

129 CMR 2.00 is promulgated in accordance with the authority granted to the Health Care Quality and Cost Council by M.G.L. c. 6A, § 16L.

2.02: Purpose and Scope

129 CMR 2.02 contains the provisions for submission of health care claims data sets from third-party payers, third-party administrators, and carriers that provide only administrative services for a plan sponsor.

2.03: Effective Date

(1) Carriers that cover or administer a total of 2000 or more Massachusetts covered lives shall submit an initial dataset to the Council or its designee by December 1, 2007. The initial dataset shall contain data for claims paid during the period July 1, 2006 through September 30, 2007.

(2) Carriers that cover or administer fewer than 2000 Massachusetts covered lives shall submit an initial dataset to the Council or its designee by June 1, 2008. The initial dataset shall contain data for claims paid during the period January 1, 2008 through March 31, 2008.

(3) Carriers that provide stand-alone dental insurance shall submit an initial dataset to the Council or its designee by September 1, 2008. The initial dataset shall contain data for claims paid during the period July 1, 2007 through June 30, 2008.

2.04: Definitions

Unless the context indicates otherwise, the following words and phrases shall have the following meanings.

Address. Street address, post office box numbers, apartment numbers, e-mail addresses, web universal resource locator (URL) and internet protocol (IP) address number.

Bank Account. Any checking, savings, certificate of deposit, or any account utilized for the payment of third parties.

Capitated Services. Services rendered by a provider through a contract in which payment are based upon a fixed dollar amount for each member on a monthly basis.

10/19/07 129 CMR - 11 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.04: continued

Carrier. Any entity subject to the insurance laws and rules of Massachusetts, or subject to the jurisdiction of the commissioner of insurance that contracts or offers to provide, deliver, arrange for, pay for or reimburse any of the costs of health services, and includes an insurance company, a health maintenance organization, a nonprofit hospital services corporation, a medical service corporation, third party administrator or any other entity arranging for or providing insured health coverage.

Clinical Data. Health care claims and information about health care claims for services delivered in hospitals or other setting.

Co-insurance. The percentage a member pays toward the cost of a covered service.

Confidential Agency Data. Data collected or produced by the Council that: (a) Has not been released publicly; (b) Is not a public record pursuant to M.G.L. c. 4, § 7(26) and St.2006, c. 58, § 136; and (c) Shall not, in the opinion of the Council, be released.

Confidential Clinical Data. Data provided to the Council that: (a) Has not been revealed to the general public; and (b) Relates to provision of medical or other services to a specific individual.

Confidential Financial Data. Data provided to the Council that: (a) Has not been revealed to the general public; and (b) Would directly result in the data provider being placed at a competitive economic disadvantage.

Consumer Assessment of HealthCare Providers and Systems (CAHPS®). A family of survey tools that measure patients' experiences with ambulatory and facility-level care and with health plans.

Co-payment. The fixed dollar amount a member pays to a health care provider at the time a covered service is provided or the full cost of a service when that is less than the fixed dollar amount.

Council. The Health Care Quality and Cost Council, established by M.G.L. c. 6A, § 16K.

Designee. An entity with which the Council has entered into an arrangement pursuant to which the entity performs data management and collecting functions, and under which the entity is strictly prohibited from using or releasing the information and data obtained in such a capacity for any purposes other than those specified in the agreement.

Direct Patient Identifier. Any information, other than case or code numbers used to create anonymous or encrypted data, that plainly discloses the identity of an individual, including: (a) Names; (b) Postal address information other than town or city, state and zip code; (c) Telephone and fax numbers; (d) Electronic mail addresses; (e) Social security numbers; (f) Vehicle identifiers and serial numbers; (g) Personal internet ID addresses and URLs; (h) Biometric identifiers, including finger and voice prints; and (i) Personal photographic images.

Disclosure. The act of communicating information to a person not already in possession of that information or to using information for a purpose not originally authorized.

Encryption. A method by which the true value of data has been disguised in order to prevent the identification of persons or groups, and which does not provide the means for recovering the true value of the data.

10/19/07 129 CMR - 12 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.04: continued

Family. Spouse, children, parents, siblings, and legal guardians.

Financial Data. Information collected that includes, but is not limited to: (a) Costs of operation; (b) Revenues; (c) Assets; (d) Liabilities; (e) Fund balances; (f) Other income; (g) Rates; (h) Charges; and (i) Units of services.

Health Care Claims Data. Information consisting of, or derived directly from, member eligibility, medical claims, and pharmacy claims. Health Care Claims Data does not include analysis, reports, or studies containing information from health care claims data sets, if those analyses, reports, or studies have already been released in response to another request for information or as part of a general distribution of public information by the Council.

Health Care Claims Processor. A third-party payer, third-party administrator, or carrier that provides administrative services for a plan sponsor.

Health Care Practitioner. Physicians and all others certified, registered or licensed in the healing arts, including, but not limited to: (a) Nurses; (b) Podiatrists; (c) Optometrists; (d) Pharmacists; (e) Chiropractors; (f) Physical therapists; (g) Dentists; (h) Psychologists; and (i) Physicians' assistants.

Healthcare Effectiveness Data and Information Set (HEDIS®). The set of performance measures in the managed care industry that were developed and are maintained by the National Committee for Quality Assurance (NCQA) covering various areas of measurement from general health plan information to utilization rates.

Hospital. A licensed acute or specialty care institution.

Insured. An individual in whose name an insurance policy is carried.

Medical Claims File. A data file composed of service level remittance information for all non- denied adjudicated claims for each billed service including, but not limited to: (a) Member demographics; (b) Provider information; (c) Charge/payment information; and (d) Clinical diagnosis/procedure codes.

Member. The subscriber and any spouse and/or dependent who is covered by the subscriber's policy.

Member Eligibility File. A data file containing demographic information for each individual member eligible for medical or pharmacy benefits for one or more days of coverage at any time during the reporting month.

10/19/07 129 CMR - 13 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.04: continued

National Committee for Quality Assurance (NCQA). The private, not-for-profit organization that assesses and reports on the quality of the nation's managed care plans through an accreditation and performance measurement program, including quality of care, member satisfaction, access and customer service.

Non-hospital Provider. A provider of health care services other than a hospital.

Pharmacy Claims File. A data file containing service level remittance information from all non- denied adjudicated claims for each prescription including, but not limited to: (a) Member demographics; (b) Provider information; (c) Charge/payment information; and (d) National drug codes.

Plan Sponsor. Any persons, other than an insurer, who establishes or maintains a plan covering residents of Massachusetts, including, but not limited to, plans established or maintained by employers or jointly by one or more employers and one or more employee organizations, committee, joint board of trustees or other similar group of representatives of the parties that establish or maintain the plan.

Prepaid Amount. The fee for the service equivalent that would have been paid by the health care claims processor for a specific service if the service had not been capitated.

Privileged Medical Information. Information other than hospital, non-hospital health care facility, or health care claims data that identifies individual patients and that is derived from communications that were: (a) Made for the purpose of diagnosis or treatment among a provider or health care, persons assisting the provider or patient, and a patient; (b) Made for the purpose of payment of health care services among a provider of health care, a health care claims processor, and a patient; (c) Not intended to be disclosed except to persons necessary to transmit or record the communication and persons participating in the diagnosis, treatment or payment; and (d) Not previously disclosed to the general public.

Provider. A health care facility, health care practitioner, health product manufacturer, health product vendor or pharmacy.

Release. To make data or information available for inspection and copying to persons other than the data provider.

Subscriber. The certificate-holder.

Third Party Administrator. Any persons, that, on behalf of a plan sponsor, health care services plan, nonprofit hospital or medical service organization, health maintenance organization or insurer, receives or collects charges, contributions or premiums for, or adjusts or settles claims on residents of the state.

Third Party Payer. A state agency or a health insurer, nonprofit hospital, medical services organization, or managed care organization licensed in the Commonwealth of Massachusetts that pays for health care services.

2.05: Reporting Requirements for All Licensed Carriers

(1) HEDIS Reporting Requirements. Each carrier that collects data for use in calculating health plan employer data and information set managed care measures shall report those data that are collected and that pertain to Massachusetts resident members or subscribers who receive their benefits under a policy or plan issued in Massachusetts. The carrier shall use the NCQA tool for submission of HEDIS data.

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(2) CAHPS Reporting Requirements. Each carrier that collects CAHPS survey data shall report those data collected that are collected and that pertain to Massachusetts resident members or subscribers who receive their benefits under a policy or plan issued in Massachusetts. The carrier shall use the NCQA format for submission of the CAHPS survey data.

(3) Health Claims Dataset. Each carrier shall submit to the Council, or its designee, a completed health care claims data set for all Massachusetts resident members who receive services under a policy issued in Massachusetts. Each carrier shall also submit all health care claims processed by any sub-contractor on its behalf. The health care claims data set shall include a member eligibility file, a medical claims file, and a pharmacy claims file.

(4) Health care claims processors may submit all of the data submissions required of carriers under 129 CMR 2.00, in accordance with the specifications in 129 CMR 2.05(1) through (4), to the extent permitted by law and contractual requirements.

(5) Exceptions to Reporting Requirements. (a) Third party payers that write less than $250,000 in insured accident and health premiums in Massachusetts on an annual basis shall not be required to submit their health care claims data set, their HEDIS data, or their CAHPS survey data. (b) Third party administrators that administer insured health insurance plans covering fewer than 200 Massachusetts lives in total shall not be required to submit their health claims data. (c) Carriers shall not be required to submit claims for stand-alone insurance policies that cover only one or more of the types of services listed in 129 CMR 2.05(5)(c)1. through 8.; however claims for these types of services shall be included in the medical claims file submission if they are covered by a comprehensive medical insurance policy. 1. Specific Disease; 2. Accident; 3. Injury; 4. Hospital Indemnity; 5. Disability; 6. Long-term Care; 7. Vision Coverage; or 8. Durable Medical Equipment. (d) In instances where more than one entity is involved in the administration of a policy, the health carrier shall be responsible for submitting the claims data on policies that it has written, and the third party administrator shall be responsible for submitting claims data on self-insured plans that it administers.

2.06: Protection of Confidentiality

The Council shall ensure that it does not collect any Direct Patient Identifiers under 129 CMR 2.00. The Council shall institute appropriate administrative procedures and mechanisms to ensure that it is in compliance with the provisions of M.G.L. c. 66A, the Fair Information Practices Act, to the extent that the data collected there under are "personal data" within the meaning of that statute. In addition, the Council shall ensure that any contract entered into with other parties for the purposes of processing and analysis of data collected under 129 CMR 2.00 shall contain assurances such other parties shall also comply with the provisions of M.G.L. c. 66A.

2.07: Data Filing and Penalties

(1) Filing Periods. The filing period for each claims data file listed shall be determined by the total number of covered lives who are Massachusetts residents for whom claims are being paid or processed by each carrier or health claims processor. For those carriers having 2,000 or more Massachusetts covered lives, data shall be submitted monthly. For those carriers or health care claims processors having fewer than 2,000 Massachusetts covered lives, data shall be submitted quarterly.

(2) Testing of Files. At least 30 days prior to the initial submission of the files, each carrier shall submit to the Council, or its designee, a data set for determining compliance with the standards for data submission. The size, based upon a calendar period of one month, or quarter of the data files submitted shall correspond to the filing period established for that carrier.

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(3) Rejection of Files. Failure to conform to the requirements for submission shall result in the rejection and return of the applicable data file(s). All rejected and returned files shall be resubmitted in the appropriate, corrected form to the Council, or its designee, within ten days.

(4) Replacement of Data Files. No carrier shall replace a complete data file submission more than one year after the end of the month in which the file was submitted unless it can establish exceptional circumstances for the replacement. Any replacements after this period shall be approved by the Council. Individual adjustment records shall be submitted with a monthly data file submission.

(5) Penalties. If any carrier fails to submit required data to the council on a timely basis, or fails to correct submissions rejected because of excessive errors, the council or its designee shall provide written notice to the carrier or health care claims processor. Pursuant to M.G.L. c. 6A, § 16L(d), if the carrier or health care claims processor fails, without just cause, to provide the required information within two weeks following receipt of said written notice, the Council may require the carrier to pay a penalty of $1,000 for each week of delay; provided, however, that the maximum penalty under 129 CMR 2.07 shall be $50,000 per year . The Statistical Plan developed pursuant to 129 CMR 2.08 shall include the standards the Council or its designee will use to assess penalties for failure to submit required data, and shall define “just cause” for delays in providing required data.

2.08: Compliance with Data Standards

(1) Statistical Plan. The Council shall approve and publish a Statistical Plan. The Statistical Plan shall include the methodology to be used by carriers to create unique member identification numbers. (a) The Statistical Plan shall include the edit specifications that the Council or its designee will use to verify the accuracy of data submissions, as well as the standards that the Council or its designee will use to reject submissions because of excessive errors. The Statistical Plan will specify the format of an edit report displaying detail for all errors found in a submission, as well as a summary report containing certain aggregate data for review and verification. The Council or its designee shall provide these reports to each carrier. (b) The Statistical Plan shall include a method for carriers to submit a limited number of late claims paid during a prior submission period. The Statistical Plan shall include rules for submitting denied claims. The Statistical Plan shall include rules for submitting claims for medical services that include pharmacy codes. (c) The Statistical Plan shall list the HEDIS and CAHPS measures that carriers are required to report. (d) The Statistical Plan shall include steps that carriers must take by July 1, 2008 to begin collecting patient race and ethnicity data.

(2) Compliance. The Council, or its designee, shall evaluate each member eligibility file, medical claims file and pharmacy claims file to determine compliance with the Statistical Plan and the data reporting requirements in 129 CMR 2.08(2)(a) through (d): (a) The applicable code for each data element shall be included within the eligible values for the element; (b) Coding values indicating “data not available”, “data unknown”, or the equivalent shall not be used for individual data elements unless specified as an eligible value for the element, or determined allowable in the Statistical Plan; (c) Member sex, diagnosis and procedure codes, and date of birth and all other data fields shall be consistent within an individual record; and (d) Member identifiers shall be consistent across files.

(3) Notification. Upon completion of the evaluation, the Council, or its designee shall promptly notify each carrier whose data submissions do not satisfy the standards. This notification shall identify the specific file and the data elements that do not satisfy the standards.

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(4) Response. Each carrier notified of a non-compliant data submission shall respond within 60 days of the notification by making the changes necessary to satisfy the standards.

2.09: Coding and Claims Submission Rules

Carriers shall file claims data in compliance with 129 CMR 2.09.

(1) Adjustment Records. Carriers and health care claims processors shall report adjustment records with the appropriate positive or negative fields with the medical and pharmacy file submissions. Negative values shall contain the negative sign before the value. No sign shall appear before a positive value.

(2) Capitated Services Claims. Claims for capitated services shall be reported with all medical and pharmacy file submissions.

(3) Data Fields. Carriers shall make every effort to report the data fields outlined in these requirements. However, if a field is not used for medical or pharmacy claim adjudication, is not captured on the carrier's transaction system (nor on that of its subcontractors), or cannot be derived reliably from other information available on the carrier's transaction system, the health plan shall notify the Council, or its designee, and shall identify the field that cannot be provided. After notification, the carrier shall not be required to populate that data field in its reports. The carrier shall report on an annual basis its efforts to populate this field, and the expected data as of which this field will be available, if there is such data.

(4) Code Sources. Unless otherwise specified, the member eligibility file and medical and pharmacy claims files submissions shall use the code sources listed in 129 CMR 2.10.

Member Identification Codes. Carriers shall assign, according to a standard algorithm provided by the Council, or its designee, a unique identification code to each of their members using the method developed by the Council or its designee.

(6) Specific/Unique Coding. With the exception of provider codes and provider specialty codes, specific or unique coding systems shall not be permitted as part of the health care claims data set submission.

(7) Rules Governing Claims Submissions. (a) Claimant and Member Records. Claims records and member records for medical and pharmacy claims shall be reported only for Massachusetts resident members who receive their benefits under a policy or plan issued in Massachusetts. (b) Claim Records. Records for medical and pharmacy claims file submissions shall be reported at the visit, service, or prescription level. The submission of the medical, and pharmacy claims shall be based upon the paid dates and not upon the dates of service associated with the claims. (c) Co-insurance/Co-payment. Co-insurance and co-payment are to be reported in two separate fields in the medical and pharmacy claims file submission. (d) Coordination of Benefit Claims. Claims where multiple parties have financial responsibility shall be included with all medical and pharmacy claims file submissions. (e) Version Number. When more than one version of a fully-processed claim service line is submitted, each version of a claim service line shall be enumerated sequentially with a higher version number (MC005A) so that the latest version of that service line is the record with the highest version number (MC005A) and the same claim number + line counter. (f) Fully-processed Claim Lines. Only fully-processed claim service lines that have gone through an accounts payable run and been booked to the health plan ledger shall be included on medical and pharmacy claims data submissions. (g) Subsequent Incremental Claims. Subsequent incremental claims submissions shall include all reversal and adjustment/restated versions of previously submitted claim service lines and all new, fully-processed service lines associated with the claim, provided that they have paid dates in the reporting period:

10/19/07 129 CMR - 17 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

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1. Each version of a claim service line shall be enumerated sequentially with a higher line version number (MC005A); and 2. Reversal versions of a claim service line shall be indicated by a claim status code = '22' (Field MC038). (h) Eligibility Records. Records for the member eligibility submission shall be reported at the individual member level so that: 1. Members without medical and/or pharmacy coverage during the month reported shall be excluded; 2. If a member is covered as both a subscriber and a dependent on two different policies during the same month, two records shall be submitted; and 3. If a member has two contract numbers for two different coverage types, two member eligibility records shall be submitted. (i) Retroactive Changes. For the purpose of capturing retroactive changes, carriers shall not be: 1. Required to resend eligibility data for a prior reporting period; and 2. Considered errors in the submitted eligibility data. (j) Quarterly Submission of Data. Carriers that submit data quarterly shall: 1. Include one member record for each calendar month in which a member was covered; and 2. Submit one record for each reporting month in which the member was eligible for medical or pharmacy benefits for one or more days. (k) Behavioral or Mental Health Claims. All claims related to behavioral, mental health, or substance abuse shall be included in the medical claims file. (l) Medicare, Tricare or Other Supplemental Health Insurance. Claims related to Medicare, Tricare, or other supplemental health insurance policies are to be excluded unless the policies are for health care services entirely excluded by the Medicare, Tricare, or other program. (m) Prepaid Amount. Any prepaid amounts shall be reported in a separate field in the medical and pharmacy claims file submissions. (n) Detailed File Specifications. All carriers shall use the following file specifications in their submissions: 1. Filled Fields. All fields shall be filled where applicable. Non-applicable text and data fields shall be set to null. Non-applicable integer and decimal fields shall be filled with one zero and shall not include decimal points. 2. Position. All text fields shall be left justified. All integer and decimal fields shall be right justified. 3. Signs. All signs (+ or -) shall appear in the left-most position of all integer and decimal fields. Over-punched signed integers or decimals shall not be utilized. 4. Individual Elements and Mapping. Individual data elements, data types, field lengths, field description/code assignments, and mapping locators (UB92, HCFA 1500, ANSI X12N 270/271, 835, 837) for each file type shall conform to the file specification described in 129 CMR 2.10.

2.10: Registration and Transmission Requirements

(1) Registration Form. (a) Each health care claims processor and each carrier shall submit a registration form to the Council, or its designee. The Council shall develop and publish the registration form, and may make changes from year to year. The form shall contain the information listed in 129 CMR 2.10(1)(a)1. through 6.: 1. Company name; 2. NAIC code; 3. Mailing address; 4. Information about whether the company conducts health insurance related business; 5. Number of Massachusetts members covered; and 6. Name, e-mail address and address of the person completing the form. (b) Carriers shall submit a registration form by October 1, 2007, and annually thereafter on a date specified in the Statistical Plan developed pursuant to 129 CMR 2.08.

(2) File Organization. The member eligibility files, medical claims file, and the pharmacy claims file shall be:

10/19/07 129 CMR - 18 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

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(a) Submitted to the Council or its designee as separate ASCII files; and (b) Each record terminated with a carriage return (ASCII 13), or a carriage return line feed (ASCII 13, ASCII 10).

(3) Filing Media. (a) Data files shall be submitted utilizing one of the media listed in 129 CMR 2.10(3)(a)1. through 4.: 1. CD-ROM; 2. DVD-ROM; 3. Secure SSL web upload interface; or 4. Electronic transmission through a file-transfer program. (b) E-mail attachments shall not be acceptable. (c) Space permitting, multiple data files may be submitted utilizing the same media. If this is the case, the external label shall identify the multiple files.

(4) Transmittal Sheet. (a) All data file submissions on physical media shall be accompanied by a hard copy transmittal sheet containing the information listed in 129 CMR 2.10(4)(a)1. through 7.: 1. Identification of the carrier; 2. File name; 3. Type of file; 4. Data period(s); 5. Date sent; 6. Record count(s) for the file(s); and 7. Contact person with telephone number and e-mail address. (b) The information on the transmittal sheet shall: 1. Match the information on the header and trailer records; and 2. Conform to the following layout:

Health Care Quality and Cost Council Data Transmission Form

Carrier: ______

Council Submitter Code: ______

Contact Person Name: ______

Address: ______

______

Telephone: ______E-Mail: ______

Eligibility Medical Prescription Drugs File Name

Period Beginning Date Period Ending Date Record Count Date Processed Original Submission Resubmission

(c) In addition to the transmittal sheet, carriers submitting data on physical media shall affix an external label to CD-ROM or DVD on which data are sent that includes: 1. Health plan name; 2. Council submitted code; 3. Contact person name;

10/19/07 129 CMR - 19 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

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4. Contact person address; 5. Contact person telephone number; 6. Contact person e-mail address; 7. Shipping date; 8. Unique tracking identifier number for each file; 9. Period beginning date; 10. Period ending date; 11. Record count; 12. Date proposed; 13. Submission date; and 14. Any date of resubmission.

2.11: Health Care Claims Data Filing Format

(1) File Format. Each data file submission shall be an ASCII file, variable field length, and asterisk delimited. When asterisks are used in any field values, they shall be enclosed in double quotes.

(2) Header and Trailer Records. Each member eligibility file and each medical claims file, and pharmacy claims file that is submitted shall contain a header record and a trailer record. The "Header record" means the first record of each separate file that is submitted and the "Trailer record" means the last record of each submitted file. The header and trailer record format shall conform to the record specifications in 129 CMR 2.11(2)(a): (a) Record Specifications. Carriers shall use the record specifications in 129 CMR 2.11(2)(a) through (d) in submitting their claims records. The file header record layout shall be submitted using the data elements in 129 CMR 2.11(2)(a)1. through 8.: 1. HD001. This element is named "record type". The data type of this element is text. Its length is 2. 2. HD002. This element is named "payer". The data type of this element is text. Its length is 6. Carriers shall code according to payer submitting payments, Council submitter code. 3. HD003. This element is named "National Plan ID". The data type of this element is text. Its length is 30. Carriers shall code according to CMS National Plan ID. 4. HD004. This element is named "type of file". The data type of this element is text. Its length is 2. Carriers shall code according to ME member eligibility, MC medical claims, PC pharmacy claims. 5. HD005. This element is named "period beginning date". The data type of this element is integer. Its length is 6. Carriers shall code according to CCYYMM, beginning of paid period for claims, beginning of month covered for eligibility. 6. HD006. This element is named "period ending date". The data type of this element is integer. Its length is 6. Carriers shall code according to CCYYMM, end of paid period for claims, end of month covered for eligibility. 7. HD007. This element is named "record count". The data type of this element is integer. Its length is 10. Carriers shall code according to total number of records submitted in this file, with the header and trailer record excluded from the count. 8. HD008. This element is named "comments". The data type of this element is text. Its length is 80. Carriers shall code according to their own option.

10/19/07 129 CMR - 20 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

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(b) The file header record layout shall conform to the following Table 1:

Table 1: File Header Record Layout

Maximum Data Element # Element Type Description/Codes/Sources Length

HD001 Record Type Text 2 HD HD002 Payer Text 6 Payer submitting payments Council Submitter Code HD003 National Plan ID Text 30 CMS National Plan ID HD004 Type of File Text 2 MA Member Eligibility MC Medical Claims PC Pharmacy Claims HD005 Period Beginning Date Integer 6 CCYYMM Beginning of paid period for claims Beginning of month covered for eligibility HD006 Period Ending Date Integer 6 CCYYMM End of paid period for claims End of month covered for eligibility HD007 Record Count Integer 10 Total number of records submitted in this file HD008 Comments Text 80 Submitter may use to document this submission by assigning a filename, system source, etc.

(c) The trailer header record layout shall be submitted using the data elements in 129 CMR 2.11(2)(a)3.a. through g.: 1. TR001. This element is named "record type". The data type of this element is text. Its length is 2. 2. TR002. This element is named "payer". The data type of this element is text. Its length is 6. Carriers shall code according to payer submitting payments, Council submitter code. 3. TR003. This element is named "National Plan ID". The data type of this element is text. Its length is 30. Carriers shall code according to CMS National Plan ID. 4. TR004. This element is named "type of file". The data type of this element is text. Its length is 2. Carriers shall code according to ME member eligibility, MC medical claims, PC pharmacy claims. 5. TR005. This element is named "period beginning date". The data type of this element is integer. Its length is 6. Carriers shall code according to CCYYMM, beginning of paid period for claims, beginning of month covered for eligibility. 6. TR006. This element is named "period ending date". The data type of this element is integer. Its length is 6. Carriers shall code according to CCYYMM, end of paid period for claims, end of month covered for eligibility. 7. TR007. This element is named "date processed". The data type of this element is date. Its length is 8. Carriers shall code according to CCYYMMDD, the date the file was created.

10/19/07 129 CMR - 21 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

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(d) The trailer record layout shall conform to the following Table 2:

Table 2: Trailer Record Layout

Maximum Data Element # Element Type Description/Codes/Sources Length

TR001 Record Type Text 2 TR TR002 Payer Text 6 Payer submitting payments Council Submitter Code TR003 National Plan ID Text 30 CMS National Plan ID TR004 Type of File Text 2 MA Member Eligibility MC Medical Claims PC Pharmacy Claims TR005 Period Beginning Date Integer 6 CCYYMM Beginning of paid period for claims Beginning of month covered for eligibility TR006 Period Ending Date Integer 6 CCYYMM End of paid period for claims End of month covered for eligibility TR007 Date Processed Date 8 CCYYMMDD Date file was created

(3) Member Eligibility File. (a) The specifications for the member eligibility file shall be as follows: 1. ME001. This element is named "payer". The data type of this element is text. Its length is 6. Carriers shall code according to payer submitting payments, Council submitter code. 2. ME002. This element is named "National Plan ID". The data type of this element is text. Its length is 30. Carriers shall code according to CMS National Plan ID.

10/19/07 129 CMR - 22 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

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3. ME003. This element is named "insurance type code/product". The data type of this element is text. Its length is 2. Carriers shall code according to the following Table 3:

Table 3: Insurance Type Code/Product

Code Description

12 Medicare Secondary Working Aged Beneficiary or Spouse with Employer Group Health Plan 13 Medicare Secondary End-Stage Renal Disease Beneficiary in the 12-month coordination period with an Employer Group Health Plan 14 Medicare Secondary No-Fault Insurance including Insurance in which Auto is Primary 15 Medicare Secondary Workers' Compensation 16 Medicare Secondary Public Health Service or Other Federal Agency 41 Medicare Secondary Black Lung 42 Medicare Secondary Veterans' Administration 43 Medicare Secondary Disabled Beneficiary Under Age 65 with Large Group Health Plan (LGHP) 47 Medicare Secondary Other Liability Insurance is Primary AP Auto Insurance Policy CP Medicare Conditionally Primary D Disability DB Disability Benefits EP Exclusive Provider Organization (for self-insured risks) HM Health Maintenance Organization (HMO) HN Health Maintenance Organization (HMO) Medicare Advantage HS Special Low Income Medicare Beneficiary IN Indemnity LC Long Term Care LD Long Term Policy LI Life Insurance LT Litigation MA Medicare Part A MB Medicare Part B MC Medicaid MH Medigap Part A MI Medigap Part B MP Medicare Primary PR Preferred Provider Organization (PPO) PS Point of Service (POS) QM Qualified Medicare Beneficiary SP Supplemental Policy WC Workers' Compensation

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4. ME004. This element is named "year". The data type of this element is integer. Its length is 4. Carriers shall code according to the year for which eligibility is reported in this submission. 5. ME005. This element is named "month". The data type of this element is integer. Its length is 2. Carriers shall code according to the month for which eligibility is reported in this submission. 6. ME006. This element is named "insured group or policy number". The data type of this element is text. Its length is 30. Carriers shall code according to the group or policy number and not the number that uniquely identifies the subscriber. 7. ME007. This element is named "coverage level code". The data type of this element is text. Its length is 3. Carriers shall code according to the benefit coverage level: a. CHD Children Only; b. DEP Dependents Only; c. ECH Employee and Children; d. EMP Employee Only; e. ESP Employee and Spouse; f. FAM Family; g. IND Individual; h. SPC Spouse and Children; and i. SPO Spouse Only. 8. ME008. This element is named "encrypted subscriber unique identification number". The data type of this element is text. Its length is 30. Carriers shall code according to the encryption method developed by the Council or its designee. Carriers shall set as null if unavailable. 9. ME009. This element is named "plan specific contract number". The data type of this element is text. Its length is 30. Carriers shall code according to the encrypted plan assigned contract number. Carriers and health care claims processors shall set as null if contract number is the same as the subscriber's social security number. 10. ME010. This element is named "member suffix or sequence number". The data type of this element is integer. Its length is 2. Carriers shall code according to the unique number of the member within the contract. 11. ME011. This element is named "member identification code". The data type of this element is text. Its length is 30. Carriers shall code according to the encryption method developed by the Council or its designee, and carriers shall set as null if unavailable. 12. ME012. This element is named "individual relationship code". The data type of this element is integer. Its length is 2. Carriers shall code according to the member's relationship to the subscriber as shown on the following Table 4:

Table 4: Individual Relationship Code

Code Description 01 Spouse 18 Self/Employee 19 Child 21 Unknown 34 Other Adult

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13. ME013. This element is named "member gender". The data type of this element is text. Its length is1. Carriers shall code according to: a. M = Male; b. F = Female; and c. U = Unknown. 14. ME014. This element is named "member date of birth". The data type of this element is date. Its length is 8. Carriers shall code according to CCYYMMDD. 15. ME015. This element is named "member city name". The data type of this element is text. Its length is 30. Carriers shall code according to the city location of the member’s residence. 16. ME016. This element is named "member state or province". The data type of this element is text. Its length is 2. Carriers shall code the state in which the member resides using the standard abbreviations established by the U.S. Postal Service. 17. ME017. This element is named "member zip code". The data type of this element is text. Its length is 11. Carriers shall code according to ZIP code of member’s residence, which may include non-US codes. Carriers and health care claims processors shall not include the dash in the coding. 18. ME018. This element is named "medical coverage". The data type of this element is text. Its length is 1. Carriers shall code according to: a. Y = Yes; and b. N = No. 19. ME019. This element is named "prescription drug coverage". The data type of this element is text. Its length is 1. Coverage for limited supplies only, such as diabetic test- strips, syringes, and birth control, shall be coded as “No”. Carriers shall code according to: a. Y = Yes; and b. N = No. 20. ME020. This element is named “race 1”. The data type of this element is text. Its length is 6. Carriers shall code according to the Race Code below. 21. ME021. This element is named “race 2”. The data type of this element is text. Its length is 6. Carriers shall code according to the Race Code below. If none, set as null.

Table 5: Race Code

Code Description R1 American Indian/Alaska Native R2 Asian R3 Black/African American R4 Native Hawaiian or other Pacific Islander R5 White R9 Other Race UNKNOW Unknown/not specified

22. ME022. This element is named “other race”. The data type of this element is text. Its length is 15. Carriers shall enter patient race, if ME020 Race 1 or ME021 Race 2 is coded as R9 Other Race. 23. ME023. This element is named “Hispanic indicator”. The data type of this element is text. Its length is 1. Carriers shall code according to: a. Y = Yes Patient is Hispanic/Latino/Spanish;

10/19/07 129 CMR - 25 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

b. N = No Patient is not Hispanic/Latino/Spanish; and c. U = Unknown. 24. ME024. This element is named “ethnicity 1”. The data type of this element is text. Its length is 6. Carriers shall code according to the Ethnicity Code below. 24. ME025. This element is named “ethnicity 2”. The data type of this element is text. Its length is 6. Carriers shall code according to the Ethnicity Code in Table 6.

Table 6: Ethnicity Code

Code Description 2182-4 Cuban 2184-0 Dominican 2148-5 Mexican, Mexican American, Chicano 2180-8 Puerto Rican 2161-8 Salvadoran 2155-0 Central American (not otherwise specified) 2165-9 South American (not otherwise specified) 2060-2 African 2058-6 African American AMERCN American 2028-9 Asian 2029-7 Asian Indian BRAZIL Brazilian 2033-9 Cambodian CVERDN Cape Verdean CARIBI Caribbean Island 2034-7 Chinese 2169-1 Columbian 2108-9 European 2036-2 Filipino 2157-6 Guatemalan 2071-9 Haitian 2158-4 Honduran 2039-6 Japanese 2040-4 Korean 2041-2 Laotian 2118-8 Middle Eastern PORTUG Portuguese RUSSIA Russian EASTEU Eastern European 2047-9 Vietnamese OTHER Other Ethnicity UNKNOW Unknown/not specified

10/19/07 129 CMR - 26 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

26. ME026. This element is named “other ethnicity”. The data type of this element is text. Its length is 20. Carriers shall enter patient ethnicity, if ME024 Ethnicity 1 or ME025 Ethnicity 2 is coded as OTHER Other Ethnicity. 27. ME027. This element is named "record type". The data type of this element is text. Its length is 2. Its value is literally "ME". (b) The specifications for the member eligibility file shall be submitted using the following Table 7:

Table 7: Member Eligibility File Layout

Data Max. Element Type Description/Codes/Sources Element # Length ME001 Payer Text 6 Payer submitting payments Council Submitter Code ME002 National Plan ID Text 30 CMS National Plan ID ME003 Insurance Type Text 2 12 Medicare Secondary Working Aged Beneficiary or Code/Product Spouse with Employer Group Health Plan 13 Medicare Secondary End-Stage Renal Disease Beneficiary in the 12-month coordination period with an Employer Group Health Plan 14 Medicare Secondary, No-fault insurance including insurance in which auto is primary 15 Medicare Secondary Workers' Compensation 16 Medicare Secondary Public Health Service or Other Federal Agency 41 Medicare Secondary Black Lung 42 Medicare Secondary Veterans Administration 43 Medicare Secondary Disabled Beneficiary Under Age 65 with Large Group Health Plan (LGHP) 47 Medicare Secondary, Other Liability Insurance is Primary AP Auto Insurance Policy CP Medicare Conditionally Primary D Disability DB Disability Benefits EP Exclusive Provider Organization HM Health Maintenance Organization (HMO) HN Health Maintenance Organization (HMO) Medicare Risk HS Special Low Income Medicare Beneficiary IN Indemnity LC Long Term Care LD Long Term Policy LI Life Insurance LT Litigation

10/19/07 129 CMR - 27 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued Table 7: Member Eligibility File Layout (continued)

Data Max. Element Type Description/Codes/Sources Element # Length MA Medicare Part A MB Medicare Part B MC Medicaid MH Medigap Part A MI Medigap Part B MP Medicare Primary PR Preferred Provider Organization (PPO) PS Point of Service (POS) QM Qualified Medicare Beneficiary SP Supplemental Policy WC Workers' Compensation ME004 Year Integer 4 Year for which eligibility is reported in this submission ME005 Month Integer 2 Month for which eligibility is reported in this submission ME006 Insured Group or Text 30 Group or policy number (not the number that uniquely Policy Number identifies the subscriber) ME007 Coverage Level Code Text 3 Benefit Coverage Level CHD Children Only DEP Dependents Only ECH Employee and Children EMP Employee Only ESP Employee and Spouse FAM Family IND Individual SPC Spouse and Children SPO Spouse Only ME008 Encrypted Subscriber Text 30 Encrypted subscriber's unique identification Unique Identification number (set as null if unavailable) Number ME009 Plan Specific Contract Text 30 Encrypted plan assigned contract number (set as null Number if contract number = subscriber's social security number) ME010 Member Suffice or Integer 2 Uniquely numbers the member within the contract Sequence Number ME011 Member Identification Text 30 Encrypted member's unique identification number (set Code as null if unavailable) ME012 Individual Relationship Integer 2 Member's relationship to insured Code 01 Spouse 18 Self/Employee

10/19/07 129 CMR - 28 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued Table 7: Member Eligibility File Layout (continued)

Data Max. Element Type Description/Codes/Sources Element # Length 19 Child 21 Unknown 34 Other Adult ME013 Member Gender Text 1 M Male F Female U Unknown ME014 Member Date of Birth Date 8 CCYYMMDD ME015 Member City Name Text 30 City name of member ME016 Member State or Text 2 As defined by the US Postal Service Province ME017 Member ZIP Code Text 11 ZIP Code of member – may include non-US codes. (Do not include dash) ME018 Medical Coverage Text 1 Y Yes N No ME019 Prescription Drug Text 1 Y Yes Coverage N No ME020 Race 1 Text 6 R1 American Indian/Alaska Native R2 Asian R3 Black/African American R4 Native Hawaiian or other Pacific Islander R5 White R9 Other Race UNKNOW Unknown/not specified ME021 Race 2 Text 6 R1 American Indian/Alaska Native R2 Asian R3 Black/African American R4 Native Hawaiian or other Pacific Islander R5 White R9 Other Race UNKNOWN Unknown/not specified ME022 Other Race Text 15 Patient Race, if Race 1 or Race 2 is entered as R9 Other Race (set as null if none) ME023 Hispanic Indicator Text 1 Y Patient is Hispanic/Latino/Spanish N Patient is not Hispanic/Latino/ Spanish U Unknown ME024 Ethnicity 1 Text 6 2182-4 Cuban 2184-0 Dominican

10/19/07 129 CMR - 29 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued Table 7: Member Eligibility File Layout (continued)

Data Max. Element Type Description/Codes/Sources Element # Length 2148-5 Mexican, Mexican American, Chicano 2180-8 Puerto Rican 2161-8 Salvadoran 2155-0 Central American (not otherwise specified) 2165-9 South American (not otherwise specified) 2060-2 African 2058-6 African American AMERCN American 2028-9 Asian 2029-7 Asian Indian BRAZIL Brazilian 2033-9 Cambodian CVERDN Cape Verdean CARIBI Caribbean Island 2034-7 Chinese 2169-1 Columbian 2108-9 European 2036-2 Filipino 2157-6 Guatemalan 2071-9 Haitian 2158-4 Honduran 2039-6 Japanese 2040-4 Korean 2041-2 Laotian 2118-8 Middle Eastern PORTUG Portuguese RUSSIA Russian EASTEU Eastern European 2047-9 Vietnamese OTHER Other Ethnicity UNKNOW Unknown/not specified ME025 Ethnicity 2 Text 6 2182-4 Cuban 2184-0 Dominican 2148-5 Mexican, Mexican American, Chicano 2180-8 Puerto Rican 2161-8 Salvadoran 2155-0 Central American (not otherwise specified) 2165-9 South American (not otherwise specified)

10/19/07 129 CMR - 30 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued Table 7: Member Eligibility File Layout (continued)

Data Max. Element Type Description/Codes/Sources Element # Length 2060-2 African 2058-6 African American AMERCN American 2028-9 Asian 2029-7 Asian Indian BRAZIL Brazilian 2033-9 Cambodian CVERDN Cape Verdean CARIBI Caribbean Island 2034-7 Chinese 2169-1 Columbian 2108-9 European 2036-2 Filipino 2157-6 Guatemalan 2071-9 Haitian 2158-4 Honduran 2039-6 Japanese 2040-4 Korean 2041-2 Laotian 2118-8 Middle Eastern PORTUG Portuguese RUSSIA Russian EASTEU Eastern European 2047-9 Vietnamese OTHER Other Ethnicity UNKNOW Unknown/not specified ME026 Other Ethnicity Text 20 Patient Ethnicity if Ethnicity 1 or Ethnicity 2 is entered as OTHER Other Ethnicity. (set as null if none) ME027 Record Type Text 2 ME

10/19/07 129 CMR - 31 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

Table 8: Member Eligibility File Mapping

Data HIPAA Reference Transaction Element Element # Set/Loop/Segment/Qualifier/Data Element

ME001 Payer N/A ME002 National Plan ID 271/2100A/NM1/XV/09 ME003 Insurance Type Code/Product 271/2110C/EB/ /04, 271/2110D/EB/ /04 ME004 Year N/A ME005 Month N/A ME006 Insured Group or Policy Number 271/2100C/REF/1L/02, 271/2100C/REF/IG/02, 271/2100C/REF/6P/02, 271/2100D/REF/1L/02, 271/2100D/REF/IG/02, 271/2100D/REF/6P/02 ME007 Coverage Level Code 271/2110C/EB/ /03, 271/2100D/EB/ /03 ME008 Encrypted Subscriber Unique 271/2100C/NM1/MI/09 Identification Number ME009 Plan Specific Contract Number 271/2100C/NM1/MI/09 ME010 Member Suffix or Sequence Number N/A ME011 Member Identification Code 271/2100C/MN1/MI/09, 271/2100D/NM1/MI/09 ME012 Individual Relationship Code 271/2100C/INS/Y/02, 271/2100D/INS/N/02 ME013 Member Gender 271/2100C/DMG/ /03, 271/2100D/DMG/ /03 ME014 Member Date of Birth 271/2100C/DMG/D8/02, 271/2100D/DMG/D8/02 ME015 Member City Name 271/2100C/N4/ /01, 271/2100D/N4/ /01 ME016 Member State or Province 217/2100C/N4/ /02, 271/2100D/N4/ /02 ME017 Member ZIP Code 271/2100C/N4/ /03, 271/2100D/N4/ /03 ME018 Medical Coverage N/A ME019 Prescription Drug Coverage N/A ME020 Race 1 N/A ME021 Race 2 N/A ME022 Other Race N/A ME023 Hispanic Indicator N/A ME024 Ethnicity 1 N/A ME025 Ethnicity 2 N/A ME026 Other Ethnicity N/A ME027 Record Type N/A

10/19/07 129 CMR - 32 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

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(4) Medical Claim File. (a) Medical claim file shall be submitted using the data elements in 129 CMR 2.11(4)(a)1. through 69.: 1. MC001. This element is named "payer". The data type of this element is text. Its length is 6. Carriers shall code according to the payer submitting payments, Council submitter code. 2. MC002. This element is named "national plan ID". The data type of this element is text. Its length is 30. Carriers shall code according to the CMS national plan ID. 3. MC003. This element is named "insurance type/product code". The data type of this element is text. Its length is 2. Carriers shall code according to the following Table 9:

Table 9: Insurance Type/Product Code

Code Description 12 Preferred Provider Organization (PPO) 13 Point of Service (POS) 14 Exclusive Provider Organization (EPO) 15 Indemnity Insurance 16 Health Maintenance Organization (HMO) Medicare Risk DS Disability HM Health Maintenance Organization MA Medicare Part A MB Medicare Part B MC Medicaid VA Veterans Administration Plan WC Workers' Compensation

4. MC004. This element is named "payer claim control number". The data type of this element is text. Its length is 35. Carriers shall code according to the entire claim and be unique within the payer's system. 5. MC005. This element is named "line counter". The data type of this element is integer. Its length is 4. Carriers shall code according to line number for this service. The line counter shall begin with one and shall be incremented by one for each additional line of a claim. 6. MC005A. This element is named "version number". The data type of this element is integer. Its length is 4. Carriers shall code according to version number of this claim service line. The version number begins with zero, and is incremented by one for each subsequent version of that service line. 7. MC006. This element is named "insured group or policy number". The data type of this element is text. Its length is 30. Carriers shall code according to the group or policy number, not the number that uniquely identifies the subscriber. 8. MC007. This element is named "encrypted subscriber unique identification number". The data type of this element is text. Its length is 30. Carriers shall code according to the encryption method developed by the Council or its designee. Carriers shall set as null if unavailable. 9. MC008. This element is named "plan specific contract number". The data type of this element is text. Its length is 30. Carriers shall code according to the encrypted plan assigned contract number. Carriers shall set as null if the contract number is the same as the subscriber's social security number.

10/19/07 129 CMR - 33 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

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10. MC009. This element is named "member suffix or sequence number". The data type of this element is integer. Its length is 2. Carriers shall code according to the unique number of the member within the contract. 11. MC010. This element is named "member identification code". The data type of this element is text. Its length is 30. Carriers shall code according to the encryption method developed by the Council or its designee. Carriers shall set as null if unavailable. 12. MC011. This element is named "individual relationship code". The data type of this element is integer. Its length is 2. Carriers shall code according to member's relationship to subscriber shown as follows in Table 10:

Table 10: Individual Relationship Code

Code Description 1 Spouse 4 Grandfather or Grandmother 5 Grandson or Granddaughter 7 Nephew or Niece 10 Foster Child 15 Ward 17 Stepson or Stepdaughter 19 Child 20 Employer 21 Unknown 22 Handicapped Dependent 23 Sponsored Dependent 24 Dependent of a Minor Dependent 29 Significant Other 32 Mother 33 Father 36 Emancipated Minor 39 Organ Donor 40 Cadaver Donor 41 Injured Plaintiff 43 Where Insured Has No Financial Responsibility 53 Life Partner 76 Dependent

13. MC012. This element is named "member gender". The data type of this element is text. Its length is 1. Carriers shall code according to: a. M Male; b. F Female; and c. U Unknown. 14. MC013. This element is named "member date of birth". The data type of this element is date. Its length is 8. Carriers shall code according to CCYYMMDD.

10/19/07 129 CMR - 34 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

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15. MC014. This element is named "member city name". The data type of this element is text. Its length is 30. Carriers shall code according to the city name of the member’s residence. 16. MC015. This element is named "member state or province". The data type of this element is text. Its length is 2. Carriers shall code the state in which the member resides using the standard abbreviations established by the U.S. Postal Service. 17. MC016. This element is named "member ZIP code". The data type of this element is text. Its length is 11. Carriers shall code according to ZIP Code of member’s residence. This may include non-US codes. Carriers shall not use the dash in coding. 18. MC017. This element is named "date service approved" (AP Date). This field is designed to capture the paid date, also called the Accounts Payable date. The data type of this element is date. Its length is 8. Carriers shall code this date in CCYYMMDD format. 19. MC018. This element is named "admission date". The data type of this element is date. Its length is 12. Carriers shall code for all inpatient claims using CCYYMMDD. 20. MC019. This element is named "admission hour". The data type of this element is integer. Its length is 4. Carriers shall code for all inpatient claims, and shall express time in military time, and may report the hour as HH or as HHMM. 21. MC020. This element is named "admission type". The data type of this element is text. Its length is 1. Carriers shall code using an integer shown as follows in Table 11:

Table 11: Admission Type

Code Description 1 Emergency 2 Urgent 3 Elective 4 Newborn 5 Trauma Center 9 Information Not Available

22. MC021. This element is named "admission source". The data type of this element is text. Its length is 1. Carriers shall code using text shown as follows in Table 12:

10/19/07 129 CMR - 35 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

Table 12: Admission Source

Code Description 1 Physician Referral 2 Clinic Referral 3 HMO Referral 4 Transfer from Hospital 5 Transfer from a Skilled Nursing Facility 6 Transfer from another Health Care Facility 7 Emergency Room 8 Court/Law Enforcement 9 Unknown A Transfer from a Rural Primary Care Hospital

23. MC022. This element is named "discharge hour". The data type of this element is integer. Its length is 4. Carriers shall code using military time and may report the hour as HH or as HHMM. 24. MC022A. This element is named "discharge date". The data type of this element is date. Its length is 8. Carriers shall code for all inpatient claims using CCYYMMDD. 24. MC023. This element is named “discharge status". The data type of this element is integer. Its length is 2. Carriers shall code shown as follows in Table 13:

Table 13: Discharge Status

Code Description 01 Discharged to home or self care 02 Discharged/transferred to another short-term general hospital for inpatient care 03 Discharged/transferred to skilled nursing facility (SNF) 04 Discharged/transferred to nursing facility (NF) Discharged/transferred to another type of institution for inpatient care or referred for outpatient 05 services to another institution 06 Discharged/transferred to home under care of organized home health service organization 07 Left against medical advice or discontinued care 08 Discharged/transferred to home under care of a Home IV provider 09 Admitted as an inpatient to this hospital 20 Expired 30 Still patient or expected to return for outpatient services 40 Expired at home 41 Expired in a medical facility 42 Expired, place unknown 43 Discharged/transferred to a Federal Hospital 50 Hospice – home 51 Hospice – medical facility 61 Discharged/transferred within this institution to a hospital-based Medicare-approved swing bed 62 Discharged/transferred to an inpatient rehabilitation facility including distinct parts of a hospital 63 Discharged/transferred to a long term care hospital 64 Discharged/transferred to a nursing facility certified under Medicaid but not certified under Medicare

10/19/07 129 CMR - 36 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

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25. MC024. This element is named "service provider number". The data type of this element is text. Its length is 30. Carriers shall code using the payer assigned provider number. 26. MC025. This element is named "service provider tax ID number". The data type of this element is text. Its length is 10. Carriers shall code using the federal taxpayer's identification number. 27. MC026. This element is named "national service provider ID". The data type of this element is text. Its length is 20. Carriers shall code if national provider ID is mandated for use under HIPAA. 28. MC027. This element is named "service provider entity type qualifier". The data type of this element is text. Its length is 1. HIPAA provider taxonomy classifies provider groups (clinicians who bill as a group practice or under a corporate name, even if that group is composed of one provider) as a "person", and these shall be coded as a person. Carriers shall code according to: a. 1 = Person; and b. 2 = Non-person entity 29. MC028. This element is named "service provider first name". The data type of this element is text. Its length is 25. Carriers shall code according to the individual's first name, and set to null if the provider is a facility or organization. 30. MC029. This element is named "service provider middle name". The data type of this element is text. Its length is 25. Carriers shall code according to the entity's middle name or initial, and shall set to null if provider is a facility or organization. 31. MC030. This element is named "service provider last name or organization name". The data type of this element is text. Its length is 50. Carriers shall code using the full name of the provider organization or last name of individual provider. 32. MC031. This element is named "service provider suffix". The data type of this element is text. Its length is 10. Carriers shall code according to the suffix to the individual name, and set to null if the provider is a facility or organization. The service provider suffix shall be used to capture the generation of individual clinician (e.g., Jr., Sr., III.), if applicable, rather than the clinician's degree (e.g., MD, LICSW). 33. MC032. This element is named "service provider specialty". The data type of this element is text. Its length is 10. Carriers shall code as defined by the payer dictionary for specialty code value, which shall be supplied during testing. 34. MC033. This element is named "service provider city name". The data type of this element is text. Its length is 30. Carriers shall code according to the city name of provider, and preferably the practice location. 35. MC034. This element is named "service provider state". The data type of this element is text. Its length is 2. Carriers shall code as defined by the US Postal Service. 36. MC035. This element is named "service provider ZIP Code". The data type of this element is text. The length is 11. Carriers shall code according to ZIP code of provider, which may include non-US codes. Carriers shall not use the dash in coding. MC035A. This element is named "service provider country name". The data type of this element is text. Its length is 30. Carriers shall code according to the country name of provider, and preferably the practice location. 37. MC036. This element is named "type of bill on Facility Claims". The data type of this element is integer. Its length is 2. Carriers shall use this coding on facility claims, including those submitted using UB92 forms, shown as follows in Table 14:

10/19/07 129 CMR - 37 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

Table 14: Type of Bill on Facility Claims

First Digit Type of Facility 1 Hospital 2 Skilled Nursing 3 Home Health 4 Christian Science Hospital 5 Christian Science Extended Care 6 Intermediate Care 7 Clinic 8 Special Facility Second Digit if First Bill Classification Digit = 1 through 6 1 Inpatient (including Medicare Part A) 2 Inpatient (including Medicare Part B Only) 3 Outpatient 4 Other (for hospital referenced diagnostic services or home health not under a plan of treatment) 5 Nursing Facility Level I 6 Nursing Facility Level II 7 Intermediate Care – Level III Nursing Facility 8 Swing Beds Second Digit if First Bill Classification Digit = 7 1 Rural Health 2 Hospital Based or Independent Renal 3 Dialysis Center 4 Free Standing 5 Outpatient Rehabilitation Facility (ORF) 6 Comprehensive Outpatient Rehabilitation 7 Facilities (CORFs) 9 Other Second Digit if First Bill Classification Digit = 8 1 Hospice, Non-hospital based 2 Hospital, Hospital based 3 Ambulatory Surgery Center 4 Free Standing Birthing Center 9 Other

10/19/07 129 CMR - 38 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

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38. MC037. This element is named "site of service on NSF/CMS 1500 claims". The data type of this element is text. Its length is 2. Carriers shall use this coding on professional claims, including those submitted using NSF CMS 1500 forms, shown as follows in Table 15:

Table 15: Site of Service on NSF/CMS 1500 Claims

Code Facility 11 Office 12 Home 21 Inpatient Hospital 22 Outpatient Hospital 23 Emergency Room – Hospital 24 Ambulatory Surgery Center 25 Birthing Center 26 Military Treatment Facility 31 Skilled Nursing Facility 32 Nursing Facility 33 Custodial Care Facility 34 Hospice 41 Ambulance – Land 42 Ambulance –Air or Water 50 Federally Qualified Center 51 Inpatient Psychiatric Facility 52 Psychiatric Facility Partial Hospitalization 53 Community Mental Health Center 54 Intermediate Care Facility/Mentally Retarded 55 Residential Substance Abuse Treatment Facility 56 Psychiatric Residential Treatment Center 60 Mass Immunization Center 61 Comprehensive Inpatient Rehabilitation Facility 62 Comprehensive Outpatient Rehabilitation Facility 65 End Stage Renal Disease Treatment Facility 71 State of Local Public Health Clinic 72 Rural Health Clinic 81 Independent Laboratory 99 Other Unlisted Facility

39. MC038. This element is named "claim status". The data type of this element is integer. Its length is 2. This code describes the payment status of the specific service line record. Carriers shall code according to 129 CMR 2.11(4)(a)39.a. through h.: a. 01 Processed as primary; b. 02 Processed as secondary; c. 03 Processed as tertiary; d. 04 Denied;

10/19/07 129 CMR - 39 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

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e. 19 Processed as primary, forwarded to additional payer(s); f. 20 Processed as secondary, forwarded to additional payer(s); g. 21 Processed as tertiary, forwarded to additional payer(s); and h. 22 Reversal of previous payment. 40. MC039. This element is named "admitting diagnosis". The data type of this element is text. Its length is 5. Carriers shall code according to all inpatient admission claims and encounters using the ICD-9-CM without the decimal point. 41. MC040. This element is named "E-code". The data type of this element is text. Its length is 5. Carriers shall use this code to describe an injury, poisoning or adverse effect, ICD-9-CM without coding decimal points. 42. MC041. This element is named "principal diagnosis". The data type of this element is text. Its length is 5. Carriers shall code the principal diagnosis given on the claim header using CD-9-CM without coding decimal points. 43. MC042. This element is named "other diagnosis – 1". The data type of this element is text. Its length is 5. Carriers shall code using ICD-9-CM without coding decimal points. 44. MC043. This element is named "other diagnosis – 2". The data type of this element is text. Its length is 5. Carriers shall code using ICD-9-CM without coding decimal points. 45. MC044. This element is named "other diagnosis – 3". The data type of this element is text. Its length is 5. Carriers shall code using ICD-9-CM without coding decimal points. 46. MC045. This element is named "other diagnosis – 4". The data type of this element is text. Its length is 5. Carriers shall code using ICD-9-CM without coding decimal points. 47. MC046. This element is named "other diagnosis – 5". The data type of this element is text. Its length is 5. Carriers shall code using ICD-9-CM without coding decimal points. 48. MC047. This element is named "other diagnosis – 6". The data type of this element is text. Its length is 5. Carriers shall code using ICD-9-CM without coding decimal points. 49. MC048. This element is named "other diagnosis – 7". The data type of this element is text. Its length is 5. Carriers shall code using ICD-9-CM without coding decimal points. 50. MC049. This element is named "other diagnosis – 8". The data type of this element is text. Its length is 5. Carriers shall code using ICD-9-CM without coding decimal points. 51. MC050. This element is named "other diagnosis – 9". The data type of this element is text. Its length is 5. Carriers shall code using ICD-9-CM without coding decimal points. 52. MC051. This element is named "other diagnosis – 10". The data type of this element is text. Its length is 5. Carriers shall code using ICD-9-CM without coding decimal points. 53. MC052. This element is named "other diagnosis – 11". The data type of this element is text. Its length is 5. Carriers shall code using ICD-9-CM without coding decimal points. 54. MC053. This element is named "other diagnosis – 12". The data type of this element is text. Its length is 5. Carriers shall code using ICD-9-CM without coding decimal points. 55. MC054. This element is named "revenue code". The data type of this element is text. Its length is 4. Carriers shall code using national uniform billing committee codes. Carriers shall code using leading zeroes, left-justified, and four digits. 56. MC055. This element is named "procedure code". The data type of this element is text. Its length is 5. Carriers shall code according to the Health Care Common Procedural Coding System (HCPCS). This includes the CPT codes of the American Medical Association.

10/19/07 129 CMR - 40 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

57. MC056. This element is named "procedure modifier – 1". The data type of this element is text. Its length is 2. Carriers shall code using a procedure modifier when a modifier clarifies or improves the reporting accuracy of the associated procedure code. 58. MC057. This element is named "procedure modifier – 2". The data type of this element is text. Its length is 2. Carriers shall code using a procedure modifier required when a modifier clarifies or improves the reporting accuracy of the associated procedure code. 59. MC058. This element is named "ICD-9-CM procedure code". The data type of this element is text. Its length is 4. Carriers shall code using the primary ICD-9-CM code given on the claim header without coding decimal points. 60. MC059. This element is named "date of service – from". The data type of this element is date. Its length is 8. Carriers shall code using the first date of service for this service line, CCYYMMDD. 61. MC060. This element is named "date of service – through". The data type of this element is date. Its length is 8. Carriers shall code using the last date of service for this service line, CCYYMMDD. 62. MC061. This element is named "quantity". The data type of this element is integer. Its length is 3. Carriers shall code according to the count of services performed, which shall be set equal to one on all observation bed service lines and should be set equal to zero on all other room and board service lines, regardless of the length of stay. 63. MC062. This element is named "charge amount". The data type of this element is decimal. Its length is 10. Carriers shall code according to the charge without coding decimal points. 64. MC063. This element is named "paid amount". The data type of this element is decimal. Its length is 10. Carriers shall code including withhold amounts without coding decimal points. 65. MC064. This element is named "prepaid amount". The data type of this element is decimal. Its length is 10. Carriers shall code using for capitated services, the fee for service equivalent amount without coding decimal points. 66. MC065. This element is named "co-pay amount". The data type of this element is decimal. Its length is 10. Carriers shall code using the preset, fixed dollar amount for which the individual is responsible without coding decimal points. 67. MC066. This element is named "coinsurance amount". The data type of this element is decimal. Its length is 10. Carriers shall code using the dollar amount of the coinsurance without coding decimal points. 68. MC067. This element is named "deductible amount". The data type of this element is decimal. Its length is 10. Carriers shall code using the dollar amount of the deductible without coding decimal points. 69. MC068. This element is named "record type". The data type of this element is text. Its length is 2.

(b) The file specification for the medical claim file shall conform to the following Table 16:

10/19/07 129 CMR - 41 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

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Table 16: Medical Claims File Layout

Data Max. Data Element Name Type Description/Codes/Sources Element # Length MC001 Payer Text 6 Payer submitting payments Council Submitter Code MC002 National Plan ID Text 30 CMS National Plan ID MC003 Insurance Type/ Text 2 12 Preferred Provider Organization (PPO) Product Code 13 Point of Service (POS) 14 Exclusive Provider Organization (EPO) 15 Indemnity Insurance 16 Health Maintenance Organization (HMO) Medicare Risk DS Disability HM Health Maintenance Organization MA Medicare Part A MB Medicare Part B MC Medicaid VA Veteran Administration Plan WC Worker's Compensation MC004 Payer Claim Control Text 35 Must apply to the entire claim and be unique within the Number payer's system MC005 Line Counter Integer 4 Line number for this service The line counter begins with 1 and is incremented by 1 for each additional service line of a claim MC005A Version Number Integer 4 Version number of this claim service line The version number begins with 0 and is incremented by 1 for each subsequent version of that service line MC006 Insured Group or Text 30 Group or policy number (not the number that uniquely Policy Number identifies the subscriber) MC007 Encrypted Subscriber Text 30 Encrypted subscriber’s Unique Identification number Set as Unique Identification null if unavailable Number MC008 Plan Specific Text 30 Encrypted plan assigned Set as null if contract number = Contract Number subscriber’s social security number MC009 Member Suffix or Integer 2 Uniquely numbers the member within the contract Sequence Number MC010 Member Text 30 Encrypted member’s Unique Identification number Set as Identification Code null if unavailable MC011 Individual Integer 2 Member's relationship to subscriber Relationship Code 01 Spouse 04 Grandfather or Grandmother 05 Grandson or Granddaughter 07 Nephew or Niece 10 Foster Child 15 Ward 17 Stepson or Stepdaughter 19 Child 20 Employee

10/19/07 129 CMR - 42 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

Table 16 Medical Claims File Layout (continued)

Data Max. Data Element Name Type Description/Codes/Sources Element # Length 21 Unknown 22 Handicapped Dependent 23 Sponsored Dependent 24 Dependent of a Minor Dependent 29 Significant Other 32 Mother 33 Father 36 Emancipated Minor 39 Organ Donor 40 Cadaver Donor 41 Injured Plaintiff 43 Where Insured Has No Financial Responsibility 53 Life Partner 76 Dependent MC012 Member Gender Text 1 M Male F Female U Unknown MC013 Member Date of Date 8 CCYYMMDD Birth MC014 Member City Name Text 30 City name of member MC015 Member State or Text 2 As defined by the US Postal Service Province MC016 Member ZIP Code Text 11 ZIP Code of member - may include non-US codes MC017 Date Service Date 8 CCYYMMDD Approved (AP Date) (Generally the same as the paid date) MC018 Admission Date Date 8 Required for all inpatient claims CCYYMMDD MC019 Admission Hour Integer 4 Required for all inpatient claims Time is expressed in military time – HH or HHMM MC020 Admission Type Integer 1 MC021 Admission Source Text 1 MC022 Discharge Hour Integer 4 Hour in military time – HH or HHMM MC022A Discharge Date Date 8 Required for all inpatient claims CCYYMMDD MC023 Discharge Status Integer 2 01 Discharged to home or self care 02 Discharged/transferred to another short-term general hospital for inpatient care 03 Discharged/transferred to skilled nursing facility (SNF) 04 Discharged/transferred to nursing facility (NF) 05 Discharged/transferred to another type of institution for inpatient care or referred for outpatient services to another institution 06 Discharged/transferred to home under care of organized home health service organization 07 Left against medical advice or discontinued care 08 Discharged/transferred to home under care of a Home IV provider

10/19/07 129 CMR - 43 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

Table 16 Medical Claims File Layout (continued)

Data Max. Data Element Name Type Description/Codes/Sources Element # Length 09 Admitted as an inpatient to this hospital 20 Expired 30 Still patient or expected to return for outpatient services MC024 Service Provider Text 30 Payer assigned provider number Number MC025 Service Provider Tax Text 10 Federal taxpayer's identification number ID Number MC026 National Service Text 20 Required if National Provider ID is mandated for use under Provider ID HIPAA MC027 Service Provider Text 1 1 Person Entity Type Qualifier 2 Non-Person Entity HIPAA provider taxonomy classifies provider groups (clinicians who bill as a group practice or under a corporate name, even if that group is composed of one provider) as “Person”. MC028 Service Provider First Text 25 Individual first name Name Set to null if provider is a facility or organization MC029 Service Provider Text 25 Individual middle name or initial Middle Name Set to null if provider is a facility or organization MC030 Service Provider Last Text 50 Full name of provider organization or last name of individual Name or provider Organization Name MC031 Service Provider Text 10 Suffix to individual name Suffix Set to null if provider is a facility or organization. Should be used to capture the generation of the individual clinician (e.g., Jr. Sr., III), if applicable, rather than the clinician’s degree (e.g., ‘MD’, ‘LICSW’). MC032 Service Provider Text 10 As defined by payer Specialty Dictionary for specialty code values must be supplied during testing MC033 Service Provider City Text 30 City name of provider - preferably practice location Name MC034 Service Provider Text 2 As defined by the US Postal Service State MC035 Service Provider ZIP Text 11 ZIP Code of provider - may include non-US codes Do not Code include dash MC035A Service Provider Text 30 Country name of provider - preferably practice location Country Name

10/19/07 129 CMR - 44 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

Table 16 Medical Claims File Layout (continued)

Data Max. Data Element Name Type Description/Codes/Sources Element # Length MC036 Type of Bill – on Integer 2 Type of Facility - First Digit Facility Claims (Should be coded on 1 Hospital facility claims, such as those submitted using on UB92 forms) 2 Skilled Nursing 3 Home Health 4 Christian Science Hospital 5 Christian Science Extended Care 6 Intermediate Care 7 Clinic 8 Special Facility Bill Classification - Second Digit if First Digit = 1-6 1 Inpatient (Including Medicare Part A) 2 Inpatient (Medicare Part B Only) 3 Outpatient 4 Other (for hospital referenced diagnostic services or home health not under a plan of treatment) 5 Nursing Facility Level I 6 Nursing Facility Level II 7 Intermediate Care - Level III Nursing Facility 8 Swing Beds Bill Classification - Second Digit if First Digit = 7 1 Rural Health 2 Hospital Based or Independent Renal 3 Dialysis Center 4 Free Standing 5 Outpatient Rehabilitation Facility (ORF) 6 Comprehensive Outpatient Rehabilitation 7 Facilities (CORFs) 9 Other Bill Classification – Second Digit if First Digit = 8 1 Hospice (Non Hospital Based) 2 Hospice (Hospital-Based) 3 Ambulatory Surgery Center 4 Free Standing Birthing Center 9 Other MC037 Site of Service – on Text 2 11 Office NSF/CMS 1500 Claims (Should be coded on 12 Home professional claims, such as those submitted using NSF [CMS 1500 forms]) 21 Inpatient Hospital 22 Outpatient Hospital 23 Emergency Room – Hospital

10/19/07 129 CMR - 45 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

Table 16 Medical Claims File Layout (continued)

Data Max. Data Element Name Type Description/Codes/Sources Element # Length 24 Ambulatory Surgery Center 25 Birthing Center 26 Military Treatment Facility 31 Skilled Nursing Facility 32 Nursing Facility 33 Custodial Care Facility 34 Hospice 41 Ambulance – Land 42 Ambulance – Air or Water 51 Inpatient Psychiatric Facility 52 Psychiatric Facility Partial Hospitalization 53 Community Mental Health Center 54 Intermediate Care Facility/Mentally Retarded 55 Residential Substance Abuse Treatment Facility 56 Psychiatric Residential Treatment Center 50 Federally Qualified Center 60 Mass Immunization Center 61 Comprehensive Inpatient Rehabilitation Facility 62 Comprehensive Outpatient Rehabilitation Facility 65 End Stage Renal Disease Treatment Facility 71 State of Local Public Health Clinic 72 Rural Health Clinic 81 Independent Laboratory 99 Other Unlisted Facility MC038 Claim Status Integer 2 01 Processed as primary (Actually describes the 02 Processed as secondary payment status of the specific service line record) 03 Processed as tertiary 04 Denied 19 Processed as primary, forwarded to additional payer(s) 20 Processed as secondary, forwarded to additional payer(s) 21 Processed as tertiary, forwarded to additional payer(s) 22 Reversal of previous payment

MC039 Admitting Diagnosis Text 5 Required on all inpatient admission claims and encounters ICD-9-CM Do not code decimal point MC040 E-Code Text 5 Describes an injury, poisoning or adverse effect ICD-9-CM Do not include decimal MC041 Principal Diagnosis Text 5 ICD-9-CM Do not code decimal point This should be the principal diagnosis given on the claim header. MC042 Other Diagnosis – 1 Text 5 ICD-9-CM Do not code decimal point MC043 Other Diagnosis – 2 Text 5 ICD-9-CM Do not code decimal point MC044 Other Diagnosis – 3 Text 5 ICD-9-CM Do not code decimal point MC045 Other Diagnosis – 4 Text 5 ICD-9-CM Do not code decimal point

10/19/07 129 CMR - 46 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

Table 16 Medical Claims File Layout (continued)

Data Max. Data Element Name Type Description/Codes/Sources Element # Length MC046 Other Diagnosis – 5 Text 5 ICD-9-CM Do not code decimal point MC047 Other Diagnosis – 6 Text 5 ICD-9-CM Do not code decimal point MC048 Other Diagnosis – 7 Text 5 ICD-9-CM Do not code decimal point MC049 Other Diagnosis – 8 Text 5 ICD-9-CM Do not code decimal point MC050 Other Diagnosis – 9 Text 5 ICD-9-CM Do not code decimal point MC051 Other Diagnosis – 10 Text 5 ICD-9-CM Do not code decimal point MC052 Other Diagnosis – 11 Text 5 ICD-9-CM Do not code decimal point MC053 Other Diagnosis – 12 Text 5 ICD-9-CM Do not code decimal point MC054 Revenue Code Text 4 National Uniform Billing Committee Codes Code using leading zeroes, left-justified, and four digits. MC055 Procedure 1 Code Text 5 Health Care Common Procedural Coding System (HCPCS) This includes the CPT codes of the American Medical Association MC056 Procedure 1 Modifier Text 2 Procedure modifier required when a modifier clarifies/ – 1 improves the reporting accuracy of the associated procedure code MC057 Procedure 1 Modifier Text 2 Procedure modifier required when a modifier clarifies/ – 2 improves the reporting accuracy of the associated procedure code MC058 ICD-9-CM Procedure Text 4 Primary ICD-9-CM code given on the claim header. Do not 1 Code code decimal point MC059 Date of Service – Date 8 First date of service for this service line From CCYYMMDD MC060 Date of Service – Date 8 Last date of service for this service line Through CCYYMMDD MC061 Quantity Integer 3 Count of services performed Should be set equal to 1 on all Observation bed service lines, for consistency. MC062 Charge Amount Decimal 10 Do not code decimal point MC063 Paid Amount Decimal 10 Includes any withhold amounts Do not code decimal point MC064 Prepaid Amount Decimal 10 For capitated services, the fee for service equivalent amount Do not code decimal point MC065 Copay Amount Decimal 10 The preset, fixed dollar amount for which the individual is responsible Do not code decimal point MC066 Coinsurance Amount Decimal 10 Do not code decimal point MC067 Deductible Amount Decimal 10 Do not code decimal point MC068 Record Type Text 2 MC

10/19/07 129 CMR - 47 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

Table 17: Medical Claims File Mapping

UB-92 HIPAA Reference UB-92 (Version HCFA NSF (National Transaction Form 6.0) Record 1500 Standard Format) Set/Loop/Segment/ Type/ Qualifier/

Data Data Element Name Locator Field # # Locator Data Element Element #

MC001 Payer N/A N/A N/A N/A N/A MC002 National Plan ID N/A N/A N/A N/A 835/1000A/N1/XV/04 MC003 Product/Claim Filing N/A 30/4 N/A N/A 835/2100/CLP/ /06 Indicator Code MC004 Payer Claim Control N/A N/A N/A FA0-02.0, FB0-02.0, 835/2100/CLP/ /07 Number FB1-02.0, GA0-02.0, GC0-02.0, GX0-02.0, GX2-02.0, HA0-02.0, FB2-02.0, GU0-02.0 MC005 Line Counter N/A N/A N/A N/A 837/2400/LX/ /01 MC006 Insured Group or Policy 62 (A-C) 30/10 11C DA0-10.0 837/2000B/SBR/ /03 Number MC007 Encrypted Subscriber N/A N/A N/A N/A 835/2100/NM1/34/08 Unique Identification Number MC008 Plan Specific Contract N/A N/A N/A N/A 835/2100/NM1/HN/08 Number MC009 Member Suffix or N/A N/A N/A N/A N/A Sequence Number MC010 Member Identification N/A N/A N/A N/A 835/2100/NM1/34/08 Code MC011 Individual Relationship 59 (A-C) 30/18 6 DA0-17.0 837/2000B/SBR/ /02, Code 837/2000C/PAT/ /01 MC012 Member Gender 15 20/7 3 CA0-09.0 837/2010CA/DMG/03 MC013 Member Date of Birth 14 20/8 3 CA0-08.0 837/2010CA/DMG/D8/02 MC014 Member City Name 13 20/14 5 CA0-13.0 837/2010CA/N4/ /01 MC015 Member State or Province 13 20/15 5 CA0-14.0 837/2010CA/N4/ /02 MC016 Member ZIP Code 13 20/16 5 CA0-15.0 837/2010CA/N4/ /03 MC017 Date Service Approved N/A N/A N/A N/A N/A MC018 Admission Date 17 20/17 N/A N/A 837/2300/DTP/435/03 MC019 Admission Hour 18 20/18 N/A N/A 837/2300/DTP/435/03 MC020 Admission Type 19 20/10 N/A N/A 837/2300/CL1/ /01 MC021 Admission Source 20 20/11 N/A 837/2300/CL1/ /02 MC022 Discharge Hour 21 20/22 N/A 837/2300/DTP/096/03 MC023 Discharge Status 22 20/21 N/A N/A 837/2300/CL1/ /03 MC024 Service Provider Number N/A N/A N/A N/A N/A MC025 Service Provider Tax ID 5 10/4-5 25 BA0-09.0, CA0-28.0, 835/2100/NM1/FI/09 Number BA0-02.0, BA1-02.0, YA0-02.0,BA0-06.0, BA0-10.0, BA0-12.0, BA0-13.0, BA0-14.0, BA0-15.0, BA0-16.0, BA0-17.0, BA0-24.0, YA0-06.0

10/19/07 129 CMR - 48 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

Table 17 Medical Claims File Mapping (continued)

UB-92 HIPAA Reference UB-92 (Version HCFA NSF (National Transaction Form 6.0) Record 1500 Standard Format) Set/Loop/Segment/ Type/ Qualifier/

Data Data Element Name Locator Field # # Locator Data Element Element # MC026 National Service Provider N/A 10/6 N/A N/A 835/2100/NM1/XX/09 ID MC027 Service Provider Entity N/A N/A N/A N/A 835/2100/NM1/82/02 Type Qualifier MC028 Service Provider First 1 10/12 33 BA0-20.0 835/2100/NM1/82/04 Name MC029 Service Provider Middle 1 10/12 33 BA0-21.0 835/2100/NM1/82/05 Name MC030 Service Provider Last 1 10/12 33 BA0-18.0, BA0-19.0 835/2100/NM1/82/03 Name or Organization Name MC031 Service Provider Suffix 1 10/12 33 BA0-22.0 835/2100/NM1/82/07 MC032 Service Provider Specialty N/A N/A N/A N/A 837/2000A/PRV/ZZ/03 MC033 Service Provider City 1 10/14 N/A BA1-09.0, 15.0 837/2010A/N4/ /01 Name MC034 Service Provider State or 1 10/15 N/A BA1-10.0, 16.0 837/2010A/N4/ /02 Province MC035 Service Provider ZIP Code 1 10/16 N/A BA1-11.0, 17.0 837/2010A/N4/ /03 MC036 Type of Bill – on Facility 4 Positions N/A N/A 837/2300/CLM/ /05-1 Claims 1-2: 40/4 MC037 Site of Service – on N/A N/A N/A FA0-07.0, GU0-0.50 835/2100/CLP/ /08 NSF/CMS 1500 Claims MC038 Claim Status N/A N/A N/A N/A 835/2100/CLP/ /02 MC039 Admitting Diagnosis 76 70/25 N/A N/A 837/2300/HI/BJ/02-2 MC040 E-Code 77 70/26 N/A N/A 837/2300/HI/BN/03-2 MC041 Principal Diagnosis 67 70/4 21.1 EA0-32.0, GX0-31.0, 837/2300/HI/BK/01-2 GU0-12.0 MC042 Other Diagnosis – 1 68 70/5 21.2 EA0-33.0, GX0-32.0, 837/2300/HI/BF/02-1 GU0-13.0 MC043 Other Diagnosis – 2 69 70/6 21.3 EA0-33.0, GX0-32.0, 837/2300/HI/BF/02-2 GU0-13.0 MC044 Other Diagnosis – 3 70 70/7 21.4 EA0-33.0, GX0-32.0, 837/2300/HI/BF/02-3 GU0-13.0 MC045 Other Diagnosis – 4 71 70/8 N/A EA0-35.0, GX0-34.0, 837/2300/HI/BF/02-4 GU0-15.0 MC046 Other Diagnosis – 5 72 70/9 N/A N/A 837/2300/HI/BF/02-5 MC047 Other Diagnosis – 6 73 70/10 N/A N/A 837/2300/HI/BF/02-6 MC048 Other Diagnosis – 7 74 70/11 N/A N/A 837/2300/HI/BF/02-7 MC049 Other Diagnosis – 8 75 70/12 N/A N/A 837/2300/HI/BF/02-8 MC050 Other Diagnosis – 9 N/A N/A N/A N/A 837/2300/HI/BF/02-9 MC051 Other Diagnosis –10 N/A N/A N/A N/A 837/2300/HI/BF/02-10 MC052 Other Diagnosis –11 N/A N/A N/A N/A 837/2300/HI/BF/02-11 MC053 Other Diagnosis –12 N/A N/A N/A N/A 837/2300/HI/BF/02-12 MC054 Revenue Code 42 50/5,11-13, N/A N/A 835/2110/SVC/RB/01-2, 60/5,15-16, 835/2110/SVC/NU/01-2 61/5,15-16

10/19/07 129 CMR - 49 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

Table 17 Medical Claims File Mapping (continued)

UB-92 HIPAA Reference UB-92 (Version HCFA NSF (National Transaction Form 6.0) Record 1500 Standard Format) Set/Loop/Segment/ Type/ Qualifier/

Data Data Element Name Locator Field # # Locator Data Element Element # MC055 Procedure Code 44 60/6,15-16, 24.1-6 D FA0-09.0, FB0-15.0, 835/2110/SVC/HC/01-2 61/6,15-16 GU0-07.0 MC056 Procedure Modifier – 1 44 60/7,15-16, 24.1-6 D FA0-10.0, GU0-08.0 835/2110/SVC/HC/01-3 61/7, 15-16 MC057 Procedure Modifier – 2 44 60/8,15-16, 24.1-6 D FA0-11.0 835/2110/SVC/HC/01-3 61/8,15-16 MC058 ICD-9-CM Procedure 80, 70/13, 15, N/A N/A 835/2110/SVC/ID/01-2 Code 81(A-E) 17, 19, 21, 23 MC059 Date of Service – From 45 61/13, 15- 24.1-6 A N/A 835/2110/DTM/150/02 16, 61/13, 15-16 MC060 Date of Service – Thru N/A N/A 24.1-6 A FA0-05.0, FA0-06.0 835/2110/DTM/151/02 MC061 Quantity 46 50/7, 11-13, 24.1-6 G FA0-19.0, FB0-16.0 835/2110/SVC/ /05 60/9,15-16, 61/9,15-16 MC062 Charge Amount 47 50/8, 11-13, 24.1-6F FA0-13.0 835/2110/SVC/ /02 60/10, 16- 16, 61/11, 15-16 MC063 Paid Amount 48 N/A N/A N/A 835/2110/SVC/ /03 MC064 Prepaid Amount N/A N/A N/A N/A N/A MC065 Co-pay Amount N/A N/A N/A N/A N/A MC066 Coinsurance Amount N/A N/A N/A N/A N/A MC067 Deductible Amount N/A N/A N/A N/A N/A MC068 Record Type N/A N/A N/A N/A N/A

(5) Pharmacy Claims File. (a) The pharmacy claim file layout shall be submitted using the format in 129 CMR 2.11(5)(a)1. through 44.: 1. PC001. This element is named "payer". The data type of this element is text. Its length is 6. Carriers shall code using the payer submitting payments, Council submitter code. 2. PC002. This element is named "plan ID". The data type of this element is text. Its length is 30. Carriers shall code using the CMS national plan ID. 3. PC003. This element is named "insurance type/product code". The data type of this element is text. Its length is 2. Carriers shall code as follows in Table 18:

10/19/07 129 CMR - 50 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

Table 18: Pharmacy Insurance Type/Product Code

Code Description

12 Preferred Provider Organization (PPO) 13 Point of Service (POS) 14 Exclusive Provider Organization (EPO) 15 Indemnity Insurance 16 Health Maintenance Organization (HMO) Medicare Risk AM Automobile Medical DS Disability HM Health Maintenance Organization LI Liability LM Liability Medical MA Medicare Part A MB Medicare Party B MC Medicaid OF Other Federal Program (e.g. Black Lung) TV Title V VA Veterans Administration Plan WC Workers' Compensation

4. PC004. This element is named "payer claim control number". The data type of this element is text. Its length is 35. Carriers shall code using the entire claim, which shall be unique within the payer's system. 5. PC005. This element is named "line counter". The data type of this element is integer. Its length is 4. Carriers shall code according to line number for this service. The line counter shall begin with one and be incrementally increased by one for each additional service line of a claim. 6. PC006. This element is named "insured group number". The data type of this element is text. Its length is 30. Carriers shall code according to group or policy number and not the number that uniquely identifies the subscriber. 7. PC007. This element is named "encrypted subscriber Unique Identification number". The data type of this element is text. Its length is 30. Carriers shall code according to the encryption method developed by the Council or its designee. Carriers shall set as null if unavailable. 8. PC008. This element is named "plan specific contract number. The data type of this element is text. Its length is 30. Carriers shall code according to the encrypted plan assigned contract number. Carriers shall set as null if contract number is the same as subscriber's social security number. 9. PC009. This element is named "member suffix or sequence number". The data type of this element is integer. Its length is 2. Carriers shall code according to the unique number that identifies the member within the contract. 10. PC010. This element is named "member identification code". The data type of this element is text. Its length is 30. Carriers shall code according to the encryption method developed by the Council or its designee. Carriers shall set as null if unavailable. 11. PC011. This element is named "individual relationship code". The data type of this element is integer. Its length is 2. Carriers shall code according to member's relationship to subscriber as follows in Table 19:

10/19/07 129 CMR - 51 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

Table 19: Individual Relationship Code

Code Description

01 Spouse 04 Grandfather or Grandmother 05 Grandson or Granddaughter 07 Nephew or Niece 10 Foster Child 15 Ward 17 Stepson or Stepdaughter 19 Child 20 Employee/Self 21 Unknown 22 Handicapped Dependent 23 Sponsored Dependent 24 Dependent of a Minor Dependent 29 Significant Other 32 Mother 33 Father 36 Emancipated Minor 39 Organ Donor 40 Cadaver Donor 41 Injured Plaintiff 43 Child Where Insured Has No Financial Responsibility 53 Life Partner 76 Dependent

12. PC012. This element is named "member gender". The data type of this element is integer. Its length is 1. Carriers shall code as follows in Table 20:

Table 20: Member Gender

Code Description

1 Male 2 Female 3 Unknown

13. PC013. This element is named "member date of birth". The data type of this element is date. Its length is 8. Carriers shall code according to CCYYMMDD. 14. PC014. This element is named "member city name of residence. The data type of this element is text. Its length is 30. Carriers shall code according to the city name of member's residence. 15. PC015. This element is named "member state". The data type of this element is text. Its length is 2. Carriers shall code the state in which the member resides using the standard abbreviations established by the US Postal Service. 16. PC016. This element is named "member ZIP code". The data type of this element is text. Its length is 9. Carriers shall code according to the ZIP Code of member's residence, which may include non-US codes. Carriers shall not include dash. 17. PC017. This element is named "date service approved" (AP Date). The data type of this element is date. Its length is 8. Carriers shall code according to CCYYMMDD. This date is generally the same as the paid date or the pharmacy benefits manager's billing date.

10/19/07 129 CMR - 52 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

18. PC018. This element is named "pharmacy number". The data type of this element is text. Its length is 30. Carriers shall code according to assigned pharmacy number (NCPDP or NABP). 19. PC019. This element is named "pharmacy tax ID number". The data type of this element is text. Its length is 10. Carriers shall code according to Federal taxpayer's identification number. Carriers shall provide the pharmacy chain's federal tax identification number, if the individual retail pharmacy's tax ID# is not available. 20. PC020. This element is named "pharmacy name". The data type of this element is text. Its length is 30. Carriers shall code according to the name of pharmacy. 21. PC021. This element is named "national pharmacy ID number. The data type of this element is text. Its length is 20. Carriers shall code according to the national provider ID, if that is mandated for use under HIPAA. 22. PC022. This element is named "pharmacy location city". The data type of this element is text. Its length is 30. Carriers shall code according to the city name of pharmacy. 23. PC023. This element is named "pharmacy location state". The data type of this element is text. Its length is 2. Carriers shall code as defined by the US Postal Service. 24. PC024. This element is named "pharmacy ZIP code". The data type of this element is text. Its length is 10. Carriers shall code according to ZIP code of pharmacy, which may include non-US codes. Carriers shall not include the dash in their codes. PC024A. This element is named "pharmacy country name". The data type of this element is text. Its length is 30. Carriers shall code according to the country name of pharmacy. 25. PC025. This element is named "claim status". The data type of this element is integer. Its length is 2. Carriers shall code according to: a. 01 Processed as primary; b. 02 Processed as secondary; c. 03 Processed as tertiary; d. 04 Denied; e. 19 Processed as primary, forwarded to additional payer(s); f. 20 Processed as secondary, forwarded to additional payer(s); g. 21 Processed as tertiary, forwarded to additional payer(s); and h. 22 Reversal of previous payment. 26. PC026. This element is named "drug code". The data type of this element is text. Its length is 11. Carriers shall code according to NDC Code. 27. PC027. This element is named "drug name". The data type of this element is text. Its length is 80. Carriers shall code according to text name of drug. 28. PC028. This element is named "new prescription". The data type of this element is text. Its length is 1. Carriers shall code according to: a. N = new prescription; and b. R = refill prescription. 29. PCO28A. This element is named "refill number". The data type of this element is integer. Its length is 2. Carriers shall code according to 01-99 Number of refill. If the refill number is unknown then code as 01. 30. PC029. This element is named "generic drug indicator". The data type of this element is text. Its length is 1. Carriers shall code according to: a. N = No, branded drug; and b. Y = Yes, generic drug.

10/19/07 129 CMR - 53 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

31. PC030. This element is named "dispense as written code". The data type of this element is integer. Its length is 1. Carriers shall code according to: a. 0 = Not dispensed as written; b. 1 = Physician dispense as written; c. 2 = Member dispense as written; d. 3 = Pharmacy dispense as written; e. 4 = No generic available; f. 5 = Brand dispensed as generic; g. 6 = Override; h. 7 = Substitution not allowed, brand drug mandated by law; i. 8 = Substitution allowed, generic drug not available in marketplace; and j. 9 = Other. 32. PC031. This element is named "compound drug indicator". The data type of this element is text. Its length is 1. Carriers shall code according to: a. N = Non-compound drug; b. Y = Compound drug; and c. U = Non-specified drug compound. 33. PC032. This element is named "date prescription filled". The data type of this element is date. Its length is 8. Carriers shall code according to CCYYMMDD. 34. PC033. This element is named "quantity dispensed". The data type of this element is integer. Its length is 5. Carriers shall code according to the number of metric units of medication dispensed. 35. PC034. This element is named "days supply". The data type of this element is integer. Its length is 3. Carriers shall code according to estimated number of days the prescription will last. 36. PC035. This element is named "charge amount". The data type of this element is decimal. Its length is 10. Carriers shall code according to the charge, without coding decimal points. 37. PC036. This element is named "paid amount". The data type of this element is decimal. Its length is 10. Carriers shall code according to "includes all health plan payments and excludes all member payments", without coding decimal points. 38. PC037. This element is named "ingredient cost/list price". The data type of this element is decimal. Its length is 10. Carriers shall code according to Average Wholesale Price (AWP) of the drug dispensed, without coding decimal points. 39. PC038. This element is named "postage amount claimed". The data type of this element is decimal. Its length is 10. Carriers shall not code decimal points. 40. PC039. This element is named "dispensing fee". The data type of this element is decimal. Its length is 10. Carriers shall code according to the fee, without coding decimal points. 41. PC040. This element is named "co-pay amount". The data type of this element is decimal. Its length is 10. Carriers shall code according to the preset, fixed dollar amount for which the individual is responsible, without coding decimal points. 42. PC041. This element is named "coinsurance amount". The data type of this element is decimal. Its length is 10. Carriers shall code not code decimal points. 43. PC042. This element is named "deductible amount". The data type of this element is decimal. Its length is 10. Carriers shall not code decimal points. 44. PC043. This element is named "record type". The data type of this element is text. Its length is 2.

10/19/07 129 CMR - 54 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

(b) The specifications for the pharmacy claims file layout shall conform to the following Table 21:

Table 21: Pharmacy Claims File Layout

Data Max. Description/Codes/Sources Element Type Element # Length PC001 Payer Text 6 Payer submitting payments Council Submitter Code PC002 Plan ID Text 30 CMS National Plan ID PC003 Insurance Type/Product Code Text 2 12 Preferred Provider Organization (PPO) 13 Point of Service (POS) 14 Exclusive Provider Organization (EPO) 15 Indemnity Insurance 16 Health Maintenance Organization (HMO) Medicare Risk AM Automobile Medical DS Disability HM Health Maintenance Organization LI Liability LM Liability Medical MA Medicare Part A MB Medicare Part B MC Medicaid OF Other Federal Program (e.g. Black Lung) TV Title V VA Veteran Administration Plan WC Worker's Compensation PC004 Payer Claim Control Number Text 35 Must apply to the entire claim and be unique within the payer's system PC005 Line Counter Integer 4 Line number for this service The line counter begins with 1 and is incremented by 1 for each additional service line of a claim PC006 Insured Group Number Text 30 Group or policy number - not the number that uniquely identifies the subscriber PC007 Encrypted Subscriber Unique Text 30 Encrypted subscriber’s Unique Identification Identification Number number Set as null if unavailable PC008 Plan Specific Contract Number Text 30 Encrypted plan assigned contract number Set as null if contract number = subscriber’s social security number PC009 Member Suffix or Sequence Integer 2 Uniquely numbers the member within the contract Number PC010 Member Identification Code Text 30 Encrypted member’s Unique Identification number Set as null if unavailable PC011 Individual Relationship Code Integer 2 Member's relationship to subscriber 01 Spouse 04 Grandfather or Grandmother 05 Grandson or Granddaughter 07 Nephew or Niece 10 Foster Child 15 Ward 17 Stepson or Stepdaughter 19 Child

10/19/07 129 CMR - 55 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

Table 21 Pharmacy Claims File Layout (continued)

Data Max. Description/Codes/Sources Element Type Element # Length 20 Employee/Self 21 Unknown 22 Handicapped Dependent 23 Sponsored Dependent 24 Dependent of a Minor Dependent 29 Significant Other 32 Mother 33 Father 36 Emancipated Minor 39 Organ Donor 40 Cadaver Donor 41 Injured Plaintiff 43 Child Where Insured Has No Financial Responsibility 53 Life Partner 76 Dependent PC012 Member Gender Integer 1 1 Male 2 Female 3 Unknown PC013 Member Date of Birth Date 8 CCYYMMDD PC014 Member City Name of Text 30 City name of member Residence PC015 Member State Text 2 As defined by the US Postal Service PC016 Member ZIP Code Text 9 ZIP Code of member - may include non-US codes Do not include dash PC017 Date Service Approved (AP Date 8 CCYYMMDD Date) (Generally the same as the paid date or the Pharmacy Benefits Manager’s billing date) PC018 Pharmacy Number Text 30 pharmacy number (NCPDP or NABP) PC019 Pharmacy Tax ID Number Text 10 Federal taxpayer's identification number (Please provide the pharmacy chain’s federal tax identification number, if the individual retail pharmacy’s tax ID# is not available.) PC020 Pharmacy Name Text 30 Name of pharmacy PC021 National Pharmacy ID Number Text 20 Required if National Provider ID is mandated for use under HIPAA PC022 Pharmacy Location City Text 30 City name of pharmacy - preferably pharmacy location PC023 Pharmacy Location State Text 2 As defined by the US Postal Service PC024 Pharmacy ZIP Code Text 10 ZIP Code of pharmacy - may include non-US codes Do not include dash PC024A Pharmacy Country Name Text 30 Country name of pharmacy PC025 Claim Status Integer 2 01 Processed as primary 02 Processed as secondary 03 Processed as tertiary 04 Denied

10/19/07 129 CMR - 56 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

Table 21 Pharmacy Claims File Layout (continued)

Data Max. Description/Codes/Sources Element Type Element # Length 19 Processed as primary, forwarded to additional payer(s) 20 Processed as secondary, forwarded to additional payer(s) 21 Processed as tertiary, forwarded to additional payer(s) 22 Reversal of previous payment PC026 Drug Code Text 11 NDC Code PC027 Drug Name Text 80 Text name of drug PC028 New Prescription Integer 2 00 New prescription PC028A Refill Number Integer 2 01-99 Number of refill (‘01’ should be used for all refills, if the specific number of the prescription refill is not available.) PC029 Generic Drug Indicator Text 1 N No, branded drug Y Yes, generic drug PC030 Dispense as Written Code Integer 1 0 Not dispensed as written 1 Physician dispense as written 2 Member dispense as written 3 Pharmacy dispense as written 4 No generic available 5 Brand dispensed as generic 6 Override 7 Substitution not allowed - brand drug mandated by law 8 Substitution allowed - generic drug not available in marketplace 9 Other

PC031 Compound Drug Indicator Text 1 N Non-compound drug Y Compound drug U Non-specified drug compound PC032 Date Prescription Filled Date 8 CCYYMMDD PC033 Quantity Dispensed Integer 5 Number of metric units of medication dispensed PC034 Days Supply Integer 3 Estimated number of days the prescription will last PC035 Charge Amount Decimal 10 Do not code decimal point PC036 Paid Amount Decimal 10 Includes all health plan payments and excludes all member payments Do not code decimal point PC037 Average Wholesale Price Decimal 10 Cost of the drug dispensed (AWP) Do not code decimal point PC038 Postage Amount Claimed Decimal 10 Do not code decimal point PC039 Dispensing Fee Decimal 10 Do not code decimal point PC040 Copay Amount Decimal 10 The preset, fixed dollar amount for which the individual is responsible Do not code decimal point

10/19/07 129 CMR - 57 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

Table 21 Pharmacy Claims File Layout (continued)

Data Max. Description/Codes/Sources Element Type Element # Length PC041 Coinsurance Amount Decimal 10 Do not code decimal point PC042 Deductible Amount Decimal 10 Do not code decimal point PC043 Record Type Text 2 PC

Table 22: Pharmacy Claims File Mapping

National Council for Prescription Data Element Drug Programs Element # Field # PC001 Payer N/A PC002 Plan ID N/A PC003 Insurance Type/Product Code N/A PC004 Payer Claim Control Number N/A PC005 Line Counter N/A PC006 Insured Group Number 301-C1 PC007 Encrypted Subscriber Unique Identification Number 302-C2 PC008 Plan Specific Contract Number N/A PC009 Member Suffix or Sequence Number N/A PC010 Member Identification Code 302-CY PC011 Individual Relationship Code 306-C6 PC012 Member Gender 305-C5 PC013 Member Date of Birth 304-C4 PC014 Member City Name of Residence 323-CN PC015 Member State or Province 324-CO PC016 Member ZIP Code 325-CP PC017 Date Service Approved (AP Date) N/A PC018 Pharmacy Number 202-B2 PC019 Pharmacy Tax ID Number N/A PC020 Pharmacy Name 833-5P PC021 National Pharmacy ID Number N/A PC022 Pharmacy Location City 831-5N PC023 Pharmacy Location State 832-6F PC024 Pharmacy ZIP Code 835-5R PC025 Claim Status N/A PC026 Drug Code 407-D7 PC027 Drug Name 516-FG PC028 New Prescription 403-D3 PC029 Generic Drug Indicator N/A

10/19/07 129 CMR - 58 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.11: continued

Table 22 Pharmacy Claims File Mapping (continued)

National Council for Prescription Data Element Drug Programs Element # Field # PC030 Dispense as Written Code 408-D8 PC031 Compound Drug Indicator 406-D6 PC032 Date Prescription Filled 401-D1 PC033 Quantity Dispensed 442-E7 PC034 Days Supply 405-D5 PC035 Charge Amount 804-5B PC036 Paid Amount 509-F9 PC037 Ingredient Cost/List Price 506-F6 PC038 Postage Amount Claimed 428-DS PC039 Dispensing Fee 507-F7 PC040 Copay Amount 518-FI PC041 Coinsurance Amount 518-FI PC042 Deductible Amount 505-F5 PC043 Record Type N/A

2.12: Source Codes

(1) Admission Source Code (Data Element: MC021)

SOURCE: National Uniform Billing Data Element Specifications

AVAILABLE FROM: National Uniform Billing Committee American Hospital Association 840 Lake Shore Drive Chicago, IL 60697

ABSTRACT: A variety of codes explaining who recommended admission to a medical facility.

(2) Admission Type Code (Data Element: MC020)

SOURCE: National Uniform Billing Data Element Specifications

AVAILABLE FROM: National Uniform Billing Committee American Hospital Association 840 Lake Shore Drive Chicago, IL 60697

ABSTRACT: A variety of codes explaining the priority of the admission to a medical facility.

10/19/07 129 CMR - 59 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.12: continued

(3) Current Procedural Terminology (CPT) Codes (Data Element: MC055)

SOURCE: Physicians' Current Procedural Terminology (CPT) Manual

AVAILABLE FROM: Order Department American Medical Association 515 North State Street Chicago, IL 60610

ABSTRACT: A listing of descriptive terms and identifying codes for reporting medical services and procedures performed by physicians.

(4) Health Care Common Procedural Coding System (Data Element: MC055)

SOURCE: Health Care Common Procedural Coding System

AVAILABLE FROM: www.cms.gov/medicare/hcpcs.htm Centers for Medicare and Medicaid Services Center for Health Plans and Providers CCPP/DCPC C5-08-27 7500 Security Boulevard Baltimore, MD 21244-1850

ABSTRACT: HCPCS is the Centers for Medicare and Medicaid Services (CMS) coding scheme to group procedures performed for payment to providers.

(5) Centers for Medicare and Medicaid Services National Plan ID (Data Elements: DC002, HD003, MC002, ME002, PC002, TR003)

SOURCE: Plan ID Database

AVAILABLE FROM: Centers for Medicare and Medicaid Services Centers for Beneficiary Services Administration Group Division of Membership Operations SI-05-06 7500 Security Boulevard Baltimore, MD 21244-1850

ABSTRACT: The Centers for Medicare and Medicaid Services is developing the Plan ID, which will be proposed as the standard unique identifier for each health plan under the Health Insurance Portability and Accountability Act of 1996.

(6) Centers for Medicare and Medicaid Services National Provider Identifier (Data Elements: DC020, MC026)

SOURCE: National Provider System AVAILABLE FROM: Centers for Medicare and Medicaid Services Office of Information Services Security and Standards Group Director, Division of Health Care Information Systems 7500 Security Boulevard Baltimore, MD 21244-1850

10/19/07 129 CMR - 60 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.12: continued

ABSTRACT: The Centers for Medicare and Medicaid Services is developing the National Provider Identifiers, which is proposed as the standard unique identifier for each health care provider under the Health Insurance Portability and Accountability Act of 1996.

(7) International Classification of Diseases Clinical Mod (ICD-9-CM) Procedure (Data Elements: MC040, MC041, MC043, MC044, MC045, MC046, MC047, MC048, MC049, MC050, MC051, MC052, MC053, MC058)

SOURCE: International Classification of Diseases, 9th Revision, Clinical Modification (ICD-9-CM)

AVAILABLE FROM: U.S. National Center for Health Statistics Commission of Professional and Hospital Activities 1968 Green Road Ann Arbor, MI 48105

ABSTRACT: The International Classification of Diseases, 9th Revision, Clinical Modification, describes the classification of morbidity and mortality information for statistical purposes and for the indexing of hospital records by disease and operations.

(8) National Association of Boards of Pharmacy Number (Data Element: PC021)

SOURCE: National Association of Boards of Pharmacy Database and Listings

AVAILABLE FROM: National Council for Prescription Drug Program 4201 North 24th Street Suite 365 Phoenix, AZ 85016

ABSTRACT: A unique number assigned in the U.S. and its territories to individual clinic, hospital, chain, and independent pharmacy locations that conduct business at retail by billing third-party drug benefit payers. The National Council for Prescription Drug Programs (NCPDP) maintains this database under contract from the National Association of Boards of Pharmacy. The National Association of Boards of Pharmacy is a seven-digit numeric number with the following format SSNNNNC, where SS=NCPDP assigned state code number, NNNN=NCPDP assigned pharmacy location number, and C=check digit calculated by algorithm from previous six digits.

(9) National Association of Insurance Commissioners (NAIC) Code (Data Elements: DC001, HD002, MC001, ME001, PC001, TR002)

SOURCE: National Association of Insurance Commissioners Company Code List Manual

AVAILABLE FROM: National Association of Insurance Commissioners Publications Department 12th Street, Suite 1100 Kansas City, MO 64105-1925

ABSTRACT: Codes that uniquely identify each insurance company.

10/19/07 129 CMR - 61 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.12: continued

(10) National Drug Code (Data Element: PC026)

SOURCE: Blue Book, Price Alert, National Drug Data File

AVAILABLE FROM: First Databank, The Hearst Corporation 1111 Bayhill Drive San Bruno, CA 94066

ABSTRACT: The National Drug Code is a coding convention established by the Food and Drug Administration to identify the labeler, product number, and package sizes of FDA- approved prescription drugs. There are over 170,000 National Drug Codes on file.

(11) National Uniform Billing Committee (NUBC) Codes (Data Element: MC054)

SOURCE: National Uniform Billing Data Element Specifications

AVAILABLE FROM: National Uniform Billing Committee American Hospital Association 840 Lake Shore Drive Chicago, IL 60697

ABSTRACT: Revenue codes are a classification of hospital charges in a standard grouping that is controlled by the National Uniform Billing Committee. Place of service codes specify the type of location where a service is provided.

(12) Discharge Status Code (Data Element: MC023)

SOURCE: National Uniform Billing Data Element Specifications

AVAILABLE FROM: National Uniform Billing Committee American Hospital Association 840 Lake Shore Drive Chicago, IL 60697

ABSTRACT: A variety of codes indicating member status as of the date of service-thru field.

(13) States and Outlying Areas of the U.S. (Data Elements: DC015, DC028, MC015, MC034, ME016, PC015, PC023)

SOURCE: National Zip Code and Post Office Directory

AVAILABLE FROM: U.S. Postal Service National Information Data Center P.O. Box 2977 Washington, DC 20013

ABSTRACT: Provides names, abbreviations, and codes for the 50 states, the District of Columbia, and the outlying areas of the U.S. The entities listed are considered to be the first order divisions of the U.S. Microfiche.

10/19/07 129 CMR - 62 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.12: continued

(14) Uniform Billing Claim Form Bill Type (Data Element: MC036)

SOURCE: National Uniform Billing Data Element Specifications Type of Bill Positions 1 and 2

AVAILABLE FROM: National Uniform Billing Committee American Hospital Association 840 Lake Shore Drive Chicago, IL 60697

ABSTRACT: A variety of codes describing the type of medical facility.

(15) X12 Directories

SOURCE: X12.3 Data Element Directory; X12.22 Segment Directory

AVAILABLE FROM: Data Interchange Standards Association, Inc. (DISA) Suite 200 1800 Diagonal Road Alexandria, VA 22314-2852

ABSTRACT: The data element directory contains the format and descriptions of data elements used to construct X12 segments. It also contains code lists associated with these data elements. The segment director contains the format and definitions of the data segments used to construct the X12 transaction sets.

(16) ZIP Code (Data Elements: DC016, DC029, MC016, MC035, ME017, PC016, PC024)

SOURCE: National Zip Code and Post Office Directory, Publication 65, The USPS Domestic Mail Manual

AVAILABLE FROM: U.S. Postal Service Washington, DC 20260

New Orders Superintendent of Documents P.O. Box 371954 Pittsburgh, PA 15250-7954

ABSTRACT: The ZIP Code is a geographic identifier of areas within the United States and its territories for purposes of expediting mail distribution by the U.S. Postal Service. It is five or nine numeric digits. The ZIP Code structure divides the U.S. into ten large groups of states. The leftmost digit identifies one of these groups. The next two digits identify a smaller geographic area within the large group. The two right-most digits identify a local delivery area. In the nine digit ZIP Code, the four digits that follow the hyphen further subdivide the delivery service area. The two leftmost digits identify a sector that may consist of several large buildings, blocks or groups of streets. The rightmost digits divide the sector into segments such as a street, a block, a floor of a building, or a cluster of mailboxes. The USPS Domestics Mail Manual includes information on the use of the new 11-digit ZIP code.

10/19/07 129 CMR - 63 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 129 CMR: HEALTH CARE QUALITY AND COST COUNCIL

2.12: continued

(17) Race and Ethnicity Codes (Data Elements: ME020, ME021, ME022, ME023, ME024, ME025, ME026, and ME027)

Source: Massachusetts Division of Health Care Finance and Policy Hospital Inpatient Discharge Data Electronic Records Submission Specification, September 2006

And Hierarchy for Reporting Ethnicity, September 14, 2006

Available from: Massachusetts Division of Health Care Finance and Policy 2 Boylston Street Boston, MA 02116

ABSTRACT: This document provides the technical and data specifications, including edit specifications, required for the Massachusetts Hospital Inpatient Discharge Data.

2.13: Administrative and Technical Bulletins and Severability

(1) Administrative and Technical Information Bulletins The Council may revise the specifications or other administrative requirements from time to time by notice or administrative bulletin.

(2) Severability. The provisions of 129 CMR 2.00 are declared to be severable and if any such provisions or the application of such provisions to any carrier or circumstances are held invalid or unconstitutional, such invalidity or unconstitutionality shall not be construed to affect the validity or unconstitutionality of any of the remaining provisions of 129 CMR 2.00 or of such provisions to carriers or circumstances other than those as to which it is held invalid.

REGULATORY AUTHORITY

129 CMR 2.00: M.G.L. c. 6A, § 16L.

10/19/07 129 CMR - 64 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 774

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 130 CMR 403.000

CHAPTER TITLE: Home Health Agency Services

AGENCY: Division of Medical Assistance

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Amended regulation includes changes to: clarify the description of eligibility for home health services; revise payment rules for skilled nursing visits; alter requirements for approvals on providing services to members aged 60 or older; create new requirements for those members enrolled in the Primary Care Clinician (PCC) Plan; and clarify provider eligibility language.

REGULATORY AUTHORITY: M.G.L. c. 118E, ss. 7 and 12

AGENCY CONTACT: Sharon Johnson, Director, MassHealth PHONE: 617-210-5650 Publications ADDRESS: 600 Washington Street, Boston, MA 02111

Compliance with M.G.L. c. 30A

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency.

PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. Executive Order 384/485: 5/7/07 Executive Office of Communities and Development: 6/1/07 Massachusetts Municipal Association: 6/1/07

Date of public hearing or comment period: June 1 - July 6, 2007

For the first five years: $21.5M

No fiscal effect:

No impact on small businesses.

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation:

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST:

SIGNATURE: SIGNATURE ON FILE DATE: Oct 1 2007

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007

EFFECTIVE DATE: 11/01/2007

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 1, 2 1, 2 113 - 122.6 113 - 122.4

10/05/2007 mrs

Table of Contents Page

(130 CMR 1.00 THROUGH 400.00: RESERVED) 31

130 CMR 401.000: INDEPENDENT CLINICAL LABORATORY SERVICES 101

Section 401.401: Introduction 101 Section 401.402: Definitions 101 Section 401.403: Eligible Members 102 Section 401.404: Provider Eligibility 102 Section 401.405: Laboratory Services Provided outside of Massachusetts 102 Section 401.410: Covered Services 103 Section 401.411: Noncovered Services and Payment Limitations 103 Section 401.415: Specimen Referral 103 Section 401.416: Request for Laboratory Services 103 Section 401.417: Laboratory Records 104 Section 401.418: Maximum Allowable Fees 104 Section 401.419: Individual Consideration 104 Section 401.420: Panel Tests 104.1 Section 401.421: Quality Assurance and Provider Review 104.1

130 CMR 402.000: VISION CARE SERVICES 105

Section 402.401: Introduction 105 Section 402.402: Definitions 105 Section 402.403: Eligible Members 106 Section 402.404: Provider Eligibility 106 Section 402.405: Nonreimbursable Circumstances 106.1 Section 402.406: Maximum Allowable Fees 107 Section 402.407: Individual Consideration 107 Section 402.408: Prior Authorization 107 Section 402.409: Separate Procedure 107 Section 402.416: Prescription and Dispensing Requirements 107 Section 402.417: Recordkeeping Requirements 108 Section 402.418: Services Provided Outside the Office 109 Section 402.426: Service Limitations: Visual Analysis 110 Section 402.427: Service Limitations: Time and Power Restrictions on Dispensing Eyeglasses 110 Section 402.428: Service Limitations: Broken Eyeglasses 110 Section 402.429: Service Limitations: Tinted Lenses 111 Section 402.430: Service Limitations: Coated Lenses 111 Section 402.431: Service Limitations: Two Pairs of Eyeglasses Instead of Bifocals 111 Section 402.432: Service Limitations: Cataract Lenses 111 Section 402.433: Service Limitations: Contact Lenses 112 Section 402.434: Service Limitations: Extra or Spare Eyeglasses 112 Section 402.435: Service Exclusions 112

130 CMR 403.000: HOME HEALTH AGENCY 113

Section 403.401: Introduction 113 Section 403.402: Definitions 113 Section 403.403: Home Health Services 115 Section 403.404: Eligible Members 115 Section 403.405: Provider Eligibility: In State 116 Section 403.406: Provider Eligibility: Out of State 116 Section 403.409: Services Provided Under Contract 116 Section 403.410: Home Health Conditions of Coverage 117 Section 403.411: Members Aged 60 and Over 118 Section 403.412: Complex-care Members 118 Section 403.413: Prior-authorization Requirements 119 Section 403.414: Notice of Approval or Denial of Prior Authorization 121 Section 403.419: Physician Plan-of-care Requirements 121

10/19/07 130 CMR - 1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

Table of Contents Page 130 CMR 403.000: HOME HEALTH AGENCY (continued)

Section 403.420: Nursing Services 122 Section 403.421: Home Health Aide Services 122.1 Section 403.422: Intermittent or Part-time Requirement 122.1 Section 403.423: Physical, Occupational, and Speech and Language Therapy 122.2 Section 403.424: Payment Rules for Assessments and Visits 122.3 Section 403.425: Medical Supplies 122.3 Section 403.426: Recordkeeping Requirement and Utilization Review 122.4 Section 403.427: Administrative Requirements 122.4 Section 403.428: Maximum Allowable Fees 122.4 Section 403.429 Denial of Services and Administrative Review 122.4

130 CMR 404.000: ADULT DAY HEALTH SERVICES 123

Section 404.401: Statement of Purpose 123 Section 404.402: Definitions 123 Section 404.403: MassHealth Member Eligibility Requirements 124 Section 404.404: MassHealth Provider Eligibility Requirements 124 Section 404.405: MassHealth Clinical Authorization for Admission and Continued Services 125 Section 404.406: Adult Day Health Program Requirements 125 Section 404.407: Adult Day Health Program Service Requirement for Clinical Eligibility 130 Section 404.408: Adult Day Health Personnel Requirements 131 Section 404.409: Adult Day Health Staff Qualifications and Responsibilities 132 Section 404.410: Adult Day Health Program Reporting Requirements 133 Section 404.411: Withdrawal by an Adult Day Health Provider from MassHealth 134 Section 404.412: Adult Day Health Program Physical Plant Requirements 134.1 Section 404.413: Transportation Services 134.2 Section 404.414: Payment for Services 134.3 Section 404.415: Conditions of Payment 134.4 Section 404.416: Noncovered Services 134.4

130 CMR 405.000: COMMUNITY HEALTH CENTER SERVICES 135

Section 405.401: Introduction 135 Section 405.402: Definitions 135 Section 405.403: Eligible Members 137 Section 405.404: Provider Eligibility 137 Section 405.405: Certification 138 Section 405.406: Administrative Requirements 138 Section 405.407: Physician Time Required on Site 139 Section 405.408: Medical Services Required on Site 139 Section 405.409: Medical Services Required on Site or by Referral 140 Section 405.410: Subcontracting for Dental Services 141 Section 405.411: Continuity of Care 141 Section 405.412: Recordkeeping Requirements 141 Section 405.413: Coordination of Services 142 Section 405.414: Translation Services 142 Section 405.415: Emergency Backup Services 143 Section 405.416: Quality Assessment Program 143 Section 405.417: Maximum Allowable Fees 143 Section 405.418: Nonreimbursable Services 143 Section 405.421: Visits: Service Limitations 143 Section 405.422: Obstetric Services: Introduction 144 Section 405.423: Obstetric Services: Global-fee Method of Payment 144 Section 405.426: Obstetric Services: Fee-for-service Method of Payment 146 Section 405.427: Nurse-midwife Services 146

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Table of Contents Page

130 CMR 650.000: INSURANCE PARTNERSHIP EMPLOYER REGULATIONS 951

Section 650.001: Introduction 951 Section 650.002: Definitions 951 Section 650.009: Insurance Partnership Administrative Entities 953 Section 650.010: Qualified Employers 953 Section 650.011: Insurance Partnership Employer Application 954 Section 650.012: Notice 954 Section 650.022: Qualified Employees 954 Section 650.030: Insurance Partnership Payments 954 Section 650.031: Premium Assistance 955 Section 650.032: Process of Making Insurance Partnership and Premium Assistance Payments 955 Section 650.033: Employer Adjustment of Employee Withholdings to Account for Premium Assistance 955 Section 650.034: Membership Dues for Employers Purchasing Health Insurance through a Billing or Enrollment Intermediary 955 Section 650.035: Employer Fraud or Abuse 955

(130 CMR 651.00 THROUGH 709.000: RESERVED) 957

130 CMR 710.000: CRIMINAL OFFENDER RECORD INVESTIGATIONS 1001

Section 710.001: Purpose 1001 Section 710.002: Scope 1001 Section 710.003: Definitions 1001 Section 710.104: Applicant Disclosure of Criminal Record Information 1003 Section 710.105: Hiring Authority Responsibilities 1003 Section 710.106: CORI Investigations 1003 Section 710.107: Findings from CORI Investigations 1003 Section 710.108: Disqualifications 1004 Section 710.109: Provisions for Review of a Candidate in Any Discretionary Disqualification Category 1004 Section 710.110: Dissemination 1005 Section 710.112: Incidents 1005 Section 710.113: Severability 1005 Section 710.200: Table of Offenses 1005

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(PAGES 29 THROUGH 30 ARE RESERVED FOR FUTURE USE.)

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130 CMR 403.000: HOME HEALTH AGENCY

Section

403.401: Introduction 403.402: Definitions 403.403: Home Health Services 403.404: Eligible Members 403.405: Provider Eligibility: In State 403.406: Provider Eligibility: Out of State 403.409: Services Provided Under Contract 403.410: Home Health Conditions of Coverage 403.411: Members Aged 60 and Over 403.412: Complex-care Members 403.413: Prior-authorization Requirements 403.414: Notice of Approval or Denial of Prior Authorization 403.419: Physician Plan-of-care Requirements 403.420: Nursing Services 403.421: Home Health Aide Services 403.422: Intermittent or Part-time Requirement 403.423: Physical, Occupational, and Speech and Language Therapy 403.424: Payment Rules for Assessments and Visits 403.425: Medical Supplies 403.426: Recordkeeping Requirement and Utilization Review 403.427: Administrative Requirements 403.428: Maximum Allowable Fees 403.429: Denial of Services and Administrative Review

403.401: Introduction

All home health agencies participating in MassHealth must comply with MassHealth regulations, including, but not limited to 130 CMR 403.000 and 450.000.

403.402: Definitions

The following terms used in 130 CMR 403.000 have the meanings given in 130 CMR 403.402, unless the context clearly requires a different meaning. The reimbursability of services defined in 130 CMR 403.402 is not determined by these definitions, but by the application of regulations elsewhere in 130 CMR 403.000 and 450.000.

Branch Office – a location or site from which a home health agency provides services within a portion of the total geographic area served by the parent home health agency. The branch office is located sufficiently close to the parent agency so that it shares administration, supervision, and services with the parent home health agency on a daily basis.

Calendar Week - seven consecutive days.

Case Management - a function performed by the MassHealth agency or its designee that assesses and reassesses the medical needs of complex-care members and authorizes or coordinates community long-term-care (CLTC) services that are medically necessary for such members to remain safely in the community.

Case Manager - a registered nurse employed by the MassHealth agency or its designee to provide case management to complex-care members, to work cooperatively with that member, his or her family and primary caregiver(s), and all relevant providers.

Certification Period - a period of no more than 60 days in which the member's physician has certified that the plan of care is medically appropriate and necessary.

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403.402: continued

Community Long-term-care (CLTC) Services - certain MassHealth-covered services intended to enable a complex-care member to remain safely in the community. Such services include, but are not limited to, home health, durable medical equipment, oxygen and respiratory equipment, personal-care attendant, and other health-related services as determined by the MassHealth agency or its designee.

Complex-care Member - a MassHealth member, under the age of 22 at enrollment, whose medical needs, as determined by the MassHealth agency or its designee, are such that he or she requires a nurse visit of more than two continuous hours of nursing services to remain in the community.

Continuous Skilled Nursing Services - a nurse visit of more than two continuous hours of nursing services.

Home Health Agency - a public or private organization that provides nursing and other therapeutic services to individuals whose place of residence conforms to the requirements of 42 CFR 440.70(c).

Home Health Aide - a person who is employed by a MassHealth-approved home health agency to perform certain personal-care and other health-related services as listed in 130 CMR 403.421(B).

Homemaker - a person who performs light housekeeping duties (for example, cooking, cleaning, laundry, shopping) for the purpose of maintaining a household.

Household – place of residence where two or more people are living: (1) in a group home, a residential care home or other group living situation; (2) at the same street address if it is a single family house that is not divided into apartments or units; or (3) at the same apartment number or unit number if members live in a building that is divided into apartments or units.

Maintenance Program - repetitive services, required to maintain or prevent the worsening of function, that do not require the judgment and skill of a licensed therapist for safety and effectiveness.

Member - an individual determined by the MassHealth agency to be eligible for MassHealth.

Nurse - a person licensed as a registered nurse, a licensed practical nurse, or a licensed vocational nurse by a state’s board of registration in nursing.

Nursing Services - the planning, provision, and evaluation of goal-oriented nursing care that requires specialized knowledge and skills acquired under the established curriculum of a school of nursing approved by a board of registration in nursing. Such services include only those services that require the skills of a nurse.

Occupational Therapist – a person who is licensed by the Massachusetts Division of Registration in Allied Health Professions and registered by the American Occupational Therapy Association (AOTA) or is a graduate of a program in occupational therapy approved by the Committee on Allied Health Education and Accreditation of the American Medical Association and engaged in the supplemental clinical experience required before registration by AOTA.

Occupational Therapy - therapy services, including diagnostic evaluation and therapeutic intervention, designed to improve, develop, correct, rehabilitate, or prevent the worsening of functions that affect the activities of daily living that have been lost, impaired, or reduced as a result of acute or chronic medical conditions, congenital anomalies, or injuries. Occupational therapy programs are designed to improve quality of life by recovering competence and preventing further injury or disability, and to improve the individual’s ability to perform tasks required for independent functioning, so that the individual can engage in activities of daily living.

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403.402: continued

Physical Therapist - a person licensed by the Massachusetts Division of Registration in Allied Health Professions.

Physical Therapy - therapy services, including diagnostic evaluation and therapeutic intervention, designed to improve, develop, correct, rehabilitate, or prevent the worsening of physical functions that have been lost, impaired, or reduced as a result of acute or chronic medical conditions, congenital anomalies, or injuries. Physical therapy emphasizes a form of rehabilitation focused on treatment of dysfunctions involving neuromuscular, musculoskeletal, cardiovascular/pulmonary, or integumentary systems through the use of therapeutic interventions to optimize functioning levels.

Primary Caregiver - the individual, other than the nurse, home health aide, or personal-care worker, who is primarily responsible for providing ongoing care to the member.

Request and Justification Form - the form (paper, electronic, or other) authorized by the MassHealth agency or its designee, on which the nursing-care needs of the member, other than a complex-care member, as identified in the screening are described by the provider. This form is submitted to the MassHealth agency or its designee with the request for prior authorization for nursing services.

Respite Services - a range of services provided on a short-term or intermittent basis in response to the need for relief of those persons who normally provide this care.

Speech/Language Therapist - a person who is licensed by the Massachusetts Division of Registration in Speech-Language Pathology and Audiology and has either a Certificate of Clinical Competence from the American Speech-Language-Hearing Association (ASHA) or a statement from ASHA of certification of equivalency.

Speech/Language Therapy - therapy services, including diagnostic evaluation and therapeutic intervention, that are designed to improve, develop, correct, rehabilitate, or prevent the worsening of speech/language communication and swallowing disorders that have been lost, impaired, or reduced as a result of acute or chronic medical conditions, congenital anomalies, or injuries. Speech and language disorders are those that affect articulation of speech, sounds, fluency, voice, swallowing (regardless of presence of a communication disability), and those that impair comprehension, or spoken, written, or other symbol used for communication.

Subunit Office – a semi-autonomous location or site that serves members in a geographic area different from that of the parent home health agency and that is too far from the parent home health agency to share administration, supervision, and services on a daily basis.

Visit - a personal contact in the member’s home, for the purpose of providing a covered service by a registered or licensed nurse, home health aide, or physical, occupational, or speech and language therapist employed by, or contracting with, the home health agency.

403.403: Home Health Services

The MassHealth agency pays for the following home health services for eligible MassHealth members, subject to the restrictions and limitations described in 130 CMR 403.000 and 450.000:

(A) nursing;

(B) homes health aide; and

403.404: Eligible Members

(A) (1) MassHealth Members. MassHealth covers home health services only when provided to eligible MassHealth members, subject to the restrictions and limitations described in 130 CMR 403.000 and 450.000. 130 CMR 450.105 specifically states, for each MassHealth coverage type, which services are covered and which members are eligible to receive those services.

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403.404: continued

(2) Recipients of the Emergency Aid to the Elderly, Disabled and Children Program. For information on covered services for recipients of the Emergency Aid to the Elderly, Disabled and Children Program, see 130 CMR 450.106.

(B) For information on verifying member eligibility and coverage type, see 130 CMR 450.107.

403.405: Provider Eligibility: In State

To participate in MassHealth, a Massachusetts Home Health agency must

(A) be certified as a provider of home health services under the Medicare program by the Massachusetts Department of Public Health including any branch or subunit office located in Massachusetts;

(B) obtain a MassHealth provider number before providing home health services ; and

(C) notify MassHealth in writing within 14 days of any changes in any of the information submitted in the provider application in accordance with 130 CMR 450.223(B); including, but not limited to, change of ownership, change of address, and additional home health agency branch office or subunit offices.

403.406: Provider Eligibility: Out of State

(A) To participate in MassHealth, an out-of-state home health agency located within 50 miles of the Massachusetts border must (1) ensure that the agency and each branch or subunit office is certified as a provider of home health services under the Medicare program.; (2) participate in the Medicaid program in its state; (3) provide home health services to a member who resides in a Massachusetts community near the border of the home health agency’s state; (4) obtain a MassHealth provider number before providing home health services; and (5) notify MassHealth in writing within 14 days of any changes in any of the information submitted in the provider application in accordance with 130 CMR 450.223(B); including, but not limited to, change of ownership, change of address, and additional branch office or subunit offices.

(B) To participate in MassHealth, an out of state home health agency located beyond 50 miles of the Massachusetts border must (1) be certified as a provider of home health services under the Medicare program by the Medicare-certifying agency in its state; (2) participate in the Medicaid program in its state; (3) obtain a MassHealth provider number before providing home health services; and (4) provide services to a member in accordance with 130 CMR 450.109.

403.409: Services Provided Under Contract

(A) Introduction. A home health agency may provide home health services directly or through contractual arrangements made by the agency. Whether the services are provided directly or through contracts, the home health agency is responsible for submitting claims for services and for meeting the requirements in 130 CMR 403.000 and all other applicable state and federal requirements. A home health agency may provide services through contracts in the following situations: (1) when an agency or organization, in order to be approved to participate in MassHealth, makes arrangements with another agency or organization to provide the nursing or other therapeutic services that it does not provide directly; and (2) when a home health agency that is already approved for participation in MassHealth makes arrangements with others to provide services it does not provide.

(B) Contract Requirements. (1) If the home health agency contracts with another provider participating in MassHealth (e.g., hospital, nursing facility, another home health agency, or hospice), a written contract must document the services to be provided and the corresponding financial arrangements.

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(2) If the home health agency contracts with a provider that does not participate in MassHealth, the written contract must include (a) a description of the services to be provided; (b) the duration of the agreement and how frequently it is to be reviewed; (c) a description of how personnel are supervised; (d) a statement that the contracting organization will provide its services in accordance with the plan of care established by the patient's physician in conjunction with the home health agency's staff; (e) a description of the contracting organization's standards for personnel, including qualifications, functions, supervision, and in-service training; (f) a description of the method of determining reasonable costs and payments by the home health agency for the specific services to be provided by the contracting organization; and (g) an assurance that the contracting organization will comply with Title VI of the Civil Rights Act and all relevant MassHealth provider requirements.

403.410: Home Health Conditions of Coverage

(A) Member Must Be Under the Care of a Physician. The MassHealth agency pays for home health services only if a physician certifies the medical necessity for such services and establishes an individual plan of care in accordance with 130 CMR 403.419. A member may receive home health services only if he or she is under the care of a physician. (A podiatrist or a dentist may be considered a physician for the purposes of meeting this requirement.) This physician may be the member's private physician or a physician on the staff of the home health agency.

(B) Limitations on Covered Services. The MassHealth agency pays for home health services to a member who resides in a non-institutional setting, which may include, without limitation, a homeless shelter, or other temporary residence, or community setting. In accordance with 42 CFR 440.70(c), MassHealth does not pay for home health services provided in a hospital, nursing facility, intermediate care facility for the mentally retarded, or any other institutional facility providing medical, nursing, rehabilitative, or related care.

(C) Medical Necessity Requirement. In accordance with 130 CMR 450.204, the MassHealth agency pays for only those home health services that are medically necessary. Home health services are not to be used for homemaker, respite, or heavy cleaning or household repair.

(D) Members for Whom Services Are Approved. The MassHealth agency does not pay for nursing services provided to any individual other than the member who is eligible to receive such services and for whom such services have been approved by MassHealth or its designee.

(E) Availability of Other Caregivers. When a family member or other caregiver is providing services that adequately meet the member's needs, it is not medically necessary for the home health agency to provide such services.

(F) Least Costly Form of Care. The MassHealth agency pays for home health agency services only when services are no more costly than medically comparable care in an appropriate institution and the least costly form of comparable care available in the community.

(G) Safe Maintenance in the Community. The member’s physician and home health agency must determine that the member can be maintained safely in the community.

(H) Prior Authorization. Certain home health services require prior authorization. See 130 CMR 403.413 for requirements.

(I) Continuous Skilled Nursing Services. (1) A member may be eligible for up to a maximum of 112 hours of continuous skilled nursing services per calendar week if he or she meets the criteria for nursing services as stated in 130 CMR 403.420 and has obtained prior authorization from the MassHealth agency or its designee.

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(2) Members may be eligible on a short-term basis, not to exceed three months, for continuous skilled nursing services over the maximum amount if such additional services are determined to be medically necessary by the MassHealth agency or its designee, and at least one of the following criteria is met: (a) the member’s physician has submitted a determination in writing that the death of the member will likely occur within three months and a request has been made that the member be permitted to die at home; (b) the member has repeated, acute exacerbations of, or develops acute complications in addition to, a chronic medical condition that would result in an acute hospitalization; (c) the member has been discharged following a lengthy acute hospitalization and may be clinically unstable in the community. Before providing such services, the home health agency must telephone the MassHealth agency or its designee with information about the need for such additional services on a weekly basis; or (d) the member meets the clinical criteria for nursing services and the primary caregiver is temporarily unavailable because he or she: 1. has an acute illness or has been hospitalized; 2. has abandoned the member or has died within the past 30 days; 3. has a high-risk pregnancy that requires significant restrictions; or 4. has given birth within the four weeks prior to a request for additional services.

(J) Multiple-patient Care for Continuous Skilled Nursing Services. (1) MassHealth pays for one nurse to provide nursing services simultaneously to more than one, but not more than three, members if (a) the members have been determined by the MassHealth agency or its designee to meet the criteria listed at 130 CMR 403.420; (b) the members receive services in the same physical location and during the same time period; (c) the home health agency has determined that it is safe and appropriate for one nurse to provide nursing services to the members simultaneously; and (d) the home health agency has received a separate prior-authorization approval for each member as described in 130 CMR 403.413. (2) Services provided pursuant to 130 CMR 403.410(J)(1) must be billed by using the multiple-patient service code that reflects the number of members receiving the services.

403.411: Members Aged 60 and Over

The home health agencies must complete an Aging Service Access Point (ASAP) referral form for those MassHealth members aged 60 and older. See 651 CMR 14.00, for a description and definition of ASAP. Home health agencies must complete this referral form upon assessment or reassessment for home health services or discharge from home health services. Home health agencies should forward the completed referral form to an Executive Office of Elder Affairs (EOEA) designee whenever the agency determines that the MassHealth member could benefit from EOEA’s designee’s services. Home health agencies must keep a copy of the completed ASAP referral form in the member’s record for all MassHealth members aged 60 and older.

403.412: Complex-care Members

For complex-care members, as defined in 130 CMR 403.402, the MassHealth agency or its designee provides case management that includes service coordination with home health agencies as appropriate. The purpose of case management is to ensure that complex-care members are provided with a coordinated CLTC service package that meets such members’ individual needs and to ensure that the MassHealth agency pays for home health and other CLTC services only if they are medically necessary in accordance with 130 CMR 403.410(C).

(A) MassHealth - Case Management Activities. (1) Enrollment. The MassHealth agency or its designee automatically enrolls members under the age of 22 who require a nurse visit of more than two continuous hours of nursing, assigns each member a case manager, and informs the member of the name, telephone number, and role of the assigned case manager.

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(2) Comprehensive Needs Assessment. The case manager may perform an in-person visit with the member to evaluate whether the member meets the criteria to be a complex-care member as described in 130 CMR 403.402 and to complete a comprehensive needs assessment. The comprehensive needs assessment identifies, but may not be limited to identifying (a) services that are medically necessary, covered by MassHealth, and required by the member to remain safely in the community; (b) services the member is currently receiving; and (c) any other case management activities in which the member participates. (3) Service Plan. The case manager (a) develops a service plan, in consultation with the member, the member’s physician, the primary caregiver, and where appropriate, the home health agency that 1. lists those MassHealth-covered services to be authorized by the case manager; 2. describes the scope and duration of each service; 3. lists service arrangements approved by the member or the member’s primary caregiver; and 4. informs the member of his or her right to a hearing, as described in 130 CMR 403.414. (b) provides to the member copies of the service plan, one copy of which the member or the member’s primary caregiver must sign and return to the case manager. On the copy being returned, the member must indicate whether he or she accepts or rejects each service as offered and that he or she has been notified of the right to appeal and provided an appeal form; and (c) provides to the home health agency information from the service plan that is applicable to the home health agency. (4) Service Authorizations. The case manager authorizes those CLTC services in the service plan, including home health, that require prior authorization (PA) and that are medically necessary, as provided in 130 CMR 403.413, and coordinates all home health services and any subsequent changes with the home health agency. (5) Discharge Planning. The case manager may participate in member hospital discharge planning meetings as necessary to ensure that CLTC services medically-necessary to discharge the member from the hospital to the community are authorized and to provide coordination with all other identified third-party payers. (6) Service Coordination. The case manager works collaboratively with any other identified case managers assigned to the member. (7) Case Manager Follow-up and Reassessment. The case manager will provide ongoing case management for members and in coordination with the home health agency to (a) determine whether the member continues to be a complex-care member; and (b) reassess whether services in the service plan are appropriate to meet the member's needs.

(B) Home Health Agency – Case Management Activities. (1) Plan of Care. The home health agency participates in the development of the physician’s plan of care for each complex-care member as described in 130 CMR 403.419, in consultation with the case manager, the member, and the primary caregiver, or some combination, that (a) includes the appropriate assignment of home health services; and (b) incorporates full consideration of the member’s and the caregiver's preferences for service arrangements. (2) Coordination and Communication. The home health agency closely communicates and coordinates with MassHealth’s or its designee’s case manager about the status of the member’s home health needs.

403.413: Prior-authorization Requirements

(A) General Terms. (1) Prior authorization must be obtained from the MassHealth agency as a prerequisite to payment for certain home health services and before services are provided to the member. Without such prior authorization, these services will not be paid by the MassHealth agency. (2) Prior authorization determines only the medical necessity of the authorized service, and does not establish or waive any other prerequisites for payment such as member eligibility or resort to health insurance payment.

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(3) Approvals for prior authorization specify the number of hours for each service that are payable each calendar week and the duration of the prior-authorization period. The authorization is issued in the member’s name and specifies frequency and duration of care for each service approved per calendar week. (4) Prior authorization for continuous skilled nursing services may be approved for more than one home health provider or independent nurse, or both, provided that (a) each provider is authorized only for a specified portion of the member’s total hours; and (b) the sum total of the hours approved over the duration of the approved period does not exceed what the MassHealth agency or its designee has determined to be medically necessary for the member. (5) The home health agency must complete the Request and Justification form for all non- complex-care members who require more than two continuous hours of nursing. The Request and Justification form must be signed and dated by the member’s physician and submitted to the MassHealth agency or its designee for review. (6) The home health agency may initiate the prior-authorization process by telephone or electronically by submitting a completed paper prior-authorization request form to the MassHealth agency or its designee. The home health agency must submit all prior- authorization requests in accordance with the MassHealth agency’s billing instructions. (7) If continuous skilled nursing services in excess of the authorized weekly amount are necessary, the home health agency must contact the MassHealth agency or its designee by telephone to request additional hours. The verbal request for additional hours must be followed up in writing within two calendar weeks of the verbal request. (8) If there are unused hours of continuous skilled nursing services in a calendar week, they may be used at any time during the current authorization period.

(B) MassHealth Basic Members Not Enrolled in a Managed Care Organization. (1) The home health agency must obtain from the MassHealth agency or its designee, as a prerequisite to payment, prior authorization for all nursing services for MassHealth Basic members who are not enrolled in a managed care organization (MCO). See 130 CMR 403.420(C) for service limitations of nursing care provided to MassHealth Basic members. (2) The home health agency must submit to the MassHealth agency or its designee written physician’s orders that identify the member’s admitting diagnosis, frequency, and duration of nursing services, and a description of the intended nursing intervention. (3) If authorized services need to be adjusted because the member’s medical needs have changed, the home health agency must contact the MassHealth agency or its designee by telephone to request an adjustment to the prior authorization. Any verbal request for changes in service authorization must be followed up in writing to the MassHealth agency or its designee within two weeks of the date of the verbal request.

(C) Complex-care Members. (1) The home health agency must obtain from the MassHealth agency or its designee, as a prerequisite for payment, prior authorization for all home health services defined in 130 CMR 403.403 provided to complex-care members. (2) The home health agency must refer potential complex-care members to the MassHealth agency or its designee for a comprehensive needs assessment. (3) If authorized services need to be adjusted because the complex-care member’s medical needs have changed, the home health agency must contact the MassHealth agency or its designee by telephone to request an adjustment to the prior authorization. (4) Any verbal request for changes in service authorization must be followed up in writing to the MassHealth agency or its designee within two weeks of the date of the verbal request.

(D) Therapy Services for All Members for Whom Therapies Are a Covered Service. The home health agency must obtain prior authorization for the following services to eligible MassHealth members: (1) more than 20 occupational-therapy or 20 physical-therapy visits, including any initial patient assessment or observation and evaluation or reevaluation visits, for a member within a 12-month period; and (2) more than 35 speech/language therapy visits, including any initial patient assessment or observation and evaluation or reevaluation visits, for a member within a 12-month period.

10/19/07 (Effective 11/1/07) 130 CMR - 120 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

403.413: continued

(E) MCO Members. For those members who are enrolled in a MassHealth-approved managed care organization (MCO), the home health agency must follow the authorization procedures of the MCO where applicable for home health services. For those MCO members whose nursing service needs are more than two hours in duration and are not covered by the MCO, the home health agency must comply with 130 CMR 403.000.

(F) Screening. The home health agency must perform a screening of any member aged 22 and older who requires continuous skilled nursing services and refer members under the age of 22 who require continuous skilled nursing services to the MassHealth agency or its designee for case management.

(G) Continuous Skilled Nursing Services. The home health agency must obtain prior authorization for continuous skilled nursing services from the MassHealth agency or its designee, as prerequisite for payment and before continuous skilled nursing services are provided to the member.

403.414: Notice of Approval or Denial of Prior Authorization

(A) Notice of Approval. For all approved prior-authorization requests for home health services, the MassHealth agency or its designee sends written notice to the member and the home health agency about the frequency, duration, and intensity of care authorized, and the effective date of the authorization.

(B) Notice of Denial or Modification and Right of Appeal. (1) For all denied or modified prior-authorization requests, the MassHealth agency or its designee notifies both the member and the home health agency of the denial or modification and the reason. In addition, the member will receive information about the member’s right to appeal, and appeal procedure. (2) A member may request a fair hearing if the MassHealth agency or its designee denies or modifies a prior-authorization request. The member must request a fair hearing in writing within 30 days after the date of the notice of denial or modification. The MassHealth agency's Board of Hearings conducts the hearing in accordance with 130 CMR 610.000.

403.419: Physician Plan-of-care Requirements

All home health services must be provided under a plan of care established individually for the member.

(A) Providers Qualified to Establish a Plan of Care. (1) The member's physician must establish a written plan of care. The physician must recertify and sign the plan of care every 60 days. (2) A home health agency nurse or skilled therapist may establish an additional, discipline- oriented plan of care, when appropriate. These plans of care may be incorporated into the physician's plan of care, or be prepared separately, but do not substitute for the physician's plan of care.

(B) Content of the Plan of Care. The orders on the plan of care must specify the nature and frequency of the services to be provided to the member, and the type of professional who must provide them. The physician must sign the plan of care before the home health agency submits its claim for those services to the MassHealth agency for payment, or must comply with the verbal-order provisions at 130 CMR 403.419(D). Any increase in the frequency of services or any addition of new services during a certification period must be authorized in advance by a physician with verbal or written orders and authorized by the MassHealth agency or its designee as appropriate. If the member is enrolled in the Primary Care Clinician (PCC) Plan, the home health agency shall communicate with the member’s PCC when the goals of the care plan are achieved, or when there is a significant change in a member’s health status. The plan of care must contain (1) all pertinent diagnoses, including the member's mental status; (2) the types of services, supplies, and equipment ordered; (3) the frequency of the visits to be made;

10/19/07 (Effective 11/1/07) 130 CMR - 121 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

403.419: continued

(4) the prognosis, rehabilitation potential, functional limitations, permitted activities, nutritional requirements, medications, and treatments; (5) any safety measures to prevent injury; (6) the discharge plans; and (7) any additional items the home health agency or physician chooses to include.

(C) Certification Period. Both the plan of care, required under 130 CMR 403.419(A)(1), and the discipline-oriented plan of care, as provided under 130 CMR 403.419(A)(2), must be reviewed and signed by a physician at least every 60 days.

(D) Verbal Orders. (1) Services that are provided from the beginning of the certification period (see 130 CMR 403.419(C)) and before the physician signs the plan of care are considered to be provided under a plan of care established and approved by the physician if (a) the clinical record contains a documented verbal order for the care before the services are provided; and (b) the physician signature is on the 60-day plan of care either before the claim is submitted or within 45 days after submitting a claim for that period. (2) If the member has other health insurance (whether commercial or Medicare), the provider must comply with the other insurer's regulations for physician signature before billing the MassHealth agency. (3) The home health agency must obtain prior authorization for verbal orders where required.

403.420: Nursing Services

(A) Conditions of Payment. Nursing services are payable only if all of the following conditions are met: (1) there is a clearly identifiable, specific medical need for nursing services; (2) the services are ordered by the physician for the member and are included in the physician’s plan of care; (3) the services require the skills of a registered nurse, or of a licensed practical nurse or licensed vocational nurse under the supervision of a registered nurse, in accordance with 130 CMR 403.420(B); (4) the services are medically necessary to treat an illness or injury in accordance with 130 CMR 403.410(C); and (5) prior authorization is obtained where required in compliance with 130 CMR 403.413.

(B) Clinical Criteria. (1) A nursing service is a service that must be provided by a registered nurse, or by a licensed practical nurse or licensed vocational nurse under the supervision of a registered nurse, to be safe and effective, considering the inherent complexity of the service, the condition of the patient, and accepted standards of medical and nursing practice. (2) Some services are nursing services on the basis of complexity alone (for example, intravenous and intramuscular injections, or insertion of catheters). However, in some cases, a service that is ordinarily considered unskilled may be considered a nursing service because of the patient's condition. This situation occurs when only a registered or licensed nurse can safely and effectively provide the service. (3) When a service can be safely and effectively performed (or self-administered) by the average nonmedical person without the direct supervision of a registered or licensed nurse, the service is not considered a nursing service, unless there is no one trained, able, and willing to provide it. (4) Nursing services for the management and evaluation of a plan of care are medically necessary when only a registered or licensed nurse can ensure that essential care is effectively promoting the member's recovery, promoting medical safety, or avoiding deterioration. (5) Medical necessity of services is based on the condition of the patient at the time the services were ordered and what was, at that time, expected to be appropriate treatment throughout the certification period. (6) A member's need for nursing care is based solely on his or her unique condition and individual needs, whether the illness or injury is acute, chronic, terminal, stable, or expected to extend over a long period.

10/19/07 (Effective 11/1/07) 130 CMR - 122 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

403.420: continued

(C) Service Limitations for MassHealth Basic Members. Nursing visits provided by a home health agency are covered for a MassHealth Basic member only when the following conditions and all other requirements of 130 CMR 403.000 et seq. are met: (1) such care is provided following an acute inpatient hospitalization; (2) such care is intended to help resolve an identified short-term (for example, 14 days) skilled-nursing need directly related to the member’s acute hospitalization; and (3) for members other than those enrolled in an MCO, the home health agency obtains prior authorization as a prerequisite to payment for nursing visits following a referral from the hospital directing the member’s discharge.

403.421: Home Health Aide Services

(A) Conditions of Payment. Home health aide services are payable only if all of the following conditions are met: (1) the member has a medically predictable recurring need for nursing services or therapy services; (2) the frequency and duration of the home health aide services must be ordered by the physician and must be included in the physician's plan of care for the member; (3) the services are medically necessary to provide personal care to the member, to maintain the member’s health, or to facilitate treatment of the member’s injury or illness; and (4) prior authorization, where applicable has been obtained where required in compliance with 130 CMR 403.413.

(B) Payable Home Health Aide Services. Payable home health aide services include, but are not limited to (1) personal-care services; (2) simple dressing changes that do not require the skills of a registered or licensed nurse; (3) assistance with medications that are ordinarily self-administered and that do not require the skills of a registered or licensed nurse; (4) assistance with activities that are directly supportive of skilled therapy services; and (5) routine care of prosthetic and orthotic devices.

(C) Nonpayable Home Health Aide Services. The MassHealth agency does not pay for: (1) home health aide services provided to MassHealth Basic members; or (2) homemaker, respite, and chore services provided to any MassHealth member.

(D) Incidental Services. When a home health aide visits a member to provide a health-related service, the home health aide may also perform some incidental services that do not meet the definition of a home health aide service (for example, light cleaning, preparing a meal, removing trash, or shopping). However, the purpose of a home health aide visit must not be to provide these incidental services, since they are not health-related services.

403.422: Intermittent or Part-time Requirement

The MassHealth agency pays for nursing visits and home health aide services only on an intermittent or part-time basis, and only as defined in 130 CMR 403.422(A), except as provided in 130 CMR 403.422(B). The time limits are maximum thresholds.

(A) Intermittent and Part-time Services. (1) Services are intermittent if up to eight hours per day of medically necessary nursing visits and home health aide services, combined, are provided seven days per calendar week for temporary periods of up to 21 days. (2) Services are part-time if the combination of medically necessary nursing visits and home health aide services does not exceed 35 hours per calendar week, and those services are provided on a less-than-daily basis. (3) To receive intermittent or part-time nursing care, the member must have a medically predictable recurring need for skilled nursing services at least once every 60 days, or the member must meet the conditions in 130 CMR 403.422(A)(4). (4) In certain circumstances, the member needs infrequent, yet intermittent, nursing services. The following are nonexclusive examples of such services, which are payable.

10/19/07 (Effective 11/1/07) 130 CMR - 122.1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

403.422: continued

(a) The member has an indwelling silicone catheter and generally needs a catheter change only at 90-day intervals. (b) The member experiences a fecal impaction due to the normal aging process (that is, loss of bowel tone, restrictive mobility, and a breakdown in good health habits) and must be manually disimpacted. Although these impactions are likely to recur, it is not possible to predict a specific time frame. (c) The member is diabetic and visually impaired. He or she self-injects insulin, and has a medically predictable recurring need for a nursing visit at least every 90 days. These nursing visits, which supplement the physician's contacts with the member, are necessary to observe and determine the need for changes in the level and type of care that have been prescribed. (d) The need for intermittent or part-time nursing is medically predictable, but a situation arises after the first nursing visit that makes additional visits unnecessary (for example, the member becomes institutionalized or dies, or a primary caregiver has been trained to provide care). In this situation, the one nursing visit is payable.

(B) Exceptions. Nursing visits and home health aide services in excess of the intermittent or part-time limit, as defined in 130 CMR 403.422(A), may be provided to members under any of the following conditions: (1) the physician has documented that the death of the member is imminent, and the physician has recommended that the member be permitted to die at home; (2) the agency has documented that the services are no more costly than medically comparable care in an appropriate institution (for example, long-term care or chronic disease and rehabilitation hospital care) and the least-costly form of comparable care available in the community, and the member prefers to remain at home; (3) the agency has documented that it is seeking appropriate alternative modes of care, but has not yet found them; (4) the physician has documented that the need for care in excess of 21 days or in excess of 35 hours per calendar week is medically necessary in accordance with 130 CMR 403.410(C); or (5) the member qualifies as a complex-care member, or the member is over the age of 22 and requires a nursing visit of more than two hours in duration.

403.423: Physical, Occupational, and Speech and Language Therapy

(A) Physical Therapy. The MassHealth agency pays for up to 20 visits within a 12-month period for physical therapy without prior authorization when provided to an eligible MassHealth member, if the services are (1) prescribed by a physician; (2) directly and specifically related to an active treatment regimen; (3) of such a level of complexity and sophistication that the judgment, knowledge, and skills of a licensed physical therapist are required; (4) performed by a licensed physical therapist, or by a licensed physical therapy assistant under the supervision of a licensed physical therapist; (5) considered under accepted standards of medical practice to be a specific and effective treatment for the member's condition; (6) medically necessary for treatment of the member's condition. Services related to activities for the general good and welfare of patients (for example, general exercises to promote overall fitness and flexibility, and activities to provide diversion or general motivation) do not constitute physical therapy services for purposes of MassHealth payment; and (7) certified by the physician every 60 days.

(B) Occupational Therapy. The MassHealth agency pays for up to 20 visits within a 12-month period for occupational therapy without prior authorization when provided to an eligible MassHealth member, if the services are: (1) prescribed by a physician; (2) performed by a licensed occupational therapist, or by a licensed occupational therapy assistant under the supervision of a licensed occupational therapist; (3) medically necessary for treatment of the member's illness or injury; and (4) certified by the physician every 60 days.

10/19/07 (Effective 11/1/07) 130 CMR - 122.2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

403.423: continued

(C) Speech and Language Therapy. The MassHealth agency pays for up to 35 visits within a 12-month period for speech and language therapy without prior authorization when provided to an eligible MassHealth member, if the services are: (1) prescribed by a physician; (2) performed by a licensed speech and language therapist; (3) medically necessary for treatment of the member's illness or injury; and (4) certified by the physician every 60 days.

(D) Maintenance Program. (1) The MassHealth agency pays for the establishment of a maintenance program and the training of the member, member’s family, or other persons to carry it out, as part of a regular treatment visit, not as a separate service. The MassHealth agency does not pay for performance of a maintenance program, except as provided in 130 CMR 403.424(D)(2). (2) In certain instances, the specialized knowledge and judgment of a licensed therapist may be required to perform services that are part of a maintenance program, to ensure safety or effectiveness that may otherwise be compromised due to the member’s medical condition. At the time the decision is made that the services must be performed by a licensed therapist, all information that supports the medical necessity for performance of such services by a licensed therapist, rather than a non-therapist, must be documented in the medical record.

403.424: Payment Rules for Assessments and Visits

(A) Initial Patient Assessments. The MassHealth agency pays for an initial patient assessment visit by a home health agency with or without a physician's order. The MassHealth agency does not pay for any subsequent services provided to the member unless the physician includes them in the written plan of care.

(B) Observation and Evaluation Visits. The MassHealth agency pays for observation and evaluation (or reevaluation) visits when they are made by a registered or licensed nurse or physical, occupational, or speech and language therapist ordered by the physician, for the purpose of evaluating the member's condition and his or her continuing need for nursing services.

(C) Supervisory Visits. The MassHealth agency does not pay for a supervisory visit made by a nurse or physical, occupational, or speech and language therapist for the purpose of evaluating the specific personal-care needs of the member, or reviewing the manner in which the personal- care needs of the member are being met by the home health aide or personal-care worker. These visits are administrative and are, therefore, not payable.

(D) Skilled Nursing Visits for Two or More Members Living in the Same Household. When two or more members in the same household are receiving skilled nursing visits, the home health agency must provide services to all members during a single visit. Under such circumstances, the MassHealth agency pays the full skilled nursing visit rate for one member and a reduced rate for each subsequent member in the household. When billing the MassHealth agency for the second or any additional members, the service code and modifier must reflect the visit for each subsequent member. Home health agencies must document the medical necessity in the member’s medical record in those cases where two or more members living in the same household cannot be provided skilled nursing services during a single visit. Failure to do so constitutes an unacceptable billing practice in accordance with130 CMR 450.307.

403.425: Medical Supplies

Home health agencies must submit prescriptions and orders for medical supplies only to vendors who are participating in MassHealth. Medical supplies, equipment, and appliances must be prescribed or ordered by the member's physician and must be provided and claimed directly by appropriate vendors in accordance with MassHealth regulations governing drugs, restorative therapy services, rehabilitative services, and durable medical equipment.

10/19/07 (Effective 11/1/07) 130 CMR - 122.3 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

403.426: Recordkeeping Requirement and Utilization Review

The record maintained by a home health agency for each member must conform to MassHealth administrative and billing regulations at 130 CMR 450.000. The home health agency must submit requested documentation to the MassHealth agency or its designee for purposes of utilization review and provider review and audit, within the MassHealth agency’s or its designee’s time specifications. The MassHealth agency or its designee may periodically review a member’s plan of care and other records to determine if skilled nursing services are medically necessary in accordance with 130 CMR 403.410(C). The home health agency must provide the MassHealth agency or its designee with any supporting documentation the MassHealth agency or its designee requests within ten business days of that request. If the MassHealth agency or its designee determines that the skilled nursing services are no longer medically necessary, the MassHealth agency will not pay the home health agency for continuing services.

403.427: Administrative Requirements

Whether services are provided by the home health agency directly or through contractual arrangements made by the agency, the agency must

(A) accept the member for treatment in accordance with its admission policies;

(B) maintain a complete clinical record for the member that includes diagnosis, medical history, physician's orders, and progress notes relating to all services provided;

(C) obtain from the physician the required certifications and recertifications of the plan of care as set forth in 130 CMR 403.419(C); and

(D) ensure that the home health agency's staff or designated review group review the medical necessity of services on a sample basis.

403.428: Maximum Allowable Fees

The Division of Health Care Finance and Policy (DHCFP) determines the maximum allowable fees for home health agency services as set forth in 114.3 CMR 50.00. The maximum allowable payment for a service is the lower of the following:

(A) the home health agency's usual and customary fee; or

(B) the rate that the DHCFP has established for that service.

403.429: Denial of Services and Administrative Review

(A) A failure or refusal by a home health agency to provide services that have been ordered by the member's attending physician and that are within the range of payable services is not an action by the MassHealth agency or its designee that a member may appeal; but such failure or refusal constitutes a violation of these regulations for which administrative sanctions may be imposed. The MassHealth agency receives and acts upon complaints from physicians, continuing-care coordinators, and other social-services agencies, as well as from members and their families. A failure or refusal by a physician to order services or to certify their medical necessity is not an action by the MassHealth agency or its designee that a member may appeal.

(B) When a home health agency believes that services ordered by the attending physician are not payable under 130 CMR 403.000, the agency must refer the matter to the MassHealth agency for a payment decision. If and to the extent the MassHealth agency determines that the ordered services are payable, the agency must provide those services.

REGULATORY AUTHORITY

130 CMR 403.000: M.G.L. c. 118E, §§ 7 and 12.

10/19/07 (Effective 11/1/07) 130 CMR - 122.4 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 775

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 130 CMR 450.000

CHAPTER TITLE: Administrative and Billing Regulations

AGENCY: Division of Medical Assistance

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Regulations at 130 CMR 450.000 about third-party liability are being amended to clarify the methods for calculating both member and MassHealth liability when the member has other insurance nad the provider has agreed to accept less than its charges from the other insurer.

REGULATORY AUTHORITY: M.G.L. c. 118E, ss. 7 and 12

AGENCY CONTACT: Sharon Johnson, Director, MassHealth PHONE: 617-210-5650 Publications ADDRESS: 600 Washington Street, Boston, MA 02111

Compliance with M.G.L. c. 30A

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency.

PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. Executive Order 384/485: 7/17/07 Executive Office of Communities and Development: 7/27/07 Massachusetts Municipal Association: 7/27/07

Date of public hearing or comment period: July 27 - August 17, 2007

For the first five years: $4.8M

No fiscal effect:

No impact on small businesses

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation:

PROMULGATION - State the action taken by this regulation and its effect on existing provisions of the Code of Massachusetts Regulations (CMR) or repeal, replace or amend. List by CMR number: The regulations are being amended at 130 CMR 450.317 to clarify the methods for calculating third-party liability.

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST:

SIGNATURE: SIGNATURE ON FILE DATE: Oct 5 2007

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007

EFFECTIVE DATE: 11/01/2007

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 577, 578 577, 578

10/05/2007 mrs

450.316: continued

(D) Unless otherwise permitted by regulation, a provider is not entitled to receive or retain any MassHealth payment for a service provided to a member, if on that date of service the member had other health insurance, including Medicare, that may have covered the service, and the provider did not participate in the member’s other insurance plan.

(E) If at any time a provider learns of health insurance not identified by REVS, the provider must copy both sides of the member’s insurance card(s), or otherwise record the member’s MassHealth identification number, insurance carrier, policy number, group number, and effective date of coverage, then send this information to the MassHealth agency.

(F) If a third-party resource is identified after the provider has already billed and received payment from the MassHealth agency, the provider must promptly return any payment it received from the MassHealth agency. The provider must bill all third-party resources before resubmitting a claim to the MassHealth agency.

(G) If a member is covered by more than one health insurer, the provider must request payment from all of the insurers prior to submitting a claim to the MassHealth agency.

450.317: Third-party Liability: Payment Limitations on Claim Submission

(A) Subject to compliance with all conditions of payment, for members who have health insurance in addition to MassHealth, the MassHealth agency’s liability is the lesser of: (1) the member’s liability, including coinsurance, deductibles, and copayments; or (2) the provider’s charges or maximum allowable amount payable under the MassHealth agency’s payment methodology, whichever is less, minus the insurance payments.

(B) For the purposes of 130 CMR 450.317, where the provider has entered into an agreement with any third party to accept payment for less than the amount of charges, the member’s liability shall be calculated based on such payment amount.

(C) Unless specifically provided for in law or by contract or interagency service agreement with the MassHealth agency, the MassHealth agency is not liable for payment of a service for which a member is not liable, including, without limitation, services available through an agency of the local, state, or federal government, or through a legally obligated person or entity.

(D) The MassHealth agency will deny a claim for a service payable in whole or in part by one or more other insurers unless the claim is accompanied by a final disposition from each insurer.

450.318: Third-party Liability: Medicare Crossovers

(A) A crossover is defined as a claim for a member who has Medicare in addition to MassHealth, where Medicare has made a payment or has approved an amount that was applied to the member’s deductible.

(B) To obtain crossover payment, a provider must (1) bill the Medicare fiscal intermediary or carrier, as applicable, in accordance with their billing rules, including using the appropriate Medicare claim form and format; (2) accept assignment according to Medicare instructions; and (3) follow the MassHealth agency’s billing instructions relating to crossover claims.

(C) The MassHealth agency’s crossover liability will not exceed (1) the coinsurance and deductible amounts as reported on the explanation of benefits or remittance advice from Medicare; (2) the MassHealth agency’s maximum allowed amount for the service; (3) the Medicare approved amount; or (4) the MassHealth agency’s established rate for crossover payment.

10/19/07 (Effective 11/1/07) 130 CMR - 577 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

450.321: Third-party Liability: Waivers

The Division may waive any requirements of 130 CMR 450.316 through 450.318, as applied to any provider, to institute information-gathering projects and to evaluate methods of exercising the third-party liability recovery options described in 42 CFR 433.139. The Division will grant waivers only for projects that are likely to increase the efficient and economical collection of third-party resources and will state the extent of any waiver in the documents establishing such projects.

450.323: Appeals of Erroneously Denied or Underpaid Claims

Pursuant to M.G.L. c. 118E, § 38, the Division has established the following procedures for appealing claims that the provider believes were denied in error or underpaid. The Division's Final Deadline Appeals Board has exclusive jurisdiction to review appeals submitted by providers of claims for payment that were, as a result of Division error, denied or underpaid, and that cannot otherwise be timely resubmitted.

(A) Criteria for Filing an Appeal. To file an appeal with the Division’s Final Deadline Appeals Board, the provider must meet all of the following criteria. (1) The provider must have submitted the original claim in a timely manner, pursuant to 130 CMR 450.309 through 450.314. (2) The provider must have exhausted all available corrective actions outlined in the billing instructions provided by the Division. (3) The date of service for which the appeal is submitted must exceed the filing time limit of 12 months, unless third-party insurance is involved, in which case the filing time limit is 18 months (the final billing deadline). (4) Claims for dates of service more than 36 months after the date of service are not eligible for an appeal. (5) The provider must file the appeal within 30 days after the date on the remittance advice that first denied the claim for exceeding the final billing deadline. (6) The provider must demonstrate that the claim was, as a result of Division error, denied or underpaid.

(B) Accompanying Documentation. Along with each appeal of a claim, the provider must submit the following information to substantiate the contention that the claim was, because of Division error, denied or underpaid: (1) a statement outlining the nature of the appeal; (2) evidence of the claim's original, timely submission and resubmission, if applicable; (3) a copy of the applicable page from each remittance advice on which the claim was previously processed; (4) a copy of the remittance advice that indicates that the final billing deadline has passed; (5) a statement describing the nature of the Division error that resulted in the denial or underpayment of the claim; (6) a legible and accurately completed paper claim; and (7) any other documentation supporting the appeal, including any correspondence from the Division.

(C) Procedure for Deciding Appeals. All appeals are decided by the Division’s Final Deadline Appeals Board based upon written evidence submitted by the provider. The provider has the burden of establishing by a preponderance of the evidence that the claims appealed were denied or underpaid because of Division error.

(D) Request for an Adjudicatory Hearing. A provider may submit a request for an adjudicatory hearing with an administrative appeal if there is a dispute about a genuine issue of material fact. The request must include a statement indicating the specific reasons why a hearing should be conducted. The request must include the following information: (1) a statement identifying the material facts in dispute; (2) a summary of the evidence that the provider would offer at the hearing to support his or her contentions; and (3) a statement explaining why the evidence could only be presented at a hearing.

3/28/03 (Effective 4/1/03) 130 CMR - 578 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 764

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Notice of Compliance Secretary of the Commonwealth Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 130 CMR 450.000

CHAPTER TITLE: Administrative and Billing Regulations

AGENCY: Division of Medical Assistance

THIS REGULATION WAS ORIGINALLY ADOPTED AS AN EMERGENCY: Published in Massachusetts Register Number: 1084 Date: 08/10/2007 PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. Executive Order 384/485: 7/17/07 Executive Office of Communities and Development: 7/27/07 Massachusetts Municipal Association: 7/27/07

AGENCY CONTACT: Sharon Johnson, Director, MassHealth PHONE: 617-210-5650 Publications ADDRESS: 600 Washington Street, Boston, MA 02111

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST: SIGNATURE ON FILE Oct 4 2007 SIGNATURE: DATE: Publication - To be completed by the Regulations Division MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007 EFFECTIVE DATE: 01/01/2007 CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 551 - 554 551 - 554.2 561, 562 561, 562

10/05/2007 mrs

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 51 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 52 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

450.202: continued

contractor’s MassHealth plan on the basis of health status, need for health-care services, race, color, or national origin. MCOs, PCCs, and the behavioral health contractor will accept for enrollment and re-enrollment all members referred by the MassHealth agency in the order in which they are referred without restriction provided that PCCs will accept members for enrollment and reenrollment up to the limits for PCC panel capacity set under the contract between EOHHS and PCCs.

(D) Violations of 130 CMR 450.202(A), (B) and (C) may result in administrative action, referral to the Massachusetts Commission Against Discrimination, or referral to the U.S. Department of Health and Human Services, or any combination of these.

450.203: Payment in Full

(A) Federal and state laws require that participation in MassHealth be limited to providers who agree to accept, as payment in full, the amounts paid in accordance with the applicable fees and rates or amounts established under a provider contract or regulations applicable to MassHealth payment (see 42 CFR 447.15, M.G.L. c. 118E, § 36, and M.G.L. c. 118G, § 7). No provider may solicit, charge, receive, or accept any money, gift, or other consideration from a member, or from any other person, for any item or medical service for which payment is available under MassHealth, in addition to, instead of, or as an advance or deposit against the amounts paid or payable by the MassHealth agency for such item or service, except to the extent that the MassHealth regulations specifically require or permit contribution or supplementation by the member or by a health insurer.

(B) If the provider receives payment from a member for any service payable under MassHealth without knowing that the member was a MassHealth member at the time the service was provided, the provider must, upon learning that the individual is a MassHealth member, immediately return all sums solicited, charged, received, or accepted with respect to such service.

450.204: Medical Necessity

The MassHealth agency will not pay a provider for services that are not medically necessary and may impose sanctions on a provider for providing or prescribing a service or for admitting a member to an inpatient facility where such service or admission is not medically necessary.

(A) A service is "medically necessary" if: (1) it is reasonably calculated to prevent, diagnose, prevent the worsening of, alleviate, correct, or cure conditions in the member that endanger life, cause suffering or pain, cause physical deformity or malfunction, threaten to cause or to aggravate a handicap, or result in illness or infirmity; and (2) there is no other medical service or site of service, comparable in effect, available, and suitable for the member requesting the service, that is more conservative or less costly to the MassHealth agency. Services that are less costly to the MassHealth agency include, but are not limited to, health care reasonably known by the provider, or identified by the MassHealth agency pursuant to a prior-authorization request, to be available to the member through sources described in 130 CMR 450.317(C), 503.007, or 517.007.

(B) Medically necessary services must be of a quality that meets professionally recognized standards of health care, and must be substantiated by records including evidence of such medical necessity and quality. A provider must make those records, including medical records, available to the MassHealth agency upon request. (See 42 U.S.C. 1396a(a)(30) and 42 CFR 440.230 and 440.260.)

(C) A provider's opinion or clinical determination that a service is not medically necessary does not constitute an action by the MassHealth agency.

(D) Additional requirements about the medical necessity of acute inpatient hospital admissions are contained in 130 CMR 415.414.

(E) Any regulatory or contractual exclusion from payment of experimental or unproven services refers to any service for which there is insufficient authoritative evidence that such service is reasonably calculated to have the effect described in 130 CMR 450.204(A)(1).

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450.205: Recordkeeping and Disclosure

(A) The MassHealth agency will not pay a provider for services if the provider does not have adequate documentation to substantiate the provision of services payable under MassHealth. All providers must keep such records, including medical records, as are necessary to disclose fully the extent and medical necessity of services provided to, or prescribed for, members and must provide to the MassHealth agency and the Attorney General’s Medicaid Fraud Control Unit on request such information and any other information about payments claimed by the provider for providing services (see 42 U.S.C. 1396a(a)(27) and the regulations thereunder).

(B) All providers must maintain complete patient account records. Patient account records must include complete documentation of charges, indicate the date and amount of all debit and credit transactions, and support the appropriateness of the amounts billed and paid. Institutional providers must, in addition, provide on request all records maintained by or within the institution about services provided to members by other providers. Pharmacy providers must, in addition, keep photocopies of the temporary MassHealth cards referenced when filling prescriptions, if applicable, and must produce a copy of the card on request.

(C) A provider must maintain and disclose any and all financial, statistical, and other information as may be required by the MassHealth agency, the Attorney General’s Medicaid Fraud Control Unit, or DHCFP. The required information must include, but is not limited to, ownership and licensure information, cost reports, charge books, audited financial statements, financial records, federal and state tax returns, invoices, general ledgers, trial balances, remittance advices, and explanations of benefits from health insurers and managed care organizations. Such records and documents must be provided within the time period specified by the MassHealth agency, the Attorney General’s Medicaid Fraud Control Unit, or DHCFP.

(D) All records, including but not limited to those containing signatures of medical professionals authorizing services, such as prescriptions, must, at a minimum, be legible and comply with generally accepted standards for recordkeeping within the applicable provider type as they may be found in laws, rules, and regulations of the relevant board of registration, professional treatises, and guidelines and other information published, adopted, or promulgated by state or national professional organizations and societies. All accounting records must be maintained in accordance with generally accepted accounting principles. In those instances where MassHealth regulations identify specific recordkeeping requirements for particular types of providers, such regulations constitute an additional standard against which the adequacy of records will be measured for the purposes of 130 CMR 450.205. In no instance will the completion of the appropriate MassHealth claim, the maintenance of a copy of such claim, or the simple notation of service codes constitute sufficient documentation for the purpose of 130 CMR 450.205.

(E) Except as provided in 130 CMR 450.205(F), the records and information required to be maintained or disclosed under 130 CMR 450.000 include only those that relate in any manner to services provided to or prescribed for members, provided, however, that disclosure may not be refused on the ground that such records are commingled with records related to persons who are not members. Such records and information must be made available to the MassHealth agency and the Attorney General’s Medicaid Fraud Control Unit for examination or copying during reasonable office hours at the provider's place of business or record depository. Alternatively, the MassHealth agency and the Attorney General’s Medicaid Fraud Control Unit may each require that the provider submit copies of such records and information.

(F) (1) Providers subject to the federal requirements for employee education about false claims laws under 42 U.S.C. §1396a(a)(68) must: (a) provide written certification, on or before June 30th of each year, or such other date as specified by the MassHealth agency, signed under the pains and penalties of perjury, of compliance with the federal requirements; (b) make available to the MassHealth agency, upon request, a copy of all written policies implemented in accordance with 42 U.S.C. 1396a(a)(68), any employee handbook, and other information as the MassHealth agency may deem necessary to determine compliance; and (c) initiate corrective actions necessary to comply with such federal requirements.

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450.205: continued

(2) The MassHealth agency may recover as overpayments any payments made to a provider that the MassHealth agency determines failed to comply with the requirements of 130 CMR 450.205(F)(1) or 42 U.S.C. §1396a(a)(68), and impose sanctions against a provider in accordance with the provisions of 130 CMR 450.000.

(G) Notwithstanding any regulatory or contractual provisions that may provide for a shorter retention period, all records described in 130 CMR 450.204 and 450.205 must be kept for at least six years after the date of medical services for which claims are made or the date services were prescribed, or for such length of time as may be dictated by the generally accepted standards for recordkeeping within the applicable provider type, whichever period is longer. Providers must retain records to substantiate costs listed on a cost report for at least six years following the date of filing of the cost report or for such length of time as may be required by DCHFP regulations, whichever period is longer. In no event may any provider destroy any records while any review, audit, or administrative or judicial action involving such records is pending.

(H) In cases where audits or other reviews reveal provider noncompliance with 130 CMR 450.204 and 450.205, the MassHealth agency may seek to pursue recovery of overpayments and to impose sanctions in accordance with the provisions of 130 CMR 450.000.

(I)(1) The provider, as holder of personal data under M.G.L. c 66A, must comply with all regulatory and statutory requirements applicable to such a holder, including those set forth in M.G.L. c. 66A, and must inform each of its employees having access to such personal data of such requirements and ensure compliance by each employee with such requirements. (2) The provider must take reasonable steps to ensure the physical security of personal data under its control including, but not limited to: (a) fire protection; (b) protection against smoke and water damage; (c) alarm systems; (d) locked files, guards, or other devices reasonably expected to prevent loss or unauthorized removal of manually held data; (e) passwords, access logs, badges, or other methods reasonably expected to prevent loss or unauthorized access to electronically or mechanically held data by ensuring limited terminal access; and (f) limited access to input and output documents.

450.206: Determination of Compliance with Medical Standards

Violations of 130 CMR 450.204 may be determined by peer review. Except as otherwise required by law, the MassHealth agency will decide the level and manner of peer review in each instance. Such peer review may be conducted by a qualified MassHealth agency employee or consultant or by one or more qualified persons provided by health-care foundations, professional societies, or such other professional organizations as the MassHealth agency may select. In appropriate cases, the MassHealth agency may rely in part or in whole upon reviews conducted by a utilization and quality-control review organization or a board of registration. In the event that the MassHealth agency decides to pursue any sanction or recovery of overpayment as a result of a peer-review recommendation, the provisions of 130 CMR 450.235 through 450.260 apply.

450.207: Utilization Management Program for Acute Inpatient Hospitals

(A) Introduction. 130 CMR 450.207 through 450.209 describes the Utilization Management Program for acute inpatient hospitals. The purpose of this program is to ensure that certain medical services for which the MassHealth agency pays are medically necessary and provided in the appropriate setting. To this end, the Division conducts reviews before elective admissions (admission screening) and after discharge but before payment (prepayment review). The MassHealth agency also conducts utilization reviews of inpatient admissions and outpatient services on a postpayment basis pursuant to 130 CMR 450.237. The term "admitting provider" as used in 130 CMR 450.207 through 130 CMR 450.209 refers to the provider (for example,

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450.207: continued

physician or dentist) who admits the member to the facility and who assumes primary responsibility for the member's care and the admitting provider's designee, where appropriate. The requirements of the Utilization Management Program detailed in 130 CMR 450.207 through 450.209 apply to both in-state and out-of-state hospitals.

(B) General Provisions. (1) Appendix. The MassHealth agency has issued an appendix to the provider manual for each facility and admitting provider affected by the Utilization Management Program. This appendix contains a list of information the admitting provider must provide for each review, and the name, address, and telephone number of the MassHealth agency's agent for the Utilization Management Program. (2) Stipulations. The Utilization Management Program does not waive or replace any other MassHealth requirements, such as prior-authorization or consent-form requirements. (3) Payment Restrictions. (a) The MassHealth agency will pay the acute inpatient hospital for services subject to the Utilization Management Program only if the admitting provider has complied with the requirements in 130 CMR 450.207 through 450.209 and the service is medically or administratively necessary. (b) Payments are subject to all general conditions and restrictions of MassHealth. (c) A provider may not bill the member for any medical care for which the Division has denied payment due to the provider's failure to comply with the requirements of the Utilization Management Program. (4) Exceptions. Proposed admissions of the following members, are exempt from the requirements of the Utilization Management Program, regardless of admitting diagnosis: (a) members whose hospitalization is court-ordered; (b) recipients of the EAEDC Program; and (c) members for whom MassHealth is not the primary payer of the acute inpatient admission, including but not limited to members covered by an MCO, commercial insurance, or Medicare. However, if the primary payer denies coverage before the member is admitted or if the member has Medicare Part B only, the admission of the member is not exempt from the requirements of the Utilization Management Program.

450.208: Utilization Management: Admission Screening for Acute Inpatient Hospitals

(A) Requirements. (1) The Division conducts admission screening on elective admissions only. The admitting provider must telephone or fax the Division at least seven calendar days before a proposed elective admission and provide the information specified in the appendix described in 130 CMR 450.207(B). When the admitting provider cannot notify the Division within seven calendar days, the admitting provider must notify the Division prior to the elective admission, and no later than 5:00 P.M. on the first day after the decision to admit. The provider must explain to the Division why the seven-calendar-day notice requirement was not met. If the Division cannot complete the admission-screening process before the scheduled elective admission, when neither the admitting provider nor the acute inpatient hospital has informed the Division at least seven calendar days before the admission was scheduled, the provider may be required to reschedule the admission. (2) Providers must notify the Division of any changes in an approved elective admission as soon as those changes are known, but in any event, before the admission occurs. The Division will deny payment if a service or procedure that is provided is not what was proposed and approved, and such procedure, service, or admission is not medically necessary. (3) For postponed admissions, the admitting provider must contact the Division and provide updated information no later than 5:00 P.M. on the second business day following the originally planned admission date.

(B) Notice of Admission Screening Decisions. The Division will send written notice of its decisions to the admitting provider, PCC (if applicable), acute inpatient hospital, and member.

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450.208: continued

(C) Appeal of Admission Screening Decisions. (1) If the Division determines that an acute inpatient hospital admission is not medically necessary, the admitting provider or the PCC may request a review of the determination. Such a request must be made in writing and received by the Division within seven calendar days after the date of the determination notice. This written request must include all documentation that the provider believes is pertinent for a second review. (2) Providers or members may appeal the Division’s decision to deny an elective admission by requesting a hearing before the Division’s Board of Hearings. Provider hearings are governed by the Division’s regulations at 130 CMR 450.241 through 450.248. Member hearings are governed by the Division’s regulations at 130 CMR 610.000. Neither providers nor members are required to exhaust any other appeal rights before requesting a hearing on an admission screening decision.

(D) Requesting Reconsideration. If the Division denies payment for a claim because the admitting provider did not comply with the requirements of 130 CMR 450.208(A), the admitting provider or hospital may request reconsideration of the Division's decision by contacting the Division in writing within 30 calendar days after the date of the remittance advice on which the claim is denied. The Division will process the claim only if the admitting provider or acute inpatient hospital demonstrates that:

10/19/07 (Effective 1/1/07) 130 CMR - 554.1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

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450.223: continued

(c) the payment claimed does not exceed the maximum amount payable in accordance with the applicable fees and rates or amounts established under a provider contract or regulations applicable to MassHealth payment; (d) the payment claimed will be accepted as full payment for the medical services for which payment is claimed, except to the extent that the regulations specifically require or permit contribution or supplementation by the member; (e) the information submitted in, with, or in support of the claim is true, accurate, and complete; and (f) the medical services were provided in compliance with Title VI of the Civil Rights Act of 1964, Section 504 of the Rehabilitation Act of 1973, and the Age Discrimination Act of 1975. (3) to keep for such period as may be required by 130 CMR 450.205 such records as are necessary to disclose fully the extent and medical necessity of services provided to or prescribed for members and on request to provide the MassHealth agency or the Attorney General’s Medicaid Fraud Control Unit with such information and any other information regarding payments claimed by the provider for providing services (see 42 U.S.C. 1396a(a)(27) and the regulations thereunder). (4) that the contract may be terminated by the MassHealth agency if the provider fails or ceases to satisfy all applicable criteria for eligibility as a participating provider. (5) to submit, within 35 days after the date of a request by the Secretary or the MassHealth agency, full and complete information about: (a) the ownership of any subcontractor with whom the provider has had business transactions totaling more than $25,000 during the 12-month period ending on the date of the request; (b) any significant business transactions between the provider and any wholly owned supplier, or between the provider and any subcontractor, during the five-year period ending on the date of the request; and (c) any information necessary to update fully and accurately any information that the provider has previously delivered to the MassHealth agency or to the Massachusetts Department of Public Health. (6) the MassHealth agency may recoup any sums payable by reason of a retroactive rate increase for any period during which the provider owned or operated part or all of a facility against any sums due the MassHealth agency by reason of a retroactive rate decrease for any periods.

(D) The provider may terminate a provider contract only by written notice to the MassHealth agency and such termination shall be effective no earlier than 30 days after the date on which the MassHealth agency actually receives such notice, unless the MassHealth agency explicitly specifies or agrees to an earlier effective date. Any provision allowing for termination upon written notice shall not constitute the MassHealth agency’s specification of or agreement to an earlier effective date.

(E) The provisions of 130 CMR 450.222 and 450.223 apply to any provider contract made on or after the effective date of 130 CMR 450.000, including any extension or renewal of a provider contract made prior to such effective date.

450.224: Provider Contract: Exclusion and Ineligibility of Convicted Parties

The MassHealth agency may terminate, or refuse to enter into or to renew a provider contract if:

(A) the provider, any party in interest in such provider, an agent or managing employee of such provider, or in the case of a group practice, any individual practitioner enrolled as a member of the group, has been convicted of a criminal offense relating to that person's involvement in any program established under Title XVIII, XIX, or XXI of the Social Security Act, or of a crime of such a nature that, in the judgment of the MassHealth agency, the participation of such provider will compromise the integrity of MassHealth; or

(B) the provider or an individual practitioner enrolled as a member of a group practice has been a party in interest, a managing employee, or an agent of a provider that has been convicted of a criminal offense relating to that person's involvement in any program established under Title XVIII, XIX, or XXI of the Social Security Act, or of a crime of such a nature that, in the judgment of the MassHealth agency, the participation of such provider will compromise the integrity of MassHealth.

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450.226: Provider Contract: Issuance of Provider Numbers

(A) Upon execution of the provider contract, the Division will issue a provider number or numbers to be used to identify the provider that is the subject of the contract.

(B) For every case in which a provider is assigned two or more provider numbers, the provider must use each provider number only in conjunction with the facility or location to which the number is assigned. The Division, however, maintains its right to commence proceedings in accordance with the provisions of 130 CMR 450.234 through 450.248 against any or all of its provider numbers, regardless of the location or facility where the violation has been alleged to have occurred or the overpayment received.

450.227: Provider Contract: Termination or Disapproval

The Division may at its discretion disapprove a provider contract, and may terminate an existing contract, if the provider fails to disclose any information in accordance with the provisions of 130 CMR 450.222, 130 CMR 450.223, or 42 CFR 420.205.

450.231: General Conditions of Payments

(A) Except to the extent otherwise permitted by state or federal regulations, no provider is entitled to any payment from MassHealth unless on the date of service the provider was a participating provider and the person receiving the services was a member.

(B) The "date of service" is the date on which a medical service is provided to a member or, if the medical service consists principally of custom-made goods such as eyeglasses, dentures, or durable medical equipment, the date on which the goods are delivered to a member. If a provider delivers to a member medical goods that had to be ordered, fitted, or altered for the member, and that member ceases to be eligible for such MassHealth services on a date before the final delivery of the goods, the Division will pay the provider for the goods only under the following circumstances: (1) the member must have been eligible for MassHealth on the date of the member's last visit with the provider before the provider orders or fabricates the goods; (2) the date on which the provider orders or fabricates the goods occurs no later than seven days after the last visit; (3) the provider has submitted documentation with the claim to the Division that verifies both the date of the member's last visit that occurred before the provider ordered or fabricated the goods and the date on which the goods were actually ordered or fabricated; (4) the provider must not have accepted any payment from the member for the goods except copayments as provided in 130 CMR 450.130; and (5) the provider must have attempted to deliver the goods to the member.

(C) For the purposes of 130 CMR 450.231, a provider who directly services the member and who also produces the goods for delivery to the member has "fabricated" an item if the provider has taken the first substantial step necessary to initiate the production process after the conclusion of all necessary member visits.

(D) A provider is responsible for verifying a member’s eligibility status on a daily basis, including but not limited to members who are hospitalized or institutionalized. In order to receive MassHealth payment for a covered medical service, the person receiving such service must be eligible for MassHealth coverage on the date of service and the provider must comply with any service authorization requirements and all other conditions of payment. A provider’s failure to verify a member’s MassHealth status before providing services to the member may result in nonpayment of such services. For payment for services provided before a member’s MassHealth eligibility determination, see 130 CMR 450.311. For payment to out-of-state providers providing services on an emergency basis, see 130 CMR 450.312.

3/28/03 (Effective 4/1/03) 130 CMR - 562 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 773

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 130 CMR 505.000

CHAPTER TITLE: MassHealth: Coverage Types

AGENCY: Division of Medical Assistance

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. MassHealth is revising the regulations to bring MassHealth Family Assistance premium assistance into compliance with health-care reform law.

REGULATORY AUTHORITY: M.G.L. c. 118E, ss. 7 and 12

AGENCY CONTACT: Sharon Johnson, MassHealth Publications PHONE: 617-210-5650

ADDRESS: 600 Washington Street, Boston, MA 02111

Compliance with M.G.L. c. 30A

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency.

PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. Executive Order 485: 07/12/07 Executive Office of Communities and Development: 07/27/07 Massachusetts Municipal Association: 07/27/07

Date of public hearing or comment period: 07/27/07-08/24/07

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 53 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. FISCAL EFFECT - Estimate the fiscal effect of the public and private sectors. For the first and second year: FY '08 and FY '09: $13.02 million (cost) (in conjunction with 130 CMR 506.000 and 650.000) For the first five years: FY '08 through FY '12: $44.81 million (cost) (in conjunction with 130 CMR 506.000 and 650.000) No fiscal effect:

N/A

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: N/A

PROMULGATION - State the action taken by this regulation and its effect on existing provisions of the Code of Massachusetts Regulations (CMR) or repeal, replace or amend. List by CMR number: The regulations at 130 CMR 505.005(C) are being revised.

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST:

SIGNATURE: SIGNATURE ON FILE DATE: Oct 4 2007

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007

EFFECTIVE DATE: 10/19/2007

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 671 - 672.4 671 - 672.4

10/05/2007 M.O.

505.005: continued

2. the child’s family group gross income is above 150% but does not exceed 300% of the federal-poverty level for citizens and qualified aliens; 3. the child’s family group gross income does not exceed 200% of the federal- poverty level for aliens with special status; 4. the child is ineligible for MassHealth Standard and MassHealth CommonHealth; and 5. for children whose family group income is above 200% but does not exceed 300% of the federal-poverty level, the child does not have employer-sponsored health insurance and has not had employer-sponsored health insurance during the six months before application, as provided in 130 CMR 505.005(H). (b) Applicants and members must: 1. provide the MassHealth agency with the information necessary to determine the availability and cost effectiveness of employer-sponsored health insurance; 2. obtain available health insurance when the MassHealth agency determines it is cost effective to do so; and 3. retain existing health insurance coverage as a condition of eligibility. (c) Failure to comply with these requirements results in denial or loss of eligibility for Family Assistance benefits. (2) Waiver of Access Requirement. The MassHealth agency may waive its requirement to access health insurance if the MassHealth agency determines it is more cost effective to the MassHealth agency to purchase medical benefits under MassHealth Family Assistance than to assist the family with payment of health-insurance premiums. (3) Eligibility for a Limited Period of Time. (a) The MassHealth agency may determine a child who meets the requirements of 130 CMR 505.005(B)(1)(a) eligible for medical benefits under MassHealth Family Assistance for a limited period of time if: 1. the child is currently uninsured; and 2. a family group member has indicated employer-sponsored health insurance may be available. (b) The begin date for the benefits described in 130 CMR 505.005(B)(3)(a) is established in accordance with 130 CMR 505.005(E)(4). Premiums are established in accordance with 130 CMR 506.011(J). (c) During this limited period, the MassHealth agency determines if the insurance that is available to the child meets the basic-benefit level as described at 130 CMR 501.001, and whether the employer contributes at least 50% of the premium cost. (d) If the MassHealth agency determines the child has access to insurance as described at 130 CMR 505.005(B)(1)(a)1., the applicant is notified in writing of the child’s eligibility for premium assistance and the need to enroll in such insurance. The child continues to be eligible for medical benefits for up to 60 days from the date of this notice to allow time for enrollment in the health-insurance plan. Once enrolled in the health- insurance plan, the child becomes eligible for premium assistance payments as described in 130 CMR 505.005(B)(4). (e) The medical benefits described in 130 CMR 505.005(B)(3)(d) end when the child is covered under the health-insurance plan. Coverage also ends if the family group member fails to enroll the child in the health-insurance plan, or fails to submit proof of such enrollment within 60 days of being notified of this requirement. (f) If the MassHealth agency determines the available insurance does not meet the requirements of 130 CMR 505.005(B)(1)(a) or, if the MassHealth agency is unable to complete its evaluation of the health insurance within 60 days of the MassHealth agency’s receipt of a complete MBR, the applicant is notified in writing of the child’s eligibility for the purchase of medical benefits under MassHealth Family Assistance, as described in 130 CMR 505.005(E). (4) Premium Assistance Payment. (a) The MassHealth agency makes monthly payments on behalf of a child toward the cost of the employer-sponsored health insurance premium if 1. the child meets the requirements of 130 CMR 505.005(B)(1); 2. the policyholder is a member of the child’s family group; and 3. the policyholder is responsible for payment of more than the estimated member share described in 130 CMR 506.012(D)(1)(a).

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(b) The amount of the premium assistance payment is established in accordance with MassHealth’s premium assistance payment formula described in 130 CMR 506.012(D). (c) Premium assistance payments are made in accordance with 130 CMR 506.012(A)(2) and (3). (5) Eligibility Date. Premium assistance payments begin in the month of the MassHealth agency’s eligibility determination, or in the month the health-insurance deduction begins, whichever is later. Each monthly payment is for coverage in the following month. (6) Copays, Coinsurance, and Deductibles. The MassHealth agency pays copays, coinsurance, and deductibles for children eligible for premium assistance if (a) the MassHealth agency has made a determination that the member was uninsured at the time of the eligibility determination, had access to employer-sponsored health insurance, and the MassHealth agency required the member’s enrollment in the health insurance plan; and (b) 1. the copay, coinsurance, or deductible was incurred as the result of a well-child visit as described in 130 CMR 450.140 through 450.149; or 2. the policyholder’s annualized share of the employer-sponsored health insurance premium, combined with copays, coinsurance, and deductibles incurred and paid by members, exceeds 5% of the family group’s gross income in a 12-month period beginning with the date of eligibility for premium assistance. In such cases, the MassHealth agency pays for any copays, coinsurance, or deductibles incurred by the members during the balance of the 12-month period if they have submitted proof of payment of bills equal to or exceeding 5% of their family group’s gross income. Proof of payment may be submitted during or after the 12-month period, but no later than six months after the 12-month period ends. Calculation of the family’s 5% amount is based on the income and family group size at the time of application and is not adjusted during the 12-month period. This amount is recalculated every 12 months thereafter. (7) Ineligibility for Family Assistance. If an insured child’s insurance does not meet the basic-benefit level, or the employer does not contribute at least 50% of the premium cost, the child is ineligible for MassHealth Family Assistance.

(C) Premium Assistance for Adults. (1) Eligibility Requirements. Premium Assistance under MassHealth Family Assistance is available to adults who meet all of the following conditions: (a) the adult is 19 years of age or older and under age 65; (b) the adult’s family group gross income is less than or equal to 300% of the federal poverty level; (c) the adult is not eligible for MassHealth Standard or MassHealth CommonHealth; (d) the adult 1. received premium assistance under 130 CMR 505.005(C) before September 30, 2006; or 2. works for an employer who has not, in the last six months, provided health insurance coverage for which the adult is eligible or whose family member’s employer has not, in the last six months, provided health insurance for which the adult is eligible; or 3. is self-employed; (e) the adult purchases the employer-sponsored health insurance; and (f) the adult is employed by a qualified employer, as defined in 130 CMR 501.001. (2) Premium Assistance Payment. (a) The MassHealth agency makes monthly payments toward the cost of the employer- sponsored health insurance if the adult: 1. meets the requirements of 130 CMR 505.005(C)(1); 2. is responsible for payment of more than the estimated member share described in 130 CMR 506.012(E)(2); and 3. continues to be employed by a qualified employer. (b) An adult whose spouse and/or children receive MassHealth benefits must enroll in a couple or family health insurance policy, if offered, if the employer contributes at least 50% of the premium cost for that coverage. (c) The amount of the premium assistance payment is established in accordance with MassHealth premium assistance payment formula described in 130 CMR 506.012(E).

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(d) Premium assistance payments are made in accordance with 130 CMR 506.012(A)(3). (3) Eligibility Date. Premium assistance payments begin in the month of the MassHealth eligibility determination, or in the month the health-insurance deduction begins, whichever is later. Each monthly payment is for coverage in the following month.

(D) Premium Assistance for Persons Who Are HIV Positive. (1) Eligibility Requirements. (a) Premium assistance under MassHealth Family Assistance is available for persons who are HIV positive if they: 1. are under the age of 65; 2. have family group gross income that is less than or equal to 200% of the federal poverty level; 3. are ineligible for MassHealth Standard or MassHealth CommonHealth; and 4. either have or choose to purchase available health insurance that the MassHealth agency has determined to be cost effective, in accordance with 130 CMR 505.005(D)(2). (b) The MassHealth agency establishes eligibility under the provisions of 130 CMR 505.005(D) for persons who are HIV positive and who also meet the requirements of 130 CMR 505.005(B) or (C). (2) Cost Effectiveness Determination. The MassHealth agency determines the cost effectiveness of the available insurance plan to establish the appropriate premium assistance payment amount, and notifies the applicant or member of its decision. (3) Premium Assistance Payment. Except as provided in 130 CMR 501.003(E)(2)(a), the MassHealth agency makes monthly premium payments on behalf of members through its Health Insurance Premium Program (HIPP). Health insurance premium payments are made directly to the insurance carrier, the employer, or to the most appropriate party, as determined by the MassHealth agency. If a direct payment is made to a family group member, proof of health-insurance payments may be required from the parent or member. (4) Premium Assistance Payment Amount. The MassHealth agency provides premium assistance in accordance with130 CMR 506.012(F). (5) Eligibility Date. (a) Premium assistance payments begin in the month of the MassHealth agency’s eligibility determination or the month in which the insurance deductions begin, whichever is later. These payments are for the following month’s coverage. (b) Persons eligible under the provisions of 130 CMR 505.005(D) are also eligible for services provided under the purchase of medical benefits as described in 130 CMR 450.105(H)(3) to the extent these services are not covered by the individual’s employer- sponsored health insurance. The medical coverage date for these services is established in accordance with 130 CMR 505.005(F)(3). (6) Premium Assistance for Persons Who Have Not Yet Verified HIV-Positive Status. The MassHealth agency also provides premium assistance, in accordance with 130 CMR 505.005(D), to persons meeting the requirements of 130 CMR 505.005(G)(1)(a) who would otherwise be eligible for premium assistance under 130 CMR 505.005(C).

(E) The Purchase of Medical Benefits for Children. (1) Eligibility Requirements. Children under the age of 19 are eligible for the purchase of medical benefits under MassHealth Family Assistance if they meet all of the following requirements: (a) the child’s family group gross income is above 150% but does not exceed 300% of the federal-poverty level for citizens and qualified aliens; (b) the child’s family group gross income does not exceed 200% of the federal-poverty level for aliens with special status; (c) the child is ineligible for MassHealth Standard or MassHealth CommonHealth; (d) the child is uninsured and does not have access to employer-sponsored health insurance; and (e) for children between 200% and 300% of the federal-poverty level, the child has not had employer-sponsored health insurance during the six months before application, as provided in 130 CMR 505.005(H).

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(2) Presumptive Eligibility Requirements. The MassHealth agency may determine uninsured children presumptively eligible for medical benefits under MassHealth Family Assistance in accordance with the requirements of 130 CMR 502.003 if: (a) the self-declared gross income of the family group is above 150% but does not exceed 300% of the federal-poverty level for citizens and qualified aliens; or (b) the self-declared gross income of the family group is above 150% but does not exceed 200% of the federal-poverty level for aliens with special status. (3) Premium. Families of children who meet the requirements of 130 CMR 505.005(E)(1) and (2) are assessed a monthly premium in accordance with 130 CMR 506.011(J). Children who are eligible for a limited period of time, as described at 130 CMR 505.005(B)(3), and children who meet the requirements at 130 CMR 501.006 are also assessed a monthly premium in accordance with 130 CMR 506.011(J). (4) Medical Coverage Date. (a) The medical coverage date for the purchase of medical benefits under MassHealth Family Assistance begins on the tenth day before the date a MassHealth Benefit Request is received at any MassHealth Enrollment Center or received by a MassHealth outreach worker at a designated outreach site if all required verifications have been received within 60 days of the date of the Request for Information. (b) If required verifications listed on the Request for Information are received after the 60-day period referenced in 130 CMR 505.005(E)(4)(a), the begin date of medical coverage is ten days before the date on which the verifications were received if these verifications are received within one year of receipt of the Medical Benefit Request. (c) The begin and end dates for medical coverage under presumptive eligibility are described in 130 CMR 502.003.

(F) The Purchase of Medical Benefits for Persons Who Are HIV Positive. (1) Eligibility Requirements. (a) Persons who are HIV positive may establish eligibility for the purchase of medical benefits if they: 1. are under the age of 65; 2. have family group gross income that is less than or equal to 200% of the federal poverty level; 3. are ineligible for MassHealth Standard or MassHealth CommonHealth; and 4. do not have health insurance. (b) The MassHealth agency establishes eligibility under the provisions of 130 CMR 505.005(F) for persons who are under the age of 19 and are HIV positive, and who also meet the requirements of 130 CMR 505.005(E). (2) Premium. Individuals who meet the requirements of 130 CMR 505.005(F) are assessed a monthly premium in accordance with 130 CMR 506.011(I). (3) Medical Coverage Date. (a) Except as provided in 130 CMR 501.003(E)(2)(a), the medical coverage date for the purchase of medical benefits under MassHealth Family Assistance begins on the tenth day before the date a Medical Benefit Request is received at any MassHealth Enrollment Center or received by a MassHealth outreach worker at a designated outreach site. However, the medical coverage date will in no event begin before April 1, 2001. (b) Except as provided in 130 CMR 501.003(E)(2)(a), if required verifications listed on the Request for Information are received after the 60-day period referenced in 130 CMR 505.005(G)(1)(b), the begin date of medical coverage is ten days before the date on which the verifications were received if these verifications are received within one year of receipt of the Medical Benefit Request.

(G) Fee-for-Service Benefits for Persons Who Are HIV Positive. (1) Persons Who Have Claimed on the MBR to Be HIV Positive. (a) Eligibility Requirements. Persons who have claimed on the MBR to be HIV positive may establish temporary eligibility for fee-for-service benefits if they: 1. are under the age of 65; 2. have a verified family group gross income that is less than or equal to 200% of the federal poverty level; and 3. are ineligible for MassHealth Standard or MassHealth CommonHealth.

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(b) Time Frames for Verification. 1. Persons who have claimed on the MBR to be HIV positive must submit verification of their HIV-positive status within 60 days of their eligibility determination. If verifications are not submitted, the MassHealth agency redetermines their eligibility as if they were not HIV positive. 2. Verification of HIV-positive status can be a letter from a doctor, qualifying health clinic, laboratory, or AIDS service provider or organization. The letter must indicate the member’s name and his or her HIV-positive status. (c) Members who have other health insurance must access those benefits and must show both their private health insurance card and their MassHealth card to providers at the time services are provided. (d) Premium. Individuals who meet the requirements of 130 CMR 505.005(G) are assessed a monthly premium in accordance with 130 CMR 506.011(I). (e) Medical Coverage Date. 1. Except as provided in 130 CMR 501.003(E)(2)(a), the medical coverage date for the purchase of medical benefits under MassHealth Family Assistance begins on the tenth day before the date a Medical Benefit Request is received at any MassHealth Enrollment Center or received by a MassHealth outreach worker at a designated outreach site. However, the medical coverage date will in no event begin before April 1, 2001. 2. Except as provided in 130 CMR 501.003(E)(2)(a), if required verifications listed on the Request for Information are received after the 60-day period referenced in 130 CMR 505.005(G)(1)(b), the begin date of medical coverage is ten days before the date on which the verifications were received if these verifications are received within one year of receipt of the Medical Benefit Request. (f) Premium Assistance for Persons Who Have Not Verified HIV-Positive Status. Persons who meet the requirements of both 130 CMR 505.005(G)(1)(a) and 505.005(C) receive benefits under 130 CMR 505.005(D). If verification of their HIV-positive status is not submitted within 60 days, they receive benefits under 130 CMR 505.005(C), if otherwise eligible. (2) Persons Who Have Verified Their HIV-Positive Status. (a) Eligibility Requirements. Persons who have verified their HIV-positive status in accordance with 130 CMR 505.005(G)(1)(b), may establish eligibility for fee-for-service benefits if they: 1. are under the age of 65; 2. have a family group gross income that is less than or equal to 200% of the federal poverty level; 3. are ineligible for MassHealth Standard or MassHealth CommonHealth; and 4. have declared that they have other health insurance. (b) Fee-for-service Benefits. Members receive benefits on a fee-for-service basis: 1. while the MassHealth agency investigates the member’s private health insurance to determine if premium assistance is available; or 2. if the MassHealth agency determines the member’s health insurance is not cost effective. (c) Other Health Insurance. Members who have other health insurance must access those benefits and must show both their private health insurance card and their MassHealth card to providers at the time services are provided. The fee-for-service benefit applies only to services not covered by the member’s private health insurance. (d) Premium. Individuals who meet the requirements of 130 CMR 505.005(G) are assessed a monthly premium in accordance with 130 CMR 506.011(I). (e) Medical Coverage Date. 1. Except as provided in 130 CMR 501.003(E)(2)(b), the medical coverage date for the purchase of medical benefits under MassHealth Family Assistance begins on the tenth day before the date a Medical Benefit Request is received at any MassHealth Enrollment Center or received by a MassHealth outreach worker at a designated outreach site. However, the medical coverage date will in no event begin before April 1, 2001. 2. Except as provided in 130 CMR 501.003(E)(2)(b), if required verifications listed on the Request for Information are received after the 60-day period referenced in 130 CMR 505.005(G)(1)(b), the begin date of medical coverage is ten days before the date on which the verifications were received if such verifications are received within one year of receipt of the Medical Benefit Request.

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(H) Crowd-out Provisions for Family Assistance. (1) For children whose family group income is above 200% but does not exceed 300% FPL, the MassHealth agency will not provide direct coverage or premium assistance if the family had employer-sponsored group health insurance for applying children within the previous six months. Families who had employer-sponsored group health insurance within the previous six months will be subject to a six-month waiting period, from the date of loss of coverage, before being allowed to enroll in MassHealth Family Assistance. Exceptions from this waiting period will be made in situations in which: (a) a child in the family group has special or serious health-care needs; (b) the prior coverage was involuntarily terminated, including withdrawal of benefits by an employer, involuntary job loss, or COBRA expiration; (c) a parent in the family group died in the previous six months; (d) the prior coverage was lost due to domestic violence; (e) the prior coverage was lost due to becoming self-employed; or (f) the existing coverage’s lifetime benefits were reduced substantially within the previous six months or prior employer-sponsored health insurance was cancelled for this reason. (2) Children who are ineligible for Family Assistance under the crowd-out provision are eligible for Children’s Medical Security Plan (CMSP) during the waiting period (see 130 CMR 522.004).

(I) Children’s Medical Security Plan (CMSP). Children whose family group gross income exceeds the financial eligibility requirements of Family Assistance and children who do not meet the immigration requirements of Family Assistance may be eligible for CMSP (see 130 CMR 522.004).

505.006: MassHealth Basic

(A) Overview. 130 CMR 505.006 contains the categorical requirements and financial standards for MassHealth Basic. This coverage type is available to individuals or members of a couple who receive EAEDC cash assistance, or who are receiving services or are on a waiting list to receive services from the Department of Mental Health (DMH), as identified by the DMH to the Division. MassHealth Basic coverage is available either through the purchase of medical benefits or through premium assistance payments. (1) The Purchase of Medical Benefits Under MassHealth Basic. (a) The purchase of medical benefits under MassHealth Basic is available to unemployed adults aged 19 through 64 who: 1. do not have, or have access to, health insurance, including health insurance offered by the college or university that they attend; or 2. have health insurance that the Division has determined does not cover the applicant’s chronic medical condition requiring frequent treatment and medical services, or is of significant cost to the applicant. (b) Persons eligible for the purchase of medical benefits are eligible for medical benefits, as described in 130 CMR 450.105(B) and 130 CMR 508.000. (2) Premium Assistance Under MassHealth Basic. (a) Premium assistance under MassHealth Basic is available to unemployed adults aged 19 through 64 who have health insurance that: 1. the Division has determined covers the applicant’s chronic medical condition requiring frequent treatment and medical services and for which they must pay a premium; 2. is not of significant cost to the applicant; 3. is not available from the college or university that they attend; and 4. meets the Division’s cost-effective analysis. (b) Persons eligible for premium assistance payments are eligible for payment of part or all of their health insurance premium.

(B) The Purchase of Medical Benefits. (1) Eligibility Requirements for Active DMH Clients as Identified by the DMH to the Division. Active DMH clients are those individuals or members of a couple who are receiving services or are on a waiting list to receive services from the DMH. These active DMH clients who are under age 65 are eligible for the purchase of medical benefits under

9/8/06 (Effective 7/2/06) 130 CMR - 672.4 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 762

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Notice of Compliance Secretary of the Commonwealth Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 130 CMR 506.000

CHAPTER TITLE: MassHealth: Financial Requirements

AGENCY: Division of Medical Assistance

THIS REGULATION WAS ORIGINALLY ADOPTED AS AN EMERGENCY: Published in Massachusetts Register Number: 1084 Date: 08/10/2007 PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. Executive Order 485: 07/12/07 Executive Office of Communities and Development: 07/27/07 Massachusetts Municipal Association: 07/27/07

AGENCY CONTACT: Sharon Johnson, MassHealth Publications PHONE: 617-210-5650

ADDRESS: 600 Washington Street, Boston, MA 02111

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST: SIGNATURE ON FILE Oct 2 2007 SIGNATURE: DATE: Publication - To be completed by the Regulations Division MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007 EFFECTIVE DATE: 10/01/2006 CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 680.1 - 680.4 680.1 - 680.4

10/05/2007 M.O.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 55 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 56 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

506.012: continued

(4) Members whose premium assistance amount changes as the result of a reported change or any adjustment in the premium assistance payment formula receive the new premium assistance payment beginning with the calendar month following the reported change. (5) Members who become eligible for a different coverage type receive their final premium assistance payment in the calendar month in which the coverage type changes. The MassHealth agency may continue to pay the health insurance premiums of certain members in accordance with 130 CMR 507.003 if it determines it is cost effective to do so. (6) Members who are American Indians or Alaska Natives, as defined in 130 CMR 501.001, receive premium assistance payments totaling the full-employee share, to the extent that it is cost effective for the MassHealth agency. If it is not cost effective for the MassHealth agency, these members may choose to accept a premium assistance amount that is lower than the full-employee share, or they may choose to enroll in the purchase of medical benefits under MassHealth Family Assistance.

(B) Voluntary Withdrawal. If a member voluntarily withdraws, the MassHealth premium assistance payments end.

(C) Change in Premium Assistance Calculation. The premium assistance amount is recalculated when the MassHealth agency is informed of changes in family group size, health insurance premium, employer contribution, and whenever an adjustment is made in the premium assistance payment formula.

(D) The Monthly Premium Assistance Payment Formula for Children. The premium assistance payment calculation in 130 CMR 506.012(D) provides a formula for determining the MassHealth premium assistance payment amount for children, and the monthly amount members are required to pay towards their health insurance premiums. (1) Actual Premium Assistance Payment Amount. The actual premium assistance payment amount is calculated by using the following formula. (a) The estimated premium assistance payment amount is first determined by subtracting the employer share of the policyholder’s health insurance premium and the MassHealth estimated member share of the health insurance premium from the total cost of the health insurance premium. The estimated member share is described in 130 CMR 506.012(D)(1)(a).

% of Federal Poverty Level (FPL) Estimated Member Share Above 150% to 200% $12 per child ($36 per family group maximum) Above 200% to 250% $20 per child ($60 per family group maximum) Above 250% to 300% $28 per child ($84 per family group maximum)

(b) The resulting estimated premium assistance payment amount is then compared to the cost-effective amount, as described in 130 CMR 506.012(D)(1)(b)1. and 2. 1. if the family member is employed by a small employer as described at 130 CMR 501.001, the estimated premium assistance payment amount is compared to the cost- effective amount, which is the MassHealth agency’s cost of covering the family group members who are beneficiaries of the insurance; or 2. if the family member is employed by a large employer as described at 130 CMR 501.001, the estimated premium assistance payment amount is compared to the cost- effective amount, which is the MassHealth agency’s cost of covering MassHealth- eligible children who would be covered by the insurance. (c) If the estimated premium assistance payment amount is less than the cost-effective amount, then the MassHealth agency sets the actual premium assistance payment amount at the estimated premium assistance payment amount. (d) If the estimated premium assistance payment amount is equal to or greater than the cost-effective amount, then the MassHealth agency sets the actual premium assistance payment amount at the cost-effective amount.

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506.012: continued

(2) Member Assignment. If the MassHealth agency determines that a policyholder’s share of the health insurance premium including any remaining premium, as described in 130 CMR 506.012 (D)(3)(b), would exceed 5% of the family group’s gross income, the member must enroll in the purchase of medical benefits under MassHealth Family Assistance. This assignment is limited to those uninsured members who have access to health insurance. (3) Estimated Member Share of Premium. (a) Families are responsible for paying toward the cost of covering their Family Assistance-eligible children under their employer-sponsored health insurance as described in 130 CMR 506.012(D)(1)(a). (b) If the actual premium assistance payment amount is set at the cost-effective amount, the family is also responsible for payment of the remainder of the health insurance premium, which is the difference between the estimated premium assistance payment and the cost-effective amount. The additional premium payment responsibility reflects coverage of additional family members who are not eligible for Family Assistance. (4) Example. A parent and two children apply for MassHealth. Their family group gross monthly income exceeds 150%, but is no greater than 200% of the federal-poverty level based on a family of three. The parent works for a small employer. (a) The total monthly cost of the health insurance premium = S. (b) The employer’s monthly share of the health insurance premium = T. (c) The MassHealth estimated member share of the monthly health insurance premium = U. (See 130 CMR 506.012(D)(1)(a).) (d) Calculation 1. Calculating the estimated premium assistance payment amount: S = (total cost of premium) - T = (employer’s share of the cost) V = (employee’s share of the cost) - U = (The MassHealth estimated member share of the cost) W = (estimated premium assistance payment amount) 2. Small employer cost-effective test: W is compared to the MassHealth cost of covering the three family group members as follows: X = the MassHealth monthly cost of covering members X x 3 members = Y (MassHealth monthly cost-effective amount) If W is less than Y, the MassHealth agency sets the actual premium assistance payment amount at W. If W is equal to or greater than Y, the MassHealth agency sets the premium assistance payment amount at Y. 3. Large employer cost-effective test: If the parent works for a large employer, then W is compared to the cost of covering only the children in the family group under MassHealth. X x 2 children = Z (the MassHealth monthly cost-effective amount) If W is less than Z, the MassHealth agency sets the actual premium assistance payment amount at W. If W is equal to or greater than Z, the MassHealth agency sets the premium assistance payment amount at Z.

(E) The Monthly Premium Assistance Payment Formula for Adults. The premium assistance payment calculation in 130 CMR 506.012(E) provides a formula for determining the MassHealth premium assistance payment amount for adults who are employed by qualified employers, and the monthly amount members are required to pay toward their health insurance premiums. Adults whose children receive premium assistance in accordance with 130 CMR 505.005(B) or (D), or Health Insurance Premium Program (HIPP) payments in accordance with 130 CMR 507.003 have their premium assistance payments determined in accordance with 130 CMR 506.012(D). (1) Actual Premium Assistance Payment Amount. The actual premium assistance payment amount is calculated by using the following formula. (a) The estimated premium assistance payment amount is first determined by subtracting the employer share of the policyholder’s health insurance premium and the MassHealth estimated member share of the health insurance premium from the total cost of the health insurance premium. The estimated member share is then determined in accordance with 130 CMR 506.012(E)(2)(a)1.

10/19/07 (Effective 10/1/06) 130 CMR - 680.2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

506.012: continued

(b) The resulting estimated premium assistance payment amount is then compared to the maximum contribution amount, which is the maximum amount the MassHealth agency pays per insured adult toward employer-sponsored health insurance. (c) If the estimated premium assistance payment amount is less than the maximum contribution amount, then the MassHealth agency sets the actual premium assistance payment amount at the estimated premium assistance payment amount. (d) If the estimated premium assistance payment amount is equal to or greater than the maximum contribution amount, then the MassHealth agency sets the actual premium assistance payment amount at the maximum contribution amount. (2) Estimated Member Share of Premium. (a) The monthly premium amount for which premium assistance adults are responsible is determined as follows. 1. If the family group’s gross income is above 100% through 200% of the federal- poverty level, the premium is $27 per covered adult in the family group. If the family group’s gross income is above 200% through 250% of the federal poverty level, the premium is $53 per covered adult in the family group. If the family group’s gross income is above 250% through 300% of the federal poverty level, the premium is $80 per covered adult in the family group. These premiums apply except when a covered adult is eligible for MassHealth Standard or MassHealth CommonHealth. In this instance, the covered adult is not assessed a member share. 2. If eligiblity is determined in accordance with 130 CMR 505.005(C), the person or couple is not responsible for paying a share of the premium if the family group’s gross income is at or below 100% of the federal poverty level, or if there are children in the family receiving MassHealth and the family income does not exceed 150% of the federal poverty level. (b) If the actual premium assistance payment amount is set at the maximum contribution amount, the member is responsible for payment of the remainder of the health insurance premium, which is the difference between the estimated premium assistance payment and the maximum contribution amount. (3) Maximum Contribution Amount. The maximum contribution amount is the maximum amount, as determined by the MassHealth agency, that MassHealth agency contributes per insured adult toward the policyholder’s share of the health insurance premium when the health insurance plan is offered through a MassHealth-approved billing and enrollment intermediary, or the Insurance Partnership agent.

(F) Calculation of Monthly Premium Amount for Adults Who Are HIV Positive. The formula for HIV-positive adults who are described in 130 CMR 505.005(D) is the same as the formula described at 130 CMR 506.012(E) except that the estimated member share is the same as the premium described at 130 CMR 506.011(I)(1). The maximum contribution amount is the maximum amount that the MassHealth agency contributes per insured adult who is HIV positive.

(G) Termination of Health Insurance. If a member’s health insurance terminates for any reason the MassHealth premium assistance payments end.

REGULATORY AUTHORITY

130 CMR 506.000: M.G.L. c. 118E, §§ 7 and 12.

10/19/07 (Effective 10/1/06) 130 CMR - 680.3 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

NON-TEXT PAGE

9/8/06 (Effective 7/1/06) 130 CMR - 680.4 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 763

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Notice of Compliance Secretary of the Commonwealth Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 130 CMR 650.000

CHAPTER TITLE: Insurance Partnership Employer Regulatiions

AGENCY: Division of Medical Assistance

THIS REGULATION WAS ORIGINALLY ADOPTED AS AN EMERGENCY: Published in Massachusetts Register Number: 1084 Date: 08/10/2007 PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. Executive Order 485: 07/12/07 Executive Office of Communities and Development: 07/27/07 Massachusetts Municipal Association: 07/27/07

AGENCY CONTACT: Sharon Johnson, MassHealth Publications PHONE: 617-210-5650

ADDRESS: 600 Washington Street, Boston, MA 02111

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST: SIGNATURE ON FILE Oct 2 2007 SIGNATURE: DATE: Publication - To be completed by the Regulations Division MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007 EFFECTIVE DATE: 10/01/2007 CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 951 - 956 951 - 956

10/05/2007 M.O.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 57 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 58 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

130 CMR 650.000: INSURANCE PARTNERSHIP EMPLOYER REGULATIONS

Section

650.001: Introduction 650.002: Definitions 650.009: Insurance Partnership Administrative Entities 650.010: Qualified Employers 650.011: Insurance Partnership Employer Application 650.012: Notice 650.022: Qualified Employees 650.030: Insurance Partnership Payments 650.031: Premium Assistance 650.032: Process of Making Insurance Partnership and Premium Assistance Payments 650.033: Employer Adjustment of Employee Withholdings to Account for Premium Assistance 650.034: Membership Dues for Employers Purchasing Health Insurance through a Billing or Enrollment Intermediary 650.035: Employer Fraud or Abuse

650.001: Introduction

130 CMR 650.000 contains the MassHealth Insurance Partnership regulations. The Insurance Partnership provides qualified employers with an incentive payment to support their purchase of employer-sponsored health insurance. This incentive payment partially offsets the qualified employer’s contribution toward approved health insurance for qualified employees. MassHealth regulations at 130 CMR 650.000 describe the rules for employer participation in the Insurance Partnership. MassHealth regulations at 130 CMR 505.000 describe the eligibility rules for employees.

650.002: Definitions

A number of common words and expressions are specifically defined here. Whenever one of them is used in 130 CMR 650.000, it will have the meaning given in the definition, unless the context clearly requires a different meaning.

Basic Benefit Level (BBL) — benefits provided under a health-insurance plan that are comprehensive and comparable to benefits provided by insurers in the small-group health- insurance market. Health-insurance plans that meet the requirements of 211 CMR 64.00 also meet the BBL.

Benefit Year — a 12-month period of health-insurance coverage at the end of which the policyholder must renew or end coverage.

Billing and Enrollment Intermediary (BEI) — a health-insurance intermediary registered with the Massachusetts Division of Insurance pursuant to 211 CMR 66.13(3), that performs billing and enrollment services, and has entered into a contract with the MassHealth agency to perform the services stated in 130 CMR 650.009.

Couple Policy — a health-insurance policy that covers a married couple.

Family Policy — a health-insurance policy that covers at least two family members.

Federal Poverty Level — income standards issued annually in the Federal Register to account for the last calendar year's increase in prices as measured by the Consumer Price Index.

Full-Time Employee — an employee who is regularly scheduled to work 30 or more hours a week for an employer, whether or not the employee is eligible for employer-sponsored health insurance.

10/19/07 (Effective 10/1/06) 130 CMR - 951 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

650.002: continued

Health Insurance Intermediary — a chamber of commerce, trade association, or other organization, including a BEI, complying with the requirements of 211 CMR 66.13(3), formed for purposes other than obtaining insurance, which offers its members the option of purchasing a health-benefit plan.

Individual Policy — a health-insurance policy that covers the policyholder only.

Insurance Partnership — a program administered by the MassHealth agency to help qualified employers offer health insurance.

Insurance Partnership Administrative Entity — a billing and enrollment intermediary (BEI) or the Insurance Partnership agent (IPA). The MassHealth agency has contracted with these organizations to help administer the Insurance Partnership, as described in 130 CMR 650.009.

Insurance Partnership Agent (IPA) — the organization under contract with the MassHealth agency to help administer the Insurance Partnership, as described in 130 CMR 650.009. The IPA administers Insurance Partnership payments for those qualified employers who do not obtain employee health-insurance coverage through a BEI or an entity linked to a BEI.

Insurance Partnership Payment — an incentive payment by the MassHealth agency applied toward the employer's share of the health-insurance premium, as described in 130 CMR 650.030.

MassHealth — the medical assistance and benefit programs administered by the MassHealth agency pursuant to Title XIX of the Social Security Act (42 U.S.C. § 1396), Title XXI of the Social Security Act (42 U.S.C. § 1397), M.G.L. c. 118E, and other applicable laws and waivers to provide and pay for medical services to eligible members.

MassHealth Agency — the Executive Office of Health and Human Services in accordance with the provisions of M.G.L. c. 118E.

Medical Benefit Request (MBR) — a form prescribed by the MassHealth agency to be completed by the applicant or an eligibility representative, and submitted to the MassHealth agency as a request for MassHealth benefits.

One Adult with One Child Policy — a health-insurance policy that covers a family consisting of one adult and one child.

Open-Enrollment Period — an annual period during which an employee can renew or select a new or different coverage offered by his or her employer.

Premium Assistance Payment — a payment by the MassHealth agency applied toward a qualified employee’s share of the health-insurance premium, as described in 130 CMR 650.031.

Qualified Employee — an employee who meets the requirements of 130 CMR 650.022, who has a gross family income at or below 300% of the federal poverty level, who is a MassHealth member, and who works for a qualified employer.

Qualified Employer — an employer, including a self-employed individual, that meets the requirements of 130 CMR 650.010(A) and has been qualified for the Insurance Partnership by an Insurance Partnership administrative entity.

Quality Control — a system of continuing review to measure the accuracy of eligibility decisions.

Self-Employed Individual — a person with or without dependents who receives any earned income from self-employment.

10/19/07 (Effective 10/1/06) 130 CMR - 952 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

650.009: Insurance Partnership Administrative Entities

(A) The MassHealth agency contracts with the following administrative entities to help administer the Insurance Partnership: (1) billing and enrollment intermediaries (BEI); and (2) the Insurance Partnership agent (IPA).

(B) Both types of administrative entities are responsible for: (1) determining whether employers who have completed an Insurance Partnership employer application are qualified under 130 CMR 650.010; (2) distributing, collecting, and forwarding Medical Benefit Requests to the MassHealth agency that have been completed by employees seeking premium assistance through MassHealth; (3) providing ongoing customer service and support to qualified employers and qualified employees; and (4) administering Insurance Partnership payments and premium assistance payments on behalf of the MassHealth agency in accordance with 130 CMR 650.032.

650.010: Qualified Employers

(A) Employers are qualified if they meet all of the following requirements: (1) employ no more than 50 full-time employees or are self-employed, and meet other Division of Insurance requirements of a small employer for health-insurance purposes, pursuant to M.G.L. c. 176J and 211 CMR 66.00 et seq.; (2) have an active agreement to buy employer-sponsored health insurance that meets the MassHealth basic benefit level (BBL); (3) contribute at least 50% of the total premium cost or a dollar amount that constitutes at least 50% of the total premium cost, for at least one tier of employer-sponsored health insurance; (4) have a valid federal employer identification number (FEIN) or equivalent; (5) agree to adjust any qualified employee's payroll withholdings related to health-insurance coverage by the amount of premium assistance payments issued by the MassHealth agency as soon as possible, but no later than 30 days from notification of the premium assistance amount; (6) apply the amount of the MassHealth Insurance Partnership and premium assistance payments toward the purchase of health coverage for their qualified employees; (7) affirm that they will submit monthly health-insurance premiums by the due date of the premium bill; (8) agree to provide necessary corrections and confirm the accuracy of all Insurance Partnership remittance advices or information; (9) resolve overpayments and underpayments as directed by the MassHealth agency or the Insurance Partnership administrative entity; (10) complete an Insurance Partnership employer application and receive an acceptance as a qualified employer by one of the Insurance Partnership administrative entities; (11) cooperate with the MassHealth agency in providing information necessary to establish or maintain eligibility as a qualified employer; and (12) cooperate with the MassHealth agency in quality-control reviews. Cooperation includes, but is not limited to, a personal interview, the furnishing of information, and on-site audits. Failure to cooperate is cause for termination from the Insurance Partnership.

(B) Qualified employers receive Insurance Partnership payments for each qualified employee in accordance with 130 CMR 650.030.

(D) If a qualified employer switches to a different Insurance Partnership administrative entity, the employer must inform both entities of this change within three business days. Failure to report such a change may result in the loss or delay of Insurance Partnership payments.

(E) If an employer does not offer a couple policy or a one-adult-with-one-child policy, a couple without children or a family with one adult and one child can be covered by a family policy.

10/19/07 (Effective 10/1/06) 130 CMR - 953 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

650.011: Insurance Partnership Employer Application

(A) An employer may complete an employer application at any time during the benefit year. Employers who meet the requirements of 130 CMR 650.010(A) are qualified employers.

(B) The employer remains qualified until the date on which the employer no longer meets all of the requirements of 130 CMR 650.010(A).

(C) The employer must complete another employer application as soon as one of the following items changes: ownership, federal employer identification number (FEIN), address, or the percentage of the contribution amount.

(D) If an employer's health-insurance carrier plan or rates change, the employer must report such changes to its Insurance Partnership administrative entity within ten business days of the change.

650.012: Notice

(A) All employers who submit an application will receive written notice of their acceptance or denial for participation in the Insurance Partnership.

(B) The notice will provide information about the employer's right to a fair hearing. The appeal process is described in 130 CMR 610.000.

650.022: Qualified Employees

Qualified employers receive an Insurance Partnership payment toward health insurance purchased for each qualified employee. A qualified employee is one:

(A) who works for a qualified employer;

(B) who resides in the Commonwealth of Massachusetts;

(D) whose employer or family member’s employer has not, in the last six months, provided health insurance coverage for which the individual is eligible;

(E) who purchases employer-sponsored health insurance; and

(F) who has been determined eligible for MassHealth.

650.030: Insurance Partnership Payments

Qualified employers receive an Insurance Partnership payment toward the health insurance purchased for qualified employees. Payments are administered in accordance with 130 CMR 650.032.

(A) Rate Schedule. The MassHealth agency will make Insurance Partnership payments according to the rates listed under M.G.L. c. 118 § 9C(4) and (5) for each type of policy listed below.

Type of Policy Insurance Partnership Payment $400 per year per policy, paid monthly Individual ($33.33/month) $800 per year per policy, paid monthly Couple ($66.66/month) $800 per year per policy, paid monthly One adult with one child ($66.66/month) $1,000 per year per policy, paid monthly Family ($83.33/month)

10/19/07 (Effective 10/1/06) 130 CMR - 954 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

650.030: continued

(B) Insurance Partnership Payment Start Dates. The MassHealth agency will make Insurance Partnership payments to qualified employers on behalf of qualified employees, starting with the month in which the employee is determined eligible for premium assistance, or for newly insured employees, the month before coverage under the new policy begins. Each monthly payment is for coverage in the following month.

650.031: Premium Assistance

The MassHealth agency provides premium assistance to qualified employees. Premium assistance payments are administered through the MassHealth agency's Insurance Partnership administrative entities in accordance with 130 CMR 650.032.

650.032: Process of Making Insurance Partnership and Premium Assistance Payments

Insurance Partnership and premium assistance payments are made as follows.

(A) Employers Participating in the Insurance Partnership through a BEI. For employers participating in the Insurance Partnership through a BEI, the MassHealth agency makes monthly Insurance Partnership and premium assistance payments directly to the BEI. The BEI credits the employer's insurance bill by the amount of the Insurance Partnership and premium assistance payments made by the MassHealth agency.

(B) Employers Participating in the Insurance Partnership through the IPA. Employers participating in the Insurance Partnership through the MassHealth agency's IPA receive a monthly check and remittance advice from the IPA, totaling the Insurance Partnership and premium assistance payments made by the MassHealth agency. Employers must use these payments to purchase health coverage for their qualified employees.

(C) Appealing Payment Amounts. If an employer disagrees with the amount of the Insurance Partnership payment it receives, the employer first must attempt to resolve differences as described in 130 CMR 650.010(A)(9). If the employer is dissatisfied with this resolution, it then may appeal to the Board of Hearings. The appeal process is described in 130 CMR 610.000.

650.033: Employer Adjustment of Employee Withholdings to Account for Premium Assistance

(A) Qualified employers must adjust or establish the amount withheld from the pay of their qualified employees described in 130 CMR 650.022, to account for the amount of the employee's premium assistance payment made by the MassHealth agency.

(B) If the withheld amount cannot be adjusted by the time of the first premium assistance payment, the employer must reimburse the employee for each premium assistance payment that is not reflected in the employee's withhold amount for health insurance.

650.034: Membership Dues for Employers Purchasing Health Insurance through a Billing or Enrollment Intermediary

The MassHealth agency does not reimburse membership dues for employers purchasing health insurance.

650.035: Employer Fraud or Abuse

(A) Any employer who is suspected of committing fraud or abuse related to the Insurance Partnership is referred to the Massachusetts Bureau of Special Investigations or the Attorney General’s Medicaid Fraud Control Unit.

(B) Employer fraud or abuse consists of but is not limited to the following: (1) misuse of Insurance Partnership payments or premium assistance payments; (2) willful failure to adjust the health-insurance payroll deduction (or "withhold") for qualified employees to reflect the employer's receipt of premium assistance payments for those employees; or

10/19/07 (Effective 10/1/06) 130 CMR - 955 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

650.035: continued

(3) misrepresentation of the amount of premiums the employer must pay to purchase health coverage for its qualified employees.

(C) Penalties for Fraud or Abuse. (1) An employer who has been found to have committed fraud will be terminated from participation in the Insurance Partnership. Such termination will result in the loss of all present and future Insurance Partnership payments for the employer and all premium assistance payments for all otherwise eligible employees without children under age 19. (2) Additional civil and criminal penalties may be imposed under state and federal law.

REGULATORY AUTHORITY

130 CMR 650.000: M.G.L. c. 118E, §§ 7 and 12.

10/19/07 (Effective 10/1/06) 130 CMR - 956 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 611

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 211 CMR 79.00

CHAPTER TITLE: Private Passenger Motor Vehicle Insurance Rates

AGENCY: Division of Insurance

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. 211 CMR 79.00 applies to Rates and premium charges for all types of coverages under private pasenger motor vehicle insurance policies, including, but not limited to, the form and content of Rate and Advisory Filings for the Voluntary Market in accordance with M.G.L. c. 175E and M.G.L. c. 175A; Residual Market Rate Filings in accordance with M.G.L. c. 175A; actitives of Rating Organizations, and the conduct of hearings and related procedings under M.G.L. c. 175A and M.G.L. c. 175E.

REGULATORY AUTHORITY: M.G.L. c. 175A, § 15 and M.G.L. c. 175E, § 10

AGENCY CONTACT: Elisabeth Ditomassi/Elizabeth Brodeur PHONE: (617) 521-7308/521-7442 ADDRESS: Division of Insurance, One South Station, Boston, MA 02110-2208

Compliance with M.G.L. c. 30A

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency.

PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. Notice to Department of Housing and Community Development and Massachusetts Municipal Association, as required by Executive Order 145, sent August 9, 2007. All other notification/approval requirements completed in accordance with Executive Order 485 in August 2007.

Date of public hearing or comment period: Public hearing held on September 20, 2007.

For the first five years:

No fiscal effect: X

N/A

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: Insurance; Motor Vehicle Insurance; Private Passenger Motor Vehicle Insurance

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST:

SIGNATURE: SIGNATURE ON FILE DATE: Oct 5 2007

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007

EFFECTIVE DATE: 10/19/2007

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 13, 14 13 - 14.2 539, 540 539 - 550.16

10/05/2007 mrs

Table of Contents Page

211 CMR 71.00: MEDICARE SUPPLEMENT INSURANCE AND EVIDENCES OF COVERAGE ISSUED PURSUANT TO A RISK OR COST CONTRACT -- TO FACILITATE THE IMPLEMENTATION OF M.G.L. c. 176K AND SECTION 1882 OF THE FEDERAL SOCIAL SECURITY ACT (continued)

Section 71.98: Appendix F - Outline of Coverage, Cover Page 510.86 Section 71.99: Appendix G - Outline of Coverage, Charts 510.87 Section 71.100: Appendix H - Disclosure Statements 510.95

(211 CMR 72.00 AND 73.00: RESERVED) 510.65

211 CMR 74.00: STANDARDS OF FAULT TO BE USED BY THE BOARD OF APPEAL ON MOTOR VEHICLE LIABILITY POLICIES AND BONDS AND INSURERS IN DETERMINING THE APPLICATION OF SURCHARGES 511

Section 74.01: Authority 511 Section 74.02: Definitions 511 Section 74.03: Purpose and Scope 511 Section 74.04: Situations in Which Fault Is In Excess of 50% 511

211 CMR 75.00: PROCEDURES FOR REPORTING THE THEFT OF MOTOR VEHICLE 515

Section 75.01: Authority 515 Section 75.02: Definitions 515 Section 75.03: Purpose and Scope 515 Section 75.04: National Insurance Crime Bureau's Responsibilities 515 Section 75.05: Insurer's Responsibilities 516 Section 75.06: Costs of Administration 516 Section 75.07: Immunity 516 Section 75.08: Duty to Report 516 Section 75.50: Prescription of Forms for Motor Vehicle Theft Reports 517 Section 75.51: Description of the Requirements of Printing Forms 517 Section 75.52: Motor Vehicle Theft Report Form 518

(211 CMR 76.00: RESERVED) 521

211 CMR 77.00: PROCEDURES FOR THE CONDUCT OF PROCEEDINGS ON FIXED-AND-ESTABLISHED PRIVATE PASSENGER MOTOR VEHICLE INSURANCE RATES 523

Section 77.01: Purpose, Scope and Authority 523 Section 77.02: Definitions 523 Section 77.03: General Provisions 524 Section 77.04: Initiation of Proceedings 524 Section 77.05: Schedule of Proceedings, Conferences and Content of Advisory Filings 525 Section 77.06: Discovery 527 Section 77.07: Conduct of the Proceedings 527 Section 77.08: Oral Argument and Briefs 529 Section 77.09: Final Decision 529 Section 77.10: Appeal of the Decision 529

211 CMR 78.00: PROCEDURES CONCERNING RATE FILINGS AND THE CON- DUCT OF HEARINGS FOR MOTOR VEHICLE INSURANCE 531

Section 78.01: Authority 531 Section 78.02: Definitions 531 Section 78.03: Purpose and Scope 532

4/21/06 211 CMR - 13 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

Table of Contents Page

211 CMR 78.00: PROCEDURES CONCERNING RATE FILINGS AND THE CON- DUCT OF HEARINGS FOR MOTOR VEHICLE INSURANCE (continued)

Section 78.04: Rate Filings 532 Section 78.05: Initiation of a Hearing 532 Section 78.06: Pre-hearing Procedures 533 Section 78.07: Advisory Filings 534 Section 78.08: Pre-hearing Proceedings 535 Section 78.09: Conduct of the Hearing 535 Section 78.10: Briefs 536 Section 78.11: Decisions 537 Section 78.12: Appeals 537

211 CMR 79.00: PRIVATE PASSENGER MOTOR VEHICLE INSURANCE RATES 539

Section 79.01: Authority 539 Section 79.02: Purpose and Scope 539 Section 79.03: Definitions 539 Section 79.04: Competitive Market 542 Section 79.05: Rate Standards 542 Section 79.06: Rate Filings 544 Section 79.07: Suspension or Disapproval of Voluntary Market Rate Filings and Rates 546 Section 79.08: Statistical Plan 547 Section 79.09: Activities of Insurers and Rating Organizations 547 Section 79.10: Consumer Information and Disclosures 549 Section 79.11: Initiation of a Hearing on a Rate Filing 549 Section 79.12: Pre-hearing Procedures 550 Section 79.13: Conduct of the Hearing 550 Section 79.14: Decisions and Remedies 550.1 Section 79.15: Use of Unauthorized Rates 550.2 Section 79.16: False or Misleading Information 550.2 Section 79.17: Examinations 550.2 Section 79.18: Penalties 550.2 Section 79.19: Transition from Fixed-and-established Market to Competitive Market 550.2 Section 79.20: Severability 550.6 Section 79.21: Exhibit A 550.7

(211 CMR 80.00 THROUGH 84.00: RESERVED) 550.15

211 CMR 85.00: MASSACHUSETTS AUTOMOBILE INSURANCE: TABLE OF SHORT RATE VALUES 551

211 CMR 86.00: REDUCTIONS IN PREMIUM CHARGES FOR PRIVATE PASSENGER MOTOR VEHICLES AND CERTAIN COMMERCIAL MOTOR VEHICLES EQUIPPED WITH AN ANTI-THEFT MECHANISM 553

Section 86.01: Authority 553 Section 86.02: Definitions 553 Section 86.03: Purpose and Scope 553 Section 86.04: Reductions in Premium Charges for Private Passenger Vehicles and Certain Commercial Motor Vehicles Equipped with an Anti-Theft Mechanism 553 Section 86.05: Types of Anti-theft Devices Qualifying for Discounts 554 Section 86.06: General Rules Applicable to all Anti-theft Devices for Which Discounts Are Granted 557 Section 86.07: High-theft Vehicles 558

(211 CMR 87.00: RESERVED) 559

10/19/07 211 CMR - 14 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

Table of Contents Page

211 CMR 88.00: PROCEDURES FOR THE APPEAL OF SAFE DRIVER INSURANCE PLAN (SDIP) MOTOR VEHICLE ACCIDENT SURCHARGES AND FOR CONDUCT OF SDIP MOTOR VEHICLE ACCIDENT SURCHARGE HEARINGS 561

Section 88.01: Authority, Purpose and Scope 561 Section 88.02: Definitions 561 Section 88.03: Initiation of Surcharge Appeal Hearings 562 Section 88.04: Time Limit for Filing a Surcharge Appeal 562 Section 88.05: Service and Filing 563 Section 88.06: Initial Review of Appeals 563 Section 88.07: Surcharge Remains Active Pending Appeal 564 Section 88.08: Notice of Hearing 564 Section 88.09: Conduct of the Hearing 564 Section 88.10: The Record 566.2 Section 88.11: Special Requests 566.2 Section 88.12: Conflicts on Interest 566.2 Section 88.13: Actions, Orders, Findings and Decisions 566.2 Section 88.14: Rehearing 566.3 Section 88.15: Superior Court Appeal Procedure 566.3 Section 88.16: Non-English Speaking Parties 566.3 Section 88.17: Forms 566.4 Section 88.18: Severability 566.4

(211 CMR 89.00: RESERVED) 567

10/19/07 211 CMR - 14.1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

NON-TEXT PAGE

10/19/07 211 CMR - 14.2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

211 CMR 79.00: PRIVATE PASSENGER MOTOR VEHICLE INSURANCE RATES

Section

79.01: Authority 79.02: Purpose and Scope 79.03: Definitions 79.04: Competitive Market 79.05: Rate Standards 79.06: Rate Filings 79.07: Suspension or Disapproval of Voluntary Market Rate Filings and Rates 79.08: Statistical Plan 79.09: Activities of Insurers and Rating Organizations 79.10: Consumer Information and Disclosures 79.11: Initiation of a Hearing on a Rate Filing 79.12: Pre-hearing Procedures 79.13: Conduct of the Hearing 79.14: Decisions and Remedies 79.15: Use of Unauthorized Rates 79.16: False or Misleading Information 79.17: Examinations 79.18: Penalties 79.19: Transition from Fixed-and-established Market to Competitive Market 79.20: Severability 79.21: Exhibit A

79.01: Authority

211 CMR 79.00 is promulgated in accordance with the authority granted to the Commissioner of Insurance under M.G.L. c. 175A, § 15 and M.G.L. c. 175E, § 10.

79.02: Purpose and Scope

(1) 21l CMR 79.00 shall apply to Rates and Premium charges for all types of coverages under private passenger motor vehicle insurance policies, including, but not limited to, the form and content of Rate and Advisory Filings for the Voluntary Market in accordance with M.G.L. c. 175E and M.G.L. c. 175A; Residual Market Rate Filings in accordance with M.G.L. c. 175A; activities of Rating Organizations, and the conduct of hearings and related proceedings under M.G.L. c. 175A and M.G.L. c. 175E.

(2) The purposes of 211 CMR 79.00 are: (a) To promote the public welfare by regulating insurance rates so that they are not excessive, inadequate or unfairly discriminatory; (b) To promote the accuracy and fairness of private passenger motor vehicle insurance rates; (c) To protect the interests of policyholders during the transition from a Fixed-and- established Market to a Competitive Market; (d) To promote price competition among Insurers so as to provide insurance rates that are responsive to Competitive Market conditions; (e) To prohibit price-fixing agreements and other anticompetitive behavior by Insurers; (f) To provide regulatory procedures for the maintenance of appropriate data reporting systems; (g) To authorize essential cooperative action among Insurers in the ratemaking process and to regulate such activity to prevent practices that tend to lessen competition substantially or to create a monopoly; and (h) To provide price and other information to consumers to enable them to purchase insurance suitable for their needs.

79.03: Definitions

As used in M.G.L. c. 175E and 211 CMR 79.00:

10/19/07 211 CMR - 539 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

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Advisory Filing means a filing of Rates, Rating Factors or relativities, Classification Plans, or Rating Manuals, together with Supporting Information, prepared in accordance with M.G.L. c. 175E, § 6(a)(2) by a Rating Organization. An Advisory Filing shall not be deemed a Rate Filing under M.G.L. c. 175E, § 7.

AIB means the Automobile Insurers Bureau, a Rating Organization.

CAR or Commonwealth Automobile Reinsurers means the operator of the plan established pursuant to M.G.L. c. 175, § 113H, or its successor, that serves as the Residual Market mechanism for motor vehicle insurance.

CAR ID Codes means the codes as defined in the Commissioner of Insurance’s statistical plan for private passenger motor vehicle insurance required by M.G.L. c. 175A.

Classification means the process of grouping risks with similar risk characteristics so that differences in costs may be recognized.

Classification Plan means any plan, definition or rule for the classification of risks including, without limitation, Classification by territory, driver or vehicle characteristics or use, and experience rating or Merit Rating plans.

Commissioner means the Commissioner of Insurance, appointed pursuant to M.G.L. c. 26, § 6.

Competitive Market means a market where private passenger motor vehicle insurance rates are not fixed and established pursuant to M.G.L. c. 175, § 113B.

Division means the Division of Insurance created pursuant to M.G.L. c. 26, § 1.

Expenses means that portion of a rate attributable to acquisition, field supervision, collection expenses, general expenses, taxes, licenses, commissions, residual market loads and fees.

External Loss, Expense and Other Factors means loss, expense and other factors contained in an Advisory Filing that includes the experience of Insurers other than that of the Insurer or Insurance Company Group for which the Advisory Filing is made.

Filer means the Insurer, Insurance Company Group or Rating Organization that has filed the Rate or Advisory Filing at issue.

Fixed-and-established Market means a market where Premiums for private passenger motor vehicle insurance are based on rates fixed-and-established by the Commissioner pursuant to M.G.L. c. 175, § 113B, following a hearing and decision, pursuant to M.G.L. c. 175E, § 5, finding that competition in the private passenger motor vehicle insurance market is, with respect to any territory or to any kind, subdivision or class of insurance, either: (a) insufficient to assure that rates would not be excessive; or (b) so conducted as to be destructive of competition or detrimental to the solvency of Insurers.

Insurance Company Group means two or more Insurers under the same ownership or control, as defined in M.G.L. c. 175, § 206.

Insurer means any corporation, association, partnership, group or individual authorized to write private passenger motor vehicle insurance in Massachusetts.

Merit Rating means a rating procedure utilizing past motor vehicle accident and traffic violation experience of the operators insured under the policy to forecast future losses by measuring their loss experience against the loss experience of operators in the same Classification to produce a prospective premium credit, debit or unity modification.

10/19/07 211 CMR - 540 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

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Party means the Filer of a Rate Filing that is the subject of a hearing, or has a statutory right to request a hearing pursuant to M.G.L. c. 175E, § 7.

Premium means the final cost of a policy, or coverage within a policy, to an individual policyholder based on the particular drivers and motor vehicles insured under the policy.

Presiding Officer means the Commissioner or any person designated by the Commissioner to conduct hearings and related proceedings and to render findings, rulings and decisions.

Rate means the cost of insurance per exposure unit, whether expressed as a single number or as a prospective loss cost with an adjustment to account for the treatment of individual Insurer Expenses, profit, and variation in loss experience, prior to any application of individual risk variations based on loss or expense considerations, and does not include minimum Premium.

Rate Filing means a filing of Rates, Rating Factors or relativities, Classification Plans, or Rating Manuals, together with Supporting Information, prepared by an Insurer, Insurance Company Group or Rating Organization and filed in accordance with M.G.L. c. 175E, § 7.

Rating Factor means a number that is greater than zero that is applied to a Rate to reflect the specific characteristics of the risk, including but not limited to, rating territory, driver or vehicle characteristics, Merit Rating plan, coverage level, and deductible option.

Rating Manual means any manual of rules and rating procedures applicable to any insurance coverage subject to M.G.L. c. 175E. A Rating Manual shall not include final Rates for any Classification Plan or coverage, but may include rules for the calculation of Premiums from information outside the manual.

Rating Organization means a rating organization duly licensed under M.G.L. c. 175A.

Residual Market means the private passenger motor vehicles that are insured through policies issued pursuant to M.G.L. c. 175, § 113H with a CAR ID Code that indicates the policy was ceded to CAR or assigned to an Insurer through the Massachusetts Automobile Insurance Plan.

Residual Market Rate Filing means a filing of Rates, Rating Factors or relativities, Classification Plans, or Rating Manuals, together with Supporting Information prepared or submitted on behalf of CAR and filed in accordance with M.G.L. c. 175, § 113H(D).

Statistical Information means loss and expense experience, including, but not limited to, data filed in accordance with statistical plans or reporting requirements approved or promulgated by the Commissioner and any compilation or display of such data. For purposes of M.G.L. c. 175E, § 6(a)(2), Statistical Information includes, but is not limited to, Premiums, exposures, loss pure premiums, development factors, average claim cost and frequency trend factors, claim adjustment expense factors, company and commission expense pure premiums, expense trend factors, and miscellaneous Rate level factors, including, but not limited to, increased limits, deductible and minor coverage factors, and territorial, class and model year/symbol relativities.

Supporting Information means: (a) the experience and judgment of the Filer and the experience or data of other Insurers or others relied upon by the Filer; (b) the interpretation of any other data relied upon by the Filer; (c) descriptions of methods used in making the Rates; and (d) any other information relied on by the Filer in support of its Filing, as the Commissioner may require to be filed.

Transition Advisory Filing means any Advisory Filings that affect premiums for policies with effective dates between April 1, 2008 and March 31, 2009.

Transition Rate Filing means any Voluntary or Residual Market Rate Filings that affect premiums for policies with effective dates between April 1, 2008 and March 31, 2009.

10/19/07 211 CMR - 541 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

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Trending means any procedure for projecting losses to the average date of loss, or Premiums or exposures to the average date of writing, for the period during which the Rates are to be effective.

Under One-percent Company means an Insurer writing less than one percent of the private passenger motor vehicle insurance in Massachusetts, as determined by comparing the total written premium of each Insurer for private passenger motor vehicle insurance, as reported in the Insurer’s most recent annual statement, with the total premiums written by all Insurers for private passenger motor vehicle insurance coverage.

Voluntary Market means the private passenger motor vehicles that are not insured through policies issued in the Residual Market.

79.04: Competitive Market

(1) Presumption. A Competitive Market is presumed to exist unless the Commissioner, after a hearing pursuant to M.G.L. c. 175E, § 5, determines that competition in the private passenger motor vehicle insurance market is, with respect to any territory or to any kind, subdivision or class of insurance, either: (a) insufficient to assure that Rates will not be excessive; or (b) so conducted as to be destructive of competition or detrimental to the solvency of Insurers, and the Commissioner issues findings of fact, conclusions and orders to that effect. Any such determination shall expire no later than one year after issuance.

(2) Standard. In determining whether competition, with respect to any territory or to any kind, subdivision or class of insurance, is either: (a) insufficient to assure that Rates will not be excessive; or (b) so conducted as to be destructive of competition or detrimental to the solvency of Insurers, the Commissioner shall consider relevant tests of workable competition pertaining to market structure, market performance and market conduct and the practical opportunities available to consumers in the market to acquire pricing and other consumer information and to compare and obtain insurance from competing Insurers. Such tests may include, but are not limited to, the following: size and number of Insurers actively engaged in the market; market shares and changes in market shares of Insurers; ease of entry and exit from the market; underwriting restrictions; whether profitability for Insurers generally in the private passenger motor vehicle insurance market is unreasonably high; availability of consumer information concerning the product and sales outlets or other sales mechanisms; and efforts of Insurers to provide consumer information.

(3) Monitoring Competition. The Commissioner shall monitor the Competitive Market. The Commissioner shall utilize existing relevant information, analytical systems and other sources; cause or participate in the development of new relevant information, analytical systems and other sources; or rely on some combination thereof. Such activities may be conducted internally within the Division, in cooperation with other state insurance departments and/or the National Association of Insurance Commissioners, through outside contractors and/or in any other appropriate manner.

(4) Hearing. The Commissioner may at any time, with 21 days notice to the public, hold a hearing under M.G.L. c. 175E, § 5, to determine whether the Competitive Market is meeting the requisite statutory requirements under M.G.L. c. 175E, § 5.

79.05: Rate Standards

(1) The Commissioner shall disapprove any Rate Filing, or portion thereof, that results in a Rate that is excessive, inadequate or unfairly discriminatory.

(2) Excessive Rates. No Rate shall be held to be excessive unless such Rate is unreasonably high for the insurance provided. Evidence that a reasonable degree of competition exists in the area with respect to the Classification to which such Rate is applicable shall be considered as material, but not conclusive, evidence that such Rate is not excessive.

10/19/07 211 CMR - 542 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

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(3) Inadequate Rates. No Rate shall be held to be inadequate unless: (a) such Rate is unreasonably low for the insurance provided; and (b) the continued use of such Rate endangers the solvency of the Insurer using the same; or unless (c) such Rate is unreasonably low for the insurance provided and the use of such Rate by the Insurer using the same has, or if continued will have, the effect of destroying competition or creating a monopoly.

(4) Unfairly Discriminatory Rates. An unfairly discriminatory Rate exists if, after allowing for practical limitations, price differentials fail to reflect equitably the differences in expected losses and Expenses. Rates are not unfairly discriminatory if different Premiums result for policyholders with like loss exposures but different expense factors, or like expense factors but different loss exposures, as long as the Rates reflect the differences with reasonable accuracy. A Rate is not unfairly discriminatory if it is averaged broadly among persons insured under a group, franchise or blanket policy or a mass marketed plan.

(5) Rates and Classification Plans. An Insurer may utilize any sound actuarial method in determining Rates and Rate plans. Consideration shall be given, to the extent applicable, to past and prospective loss experience within and outside Massachusetts, to catastrophe hazards, to a reasonable rate of return on capital after provision for investment income, to past and prospective Expenses both country-wide and those specially applicable to Massachusetts, and to all other factors, including judgment factors, deemed relevant within and outside Massachusetts. Consideration also may be given in the making and use of Rates to dividends, savings or unabsorbed Premium deposits allowed or returned by Insurers to their policyholders, members or subscribers.

(6) Risks May Be Grouped by Classifications for the Establishment of Rates and Minimum Premiums. Rates may be modified to produce premiums for individual risks in accordance with rating plans that establish standards for measuring variations in hazards or expense provisions, or both. Such standards may measure any differences among risks that can be demonstrated to have a probable effect upon losses or Expenses. No risk Classification, however, shall be based upon sex, marital status, race, creed, national origin, religion or age, except to produce the reduction in Rates for insureds age 65 years or older required by M.G.L. c. 175E, § 4.

(7) Merit Rating Plans. Rate Filings may include Merit Rating plans; provided, however, that such plans shall not utilize any motor vehicle at-fault accidents or traffic violations that pre-date the relevant policy effective date by more than six years, and the utilization of any particular motor vehicle at-fault accident or traffic violation shall not affect the Premium of a motor vehicle for more than five years. Rate Filings that include independent Merit Rating plans must also include accompanying rules in the Rating Manual.

(8) Territories. The Commissioner shall, from time to time as deemed necessary, publish a bulletin setting forth a designation of no fewer than 15 territories.

(9) Profits. Rates may contain a provision for contingencies and a reasonable profit. In determining the reasonableness of the profit, evaluation shall include consideration of all investment income attributable to the line of insurance.

(10) The Commissioner may disapprove, after a hearing, or suspend any Rate Filing, Classification Plan, rule or Rate, rating plan or modification of any of the foregoing if she finds that any of such elements fail to meet the requirements of the General Laws or are violative of public policy, and, therefore, subject to suspension and disapproval pursuant to M.G.L. c. 175E, § 8.

(11) Rating Factors Prohibited. Classification Plans, rules or Rates, rating plans or modification of any of the foregoing based in whole or in part on any of the following factors shall be deemed to violate public policy and are subject to disapproval pursuant to 211 CMR 79.05(10): (a) sex; (b) marital status;

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(c) race; (d) creed; (e) national origin; (f) religion; (g) age, except to produce the reduction in Rates for insureds age 65 years or older required by M.G.L. c. 175E, § 4; (h) occupation; (i) income; (j) education; and (k) homeownership.

(12) Underwriting Factors Prohibited. No Insurer or Insurance Company Group shall refuse to issue, renew or execute as surety a private passenger motor vehicle liability policy or bond, or any other insurance based on the ownership or operation of a motor vehicle because of any of the following factors, or otherwise use such factors to determine placement in a particular affiliate within an Insurance Company Group: (a) sex; (b) marital status; (c) race; (d) creed; (e) national origin; (f) religion; (g) age; (h) occupation; (i) income; (j) principal place of garaging of the vehicle; (k) education; and (l) homeownership.

(13) No credit information contained on a consumer report obtained from a consumer reporting agency pursuant to M.G.L. c. 93, § 50 et seq. shall be used in private passenger motor vehicle insurance: (a) rating, including its use in any Classification Plans, rules or Rates, rating plans or modification of any of the foregoing; or (b) underwriting, including its use to determine whether to issue, renew or execute as surety a private passenger motor vehicle liability policy or bond, or any other insurance based on the ownership or operation of a motor vehicle, or to determine the placement in a particular affiliate within an Insurance Company Group. Nothing in 211 CMR 79.05(13) shall be construed to restrict any Insurer from obtaining or using information contained in an insurance claims history report, a motor vehicle or driver history report, or any other report from the Massachusetts Registry of Motor Vehicles or its out- of-state equivalent.

79.06: Rate Filings

(1) Time for Rate Filings. (a) Voluntary Market Rate Filings. Rate Filings for Rates to be used in the Voluntary Market shall be filed in paper and in electronic form with the Commissioner not less than 45 days prior to the proposed effective date. In addition, when a Rate Filing involving a rate adjustment depends upon a change in the relationship between the proposed Rates and the anticipated production expense portion thereof from the relationship anticipated under any Rates previously filed and currently in effect for the Insurer or Rating Organization involved, the Insurer or Rating Organization making such a Rate Filing shall simultaneously give written notice of such filing to every licensed producer of every Insurer on whose behalf such filing is made. (b) Residual Market Rate Filings. The Rate Filings for Rates to be used in the Residual Market shall be filed in paper and electronic form with the Commissioner not less than 15 days prior to the proposed effective date.

10/19/07 211 CMR - 544 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

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(2) Time for Advisory Filings. A Rating Organization may make an Advisory Filing at any time. Such Filings shall be submitted in paper and electronic form.

(3) Filings. Rate Filings and Advisory Filings made pursuant to 211 CMR 79.06(1) or (2) shall be made in triplicate, with one copy unstapled or unbound; provided, however, that the Division may request additional paper copies that shall be supplied by the Filer at the Filer’s expense. Electronic filings made pursuant to 211 CMR 79.06(1) and (2) shall be in a form satisfactory to the Commissioner. The Filer shall submit simultaneously one copy of the Rate Filing or Advisory Filing to the Attorney General, unless the Commissioner directs otherwise.

(4) Content. Rate Filings and Advisory Filings, and Supporting Information as applicable, shall utilize the forms and checklists approved by the Commissioner. Every Rate Filing shall state the proposed effective date of the Rate and shall indicate the scope and extent of the coverage contemplated. The filing shall contain, or incorporate by reference if previously filed with the Division, the following information and its data source in the following order: (a) Summary of Rate level changes and other matters; (b) Rate level calculations for each coverage; (c) Premiums and exposures; (d) Adjustments to Premiums and exposures; (e) Accident year reported and paid losses and claims; (f) Development factors; (g) Claim cost trends; (h) Frequency trends; (i) Other adjustments to losses; (j) Claim adjustment expenses; (k) Commission expenses; (l) Other expenses; (m) Expense trends; (n) Underwriting profit, including due consideration of investment income; (o) Classification Plans; (p) Territorial and operator rate class relativities; (q) Increased limits factors; (r) Deductible and miscellaneous Rating Factors; (s) Credibility; (t) Final base Rates and Rating Factors; and (u) Any other Supporting Information.

(5) Copy Available for Inspection. A copy of each Rate Filing or Advisory Filing shall be available for public inspection during normal business hours at the Division.

(6) Requests for Copies of Rate Manuals. Every Insurer or Rating Organization authorized to file on behalf of such Insurer, shall make available to the public copies of such Rate Manual at a cost not to exceed 30% above the actual cost of printing said manual

(7) Review Period. (a) Voluntary Market Rate Filings. As provided in M.G.L. c. 175E, § 7, the Commissioner shall have not less than 45 days to review each Voluntary Market Rate Filing before it becomes effective. If a hearing on the Rate Filing is initiated prior to the effective date, this period may be extended by the Commissioner for an additional period not to exceed 45 days in order to complete the hearing and make a decision thereon. If the Commissioner suspends the proposed effective date of any such Filing, the Commissioner shall, by the close of the period of suspension, either approve the filing or issue an order disapproving the filing and specifying the grounds for disapproval. (b) Residual Market Rate Filings. As provided in M.G.L. c. 175A, § 6, the Commissioner shall have not less than 15 days to review each Residual Market Rate Filing before it becomes effective; provided, however, the Commissioner may by order suspend the effective date for not more than 30 additional days in any case where the Commissioner determines that delay is necessary to properly examine the Filing and Supporting Information or supplemental information, or to permit a hearing thereon. If the Commissioner suspends the proposed effective date of any such Filing, the Commissioner shall, by the close of the period of suspension, either approve the filing or issue an order disapproving the filing and specifying the grounds for disapproval.

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(c) Incomplete or Inadequate Filings. When a Rate Filing is incomplete or requires additional information for the Division to review the filing, the Division may return the Rate Filing to the Filer with questions or comments regarding the missing or incomplete information. The Commissioner may toll the proposed effective date of any Rate Filing that is materially incomplete or inadequate until such time that the Rate Filing complies with 211 CMR 79.06 upon notice to the Filer. Where this occurs, the new effective date shall be calculated by extending the initial proposed effective date by the number of days in the toll period, unless the Filer provides a later date. Until any missing or requested information is provided, the Rate Filing neither shall be deemed complete nor filed, nor available for use by the Insurer. If the requested information is not provided within a reasonable time period, the Rate Filing may be returned as not filed and not available for use.

79.07: Suspension or Disapproval of Voluntary Market Rate Filings and Rates

(1) Suspension of a Rate Filing. The Commissioner may suspend the operation of any Rate Filing pursuant to M.G.L. c. 175E, § 7 for not more than 45 days after its effective date. The Commissioner either shall approve such filing or issue an order disapproving it and specifying the grounds for the disapproval within such 45-day period.

(2) Implementation of Suspended Rate Filing. An Insurer may implement a suspended Rate Filing that has not been disapproved by the Commissioner on the suspended filing’s effective date provided: (a) The Insurer submits a written agreement to the Commissioner stating that it will adjust the Premiums, including interest at the rate of eight per cent per annum, of all of its policies that are affected by the filing from the respective effective dates in accordance with the Commissioner’s final determination regarding the suspended Rate Filing; and (b) The Insurer posts sufficient bond with the Commissioner in a form and amount deemed satisfactory to the Commissioner. The Division’s approval of the form and the amount of such bond shall be in writing.

(3) Suspension of a Rate. (a) The Commissioner may order the suspension, prospectively, of a Rate used by an Insurer and re-impose the Rate in effect for that Insurer immediately prior to the suspended Rate. In such event, the Commissioner shall hold a hearing within 15 days after such order, unless the Insurer waives its right to a hearing. (b) The Commissioner shall make a determination as to whether to re-impose or disapprove the suspended Rate within 15 days after the close of the hearing. If the Commissioner disapproves a suspended Rate, the disapproval shall take effect not less than 15 days after the issuance of the order, and the Rate in effect immediately prior to the suspended Rate will remain in effect for a period no longer than six months. (c) If the Insurer submits a new Rate Filing during this six-month period and the new filing is approved by the Commissioner, such Rate will go into effect. (d) If the Insurer fails to submit a new Rate Filing during, or at the expiration, of this six- month period, no Rate will be in effect and the Insurer will be prohibited from issuing new or renewal policies in the private passenger motor vehicle insurance market until the Insurer submits a Rate Filing in accordance with 211 CMR 79.06 that is approved by the Commissioner.

(4) Disapproval of a Rate. (a) If the Commissioner determines after a hearing conducted pursuant to 211 CMR 79.13 that any Classification Plan, rule or Rates, rating plan or modification of any of the foregoing fail to comply with the relevant provisions of M.G.L. c. 175A, M.G.L. c. 175E or 211 CMR 79.00, or violates public policy, the Commissioner shall order the disapproval of such Classification Plan, rule, Rate, Rating plan or modification, and with respect to any such disapproved Rate, the order may include a provision for a Premium adjustment. (b) If the Commissioner disapproves such Rate, the disapproval shall take effect not less than 15 days after the issuance of the order and the Rate in effect immediately prior to the disapproved Rate will remain in effect for the Insurer for a period no longer than six months. (c) If the Insurer submits a new Rate Filing during this six-month period that the Commissioner approves, such Rate will go into effect.

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(d) If the Insurer fails to submit a new Rate Filing during, or at the expiration of this six- month period, no Rate will be in effect and the Insurer will be prohibited from issuing new or renewal policies in the private passenger motor vehicle insurance market until the Insurer submits a Rate Filing in accordance with 211 CMR 79.06 that is approved by the Commissioner.

79.08: Statistical Plan

Nothing in 211 CMR 79.00 shall affect the obligations of each Insurer or Insurance Company Group to provide the data required by any statistical plans promulgated by the Commissioner for annual reporting of motor vehicle insurance experience.

79.09: Activities of Insurers and Rating Organizations

(1) Prohibited Activity by Insurers and Rating Organizations. (a) No Insurer or Rating Organization shall monopolize or attempt to monopolize, or combine or conspire with any other person or persons to monopolize, in any territory, the business of private passenger motor vehicle insurance or any kind, subdivision or class thereof. (b) No Insurer or Rating Organization shall agree with any other Insurer or Rating Organization to charge or adhere to any Rate, prospective loss cost, rating plan, rating schedule, rating rule, policy or bond form, rate Classification Plan, rate territory, underwriting rule, survey, inspection or similar material, except as needed to exchange statistical information as authorized by the Commissioner. In addition, a Rating Organization may establish advisory manuals of Classification Plans, rules and Rates, rating plans or modifications of any of the foregoing in any manner not prohibited by the Commissioner. (c) No Insurer or Rating Organization shall make any agreement with any other Insurer, Rating Organization or other person that: 1. Restrains trade; or 2. Substantially lessens competition in any territory or in any kind, subdivision or class of insurance. (d) No Insurer may acquire or retain any capital stock or assets of, or have any common management with, any other Insurer or Insurers, if the effect of such acquisition, retention or common management may be substantially to lessen competition in any territory or in any kind, subdivision or class of insurance. (e) No Insurer or Rating Organization shall make any agreement with any other Insurer or Rating Organization to refuse to deal with any person in connection with the sale of insurance. (f) No Rating Organization or member or subscriber thereof shall interfere with the right of any Insurer to make its Rates independently of such Rating Organization or to charge Rates different from the Rates filed by such Rating Organization. (g) No member of or subscriber to a Rating Organization shall refuse to do business with, or prohibit or prevent the payment of commission to any licensed insurance producer on the ground that such insurance producer does business with an Insurer which files its Rates, or any portion thereof, independently of such Rating Organizations. (h) Nothing in 211 CMR 79.00 shall be construed as requiring any Insurer to become a member of or a subscriber to any Rating Organization, or as preventing any Insurer, while a member of or subscriber to a Rating Organization, from making its own Rates for any kind, subdivision or class of insurance, for which it does not elect to authorize the Rating Organization to act on its behalf. (i) Any Insurer which is a member of or subscriber to a Rating Organization may make its own Rates for any kind, subdivision or class of insurance. No Rating Organization shall have authority to act on behalf of any Insurer which is a member of or subscriber to such Rating Organization except as authorized in writing by such member or subscriber, which authority may be supplemented, modified or revoked, in whole or in part, at any time by such member or subscriber at its option.

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(j) No Rating Organization shall have or adopt any rule or execute any agreement, or formulate or engage in any program, the effect of which would be to require any member, subscriber or other Insurer to utilize some or all of its services, or to adhere to its Rates, rating plans, rating systems, underwriting rules, or policy forms, or to prevent any Insurer from acting independently. (k) Notwithstanding 211 CMR 79.09(6)(a), in a Competitive Market no Rating Organization shall prepare or file an Advisory Filing for any motor vehicle coverage subject to M.G.L. c. 175E, that includes a coverage level rate that is based on the total loss experience of all companies.

(2) Penalties and Actions. The Commissioner shall disapprove any Rate or Advisory Filing that does not comply with M.G.L. c. 175E, § 6 or 211 CMR 79.09(1), and shall seek appropriate injunctive relief and penalties in order to enforce strictly the provisions of M.G.L. c. 175E, § 6 and 211 CMR 79.09.

(3) Affiliated Insurers. The provisions of 211 CMR 79.09(1) shall not be construed to prohibit two or more Insurers in an Insurance Company Group, from having the right to exchange statistical information.

(4) The fact that two or more Insurers, whether or not members or subscribers of a Rating Organization, use, either consistently or intermittently, the manuals of Classification Plans, rules and Rates, rating plans, modifications of any of the foregoing or recommendations of such organizations, shall not be sufficient in itself to support a finding that an agreement to adhere exists, and may be used only for the purpose of supplementing or explaining direct evidence of the existence of any such agreement.

(5) Notwithstanding M.G.L. c. 175A; M.G.L. c. 175E, § 6 and any other provision of 211 CMR 79.09, a Rating Organization, with the participation of its members, may: (a) Develop and make recommendations to the Commissioner with respect to statistical plans. (b) Collect, compile and distribute statistical information to its members and subscribers, provided such information shall be supplied upon request to the Division and may be supplied, upon payment of a reasonable charge therefore, to any Insurer or other person, whether or not a member or subscriber of the Rating Organization. (c) Prepare, distribute and file Rating Manuals on behalf of any member or subscriber that authorizes it to make such a filing in accordance with M.G.L. c. 175E, § 6(a)(10). (d) Prepare, distribute and file policy forms and endorsements on behalf of any member or subscriber that authorizes it to make such a filing in accordance with M.G.L. c. 175E, § 6(a)(10). (e) Conduct and publish studies of general actuarial and rate making issues, provided such studies shall be supplied, upon request, to the Division and, upon payment of reasonable charge therefore, to any Insurer or other person, whether or not a member or subscriber of the Rating Organization. (f) Perform any other actions in connection with motor vehicle insurance Rates which are not inconsistent with M.G.L. c. 175E.

(6) Notwithstanding M.G.L. c. 175A; G.L. c. 175E, § 6 and any other provision of 211 CMR 79.09, a Rating Organization, without the participation of its members, may: (a) Prepare and file an Advisory Filing for any motor vehicle coverage subject to M.G.L. c. 175E, based exclusively on the collective loss and exposure experience of the Under One-percent Companies for the purpose of establishing average coverage level rates; provided, however, that such an Advisory Filing may include the experience of all companies for the purpose of establishing rate relativities and factors supporting the Classification Plan. (b) Prepare and file a Rate Filing on behalf of CAR if CAR authorizes it to make such a filing. (c) Prepare and file a Rate Filing on behalf of an Under One-percent Company, as determined under M.G.L. c. 175E, § 4(e) and 211 CMR 79.00, and which authorizes it to make such a filing in accordance with M.G.L. c. 175E, § 6(a)(10).

10/19/07 211 CMR - 548 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

79.09: continued

(d) If an Under One-percent Company has Expenses, including commissions, prior to trending, which are 80% or less than those underlying the Advisory Filing made by a Rating Organization on behalf of such Companies or the Rate Filing of another Insurer which is adopted by such Insurer, the Under One-percent Company shall not adopt that external Advisory Filing without deviating therefrom so as to reflect its lower Expenses, unless specific and substantial reasons for not so deviating have been provided to and approved by the Commissioner.

79.10: Consumer Information and Disclosures

(1) The Commissioner may establish rules annually by which Insurers shall produce an information guide which outlines in language prescribed or approved by the Commissioner the various choices of private passenger motor vehicle insurance coverage available to insureds and an estimate of differences in cost among various coverages and Insurers. Each Insurer or Insurance Company Group shall bear full responsibility for assuring that the information contained in the guide is accurate and that a copy of the guide is forwarded to every person insured or solicited for insurance by that company or its insurance producers.

(2) Insurers and insurance producers shall disclose in simple language to every person they insure or solicit for insurance that person's private passenger motor vehicle insurance coverage options, including the option to exclude oneself and members of one's household from personal injury protection coverage, as defined by M.G.L. c. 90, § 34A. The Commissioner shall prescribe the form, content, and timing of said disclosures.

(3) Insurers or insurance Company Groups that host Internet websites shall make available on the websites information setting forth private passenger motor vehicle insurance coverage and price options for private passenger motor vehicle insurance in Massachusetts, or else conspicuously set forth a telephone number(s) at which a consumer may obtain this information.

79.11: Initiation of a Hearing on a Rate Filing

(1) Adjudicatory Proceeding. A hearing on a Rate Filing is an adjudicatory proceeding.

(2) Initiation by the Commissioner. The Commissioner unilaterally may initiate a hearing on a Rate Filing prior to its effective date after at least ten days’ notice.

(3) Motion by the Attorney General. The Commissioner shall initiate a hearing on a Rate Filing under M.G.L. c. 175E, § 7 if the Commissioner receives a written motion to do so from the Attorney General dated no later than 20 days after the submission of the Rate Filing. The Attorney General must serve simultaneously a copy of such motion on the Filer.

(4) Motion by Insurance Producer. The Commissioner shall call a hearing on a Rate Filing under M.G.L. c. 175E, § 7 if the Commissioner receives a written motion to do so from any insurance producer of any Insurer to which such Rate Filing is applicable or from any association representing insurance producers no later than ten days after the submission of the Rate Filing, provided: (a) the Rate Filing proposes a change in the relationship between the proposed Rates and the commission expense provisions in the Rates from the relationship in the rates previously in effect for the Insurer or Insurance Company Group involved; and (b) the Commissioner determines that any such request is in good faith and is supported by reasonable grounds; and (c) The producer serves a copy of such motion simultaneously on the Filer.

(5) Form of Request. Concurrent with a motion requesting a hearing pursuant to 211 CMR 79.11, the moving Party shall submit to the Commissioner and to the Filer, a detailed statement of issues specifying each aspect of the Rate Filing on which a hearing is sought and the reasons why the Rate Filing is alleged to violate M.G.L. c. 175E; M.G.L. c. 175A; or 211 CMR 79.00 et seq. The statement also shall identify and provide contact information, including a mailing address, telephone and FAX numbers and e-mail address for the person appearing on behalf of the moving Party. If the moving Party will be represented by counsel, the statement shall include a notice of appointment of counsel that provides the above information.

10/19/07 211 CMR - 549 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

79.11: continued

(6) Notice of Hearing . Not less than ten days prior to the date scheduled for a hearing, the Commissioner shall notice a hearing by publishing such notice in at least one newspaper of general circulation printed in Massachusetts. The Filer shall pay the costs associated with such publication. Concurrently, the Commissioner shall cause notice of the hearing to be given to the Filer and to the producer or the Attorney General who requested the hearing. Each notice shall contain: (a) the date, time and location of the hearing; (b) the subjects and issues involved in the hearing; (c) a statement as to whether the operation of the Rate Filing has been suspended in accordance with 211 CMR 79.11; and (d) any other necessary miscellaneous information.

(7) Consolidation of Rate Hearings. If the Commissioner determines that hearings have been initiated on two or more Rate Filings that are similar in scope or raise similar issues, the Commissioner may consolidate such hearings for purposes of considering such issues.

(8) Initiation of Hearing. The initiation of a hearing occurs when the docket is opened for such matter.

79.12: Pre-hearing Procedures

Submission of Lists of Witnesses and Documents. No less than seven days prior to the scheduled date of a hearing, each Party shall submit to the Presiding Officer and serve on the other Parties a list of witnesses which it intends to call to testify. This list shall include the occupation and qualifications of each witness, a statement of the subject matter and a summary of the opinions to which each witness will testify, and an estimate of the time required for such testimony. Each Party also shall submit a list of documents it intends to introduce at the hearing. A Party who objects to any witness or document must submit the objections in writing within three business days after receiving such information from the other Party. The Presiding Officer may, in his or her discretion, require additional submissions from the Parties prior to the hearing.

79.13: Conduct of the Hearing

(1) Ex Parte Communications. From the initiation of a hearing subject to 211 CMR 79.00 until the rendering of a final decision, no person who is not employed by the Division shall communicate ex parte with the Commissioner or Presiding Officers with respect to the substance of that proceeding; provided that a request for a report concerning the status of a proceeding or an inquiry as to the Division's practice or procedure shall not be prohibited. If the Commissioner or Presiding Officer determines that a Party or his agent has violated 211 CMR 79.13(1), he or she may exclude the Party from the hearing or decide against the Party with prejudice. If the Presiding Officer determines that a person not a Party has violated 211 CMR 79.13(1), he or she may exclude that person from the hearing.

(2) Motions. The Presiding Officer may make rulings regarding the admissibility of evidence or any other matter which may arise during a hearing. Any Party making application to the Presiding Officer for a ruling on any issue other than the admissibility of evidence shall do so by motion which shall state the ruling sought and the grounds therefore. The Presiding Officer may require that a motion be presented in writing. The Presiding Officer may, in his or her discretion, hear oral argument on a motion prior to making a decision therein thereon.

(3) Objections to Rulings. At the time that the Presiding Officer makes a ruling, any Party shall make known any objection to the ruling and his grounds, provided that if a Party has no opportunity to object to a ruling at the time it is made, such Party may, within three days of receipt of the ruling, state in writing any objection and the grounds.

10/19/07 211 CMR - 550 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

79.13: continued

(4) Official Notice. The Presiding Officer may take official notice of any fact which may be judicially noticed by the courts of Massachusetts, and in addition, may take official notice of general, technical or scientific facts within the Presiding Officers specialized knowledge or information contained in documents filed with the Division; provided that the Presiding Officer shall notify all Parties of the material so noticed, and provided further that any Party, upon timely request, shall be afforded an opportunity to contest the facts so noticed.

(5) Evidence. The Presiding Officer need not observe the rules of evidence observed by the courts of the United States or of Massachusetts, but shall observe the rules of privilege recognized by Massachusetts law. Evidence may be admitted and given probative effect only if it is the kind of evidence on which reasonable persons are accustomed to rely in the conduct of serious affairs. The Presiding Officer may exclude testimony or evidence which is determined to be unduly repetitious or to have an unreasonably dilatory effect upon the hearing process. All evidence, including any documents in the possession of the Division of which the Presiding Officer desires to rely on in making a decision, shall be offered and made a part of the record in the hearing.

(6) Cross-examination and Rebuttal Evidence. A Party shall have the right to call and examine witnesses, to cross-examine witnesses, and to submit affirmative and rebuttal evidence.

(7) Offers of Proof. Any offer of proof made in conjunction with an objection to a ruling by the Presiding Officer rejecting or excluding evidence shall consist of a statement of the substance of the evidence which the Party making such offer contends would be adduced by the testimony, and if the rejected or excluded evidence consists of documents or of references to documents, a copy of such documents shall be marked for identification and shall constitute the offer of proof.

(8) Oral Argument. The Presiding Officer may, either on the officer’s own motion or on the motion of any Party, allow and designate time for the presentation of opening and closing arguments.

(9) Transcripts. All proceedings in a hearing shall be officially recorded and transcribed by a reporter approved by the Division. The Filer shall pay the cost of the reporter's fees, together with the cost of providing the Division with a copy of the transcript. Other entities may obtain copies of the transcript from the reporter at cost.

(10) Briefs. At the Presiding Officer’s discretion, a Party may submit a brief within such time as the Presiding Officer shall specify. A Party which desires additional time in which to file a brief may request an extension by written motion within the period specified. Each Party who files a brief shall submit two copies to the Division, except where a different number is permitted or directed by the Presiding Officer, and shall serve one copy on all other Parties.

(11) Burden of Proof. In any hearing conducted under M.G.L. c. 175E, the burden shall be on the Filer to justify that the Rate Filing complies with M.G.L. c. 175E; M.G.L. c. 175A and 211 CMR 79.00.

79.14: Decisions and Remedies

(1) The decision of the Commissioner or Presiding Officer shall be in writing. It shall be accompanied by a statement of reasons, including determinations of each issue of fact or law necessary to the decision. The Presiding Officer shall notify all Parties of the decision, of their right to appeal the decision, and of the time within which such right may be enforced.

(2) If, after a bad faith hearing conducted under M.G.L. c. 175E, § 9, the Commissioner finds that the Filer has failed to justify its Rate Filing, the Commissioner may order that all policies written under such bad-faith Rate Filing be rewritten at Rates meeting the requirements of 211 CMR 79.00 from the date of inception of such policies, or that all such policies be cancelled on a pro rata basis.

10/19/07 211 CMR - 550.1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

79.15: Use of Unauthorized Rates

No Insurer or Insurance Company Group shall make or issue a contract or policy for private passenger motor vehicle insurance in the Voluntary or Residual Market except in accordance with Rate Filings made by or on behalf of the Insurer or Insurance Company Group as provided in the relevant provisions of M.G.L. c. 175A; M.G.L. c. 175E; and 211 CMR 79.00. Violation of 211 CMR 79.15 and 211 CMR 79.07(3)(c) and (4)(d) shall be subject to the penalties provided in M.G.L. c. 175E, § 12.

79.16: False or Misleading Information

No person or organization shall willfully withhold information from, or knowingly give false or misleading information to the Commissioner, any statistical agent, any Rating Organization or any Insurer that will affect the Rates or Premiums charged under M.G.L. c. 175A or M.G.L. c. 75E. Violation of 211 CMR 79.16 shall be subject to the penalties provided in M.G.L. c. 175E, § 12.

79.17: Examinations

(1) Insurers and Insurance Company Groups. Pursuant to M.G.L. c. 175, § 4 and M.G.L. c. 175E, § 8, the Commissioner may examine any Insurer to ascertain whether its rating and underwriting practices comply with the law. Final reports on examinations shall be available for public inspection

(2) Rating Organizations. Pursuant to M.G.L. c. 175A, § 14 and M.G.L. c. 175E, § 8, the Commissioner may examine any Rating Organization to ascertain whether its rating and underwriting practices comply with the law. Final reports on examinations shall be available for public inspection.

(3) CAR. Pursuant to M.G.L. c. 175, § 4, the Commissioner may examine CAR to ascertain whether its rating practices comply with the law. Final reports on examinations shall be available for public inspection.

79.18: Penalties

In addition to the penalties set forth in M.G.L. c. 175A, § 18 and M.G.L. c. 175E, § 12, the Commissioner may suspend the certificate of authority or license of any Insurer or Rating Organization which fails to comply with an order of the Commissioner under M.G.L. c. 175A; M.G.L. c. 175E; or 211 CMR 79.00 within the time limited by such order, or any extension thereof which the Commissioner may grant. The Commissioner shall not suspend the certificate of authority or license of any Insurer or Rating Organization for failure to comply with an order until the time prescribed for an appeal therefrom has expired or, if an appeal has been taken, until such order has been affirmed. The Commissioner may determine when a suspension of certificate of authority or license shall become effective and it shall remain in effect for the period fixed by the Commissioner, unless the Commissioner modifies or rescinds such suspension or until the order upon which such suspension is based is modified, rescinded or reversed. No certificate of authority or license shall be suspended or revoked except upon a written order of the Commissioner, stating the findings, made after a hearing held upon not less than ten days written notice to such organization specifying the alleged violation.

79.19: Transition from Fixed-and-establish Market to Competitive Market

(1) 2007 Rates. The 2007 Rates for private passenger motor vehicle insurance, fixed-and- established by the Commissioner on December 15, 2006, shall expire on March 31, 2008.

(2) Transition Period. A transition period from the Fixed-and-established Market to the Competitive Market will exist through March 31, 2009. Transition Rate Filings and Transition Advisory Filings shall comply with the provisions set forth in 211 CMR 79.19 notwithstanding any other provision of 211 CMR 79.00.

10/19/07 211 CMR - 550.2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

79.19: continued

(3) Transition Rate and Advisory Filings. The following provisions shall apply to all Transition Rate Filings and Transition Advisory Filings: (a) Rates That Do Not Vary by Territory. Any Rate for any coverage that did not vary by rating territory for policies with effective dates of April 1, 2007 through March 31, 2008 shall not vary by rating territory for policies with effective dates of April 1, 2008 through March 31, 2009. (b) Annual Mileage Discount. Transition Rate Filings and Transition Advisory Filings shall include low mileage discounts on all Premiums paid for bodily injury liability, personal injury protection, property damage liability, collision, or limited collision coverages that Insurers shall provide to eligible policyholders that can demonstrate that the annual mileage of the vehicle was less than 5,000 miles during the previous policy year. (c) Commission Rate. Transition Rate Filings and Transition Advisory Filings shall include a commission for insurance producers as required by M.G.L. c. 175, § 162E. (d) Motor Vehicle Series Rating. Transition Rate Filings for Rates that become effective on April 1, 2008 shall adopt the symbol and identification section and model year and rate symbol rating relativities contained in the AIB’s Transition Advisory Filing.

(4) Transition Advisory Filing Requirements. The following provisions shall apply to Transition Advisory Filings: (a) Time for Filing. The AIB shall file a Transition Advisory Filing based on the collective experience of each Insurer or Insurance Company Group that qualifies as an Under One- percent Company no later than October 22, 2007. (b) Rating Manual. The Transition Advisory Filing shall adopt the content of the rating rules and plans in the 2007 Massachusetts Private Passenger Automobile Insurance Manual as its rating rules and plans, except for the reference to Endorsement M-0101-S in rule 4.A.2, which shall not be adopted. (c) Rate Level Change Calculations. The loss and exposure experience underlying the proposed percentage changes to the 2007 average Rate levels for each coverage shall be limited to the Under One-percent Companies’ experience with CAR ID Codes 0 and 1. The expense experience shall be limited to the historical expenses of the Under One-percent Companies. No more than the most recent available five calendar/accident years of losses, claims and loss adjustment expenses may be used as the basis for establishing prospective changes to the 2007 average Rate for each coverage. Loss development factors and loss trend estimates shall be based on any sound actuarial method, and may rely on an experience period that is either longer or shorter than five years. To the extent the indicated Rate level change based on this experience is not regarded to be fully credible by the AIB, the 2007 average Rate for the Under One-percent Companies shall be the full complement of credibility. (d) Complement of Credibility. To the extent that the loss development and trend estimates underlying the Rate level change calculation is not regarded by the AIB to be fully credible, the estimates derived by applying the same ratemaking method to the collective losses of Insurers who do not qualify as Under One-percent Companies with CAR ID Codes 0 and 1 shall be the full complement of credibility. (e) Merit Rating Plans. The Transition Advisory Filing shall adopt the Merit Rating plan that is described as the safe driver insurance plan in Rules 28 and 56 of the 2007 Massachusetts Private Passenger Automobile Insurance Manual. (f) Advisory Rates. The Rates and Rating Factors contained in the Advisory Filing shall be submitted on filing forms prescribed by the Commissioner. Any Rate level change for any coverage from the 2007 Rate shall be applied uniformly across rating territories within any given operator rate class. The percentage change shall apply to the 2007 base Rates in 211 CMR 79.21: Exhibit A. (g) Advisory Rating Factors. The use of total industry loss and exposure data (all companies, all CAR ID Codes) may be used to establish the following Rating Factors: rate symbol and model year factors, annual mileage discounts, limits of coverage, deductibles and any new or current discount(s). The filing will clearly display these factors both with and without recognition of the Under One-percent Companies’ expense loadings. The ratemaking methods used to derive these Rating Factors shall be in accordance with any rulings established in the Commissioner’s Opinion, Findings, and Decision on 2007 Private Passenger Automobile Insurance Rates.

10/19/07 211 CMR - 550.3 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

79.19: continued

(h) New Discounts. New Rate discounts may be proposed for policies with effective dates of April 1, 2008 through March 31, 2009. (i) Residual Market Load. Proposed Rates may include a prospective provision for the underwriting losses associated with the Under One-percent Companies’ servicing of the Residual Market. Such load shall be a uniform dollar amount for each motor vehicle insured through the Voluntary Market, and may vary by coverage. (j) Premium Changes. The proposed percentage change to the 2007 individual motor vehicle Premiums set forth in the Transition Advisory Filing shall be submitted electronically with the Filing in a Microsoft Access format prescribed by the Commissioner. This information shall be summarized further so as to indicate the number of motor vehicles subject to varying ranges of Premium change on a form prescribed by the Commissioner.

(5) Residual Market Transition Rate Filing Requirements. The following provisions shall apply to the Residual Market Transition Rate Filing: (a) Time for Filing. A Transition Rate Filing, based solely on the collective Residual Market loss, expense, and exposure experience of each Insurer or Insurance Company Group ceded to CAR, shall be filed by or on behalf of CAR no later than October 24, 2007. This Residual Market Transition Rate Filing shall propose Rates that become effective as of April 1, 2008 and shall apply throughout the transition period set forth in 211 CMR 79.19(2) equally to motor vehicles that are ceded to CAR and motor vehicles that obtain insurance through the Massachusetts Automobile Insurance Plan. (b) Rating Manual. The Residual Market Transition Rate Filing shall adopt the content of the rating rules and plans in the 2007 Massachusetts Private Passenger Automobile Insurance Manual as its rating rules and plans. Changes may be proposed to the content of the 2007 Massachusetts Private Passenger Automobile Insurance Manual rules with the following exceptions: 1. The rule numbers and captions may not be changed. No new rules may be introduced. 2. The substance of Rules 3, 4B, 4C, 4D, 5, 8, 10-12, 15-18, 21, 23-25, 27-28, 30-34, 44, 54-58, and rating territory definitions may not be changed. 3. While the actual Rates shown on pages R70-75 in the “2007 Massachusetts Private Passenger Automobile Insurance Manual” may be changed based on experience, a Rate must be calculated for all territories, operator classes, vehicle size groups, coverage limits, and coverage deductibles shown on those pages. (c) Rate Level Change Calculations. The loss and exposure experience underlying the Residual Market Transition Rate Filing shall be limited to experience with CAR ID Codes 4 and 5. The expense experience shall be limited to the expenses of all Insurers who are servicing carriers for CAR. No more than the most recent available two accident years of losses, claims, and loss adjustment expenses shall be used as the basis for establishing prospective changes to the 2007 average Rate for each coverage. Loss development factors and loss trend estimates shall be based on any sound actuarial method, and may rely on an experience period that is either longer or shorter than two years. To the extent the indicated Rate level change based on this experience is not regarded by CAR to be fully credible, the 2007 average Rate for the motor vehicles and operators insured through CAR shall be the full complement of credibility. (d) Complement of Credibility. To the extent that the loss development or trend estimates underlying the Rate level change calculation are not regarded by CAR to be fully credible, the estimates used to develop the 2007 Rate shall be the full complement of credibility. (e) Merit Rating Plans. The Residual Market Transition Rate Filing shall adopt the Merit Rating plan that is described as the safe driver insurance plan in Rules 28 and 56 of the 2007 Massachusetts Private Passenger Automobile Insurance Manual. (f) Rates. The proposed Rates shall not include any adjustment for that portion of the indicated Rate need that results because the subsidies in the 2007 Rates are not revenue neutral for the Residual Market. The Rates and Rating Factors contained in the Residual Market Transition Rate Filing shall be submitted on filing forms prescribed by the Commissioner. Any Rate level change for any coverage from the 2007 Rate shall be applied uniformly across rating territories and operator rate classes. The percentage change shall be applied to the 2007 base Rates in 211 CMR 79.21: Exhibit A.

10/19/07 211 CMR - 550.4 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

79.19: continued

(g) Rating Factors. The Residual Market Transition Rate Filing shall include the model year and rate symbol relativities in the AIB’s Advisory Filing for Under One-percent Companies. All other Rating Factors shall remain unchanged from those applicable to policies with effective dates of April 1, 2007 through March 31, 2008. (h) New Discounts. No new Rate discounts may be introduced for policies with effective dates of April 1, 2008 through March 31, 2009.

(6) Voluntary Market Transition Rate Filing. The following provisions shall apply to each Transition Rate Filings by or on behalf of Insurers and Insurance Company Groups: (a) Time for Filings. No later than November 19, 2007, each Insurer or Insurance Company Group intending to issue private passenger motor vehicle insurance policies between April 1, 2008 and April 30, 2008 shall file an initial Transition Rate Filing proposing Rates to be effective as of April 1, 2008, unless: 1. a Rating Organization has on or before that date filed a Transition Rate Filing on behalf of the Insurer or Insurance Company Group; or 2. the Insurer is an Under One-percent Company that on or before that date provided notice to the Commissioner in writing that it intends to adopt the Rates contained in the AIB’s Transition Advisory Filing. Transition Rate Filings for Rates with effective dates on or after May 1, 2008 may, subject to the 45 day review period set forth in M.G.L. c. 175E, § 7, and 211 CMR 79.06(1)(a), be filed anytime after February 15, 2008. (b) Subsequent Filings. Insurers and Insurance Company Groups may make additional Transition Rate Filings during the course of the transition period set forth in 211 CMR 79.19(2). (c) Amendments. Filers may amend any Voluntary Market Transition Rate Filings made pursuant to 211 CMR 79.19(6)(a) through the fifth business day following the Division’s receipt of Filing. (d) Rating Manual. Each Transition Rate Filing shall adopt the content of the rating rules in the 2007 Massachusetts Private Passenger Automobile Insurance Manual as its rating rules. Changes may be proposed to the content of the 2007 Massachusetts Private Passenger Automobile Insurance Manual rules with the following exceptions: 1. The rule numbers and captions may not be changed. Rule numbers captioned “Reserved for Future Use” may be activated. 2. The substance of Rules 3, 4B, 4C, 4D, 5, 8, 11-12, 15-18, 21, 23-25, 27-28, 30-34, 54, 55, 57-58, and rating territory definitions may not be changed. (e) Rate Level Change Calculations. The loss and exposure experience underlying the Transition Rate Filing shall be limited to the experience with CAR ID Codes 0 and 1. The expense experience shall be limited to the expenses of the specific Insurer making the Transition Rate Filing unless the Insurer qualifies as an Under One-percent Company. For the purpose of establishing prospective changes to the 2007 average Rate for each coverage, the experience period for Insurers who do not qualify as an Under One-percent Company shall be limited to the most recent available three accident years of losses, claims, and loss adjustment expenses. Loss development factors and loss trend estimates shall be based on any sound actuarial method, and may rely on an experience period that is either longer or shorter than three years. To the extent the indicated Rate level change based on this experience is not regarded by the Insurer to be fully credible, the 2007 average Rate for the motor vehicles insured by the Insurer shall be the full complement of credibility. (f) Complement of Credibility. To the extent that the loss development estimates underlying the Rate level change calculation are not regarded by the Insurer to be fully credible, the estimates used to develop the 2007 Rate shall be the full complement of credibility. (g) Operator Rate Classes. Each Transition Rate Filing shall adopt as part of its Rating Manual the operator classes defined in the 2007 Massachusetts Private Passenger Automobile Insurance Manual in Rule 28.B. Transition Rate Filings may include actuarially supported proposals to adjust the Rate within each of these operator classes by a common percentage applied uniformly across rating territories to more accurately reflect the actual number of years a driver has been licensed.

10/19/07 211 CMR - 550.5 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

79.19: continued

(h) Merit Rating Plans. Transition Rate Filings may include independently developed Merit Rating plans. A voluntary Merit Rating adjustment must be filed for all risks, including risks that are eligible for coverage in the Massachusetts Automobile Insurance Plan. Transition Rate Filings that include independent Merit Rating plans must also include accompanying rules in the Rating Manual. In the alternative, the Transition Rate Filing may adopt as its Merit Rating plan the safe driver insurance plan described in Rules 28 and 56 of the 2007 Massachusetts Private Passenger Automobile Insurance Manual. (i) Residual Market Load. A prospective provision for the underwriting losses associated with the Residual Market may be included in proposed Rates. Such load shall be a uniform dollar amount for each motor vehicle, and may vary by coverage. (j) Rates. The Rates and Rating Factors contained in the Transition Rate Filing shall be submitted on filing forms prescribed by the Commissioner. Any coverage level Rate change to the 2007 Rate that is not associated with changes to a specific Rating Factor other than territory shall be applied uniformly across rating territories for any given operator class to the 2007 base Rates attached as 211 CMR 79.00: Exhibit A. (k) Rating Factors. Transition Rate Filings to be filed on November 19, 2007, for rates effective April 1, 2008 shall include the model year and rate symbol relativities in the AIB’s Advisory Filing for Under One-percent Companies. (l) New Discounts. New Rate discounts may be introduced for policies with effective dates of April 1, 2008 through March 31, 2009. (m) Premium Changes. The percentage change to the 2007 individual motor vehicle Premiums proposed in the Transition Rate Filing shall be submitted electronically with the Filing in a Microsoft Access format prescribed by the Commissioner. This information must be summarized further so as to indicate the number of motor vehicles subject to varying ranges of Premium change on a form prescribed by the Commissioner. (n) New Entrants. Notwithstanding any other provision of 211 CMR 79.19, Insurers and Insurance Company Groups not issuing Massachusetts private passenger motor vehicle insurance policies as of October 19, 2007, that seek to issue such policies on or after April 1, 2008, may rely on judgment or equivalent out-of-state data in a Transition Rate Filing to the extent that required data is not available or applicable to the Filer.

79.20: Severability

The provisions of 211 CMR 79.00 are severable. If any section, subsection, division, subdivision, paragraph, sentence or clause of 211 CMR 79.00 is held invalid or unconstitutional, such decision shall not affect the remaining portions of 211 CMR 79.00.

10/19/07 211 CMR - 550.6 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

79.21: Exhibit A

2007 Massachusetts Private Passenger Automobile Insurance Rates Class-Territory Base Rates Part 1 (20/40 Compulsory BI) Class Class Class Class Class Class Class Class Territory 10 17 18 20 21 25 26 30 1 111 200 125 374 197 337 177 108 2 121 218 140 406 223 366 201 117 3 127 229 151 441 239 397 215 124 4 137 254 156 489 277 440 249 132 5 140 253 176 514 296 463 266 139 6 152 281 174 551 339 496 305 148 7 155 271 192 585 345 527 310 150 8 165 301 198 615 371 554 334 161 9 189 323 225 637 387 573 348 184 10 191 378 252 678 446 610 402 194 11 185 411 249 667 449 600 404 210 12 205 392 272 668 482 601 434 200 13 233 426 293 669 485 602 436 227 14 261 446 328 658 501 592 451 254 15 310 497 344 656 541 591 487 297 16 260 507 449 642 524 578 472 267 17 198 383 241 652 386 586 347 199 18 202 500 274 669 482 602 434 229 19 245 489 325 639 489 576 440 273 20 227 499 306 663 503 597 453 251 21 278 503 416 644 529 580 476 386 22 274 503 405 645 520 581 468 374 23 209 464 324 652 480 587 432 212 24 211 414 267 655 431 589 388 214 25 209 468 281 657 495 591 446 228 26 257 508 359 641 528 577 475 248 27 96 183 107 335 167 302 150 99 40 241 453 298 663 473 597 426 254 41 250 450 329 667 500 600 450 257 42 308 497 355 660 540 594 486 313 43 276 490 347 658 540 593 486 298 44 250 516 454 652 530 587 477 254 45 286 481 343 659 537 593 483 297

Note: The above rates are applicable to insureds with zero SDIP points. Class 15 rates are 75% of Class 10 final rates for all coverages.

10/19/07 211 CMR - 550.7 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

79.21: continued

Exhibit A: continued

2007 Massachusetts Private Passenger Automobile Insurance Rates Class-Territory Base Rates Part 4 ($5000 PDL) Class Class Class Class Class Class Class Class Territory 10 17 18 20 21 25 26 30 1 142 254 180 500 310 450 279 149 2 154 267 185 539 332 485 299 157 3 157 274 197 560 335 504 301 167 4 167 285 200 600 359 540 323 183 5 167 288 199 619 381 557 343 187 6 177 294 211 623 394 561 355 190 7 182 297 223 641 420 577 378 198 8 184 315 229 662 421 596 379 207 9 190 322 227 674 423 607 381 196 10 192 326 229 679 426 611 383 197 11 189 346 234 673 424 606 381 199 12 210 353 250 689 454 620 409 214 13 219 352 249 688 454 620 409 219 14 229 381 264 691 469 622 422 235 15 245 419 280 702 507 632 456 250 16 215 412 277 687 455 618 410 222 17 198 381 237 688 401 619 361 198 18 217 428 264 704 456 634 411 214 19 226 422 271 683 440 615 396 219 20 210 420 255 699 445 629 401 221 21 247 463 297 688 498 619 448 248 22 313 494 368 686 535 618 482 306 23 189 431 277 698 462 628 416 207 24 230 431 276 701 443 631 398 225 25 218 467 274 703 490 633 441 231 26 261 478 338 686 523 617 470 258 27 137 242 162 473 275 426 247 137 40 203 379 251 688 433 619 390 234 41 206 369 260 688 460 619 414 218 42 207 398 283 706 500 636 450 245 43 238 409 281 705 507 634 456 242 44 189 402 273 687 455 618 409 195 45 242 410 276 705 504 635 453 246

Note: The above rates are applicable to insureds with zero SDIP points. Class 15 rates are 75% of Class 10 final rates for all coverages.

10/19/07 211 CMR - 550.8 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

79.21: continued

Exhibit A: continued

2007 Massachusetts Private Passenger Automobile Insurance Rates Class-Territory Base Rates Part 2 (Personal Injury Protection) Class Class Class Class Class Class Class Class Territory 10 17 18 20 21 25 26 30 1 46 79 52 146 81 131 73 46 2 49 86 57 158 89 142 80 48 3 54 89 61 171 95 154 85 52 4 56 99 63 189 109 170 98 55 5 58 98 70 199 116 179 105 58 6 62 109 70 213 133 191 119 61 7 63 105 76 226 135 203 121 61 8 67 116 79 237 145 213 130 65 9 77 124 89 245 151 221 136 74 10 78 145 99 256 173 230 156 77 11 76 158 98 252 174 227 157 83 12 82 151 106 252 187 227 168 79 13 93 168 114 252 188 227 169 90 14 104 177 127 248 194 224 175 100 15 120 195 133 248 209 223 188 113 16 104 199 173 242 202 218 182 106 17 80 147 95 251 151 226 135 80 18 81 191 107 253 187 227 168 92 19 98 192 127 241 189 217 170 108 20 90 197 119 250 195 225 175 103 21 110 197 164 243 204 219 184 153 22 108 197 161 244 201 219 181 148 23 82 184 126 246 186 221 167 84 24 85 159 105 247 167 222 151 85 25 84 184 110 248 192 223 172 94 26 102 199 139 242 204 218 184 99 27 40 72 44 131 68 118 61 43 40 97 178 116 250 183 225 165 100 41 98 178 128 252 193 227 174 101 42 121 195 138 249 208 224 188 121 43 108 192 135 249 209 224 188 116 44 99 202 175 246 205 222 184 101 45 112 189 133 249 207 224 187 116

Note: The above rates are applicable to insureds with zero SDIP points. Class 15 rates are 75% of Class 10 final rates for all coverages.

10/19/07 211 CMR - 550.9 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

79.21: continued

Exhibit A: continued

2007 Massachusetts Private Passenger Automobile Insurance Rates Class-Territory Base Rates Part 5 (20/40 Optional BI) Class Class Class Class Class Class Class Class Territory 10 17 18 20 21 25 26 30 1 18 36 23 62 33 56 3 018 2 19 39 25 67 37 61 3 319 3 20 41 27 73 40 66 3 620 4 22 46 28 81 46 73 4 122 5 22 46 31 86 49 77 4 424 6 24 51 31 92 56 82 5 025 7 25 49 34 97 57 87 5 125 8 26 54 35 102 61 92 55 27 9 31 58 40 105 64 95 57 30 10 31 64 45 107 72 97 65 31 11 32 71 43 105 73 95 66 36 12 34 69 48 106 79 95 71 37 13 38 77 52 106 80 95 72 38 14 43 82 57 104 82 94 73 42 15 53 89 61 104 89 94 80 52 16 58 86 73 100 86 90 77 60 17 33 65 41 107 63 96 56 33 18 40 87 48 104 79 94 71 46 19 45 86 55 101 80 91 72 52 20 45 89 55 104 81 94 73 52 21 61 87 74 102 87 92 78 75 22 60 87 74 101 86 91 77 73 23 33 86 55 101 78 91 70 35 24 34 69 45 101 69 91 62 36 25 39 87 50 104 81 93 73 42 26 47 86 60 101 86 91 77 47 27 17 33 19 56 28 50 25 17 40 38 80 52 104 78 94 70 40 41 40 82 57 105 82 94 73 42 42 50 89 61 104 88 93 79 53 43 47 88 61 103 88 93 79 52 44 52 87 74 101 86 91 77 60 45 48 89 61 105 88 94 79 52

Note: The above rates are applicable to insureds with zero SDIP points. Class 15 rates are 75% of Class 10 final rates for all coverages.

10/19/07 211 CMR - 550.10 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

79.21: continued

Exhibit A: continued

2007 Massachusetts Private Passenger Automobile Insurance Rates Class-Territory Base Rates Part 7 $500 Deductible (Collision) Class Class Class Class Class Class Class Class Territory 10 17 18 20 21 25 26 30 1 210 462 278 845 467 760 420 209 2 219 468 280 882 458 794 412 218 3 222 491 299 898 483 808 435 221 4 232 510 303 928 515 835 463 231 5 235 514 311 941 540 847 486 234 6 250 549 330 970 572 873 515 248 7 264 562 356 967 598 870 539 259 8 270 556 372 965 596 869 536 268 9 270 555 353 960 598 864 538 268 10 263 568 355 963 615 867 553 266 11 285 635 388 938 623 844 560 284 12 316 653 407 942 682 847 613 315 13 318 592 433 949 688 854 619 314 14 352 656 471 927 719 834 647 350 15 421 688 508 924 752 832 676 411 16 372 667 459 901 640 811 576 358 17 297 626 391 952 593 857 534 296 18 362 693 461 929 696 836 626 354 19 376 705 525 901 725 811 652 374 20 402 704 510 915 722 823 650 390 21 418 716 586 909 821 818 739 503 22 464 709 602 900 793 810 714 624 23 320 710 565 926 750 834 675 360 24 351 682 496 924 700 832 630 349 25 369 720 544 939 753 845 678 388 26 435 717 595 901 782 811 704 477 27 200 441 256 818 433 736 390 199 40 322 620 440 935 673 841 606 328 41 300 638 461 942 706 848 635 312 42 347 683 525 936 753 842 678 338 43 373 679 508 922 756 830 680 364 44 339 682 447 924 640 832 576 326 45 388 670 511 926 752 833 677 378

Note: The above rates are applicable to insureds with zero SDIP points. Class 15 rates are 75% of Class 10 final rates for all coverages.

10/19/07 211 CMR - 550.11 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

79.21: continued

Exhibit A: continued

2007 Massachusetts Private Passenger Automobile Insurance Rates Class-Territory Base Rates Part 9 $500 Deductible (Comprehensive) Class Class Class Class Class Class Class Class Territory 10 17 18 20 21 25 26 30 1 93 93 93 93 93 93 9 393 2 95 95 95 95 95 95 9 595 3 98 98 98 98 98 98 9 898 4 96 96 96 96 96 96 9 696 5 100 100 100 100 100 100 100 100 6 104 104 104 104 104 104 104 104 7 108 108 108 108 108 108 108 108 8 111 111 111 111 111 111 111 111 9 110 110 110 110 110 110 110 110 10 117 117 117 117 117 117 117 117 11 125 125 125 125 125 125 125 125 12 129 129 129 129 129 129 129 129 13 145 145 145 145 145 145 145 145 14 152 152 152 152 152 152 152 152 15 187 187 187 187 187 187 187 187 16 303 303 303 303 303 303 303 303 17 108 108 108 108 108 108 108 108 18 220 220 220 220 220 220 220 220 19 242 242 242 242 242 242 242 242 20 219 219 219 219 219 219 219 219 21 298 298 298 298 298 298 298 298 22 336 336 336 336 336 336 336 336 23 202 202 202 202 202 202 202 202 24 152 152 152 152 152 152 152 152 25 229 229 229 229 229 229 229 229 26 273 273 273 273 273 273 273 273 27 88 88 88 88 88 88 88 88 40 139 139 139 139 139 139 139 139 41 140 140 140 140 140 140 140 140 42 170 170 170 170 170 170 170 170 43 179 179 179 179 179 179 179 179 44 292 292 292 292 292 292 292 292 45 188 188 188 188 188 188 188 188

Note: Class 15 rates are 75% of Class 10 final rates for all coverages.

10/19/07 211 CMR - 550.12 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

79.21: continued

Exhibit A: continued

2007 Massachusetts Private Passenger Automobile Insurance Rates Miscellaneous Rates Increased Limits Factors Flat Rates Part 3 Part 12 Substitute (U-1) (U-2) Limit Transportation Limit Rate Rate $15/day $12 20/40 $14 $0 $30/day 63 20/50 15 1 $45/day 146 25/50 16 3 $100/day 300 25/60 17 4 35/80 18 12 Part 6 50/100 19 21 (D) 100/100 20 45 Limit Rate 100/200 21 46 5,000 $19 100/300 22 47 10,000 25 200/400 26 110 15,000 32 250/500 27 131 20,000 34 250/1000 28 141 25,000 38 300/500 30 185 50,000 44 500/500 39 338 100,000 52 500/1000 40 348 Towing and Labor All classes except 15 $50 per disablement $8 $100 per disablement $16

Note: Class 15 rates are 75% of Class 10 final rates for all coverages.

REGULATORY AUTHORITY

211 CMR 79.00: M.G.L. c. 175A, § 15 and c. 175E, § 10.

10/19/07 211 CMR - 550.13 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

NON-TEXT PAGE

10/19/07 211 CMR - 550.14 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

(211 CMR 80.00 THROUGH 84.00: RESERVED)

10/19/07 211 CMR - 550.15 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

NON-TEXT PAGE

10/19/07 211 CMR - 550.16 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 63

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 225 CMR 14.00

CHAPTER TITLE: Renewable Energy Portfolio Standard

AGENCY: Department of Energy Resources

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. The regulation implements the statutory mandate in M.G.L. c. 25A, sec. 11F that requires all retail electricity suppliers selling electricity to end-use customers in the Commonwealth to obtain specific minimum percentages of their electricity supply from new renewable energy generation sources according to a prescribed schedule.

REGULATORY AUTHORITY: M.G.L. c. 25A, sec. 11F

AGENCY CONTACT: Robert Sydney PHONE: 617-727-4732

ADDRESS: 100 Cambridge Street, Boston suite 1020

Compliance with M.G.L. c. 30A

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency.

Date of public hearing or comment period: 6/28/06

For the first five years: increase in electric bill of about 1.5%

No fiscal effect:

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: renewable energy, electricity, Massachusetts Renewable Energy Trust

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST:

SIGNATURE: SIGNATURE ON FILE DATE: Oct 5 2007

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007

EFFECTIVE DATE: 10/19/2007

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 1, 2 1, 2 111 - 120 111 - 120

10/05/2007 mrs

Table of Contents Page

(225 CMR 1.00: RESERVED) 3

225 CMR 2.00: ENERGY AUDIT AND ENERGY CONSERVATION IMPROVEMENT PROGRAMS 5

Section 2.01: Statutory Authorization 5 Section 2.02: Definitions 5 Section 2.03: Application Requirements and Procedures 6 Section 2.04: Application Review and Selection Procedure 7 Section 2.05: Award of Grant and Allocation of Funds 7 Section 2.06: Technical Assistance Analysts’ Eligibility 8

225 CMR 3.00: ALTERNATIVE ENERGY PROPERTY PROGRAM (AEPP) 9

Section 3.01: Statutory Authorization 9 Section 3.02: Definitions 9 Section 3.03: Application Requirements and Procedures 10 Section 3.04: Application Review and Selection Procedures 11 Section 3.05: Award Requirements and Allocation of Funds 11

225 CMR 4.00: RESIDENTIAL CONSERVATION SERVICE PROGRAM 23

Section 4.01: Scope and Coverage of State Plan and Regulations 23 Section 4.02: Denifitions 24 Section 4.03: Eligibility 25 Section 4.04: Qualification for Program Vendors 25 Section 4.05: Outcomes 25 Section 4.06: Coalition Action Plan 25 Section 4.07: Municipal Action Plan 26 Section 4.08: Program Publicity 26 Section 4.09: Appropriate Services 26 Section 4.10: Audits 26 Section 4.11: Program Measure Implementation 27 Section 4.12: Enforcement of Compliance and Complaints Processing Procedures 27 Section 4.13: Municipal Utility Program Budget 27 Section 4.14: Accounting and Costs 27 Section 4.15: Home Heating Suppliers 27 Section 4.16: Establish the State Plan and Other Reporting Requirements 28

2/2/01 225 CMR - 1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 225 CMR: DIVISION OF ENERGY RESOURCES

Table of Contents Page

(225 CMR 5.00 THROUGH 8.00: RESERVED) 53

225 CMR 9.00: APPLIANCE ENERGY-EFFICIENCY STANDARDS, TESTING AND CERTIFICATION PROGRAM 85

Section 9.01: Statutory Authorization 85 Section 9.02: Definitions 85 Section 9.03: Product Standards and Test Methods 87 Section 9.04: Certification 88.3 Section 9.05: Identification of Complying Appliances and Lamps 88.4 Section 9.06: Enforcement 88.4

225 CMR 10.00: ENERGY MANAGEMENT SERVICES (EMS) CONTRACTS 89

Section 10.01: Application; Purpose; Authority 89 Section 10.02: Definitions 89 Section 10.03: Request For Responses; Responses 90 Section 10.04: Contract Award 92 Section 10.05: Contract Terms 92 Section 10.06: Contract Amendments 92 Section 10.07: Monitoring; Reporting Requirements 93 Section 10.08: Complaint Process Procedures; Disputes 93 Section 10.09: Severability 94 Section 10.10: Waivers 94

225 CMR 11.00: REGARDING OVERSIGHT AND COORDINATION OF ELECTRIC RATEPAYER FUNDED ENERGY EFFICIENCY ACTIVITIES 97

Section 11.01: Application 97 Section 11.02: Definitions 97 Section 11.03: Establish Statewide Energy Efficiency Goals, Reporting Requirements, and Supporting Guidelines 97 Section 11.04: Oversight and Coordination of Ratepayer-funded Energy Efficiency Activities 97 Section 11.05: Monitoring Energy Efficiency Markets 98 Section 11.06: Energy Efficiency Advisory Committee 99

(225 CMR 12.00 AND 13.00: RESERVED) 101

225 CMR 14.00: RENEWABLE ENERGY PORTFOLIO STANDARD 111

Section 14.01: Authority 111 Section 14.02: Definitions 111 Section 14.03: Administration 114 Section 14.04: Applicability 114 Section 14.05: Eligibility Criteria for New Renewable Generation Units 114 Section 14.06: Qualification Process for New Renewable Generation Units 116 Section 14.07: Renewable Energy Portfolio Standard 117 Section 14.08: Compliance Procedures for Retail Electricity Suppliers 117 Section 14.09: Annual Compliance Filings for Retail Electricity Suppliers 118 Section 14.10: Reporting Requirements 119 Section 14.11: Inspection 120 Section 14.12: Non-compliance 120 Section 14.13: Severability 120

10/19/07 225 CMR - 2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 225 CMR: DIVISION OF ENERGY RESOURCES

225 CMR 14.00 RENEWABLE ENERGY PORTFOLIO STANDARD

Section

14.01: Authority 14.02: Definitions 14.03: Administration 14.04: Applicability 14.05: Eligibility Criteria for New Renewable Generation Units 14.06: Qualification Process for New Renewable Generation Units 14.07: Renewable Energy Portfolio Standard 14.08: Compliance Procedures for Retail Electricity Suppliers 14.09: Annual Compliance Filings for Retail Electricity Suppliers 14.10: Reporting Requirements 14.11: Inspection 14.12: Non-compliance 14.13: Severability

14.01: Authority

225 CMR 14.00 is promulgated pursuant to M.G.L. c. 25A, § 11F.

14.02: Definitions

Alternative Compliance Payment. A payment of a certain dollar amount per megawatt hour, resulting in the issuance of Alternative Compliance Credits, which a Retail Electricity Supplier may submit to the Division in lieu of providing New Renewable Generation Attributes required under 225 CMR 14.07.

Alternative Compliance Credit. A credit obtained by a Retail Electricity Supplier upon making an Alternative Compliance Payment. Such credit is used to document compliance with 225 CMR 14.07. One unit of credit shall be equivalent to the New Renewable Generation Attribute associated with one megawatt-hour (MWh) of electrical energy output from a New Renewable Generation Unit.

Business Day. A business day shall mean Monday through Friday, exclusive of state and federal legal holidays.

Certificates Obligation. A term defined in the NEPOOL GIS Operating Rules at Rule 4.3, or any successor rule.

Commercial Operation Date. The date that a Generation Unit first produces electrical energy for sale; in the case of a Generation Unit that has been moved, the date that such Generation Unit first produced electrical energy for sale at its original location; in the case of a Generation Unit that is connected to the End-use Customer’s side of the electric meter or produces Off-grid Generation, the date that such Generation Unit first produces electrical energy.

Compliance Filing. A document filed annually by a Retail Electricity Supplier with the Division documenting compliance with 225 CMR 14.00, consistent with the format set forth in the Guidelines and submitted no later than the first day of July, or the first Business Day thereafter, of the subsequent Compliance Year.

Compliance Year. A calendar year beginning January 1st and ending December 31st, for which a Retail Electricity Supplier must demonstrate that it has met the requirements of 225 CMR 14.07 and 14.08.

Control Area. A geographic region in which a common generation control system is used to maintain scheduled interchange of electrical energy within and without the region.

Division. The Massachusetts Division of Energy Resources (DOER), established by M.G.L. c. 25A.

10/19/07 225 CMR - 111 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 225 CMR: DIVISION OF ENERGY RESOURCES

14.02: continued

Eligible Biomass Fuel. Fuel sources including brush, stumps, lumber ends and trimmings, wood pallets, bark, wood chips, shavings, slash and other clean wood that are not mixed with other solid wastes; agricultural waste, food material and vegetative material as those terms are defined, or may subsequently be defined, by the Department of Environmental Protection at 310 CMR 16.02; energy crops; biogas; organic refuse-derived fuel that is collected and managed separately from municipal solid waste; or neat biodiesel and other neat liquid fuels that are derived from such fuel sources.

Eligible New Renewable Fuel. An Eligible Biomass Fuel, landfill or anaerobic digester methane gas, hydrogen derived from such fuels or hydrogen derived using the electrical output of a Renewable Generation Unit, but not hydrogen derived from ineligible fuels.

End-use Customer. A person or entity in Massachusetts that purchases electrical energy at retail from a Retail Electricity Supplier.

External Unit Contract. An External Transaction Unit Contract for Energy 1 or Energy 2 as defined in the New England Power Pool Market Rules and Procedures Section 12.2.1(a), or any equivalent term or successor rule.

Generation Attribute. A non-price characteristic of the electrical energy output of a Generation Unit including, but not limited to, the Unit’s fuel type, emissions, vintage and RPS eligibility.

Generation Unit. A facility that converts a fuel or an energy resource into electrical energy.

GIS Certificate. An electronic record produced by the NEPOOL GIS that identifies Generation Attributes of each MWh accounted for in the NEPOOL GIS.

Guidelines. A set of procedures, including forms, as developed by the Division to assist in compliance with the requirements of 225 CMR 14.00.

Historical Generation Rate. The average annual electrical production from a Generation Unit that meets the requirements of 225 CMR 14.05(1)(a), stated in megawatt-hours (MWhs), for the three calendar years 1995 through 1997, or for the first 36 months after the Commercial Operation Date if that date is after December 31, 1994.

ISO-NE. ISO New England Inc., the independent system operator for New England, the regional transmission organization for most of New England, which is authorized by the Federal Energy Regulatory Commission (FERC) to exercise for the New England Control Area the functions required pursuant to the FERC’s Order No. 2000, the FERC’s corresponding regulations, and any successor FERC orders and regulations.

ISO-NE Settlement Market System. The ISO-NE’s electronic database system into which all real-time load and generation data are entered and from which such data are provided to the NEPOOL GIS.

Naturally Flowing Water and Hydroelectric Unit. A Generation Unit that uses flowing water as the primary energy resource, with or without a dam structure or other means of regulating water flow, and that is not located at a facility that uses mechanical or electrical energy to pump water into a storage facility (i.e., a so-called "pumped-storage facility").

NEPOOL GIS. The NEPOOL Generation Information System, which includes a generation information database and certificate system, operated by the New England Power Pool (NEPOOL), its designee or successor entity, that accounts for Generation Attributes of electrical energy consumed within, imported into, or exported from the ISO-NE Control Area.

New Renewable Generation. The electrical energy output of a New Renewable Generation Unit, or that portion of the electrical energy output of a Generation Unit that qualifies under a Vintage Waiver, pursuant to 225 CMR 14.05(2), or a Co-firing with Ineligible Fuels Waiver, pursuant to 225 CMR 14.05(3).

10/19/07 225 CMR - 112 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 225 CMR: DIVISION OF ENERGY RESOURCES

14.02: continued

New Renewable Generation Attribute (Attribute). The Generation Attribute of the electrical energy output of a specific Generation Unit that derives from the Unit’s production of New Renewable Generation.

New Renewable Generation Unit. A Generation Unit that has received a Statement of Qualification from the Division.

North American Electric Reliability Council Tag. An identification of an electrical energy interchange transaction assigned in accordance with rules set forth by the North American Electric Reliability Council.

Off-grid Generation. The electrical energy produced by a Generation Unit that is not connected to a utility transmission or distribution system.

Operator. Any person or entity who has charge or control of a Generation Unit subject to 225 CMR 14.00, including without limitation an agent or lessee of the Owner, or an independent contractor.

Owner. Any person or entity who, alone or in conjunction with others, has legal ownership, a leasehold interest, or effective control over the real property or property interest upon which a Generation Unit is located, or the airspace above said real property. For the purposes of 225 CMR 14.02: Owner does not mean a person or entity holding legal title or security interest solely for the purpose of providing financing.

Renewable Generation. The electrical energy output of a Renewable Generation Unit.

Renewable Generation Attribute. The Generation Attribute of the electrical energy output of a specific Generation Unit that derives from the Unit’s production of Renewable Generation.

Renewable Generation Unit. A Generation Unit that uses any of the fuels, energy resources or technologies set forth in 225 CMR 14.05(1)(a), Naturally Flowing Water and Hydroelectric, or waste-to-energy that is a component of conventional municipal solid waste plant technology in commercial use.

Retail Electricity Product. An electrical energy offering that is distinguished by its Generation Attributes and that is offered for sale by a Retail Electricity Supplier to End-use Customers.

Retail Electricity Supplier. A person or entity that sells electrical energy to End-use Customers in Massachusetts, including but not limited to electric utility distribution companies supplying basic service or any successor service to End-use Customers. A Municipal Lighting Plant shall be considered a Retail Electricity Supplier; however, it shall be exempt from the obligations of a Retail Electricity Supplier under 225 CMR 14.00 so long as and insofar as it is exempt from the requirements to allow competitive choice of generation supply pursuant to M.G.L. c. 164, § 47A.

Small Generation Unit. A Generation Unit whose metered electrical energy output data are not provided to the New England Power Pool under the ISO-NE Settlement Market System or any successor system.

Statement of Qualification. A written document from the Division qualifying a Generation Unit as a New Renewable Generation Unit.

Valid Air Permit. Within the United States, a current and effective authorization, license, certificate, or like approval to construct and/or operate a source of air pollution, issued or required by the regulatory agency designated in the applicable State Implementation Plan to issue permits under the Clean Air Act, 42 U.S.C. §§ 7401, et seq. In jurisdictions outside of the United States, it shall be a document demonstrating an equivalent authorization.

Vintage Generation Unit. A Generation Unit that meets the requirements of 225 CMR 14.05(1) and that has a Commercial Operation Date of December 31, 1997, or earlier.

10/19/07 225 CMR - 113 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 225 CMR: DIVISION OF ENERGY RESOURCES

14.02: continued

Vintage Generation. The electrical energy output of a Vintage Generation Unit during the calendar years 1995 through 1997.

14.03: Administration

225 CMR 14.00 shall be administered by the Division.

14.04: Applicability

225 CMR 14.00 applies to Retail Electricity Suppliers and to the Owners or Operators of New Renewable Generation Units.

14.05: Eligibility Criteria for New Renewable Generation Units

(1) Eligibility Criteria. A Generation Unit may qualify as a New Renewable Generation Unit subject to the limitations in 225 CMR 14.05. (a) Fuels, Energy Resources and Technologies. The Generation Unit shall use one or more of the fuels, energy resources and/or technologies listed in 225 CMR 14.05(1)(a)1. through 6. 1. Solar photovoltaic or solar thermal electric energy. 2. Wind energy. 3. Ocean thermal, wave or tidal energy. 4. Fuel cells using an Eligible New Renewable Fuel. 5. Landfill methane gas and anaerobic digester gas, provided that such gas is collected and conveyed directly to the Generation Unit without use of facilities used as common carriers of natural gas. 6. Low-emission, advanced biomass power conversion technologies using an Eligible Biomass Fuel. A Generation Unit may qualify as a New Renewable Generation Unit, provided it uses an Eligible Biomass Fuel, subject to the limitations in 225 CMR 14.05. a. The Division shall set forth in Guidelines low-emission eligibility criteria which will become effective on their date of issuance. Any emission eligibility criteria in subsequently revised Guidelines shall become effective 24 months from their date of issuance. b. A Generation Unit with a Commercial Operation Date after December 31, 1997, that is required to obtain an air permit in its jurisdiction, must possess a Valid Air Permit and must demonstrate to the satisfaction of the Division that the emission rates of the Unit do not exceed limits set forth in the Guidelines that are applicable for the date on which the Division receives the Unit's Statement of Qualification application. c. A Generation Unit with a Vintage Waiver that is required to obtain an air permit in its jurisdiction must possess a Valid Air Permit and must demonstrate to the satisfaction of the Division that the emission rates of the Unit do not exceed limits set forth in the Guidelines that are applicable for the date on which the Division receives the Unit's Statement of Qualification application. d. A Generation Unit that is not required to obtain an air permit in its jurisdiction must demonstrate to the satisfaction of the Division that its emissions are consistent with criteria set forth in the Guidelines that are applicable for the date on which the Division receives the Unit's Statement of Qualification application. e. In the case of a Generation Unit for whose size, type, or fuel the Guidelines do not provide applicable emission limits, the Division will determine appropriate limits in consultation with the Massachusetts Department of Environmental Protection. (b) Commercial Operation Date. The Commercial Operation Date shall be after December 31, 1997, unless the Generation Unit receives a Vintage Waiver pursuant to 225 CMR 14.05 (2). (c) Metering. The electrical energy output from a Generation Unit shall be verifiable by ISO-NE unless the Generation Unit qualifies as a New Renewable Generation Unit pursuant to the Special Provisions for a Small Generation Unit set forth in 225 CMR 14.05(4).

10/19/07 225 CMR - 114 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 225 CMR: DIVISION OF ENERGY RESOURCES

14.05: continued

(d) Location. The Generation Unit location is subject to the limitations in 225 CMR 14.05(1)(d). 1. Off-grid Generation. If the Generation Unit produces Off-grid Generation, such Unit must be located in Massachusetts. 2. Behind the Meter Generation. If the Generation Unit is wired to the electrical system on the End-use Customer's side of a retail electric meter, it must be located in Massachusetts. 3. Vintage Generation. If the Generation Unit is located on or in a parcel of land, landfill or structure that was the site of Vintage Generation between the years 1995 through 1997, such Unit must receive a Vintage Waiver pursuant to 225 CMR 14.05(2).

(2) Vintage Waiver. A Vintage Generation Unit or a Generation Unit located at the site of Vintage Generation may qualify as a New Renewable Generation Unit subject to the limitations in 225 CMR 14.05(2). (a) Vintage Generation Units. All or a portion of the electrical energy output of a Vintage Generation Unit may qualify as New Renewable Generation if the Unit meets the requirements of 225 CMR 14.05, except 225 CMR 14.05(1)(b). The portion of the electrical energy output of such Unit that qualifies as New Renewable Generation in any Compliance Year is that portion greater than the Unit’s Historical Generation Rate. (b) Generation Units Located at the Site of Vintage Generation. All or a portion of the electrical energy output of a Generation Unit subject to 225 CMR 14.05(1)(d)3. may qualify as New Renewable Generation provided that it meets the requirements of 225 CMR 14.05. The portion of the electrical energy output of such Unit that qualifies as New Renewable Generation in any Compliance Year is that portion greater than the aggregate Historical Generation Rate of Vintage Generation Unit(s) that were located on or in such parcel of land, landfill or structure at any time during calendar years 1995 through 1997.

(3) Co-firing With Ineligible Fuels Waiver. A Generation Unit that uses an ineligible fuel in conjunction with an Eligible New Renewable Fuel may qualify as an RPS Qualified Generation Unit provided the Generation Unit meets the eligibility requirements of 225 CMR 14.05, subject to the limitations in 225 CMR 14.05(3). (a) The portion of the total electrical energy output that qualifies as New Renewable Generation in a given time period shall be equal to the ratio of the net heat content of the Eligible New Renewable Fuel consumed to the net heat content of all fuel consumed in that time period. (b) If using an Eligible Biomass Fuel, the entire Generation Unit must meet the requirements of an advanced biomass power conversion technology as set forth in 225 CMR 14.05(1)(a)6. (c) If using an Eligible Biomass Fuel, the Generation Unit must demonstrate to the satisfaction of the Division that the emission rates for the entire Generation Unit are consistent with rates prescribed by the Massachusetts Department of Environmental Protection (DEP) for comparably fueled Generation Units. The Division may require the Generation Unit Owner or Operator to retain at its own expense a third-party consultant deemed satisfactory to the Division, to provide DOER and DEP with assistance in this determination. (d) The provisions of 225 CMR 14.05(3) shall not apply to the incidental use of ineligible fuels for the purpose of cold starting a Generation Unit that otherwise exclusively uses an Eligible New Renewable Fuel.

(4) Special Provisions for a Small Generation Unit. A Generation Unit whose metered data is not provided to the ISO-NE Settlement Market System may qualify as a New Renewable Generation Unit provided the Generation Unit meets the eligibility requirements of 225 CMR 14.05, except 225 CMR 14.05(1)(c), subject to the limitations in 225 CMR 14.05(4). (a) The Generation Unit must be able to verify its electrical energy output in a manner satisfactory to the Division. (b) The Generation Unit Owner or Operator must provide assurances satisfactory to the Division that the New Renewable Generation Attributes have not otherwise been, nor will be, sold, retired, claimed or represented as part of electrical energy output or sales, or used to satisfy obligations in jurisdictions other than Massachusetts.

10/19/07 225 CMR - 115 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 225 CMR: DIVISION OF ENERGY RESOURCES

14.05: continued

(5) Special Provisions for a Generation Unit Located Outside of the ISO-NE Control Area. A Generation Unit located outside of the ISO-NE Control Area may qualify as a New Renewable Generation Unit provided the Generation Unit meets the eligibility requirements of 225 CMR 14.05. The portion of the total electrical energy output that qualifies as New Renewable Generation in a given time period shall meet requirements that include, but are not limited to, the following: (a) An External Unit Contract shall be executed between the Generation Unit Owner or Operator and an electrical energy purchaser located in the ISO-NE Control Area for delivery of the Unit's electrical energy to the ISO-NE Control Area. The External Unit Contract shall include associated transmission rights for delivery of the Unit's electrical energy over the ties from an adjacent control area to the ISO-NE Control Area; and (b) The Generation Unit Owner or Operator shall provide documentation, satisfactory to the Division, that: 1. the electrical energy delivered pursuant to the External Unit Contract was settled in the ISO-NE Settlement Market System; 2. the Generation Unit produced, during each hour of the applicable month, the amount of MWhs claimed, as verified by the NEPOOL GIS administrator; 3. the electrical energy delivered under the External Unit Contract received a North American Electric Reliability Council Tag confirming transmission from the originating Control Area to the ISO-NE Control Area; and 4. the New Renewable Generation Attributes have not otherwise been, nor will be, sold, retired, claimed or represented as part of electrical energy output or sales, or used to satisfy obligations in jurisdictions other than Massachusetts.

14.06: Qualification Process for New Renewable Generation Units

(1) Statement of Qualification. The Owner or Operator of a Generation Unit that seeks designation of the Generation Unit as a New Renewable Generation Unit must submit an application on form(s) provided by the Division. If the Division finds that the Generation Unit meets the requirements for eligibility as a New Renewable Generation Unit pursuant to 225 CMR 14.05, the Division will provide the Owner or Operator of such Unit with a Statement of Qualification. (a) If the Generation Unit qualifies as a New Renewable Generation Unit pursuant to the Vintage Waiver, Co-firing with Ineligible Fuels Waiver, the Special Provisions for a Small Generation Unit, or the Special Provisions for a Generation Unit Located Outside the ISO- NE Control Area, the Statement of Qualification shall so indicate and shall include applicable restrictions. (b) If the Unit does not meet the requirements for eligibility as a New Renewable Generation Unit, the Division shall provide written notice to the Owner or Operator that the Generation Unit does not qualify as a New Renewable Generation Unit, including a statement of the reasons it does not qualify.

(2) Review Procedures. (a) The Division will notify the applicant when the application is administratively complete or if additional information is required pursuant to 225 CMR 14.06(1). (b) The Division shall provide an opportunity for public comment on such application for a Statement of Qualification if the Generation Unit would: 1. use an Eligible Biomass Fuel and is not required to have a Valid Air Permit; or 2. co-fire an Eligible New Renewable Fuel in a Generation Unit in conjunction with ineligible fuels; or 3. use an Eligible Biomass Fuel in conjunction with a Vintage Waiver. (c) The Division may provide an opportunity for public comment on any other application for a Statement of Qualification.

10/19/07 225 CMR - 116 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 225 CMR: DIVISION OF ENERGY RESOURCES

14.06: continued

(3) Notification Requirements for Change in Eligibility Status. The Owner or Operator of a New Renewable Generation Unit shall notify the Division of any changes in the technology, operation, emissions, fuel sources, energy resources, or other characteristics of the Generation Unit that would affect the eligibility of the Unit as a New Renewable Generation Unit. The Owner or Operator shall submit the notification to the Division no later than five days following the end of the month during which such changes were implemented. The notice shall state the date the changes were made to the New Renewable Generation Unit and describe the changes in sufficient detail to enable the Division to determine if a change in eligibility is warranted.

(4) Suspension or Revocation of Statement of Qualification. The Division may suspend or revoke a Statement of Qualification if the Owner or Operator of a New Renewable Generation Unit fails to comply with 225 CMR 14.00.

14.07: Renewable Energy Portfolio Standard

(1) Minimum Standard. The total annual sales of each Retail Electricity Product sold to Massachusetts End-use Customers by a Retail Electricity Supplier shall include a minimum percentage of electrical energy sales with New Renewable Generation Attributes, as follows:

MASSACHUSETTS RENEWABLE ENERGY PORTFOLIO STANDARD

MINIMUM PERCENTAGES OF ANNUAL ELECTRICAL ENERGY SALES WITH NEW RENEWABLE GENERATION ATTRIBUTES

Compliance Year Cumulative Minimum Percentage 2003 1.0 2004 1.5 2005 2.0 2006 2.5 2007 3.0 2008 3.5 2009 4.0

(2) Post-2009 Standards. After 2009, the Minimum Standard shall increase by 1% per Compliance Year until the Division suspends the annual increase. At no time shall the Minimum Standard decrease below the percentage in effect at the time a suspension is implemented. Following a suspension, the Division, at its discretion, may reinstitute annual 1% increases. No later than December 31, 2007, the Division shall establish the annual 1% increase, if any, in the Minimum Standard for each Compliance Year from 2010 through 2014.

14.08: Compliance Procedures for Retail Electricity Suppliers

(1) Standard Compliance. Each Retail Electricity Supplier shall be deemed to be in compliance with 225 CMR 14.00 if the information provided in the Compliance Filing submitted pursuant to 225 CMR 14.09 is true and accurate and demonstrates compliance with 225 CMR 14.07. A Retail Electricity Supplier shall demonstrate to the satisfaction of the Division that New Renewable Generation Attributes used for compliance have not otherwise been, nor will be, sold, retired, claimed, used or represented as part of electrical energy output or sales, or used to satisfy obligations in jurisdictions other than Massachusetts.

(2) Banked Compliance. A Retail Electricity Supplier may use New Renewable Generation Attributes produced in one Compliance Year for compliance in either or both of the two subsequent Compliance Years, subject to the limitations in 225 CMR 14.08(2) and provided that the Retail Electricity Supplier is in compliance with 225 CMR 14.00 for all previous Compliance Years. In addition, the Retail Electricity Supplier shall demonstrate to the satisfaction of the Division that such Attributes: (a) were in excess of the New Renewable Generation Attributes needed for compliance in the Compliance Year in which they were generated, and that such excess Attributes have not previously been used for compliance with 225 CMR 14.00;

10/19/07 225 CMR - 117 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 225 CMR: DIVISION OF ENERGY RESOURCES

14.08: continued

(b) do not exceed 30% of the New Renewable Generation Attributes needed by the Retail Electricity Supplier for compliance in the year they were generated; (c) were produced by the generation of electrical energy sold to End-use Customers in the ISO-NE Control Area during the Compliance Year in which they were generated or were generated by Behind the Meter or Off-grid Generation Units in Massachusetts; and (d) have not otherwise been, nor will be, sold, retired, claimed or represented as part of electrical energy output or sales, or used to satisfy obligations in jurisdictions other than Massachusetts.

(3) Alternative Compliance. A Retail Electricity Supplier may discharge its obligations under 225 CMR 14.07 (in whole or in part) for any Compliance Year by making an Alternative Compliance Payment (ACP) to the Massachusetts Technology Park Corporation, established by M.G.L. c. 40J. (a) Procedures. A Retail Electricity Supplier shall receive Alternative Compliance Credits from the Division, subject to the following: 1. The quantity of Credits, specified in MWhs, that can be applied to its obligations under 225 CMR 14.07 shall be determined by calculating the ratio of the total of ACPs paid for the Compliance Year to the ACP Rate for that Compliance Year. 2. The ACP Rate shall be $50 per MWh for Compliance Year 2003. For each subsequent Compliance Year, the Division shall publish the ACP Rate by January 31st of the Compliance Year. The ACP Rate shall be equal to the previous year's ACP Rate adjusted up or down according to the previous year's Consumer Price Index. 3. The Retail Electricity Supplier shall include with its Annual Compliance Filing copies of any ACP receipt(s) for ACPs made to the Massachusetts Technology Park Corporation during the Compliance Year. (b) Use of Funds. The Division shall oversee the use of ACP funds by the Massachusetts Technology Park Corporation so as to maximize the commercial development of New Renewable Generation Units.

14.09: Annual Compliance Filings for Retail Electricity Suppliers

(1) Date of Annual Compliance Filing. For each Compliance Year, the Retail Electricity Supplier annually shall file an annual Compliance Filing with the Division no later than the first day of July, or the first Business Day thereafter, of the subsequent Compliance Year.

(2) Contents of Annual Compliance Filing. For each Retail Electricity Product, the Filing shall document compliance with the provisions of 225 CMR 14.07 and 14.08 to the satisfaction of the Division and shall include, but not be limited to, the following: (a) Total Electrical Energy Sales to End-use Customers. Documentation of the total MWhs of electrical energy allocated by the Retail Electricity Supplier to End-use Customers in the Compliance Year. Such allocation is defined in 225 CMR 14.09(2)(a) as the total quantity of the Supplier’s Certificates Obligation that the Supplier correctly allocated or should have allocated to all of the Supplier’s Massachusetts retail subaccounts in the NEPOOL GIS, in compliance with all relevant provisions of Part 4 of the NEPOOL GIS Operating Rules, or any successor rules. (b) Electrical Energy Sales to End-use Customers by Product. Documentation of the total MWhs of each Retail Electricity Product allocated to End-use Customers in the Compliance Year, verified by an independent third party satisfactory to the Division, consistent with the Guidelines. Such allocation is defined in 225 CMR 14.09(2)(b) as the quantity of the Supplier’s Certificates Obligation that the Supplier correctly allocated or should have allocated to each of the Supplier’s Massachusetts retail subaccounts at the NEPOOL GIS, in compliance with all relevant provisions of Part 4 of the NEPOOL GIS Operating Rules, or any successor rules. The Division shall keep product information confidential to the extent permitted by law. (c) Attributes Allocated from the Compliance Year. Documentation of the total MWhs of each Retail Electricity Product allocated to End-use Customers that was derived from New Renewable Generation in the Compliance Year, as follows: 1. For electrical energy transactions included in the ISO-NE Settlement Market System, the Compliance Filings shall include documentation from the NEPOOL GIS administrator of the Retail Electricity Supplier’s ownership of GIS Certificates representing New Renewable Generation produced by New Renewable Generation Units during the Compliance Year.

10/19/07 225 CMR - 118 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 225 CMR: DIVISION OF ENERGY RESOURCES

14.09: continued

2. For electrical energy transactions not included in the ISO-NE Settlement Market System, but for which the Retail Electricity Supplier has secured GIS Certificates from the NEPOOL GIS administrator, the Compliance Filings shall include documentation from the NEPOOL GIS administrator of the Retail Electricity Supplier’s ownership of GIS Certificates representing New Renewable Generation produced by New Renewable Generation Units during the Compliance Year. 3. For electrical energy transactions not included in the ISO-NE Settlement Market System, and for which the Retail Electricity Supplier has not secured GIS Certificates from the NEPOOL GIS administrator, the Compliance Filing shall include documentation verified by an independent third party satisfactory to the Division, consistent with the Guidelines, including but not limited to the following: a. the identification of each New Renewable Generation Unit from which New Renewable Generation Attributes were claimed by the Retail Electricity Supplier for its compliance in the Compliance Year; b. the quantity of New Renewable Generation produced by each such Unit for each applicable month of the Compliance Year; and c. assurances satisfactory to the Division that the New Renewable Generation Attributes have not otherwise been, nor will be, sold, retired, claimed, used or represented as part of electrical energy output or sales, or used to satisfy obligations in jurisdictions other than Massachusetts. (d) Attributes Allocated from Banked Compliance. Allocation by Retail Electricity Product of any Attributes banked from one or both of the two previous years pursuant to 225 CMR 14.08(2) that are used to demonstrate compliance in the current Compliance Year; (e) Alternative Compliance Credits. Allocation by Retail Electricity Product of any Alternative Compliance Credits claimed pursuant to 225 CMR 14.08(3), along with a copy of any Alternative Compliance Payment receipt(s); (f) Attributes Banked for Future Compliance. Identification of any New Renewable Generation Attributes that the Retail Electricity Supplier anticipates claiming for purposes of Banked Compliance in subsequent years under the Banked Compliance provisions of 225 CMR 14.08(2); and (g) Renewable Generation Attributes. Documentation from the NEPOOL GIS administrator of the total electrical energy sales to End-use Customers in the Compliance Year associated with Renewable Generation Attributes.

14.10: Reporting Requirements

(1) Certification. Any person required by 225 CMR 14.00 to submit documentation to the Division shall provide: (a) name, title and business address; (b) the person’s authority to certify and submit the documentation to the Division; and (c) the following certification: “I hereby certify, under the pains and penalties of perjury, that I have personally examined and am familiar with the information submitted herein and based upon my inquiry of those individuals immediately responsible for obtaining the information, I believe that the information is true, accurate, and complete. I am aware that there are significant penalties, both civil and criminal, for submitting false information, including possible fines and imprisonment.”

(2) Annual Renewable Energy Resource Report. The Division will produce an annual report that summarizes information submitted to the Division by Retail Electric Suppliers in the Annual Compliance Filing submitted to the Division pursuant to 225 CMR 14.09(2)(a) and (g).

(3) Identification of Renewable Generation Units. (a) The Division shall inform the NEPOOL GIS administrator which Generation Units should be designated as Renewable Generation Units pursuant to 225 CMR 14.00. (b) An Owner or Operator of a Generation Unit that does not participate in the NEPOOL GIS may petition the Division to have the Unit designated as a Renewable Generation Unit.

10/19/07 225 CMR - 119 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 225 CMR: DIVISION OF ENERGY RESOURCES

14.11: Inspection

(1) Document Inspection. The Division may audit the accuracy of all information submitted pursuant to 225 CMR 14.00. The Division may request and obtain from any Owner or Operator of a Renewable Generation Unit and any Retail Electricity Supplier information that the Division determines necessary to monitor compliance with and enforcement of 225 CMR 14.00.

(2) Audit and Site Inspection. Upon reasonable notice to a Retail Electricity Supplier or New Renewable Generation Unit Owner or Operator, the Division may conduct audits, which may include inspection and copying of records and/or site visits to a New Renewable Generation Unit or a Retail Electricity Supplier’s facilities, including, but not limited to, all files and documents that the Division determines are related to compliance with 225 CMR 14.00.

14.12: Non-compliance

Any Retail Electricity Supplier or Owner or Operator of a New Renewable Generation Unit that fails to comply with the requirements of 225 CMR 14.00 shall be subject to the following provisions:

(1) Notice of Non-compliance. A failure to comply with the requirements of 225 CMR 14.00 shall be determined by the Division. A written Notice of Non-compliance shall be prepared and delivered by the Division to any Retail Electricity Supplier or Owner or Operator of a New Renewable Generation Unit that fails to comply with the requirements of 225 CMR 14.00. The Notice of Non-compliance shall describe the Requirement(s) with which the Retail Electricity Supplier, Owner, or Operator failed to comply and the time period of such non-compliance.

(2) Publication of Notice of Non-compliance. A Notice of Non-compliance may be published on the Division web-site and in any other media deemed appropriate by the Division. Such publication may remain posted until the Retail Electricity Supplier or Owner or Operator returns to compliance as determined by the Division.

(3) Planning Requirement. A Retail Electricity Supplier that fails to meet the requirements of 225 CMR 14.07 during a Compliance Year shall submit a plan for achieving compliance for the subsequent three years. The plan shall be filed with the Division no later than the first day of September of the Compliance Year subsequent to the Compliance Year for which the Retail Electricity Supplier was out of compliance.

(4) Suspension or Revocation of License. The Division shall refer its findings of noncompliance to the Department of Public Utilities. A Retail Electricity Supplier that fails to comply with 225 CMR 14.00 may be subject to the Department of Public Utilities Licensure Action under 220 CMR 11.07(4)(c)1.

14.13: Severability

If any provision of 225 CMR 14.00 is declared invalid, such invalidity shall not affect other provisions or applications that can be given effect without the invalid provision or application.

REGULATORY AUTHORITY

225 CMR 14.00: M.G.L. c. 25A, § 11F.

10/19/07 225 CMR - 120 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 5

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Notice of Compliance Secretary of the Commonwealth Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 257 CMR 2.00

CHAPTER TITLE: Certification of Operators of Wastewater Treatment Facilities

AGENCY: Board of Certification of Operators of Wastewater Treatment Facilities

THIS REGULATION WAS ORIGINALLY ADOPTED AS AN EMERGENCY: Published in Massachusetts Register Number: 1082 Date: 07/13/2007 PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. 7/23/07 Notified: LGAC, Mass Municipal Assoc., Required Executive Offices, Departments, Senate and House Committees on Ways & Means, Nat. Resources & Agriculture, Mass Hist.Commission, Program Improvements & Fees Advisory Committee.

ADDRESS: One Winter St., Boston, MA 02108

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST: SIGNATURE ON FILE Sep 24 2007 SIGNATURE: DATE: Publication - To be completed by the Regulations Division MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007 EFFECTIVE DATE: 06/29/2007 CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 5, 6 5, 6

09/28/2007 mrs

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 63 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 64 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 257 CMR: BOARD OF REGISTRATION OF OPERATORS OF WASTEWATER TREATMENT FACILITIES

257 CMR 2.00: CERTIFICATION OF OPERATORS OF WASTEWATER TREATMENT FACILITIES

Section

2.01: Purpose and Authority 2.02: Definitions 2.03: Application for Certification 2.04: Exemptions 2.05: Examinations 2.06: Operator Status 2.07: Issuance and Renewal of Certification 2.08: Emergency and Provisional Facility Certification 2.09: Renewal and Revocation Provisions 2.10: Education Requirements 2.11: Operator Descriptions 2.12: Grades of Wastewater Treatment Facility Operators 2.13: Classification of Wastewater Treatment Facilities 2.14: Violations and Penalties 2.15: Permit for Discharge

2.01: Purpose and Authority

The purpose 257 CMR 2.00 is to set forth a process for the evaluation and certification of operators of wastewater treatment facilities in order to insure the facilities' proper management, operation and maintenance. Authority for 257 CMR 2.00 is found in M.G.L. c. 21, §§ 34A and 34B.

2.02: Definitions

Biochemical Oxygen Demand (BOD) is an index of the amount of oxygen that will be consumed by the decomposition of the organic matter in wastewater.

Board shall mean the Board of Certification of Operators of Wastewater Treatment Facilities established in M.G.L. c. 21, § 34A.

Certificate means a certificate of competency issued by the Board stating that the holder has met the requirements for a specified grade and status of wastewater treatment plant operator through the Board's certification program. Each certification issued by the Board shall be valid only for the individual to whom it is issued and may not be transferred.

Continuing Education Unit (CEU) refers to a certain number of training contact hours. One CEU equals ten TCH's. Some seminars, workshops, training courses, and college courses have official CEU values.

Contract Operations means the operation, and/or management and/or maintenance of a wastewater treatment facility by someone other than the permittee of the facility.

Inactive Operators refers to retired operators or operators with "when and if" status.

Reciprocity means the certification of a person who has passed a written examination in another state and meets the experience requirements of Massachusetts or a person who meets the requirements of a reciprocity registry accepted by the Board.

Reciprocity Registry refers an organization which grants reciprocity to its members across state and international borders.

Training Contact Hours (TCH) refers to the hours of training an operator has had in the last calendar year. Each seminar, workshop, training course, or college course will have a specific training hour value as rated by the Board. Each CEU equals ten TCH per year.

1/12/07 257 CMR - 5 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 257 CMR: BOARD OF REGISTRATION OF OPERATORS OF WASTEWATER TREATMENT FACILITIES

2.02: continued

Wastewater Treatment Facility - means any and all devices, processes, and properties, real or personal, used in the storage, treatment, disposal, recycling, reclamation or reuse of waterborne pollutants, but not including any sewer system.

Wastewater Treatment Plant Operator (WTP0) means the person who is in responsible charge of operations during all working shifts of a wastewater treatment facility. A WTP0 cannot be an official who does not spend his working hours at the treatment facility. In any wastewater treatment facility requiring more than one shift, a certified operator shall be present who shall have a grade commensurate with the duties required during that shift, as determined by the Board.

2.03: Application for Certification

(1) Any person desiring to be certified as a wastewater treatment plant operator by examination shall file an application with the Board not later than 45 days preceding the date of a scheduled examination.

(2) Any person desiring to be certified by reciprocity shall file an application with the Board providing: (a) proof of having passed a written test in another state; (b) resume explaining job duties, responsibilities, and dates of employment at each facility; (c) flow diagrams of each facility worked at; and (d) copy of rules and regulations for certification in state certified; or (e) proof of acceptable reciprocity registration.

(3) Any person desiring to obtain emergency certification must submit a request in writing to the Board setting forth the necessity for such certification. Applications for emergency certification will be acted on by the Board pursuant to 257 CMR 2.08.

(4) Any person desiring to obtain provisional certification must submit a request in writing to the Board setting forth the necessity for such certification. Applications for provisional certification will be acted on by the Board pursuant to 257 CMR 2.08.

(5) All applications shall be signed under oath by the applicant.

2.04: Exemptions

The following treatment systems are exempt from certified operator requirements: (a) lime chip neutralization; (b) neutralizing less than 100 gallons per day, in batches of two liters or less, in accordance with 314 CMR 7.05(2)(g)4a. and b.; (c) small scale silver recovery; (d) oil/water separators – MDC traps; and (e) closed loop systems.

2.05: Examinations

(1) The Board will prepare examinations to be used in determining the knowledge, ability, and judgment of applicants for operator certification. Examinations will be prepared for industrial, municipal and combined operator grades as set forth in 257 CMR 2.12.

(2) Examinations will be held at least twice a year at places and times established by the Board. Notice of examination will be published in newspapers of general circulation and trade, industry, or professional publications.

10/19/07 (Effective 6/29/07) 257 CMR - 6 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 514

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 310 CMR 1.00

CHAPTER TITLE: Adjudicatory Proceedings

AGENCY: Department of Environmental Protection

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Cross reference from adjudicatory procedure rule for new adjudicatory hearing procedure for appeal pursuant to 310 CMR 10.05.

REGULATORY AUTHORITY: M.G.L. c. 30A section 9

AGENCY CONTACT: Margaret Stolfa PHONE: 617 292 5922

ADDRESS: Department of Environmental protection 1 Winter Street Boston, MA 02108

Compliance with M.G.L. c. 30A

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency.

Date of public hearing or comment period: Public hearings on July 11, 2007 and August 8, 2007

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 65 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. FISCAL EFFECT - Estimate the fiscal effect of the public and private sectors. For the first and second year: Decrease cost to public and private sectors for more efficient resloution of appeals For the first five years: Decreased cost to public and private sectors for more efficient resloution of appeals. No fiscal effect:

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation:

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST:

SIGNATURE: SIGNATURE ON FILE DATE: Oct 2 2007

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007

EFFECTIVE DATE: 10/19/2007

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 35, 36 35, 36 49, 50 49, 50

10/04/2007 JG

Table of Contents Page

310 CMR 44.00: DEP SELECTION, APPROVAL AND REGULATION OF WATER POLLUTION ABATEMENT PROJECTS RECEIVING FINANCIAL ASSISTANCE FROM THE STATE REVOLVING FUND 2169

Section 44.01: Authority 2169 Section 44.02: Purpose 2169 Section 44.03: Definitions 2169 Section 44.04: Eligible Projects 2172 Section 44.05: Priority System 2173 Section 44.06: Project Selection Criteria 2174 Section 44.07: Eligible Project Costs 2176 Section 44.08: Planning Requirements 2177 Section 44.09: Environmental Review and Federal Cross-cutter Requirements 2178 Section 44.10: Affirmative Action and Minority/Women Business Enterprise Requirements 2178 Section 44.11: Project Approval and Regulation 2178

310 CMR 45.00: DEP SELECTION, APPROVAL AND REGULATION OF DRINKING WATER PROJECTS RECEIVING FINANCIAL ASSISTANCE FROM THE STATE REVOLVING FUND 2181

Section 45.01: Authority and Effective Date 2181 Section 44.02: Purpose and Applicability 2181 Section 45.03: Definitions 2181 Section 45.04: Eligible Projects 2183 Section 45.05: Priority System 2184 Section 45.06: Project Selection Criteria 2186 Section 45.07: Eligible Project Costs 2187 Section 45.08: Project Evaluation Report 2188 Section 45.09: Environmental Review and Federal Cross-Cutter Requirements 2188 Section 45.10: Affirmative Action and Minority/Women Business Enterprise Requirements 2188 Section 45.11: Project Approval and Regulation 2189

(310 CMR 46.00 THROUGH 49.00: RESERVED) 2191

310 CMR 50.00: TOXICS USE REDUCTION 2201

Section 50.01: Authority 2201 Section 50.02: Purpose 2201 Section 50.03: Severability 2202 Section 50.04: Noncompliance with 310 CMR 50.00 2202 Section 50.05: Computation of Time 2202 Section 50.10: Definitions 2202 Section 50.20: Rules for Determining Amount of Toxic Substance Manufactured, Processed, or Otherwise Used 2208 Section 50.30: Toxics Use Reports 2210 Section 50.31: Applicability 2211 Section 50.32: Reporting Requirements 2211 Section 50.33: Content of Report 2212 Section 50.34: Toxics Use Fee Worksheet 2213 Section 50.35: Other (Reserved) 2213 Section 50.36: Recordkeeping Requirements 2213 Section 50.40: Toxics Use Reduction Plans 2214 Section 50.41: Applicability and Schedule 2214 Section 50.42: General Plan Requirements 2215 Section 50.43: Facility-wide Information Required in Each Plan 2223 Section 50.44: Production Unit Information Requiredin Each Plan 2224

10/19/07 310 CMR - 35 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

Table of Contents Page

310 CMR 50.00: TOXICS USE REDUCTION (continued)

Section 50.45: Procedures for Identifying Potential Toxics Use Reduction Techniques 2225 Section 50.46: Technical Evaluation of Toxics Use Reduction Techniques 2225 Section 50.46A: Economic Evaluation of Toxics Use Reduction Techniques 2226 Section 50.47: Plan Summary 2227 Section 50.48: Plan Updates 2227 Section 50.49: Deficient Toxics Use Reduction Plans 2227 Section 50.50: Toxics Use Reduction Planners 2228 Section 50.51: Required Skills for Certification as a Toxics Use Reduction Planner 2228 Section 50.52: Work Experience Requirements for All Toxics Use Reduction Planners 2228 Section 50.53: General Application Requirements and Procedures 2229 Section 50.54: Exam-track Application Procedure 2230 Section 50.55: Certification through Experience in Toxics Use Reduction Activities 2230 Section 50.56: Certification of Plans 2231 Section 50.57: Disclosure Requirements 2231 Section 50.58: Recertification Renewal 2231 Section 50.59: Procedure Governing Disciplinary Proceedings 2233 Section 50.60: Appeal Rights and Procedures 2233 Section 50.61: Procedures for Reviewing the Uniform Certification Examination 2234 Section 50.70: User Segments 2234 Section 50.71: Criteria for Establishing User Segments 2234 Section 50.72: List of User Segments 2234.1

(310 CMR 51.00 through 59.00: Reserved) 2235

310 CMR 60.00: AIR POLLUTION CONTROL FOR MOBILE SOURCES 2301

Section 60.01: General Regulations to Prevent Air Pollution 2301 Section 60.02: Enhanced Vehicle Emissions Inspection and Mainteance 2301 Section 60.03: U Conformity to the State Implementation Plans of Trans- portation Plans, Programs, and Projects Developed, Funded or Approved Under Title 23 U.S.C. or the Federal Transit Act 2325 Section 60.04: MB City of Cambridge Vehicle Trip Reduction Program 2357

(310 CMR 61.00 THROUGH 69.00: RESERVED) 2401

310 CMR 70.00: ENVIRONMENTAL RESULTS PROGRAM CERTIFICATION 2461

Section 70.01: Purpose and Authority 2461 Section 70.02: Definitions 2461 Section 70.03: Compliance Certification Requirements 2462 Section 70.04: Violations of 310 CMR 70.00 2464

310 CMR 71.00: INDUSTRIAL WASTEWATER REGULATIONS FOR PHOTO PROCESSORS 2485

Section 71.01: Purpose and Authority 2485 Section 71.02: Definitions 2485 Section 71.03: Applicability 2486 Section 71.04: Performance Standard for Photo Processors and Printers With Equivalent POTW Permits 2486 Section 71.05: Performance Standard for Photo Processors and Printers With- out Equivalent POTW Permits That Discharge or Ship Industrial Wastewater to a POTW 2486 Section 71.06: Supplemental Requirements for Photo Processors and Printers 2487 Section 71.07: Compliance Certification for Photo Processors and Printers 2489

1/12/07 310 CMR - 36 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

1.01: continued

(c) Settlements. Whenever all parties to the adjudicatory appeal agree to dispose of it by stipulation, settlement, or consent order, the parties shall put such agreement in writing and submit it to the Department, with a copy to the Presiding Officer. Each agreement shall include a provision that if the agreement is approved, the parties waive whatever rights they have to further administrative review before the Department as well as an appeal to court. If the Commissioner approves the proposed agreement, the Commissioner shall issue in writing a final decision incorporating the agreement of the parties. The final decision incorporating the settlement agreement shall not be subject to 310 CMR 1.01(14)(b). If the Commissioner disapproves the proposed agreement, the parties shall be notified. If a party will not sign a stipulation, settlement or consent order that the Department agrees to sign, the burden of going forward to establish why the agreement is inconsistent with law may be placed upon that party by the Presiding Officer or designee of the Commissioner. (d) Wetlands Permit Appeals. Appeals of Reviewable Decisions, as defined in 310 CMR 10.04, will be conducted in accordance with the provisions set forth in 310 CMR 10.05(7)(j).

(9) Prehearing Conference. (a) Purpose. 1. The Presiding Officer may order the parties to appear for a conference prior to the adjudicatory hearing to: a. discuss settlement; b. define contested issues on which evidence will be offered, if not otherwise determined under 310 CMR 1.01(6)(k); c. consider the possibility of obtaining stipulations, admissions and agreements that will avoid unnecessary evidence; d. establish limits on presentations of the parties; e. establish a schedule for continuing the appeal, including a date for the adjudicatory hearing; and f. consider any other matters that may aid in the disposition of the adjudicatory appeal. 2. Parties shall appear at the prehearing conference with full authority to make binding agreements, including commitments as to scheduling, or shall come to the conference with the name of the person from whom authority is required and be able to communicate directly with the person at the time of the conference. The parties shall be prepared to advise the Presiding Officer as to the prospects of settlement. 3. The Presiding Officer may order the parties to meet or confer prior to the date of the conference to discuss settlement or other matters. (b) Prehearing Memorandum by Parties. 1. The Presiding Officer may order the parties to file a prehearing memorandum prior to the conference. The memorandum may include: a. a concise summary of the evidence that will be offered by the parties; b. the facts agreed upon by the parties; c. contested issues of fact and law, consistent with 310 CMR 1.01(6)(k); d. the amount of time necessary for a party to conduct its case, consistent with 310 CMR 1.01(13)(d) relating to time limits; e. a list of witnesses to be called, including the designation of those who will be offered as expert witnesses, and a brief summary of the testimony of each witness; f. statements of Department policy or guidance that a party intends to cite or introduce into evidence; g. a statement of need to substitute parties or consolidate proceedings, where the need was not previously identified; and h. any additional matters likely to facilitate the disposition of the adjudicatory appeal. 2. The Presiding Officer may advise the parties at the conference: a. of the availability of alternative dispute resolution that may assist in resolving the adjudicatory appeal prior to the adjudicatory hearing, including without limitation, mediation and nonbinding case evaluation; b. of their right to elect a simplified hearing under 310 CMR 1.01(8)(a); c. of their right to waive their right to a hearing, and request that their case be decided on the written record only, pursuant to 310 CMR 1.01(13)(g); and d. where appropriate, of the perceived merits of the case, based on the filings and representations of the parties at the conference.

10/19/07 310 CMR - 49 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

1.01: continued

(c) Prehearing Conference Order. 1. At the time of or following the conference the Presiding Officer may issue an order in writing including: a. a statement of the issues to be tried; b. a list of witnesses who will offer testimony; c. limitations in accordance with 310 CMR 1.01(13)(d), (e), and (f); d. whether any disputed issues will be referred to a factfinder, consistent with 310 CMR 1.01(13)(i); e. rulings on motions; f. a schedule for filing motions, prefiled testimony and exhibits, setting the date of the hearing, and deciding motions; g. attendance at an alternative dispute resolution information session when the Presiding Officer determines it could aid in the just and speedy resolution of the appeal without a hearing; and h. incorporation of any matters agreed to by the parties. 2. Failure of parties to comply with any rule or order issued by the Presiding Officer under 310 CMR 1.01(9) may result in the imposition of sanctions in accordance with 310 CMR 1.01(10).

(10) Sanctions. When a party fails to file documents as required, respond to notices, correspondence or motions, comply with orders issued and schedules established in orders or otherwise fails to prosecute the adjudicatory appeal; demonstrates an intention not to proceed; demonstrates an intention to delay the proceeding or resolution of the proceedings; or fails to comply with any of the requirements set forth in 310 CMR 1.01; the Presiding Officer may impose appropriate sanctions on that party. Sanctions include, without limitation: (a) taking designated facts or issues as established against the party being sanctioned; (b) prohibiting the party being sanctioned from supporting or opposing designated claims or defenses, or introducing designated matters into evidence; (c) denying summarily late-filed motions or motions failing to comply with 310 CMR 1.01(4); (d) striking pleadings in whole or in part; (e) dismissing the adjudicatory appeal as to some or all of the disputed issues; (f) dismissing the party being sanctioned from the appeal; and (g) issuing a final decision against the party being sanctioned.

(11) Motions. (a) General Requirements. 1. Presentation and Objection to Motions. A person may request of the Presiding Officer any order or action consistent with law and 310 CMR 1.01 that will assist in resolving issues expeditiously by filing a motion. Each motion shall set forth the grounds for the desired order or action. Motions may be made in writing at any time after commencement of an adjudicatory proceeding or orally in the presence of all parties, including during a prehearing conference or hearing, unless the Presiding Officer issues a scheduling order stating otherwise. Any time within seven days after a written motion is filed with the Presiding Officer, any party may file a written objection to the motion, except that objections to a motion for summary decision shall be filed within 14 days as specified in 310 CMR 1.01(11)(f). A failure to file a timely response may result in a grant of the relief requested by the moving party. Moving parties should obtain the assent of other parties, and non-moving parties should assent to motions, wherever reasonable. 2. Summary Ruling. The Presiding Officer may summarily, and without awaiting a response or objection to the motion, act on a motion, with or without prejudice, in appropriate circumstances, which may include: a. non-adversarial or routine motions; b. motions having the assent of non-moving parties; c. motions the Presiding Officer determines were not served in accordance with 310 CMR 1.01(4)(f) or are otherwise deficient as to form; d. motions the Presiding Officer determines would consume time without resolving material issues;

12/17/04 310 CMR - 50 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 513

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 310 CMR 10.00

CHAPTER TITLE: Wetlands Protection

AGENCY: Department of Environmental Protection

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Establishes procedural rules for the conduct of hearings and resloution of appeals before the Department of Environmental Protection.

REGULATORY AUTHORITY: M.G.L. c. 30A, section 9, M.G.L. c. 131, section 40

AGENCY CONTACT: Margaret Stolfa PHONE: 617-292-5922

ADDRESS: Department of Environmental Protection, 1 Winter Street. Boston, MA 02108

Compliance with M.G.L. c. 30A

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency.

Date of public hearing or comment period: Public Hearings on July 11, 2007 and August 8, 2007

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 67 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. FISCAL EFFECT - Estimate the fiscal effect of the public and private sectors. For the first and second year: Decreased costs to public and private sectors for the more efficient resloution of appeals. For the first five years: Decreased costs to public and private sectors for the more efficient resloution of appeals. No fiscal effect:

These regulatory revisions will have a positive ecnomic impact on small business by reducing delays in resolving appeals of permits and thereby decreasing carrying costs of stalled projects and fees for services to resolve disputes.

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: Wetlands Protection Act and Regulations

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST:

SIGNATURE: SIGNATURE ON FILE DATE: Oct 2 2007

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007

EFFECTIVE DATE: 10/19/2007

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 337 - 340 337 - 340.2 349, 350 349 - 350.4

10/03/2007 JG

10.04: continued

Conditions means those requirements set forth in a written Order issued by a conservation commission or the Department for the purpose of permitting, regulating or prohibiting any activity that removes, fills, dredges or alters an Area Subject to Protection Under M.G.L. c. 131, § 40. [See also 310 CMR 10.05(6).]

Conservation Commission means that body comprised of members lawfully appointed pursuant to M.G.L. c. 40, § 8C. For the purposes of M.G.L. c. 131, § 40 and 310 CMR 10.00, it shall also mean a mayor or board of selectmen, where no conservation commission has been established under M.G.L. c. 40, § 8C.

Creek means the same as a stream, as defined in 310 CMR 10.04

Date of Issuance means the date an Order is mailed, as evidenced by a postmark, or the date it is hand delivered.

Date of Receipt means the date of delivery to an office, home or usual place of business by mail or hand delivery.

Densely Developed Area means a riverfront area that has been designated by the Secretary of the Executive Office of Environmental Affairs at the request of a city or town, limited to an area of ten acres or more that is being utilized, or includes existing vacant structures or vacant lots formerly utilized as of January 1, 1944 or sooner, for intensive industrial, commercial, institutional, or residential activities or combinations of such activities, including, but not limited to the following: manufacturing, fabricating, wholesaling, warehousing, or other commercial or industrial activities; retail trade and service activities; medical and educational institutions; residential dwelling structures at a density of three or more per two acres; and mixed or combined patterns of the above. Land which is zoned for intensive use but is not utilized for such use as of January 1, 1997 shall not be designated as a densely developed area. Rivers within the municipalities identified in 310 CMR 10.58(2)(a)3.a. also have 25 foot riverfront areas.

Department means the Department of Environmental Protection, and shall include the Commissioner and any other person employed by said Department, pursuant to St. 1989, c. 240, § 101.

Designated Port is defined in 310 CMR 10.26(2).

Determination. (a) a Determination of Applicability means a written finding by a conservation commission or the Department as to whether a site or the work proposed thereon is subject to the jurisdiction of M.G.L. c. 131, § 40. It shall be made on Form 2. (b) a Determination of Significance means a written finding by a conservation commission, after a public hearing, or by the Department, that the area on which the proposed work is to be done, or which the proposed work will alter, is significant to one or more of the interests identified in M.G.L. c. 131, § 40. It shall be made as part of the Order, on Form 5. (c) a Notification of Non-significance means a written finding by a conservation commission, after a public hearing, or by the Department, that the area on which the proposed work is to be done, or which the proposed work will alter, is not significant to any of the interests of M.G.L. c. 131, § 40. It shall be made on Form 6.

Direct Case the evidence that a party seeks to introduce in support of its position, as well as any legal argument the party wishes to provide. The Direct Case may include, but is not limited to, statements under oath by lay witnesses and expert witnesses, technical reports, studies, memoranda, maps, plans, and other information that a party seeks to have the Presiding Officer review as part of the adjudicatory proceeding.

Dredge means to deepen, widen or excavate, either temporarily or permanently.

Dune means coastal dune, as defined in 310 CMR 10.28(2).

10/19/07 310 CMR - 337 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

10.04: continued

Estuary means: (a) any area where fresh and salt water mix and tidal effects are evident; or (b) any partially enclosed coastal body of water where the tide meets the current of any stream or river.

Extension Permit means a written extension of time within which the authorized work shall be completed. It shall be made on Form 7.

Fill means to deposit any material so as to raise an elevation, either temporarily or permanently.

Final Order means the Order issued by the Commissioner after an adjudicatory hearing or, if no request for hearing has been filed, the Superseding Order or, if no request for a Superseding Order has been filed, the Order of Conditions.

Flat (tidal) is defined in 310 CMR 10.27(2)(b).

Flood Control means the prevention or reduction of flooding and flood damage.

Formerly or presently owned means owned by the same owner at any time on or after August 1, 1996.

Freshwater Wetlands are defined in M.G.L. c. 131, § 7, para. 7.

General Performance Standards means those requirements established by 310 CMR 10.00 for activities in or affecting each of the Areas Subject to Protection Under M.G.L. c. 131, § 40. They are found in 310 CMR 10.25 through 10.35 and 10.37, and 310 CMR 10.54 through 10.60.

Ground Water Supply means water below the earth's surface in the zone of saturation.

Historic Mill Complex means the mill complexes in, but not limited to, Holyoke, Taunton, Fitchburg, Haverhill, Methuen, and Medford in existence prior to 1946 and situated landward of the waterside facade of a retaining wall, building, sluiceway, or other structure existing on August 7, 1996. An historic mill also means any historic mill included on the Massachusetts Register of Historic Places. An historic mill complex includes only the footprint of the area that is or was occupied by interrelated buildings (manufacturing buildings, housing, utilities, parking areas, and driveways) constructed before and existing after 1946, used for any type of manufacturing or mechanical processing and including associated structures to provide water for processing, to generate water power, or for water transportation.

Important Wildlife Habitat Functions mean important food, shelter, migratory or overwintering areas, or breeding areas for wildlife.

Interests Identified in M.G.L. c. 131, § 40 means public or private water supply, ground water supply, flood control, storm damage prevention, prevention of pollution, protection of land containing shellfish, protection of fisheries, and protection of wildlife habitat.

Issuing Authority means a conservation commission, mayor, the selectmen or the Department, whichever is applicable.

Lake means any open body of fresh water with a surface area of ten acres or more, and shall include great ponds.

Land Containing Shellfish is defined in 310 CMR 10.34(2).

Land Subject to Coastal Storm Flowage means land subject to any inundation caused by coastal storms up to and including that caused by the 100-year storm, surge of record or storm of record, whichever is greater.

Land Subject to Flooding is defined in 310 CMR 10.57(2).

10/19/07 310 CMR - 338 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

10.04: continued

Land Subject to Tidal Action means land subject to the periodic rise and fall of a coastal water body, including spring tides.

Land Under Salt Ponds is defined in 310 CMR 10.33(2).

Land Under Water Bodies and Waterways means the bottom of, or land under, the surface of the ocean or any estuary, creek, river, stream, pond, or lake. Land under the ocean and estuaries is further defined in 310 CMR 10.25(2); land under inland water bodies is further defined in 310 CMR 10.56(2).

Landowner means the owner of record of land or an interest in land that is the subject of a Reviewable Decision

Lot means an area of land in one ownership, with definite boundaries.

Major or Complex means an appeal of a Reviewable Decision issued for work in a resource area that will be so designated due to the complexity or novelty of the issues, the magnitude of the project, the potential for environmental harm or benefit, significant public interest or public financing or other relevant consideration, as determined by the Commissioner or a Presiding Office

Majority means more than half of the members of the conservation commission then in office.

Marsh is defined in M.G.L. c. 131, § 40, para. 10.

Meadow (or Wet Meadow) is defined in M.G.L. c. 131, § 40, para. 9.

Mean Annual High-water Line is defined at 310 CMR 10.58(2).

MEPA means the Massachusetts Environmental Policy Act, M.G.L. c. 30, §§ 6 through 62H, and 301 CMR 11.00: General Application and Administration Environmental Code, Title 1.

Migratory areas mean those areas used by wildlife moving from one habitat to another, whether seasonally or otherwise.

Mitigation means rectifying an adverse impact by repairing, rehabilitating or restoring the affected resource area or compensating for an adverse impact by enhancing or providing replacement resource areas.

Notice of Intent means the written notice filed by any person intending to remove, fill, dredge or alter an Area Subject to Protection under M.G.L. c. 131, § 40. It shall be made on Form 3 or 4.

Ocean means the Atlantic Ocean and all contiguous waters subject to tidal action.

Order means an Order of Conditions, Superseding Order or Final Order, whichever is applicable.

Order of Conditions means the document issued by a conservation commission containing conditions which regulate or prohibit an activity. It shall be made on Form 5.

Owner of Land Abutting the Activity means the owner of land sharing a common boundary or corner with the site of the proposed activity in any direction, including land located directly across a street, way, creek, river, stream, brook or canal.

Party to any proceeding before the Department means the applicant, the conservation commission and the Department, and pursuant to 310 CMR 10.05(7)(a) may include the owner of the site, any abutter, any person aggrieved, any ten residents of the city or town where the land is located and any ten persons pursuant to M.G.L. c. 30A, § 10A.

10/19/07 310 CMR - 339 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

10.04: continued

Person Aggrieved means any person who, because of an act or failure to act by the issuing authority, may suffer an injury in fact which is different either in kind or magnitude from that suffered by the general public and which is within the scope of the interests identified in M.G.L. c. 131, § 40. Such person must specify in writing sufficient facts to allow the Department to determine whether or not the person is in fact aggrieved.

Plans means such data, maps, engineering drawings, calculations, specifications, schedules and other materials, if any, deemed necessary by the issuing authority to describe the site and/or the work, to determine the applicability of M.G.L. c. 131, § 40 or to determine the impact of the proposed work upon the interests identified in M.G.L. c. 131, § 40. [See also General Instructions for Completing Notice of Intent (Form 3) and Abbreviated Notice of Intent (Form 4).]

Pond (coastal) means Salt Pond as defined in 310 CMR 10.33(2).

Pond (inland) means any open body of fresh water with a surface area observed or recorded within the last ten years of at least 10,000 square feet. Ponds may be either naturally occurring or man-made by impoundment, excavation, or otherwise. Ponds shall contain standing water except for periods of extended drought. Periods of extended drought for purposes of 310 CMR 10.00 shall be those periods, in those specifically identified geographic locations, determined to be at the “Advisory” or more severe drought level by the Massachusetts Drought Management Task Force, as established by the Executive Office of Environmental Affairs and the Massachusetts Emergency Management Agency in 2001, in accordance with the Massachusetts Drought Management Plan (MDMP). Notwithstanding the above, the following man-made bodies of open water shall not be considered ponds: (a) basins or lagoons which are part of wastewater treatment plants; (b) swimming pools or other impervious man-made basins; and (c) individual gravel pits or quarries excavated from upland areas unless inactive for five or more consecutive years.

Prevention of Pollution means the prevention or reduction of contamination of surface or ground water.

Private Water Supply means any source or volume of surface or ground water demonstrated to be in any private use or demonstrated to have a potential for private use.

Project Purpose means the general, functional description of an activity proposed within the riverfront area (e.g., construction of a single family house, expansion of a commercial development).

Protection of Fisheries means protection of the capacity of an Area Subject to Protection Under M.G.L. c. 131, § 40: (a) to prevent or reduce contamination or damage to fish; and (b) to serve as their habitat and nutrient source. Fish includes all species of fresh and salt water finfish and shellfish. See also the definition of Marine Fisheries contained in 310 CMR 10.23(15).

Protection of Land Containing Shellfish means protection of the capacity of an Area Subject to Protection Under M.G.L. c. 131, § 40: (a) to prevent or reduce contamination or damage to shellfish; and (b) to serve as their habitat and nutrient source. See also the definitions of Shellfish and Land Containing Shellfish in 310 CMR 10.34(2).

Public Water Supply means any source or volume of surface or ground water demonstrated to be in public use or approved for water supply pursuant to M.G.L. c. 111, § 160 by the Division of Water Supply of the Department, or demonstrated to have a potential for public use.

10/19/07 310 CMR - 340 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

10.04: continued

Rare Species mean those vertebrate and invertebrate animal species officially listed as endangered, threatened, or of special concern by the Massachusetts Division of Fisheries and Wildlife under 321 CMR 10.60.

Remove means to take away any type of material, thereby changing an elevation, either temporarily or permanently.

Request for Determination of Applicability means a written request made by any person to a conservation commission or the Department for a determination as to whether a site or work thereon is subject to M.G.L. c. 131, § 40. It shall be submitted on Form 1.

Resource Area means any of the areas specified in 310 CMR 10.25 through 10.35 and 310 CMR 10.54 through 10.58. It is used synonymously with Area Subject to Protection Under M.G.L. c. 131, § 40, each one of which is enumerated in 310 CMR 10.02(1).

Reviewable Decision means a MassDEP decision that is a superseding order of conditions or superseding denial of an order of conditions, a superseding determination of applicability, and/or a superseding order of resource area delineation or a variance

River means any natural flowing body of water that empties to any ocean, lake, pond, or other river and which flows throughout the year. River is defined further at 310 CMR 10.58(2).

Riverfront Area is defined at 310 CMR 10.58(2).

10/19/07 310 CMR - 340.1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

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10/19/07 310 CMR - 340.2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

10.05: continued

(g) The Department shall notify the applicant within 30 days of receipt of a request for the Department to act if additional information or documentation is necessary to make its determination; provided, however, that further information may be requested should the information supplied in response to the original notification so require. When requested to issue a Superseding Order of Resource Area Delineation, the Department shall limit its review to the resource area delineations or any other requirements subject to confirmation under 310 CMR 10.02(2)(b)2. The Department shall consider the objections to the resource area delineations stated in the request. The Department may affirm an Order of Resource Area Delineation based upon a conclusion that the Order of Resource Area Delineation substantially conforms to the locations identified by the Department through a site inspection. (h) When the request for a Superseding Order concerns an Order prohibiting work and issued pursuant to 310 CMR 10.05(6)(c), the Department shall limit its review to the information submitted to the conservation commission. If the Department determines that insufficient information was submitted, it shall affirm the denial and instruct the applicant to refile with the conservation commission and include the appropriate information. If the Department determines that sufficient information was submitted, it shall so inform the applicant and the conservation commission, and shall proceed to issue a Superseding Order as provided in 310 CMR 10.05. (i) After receipt of a request for a Superseding Determination or Order, the Department may conduct an informal meeting and may conduct an inspection of the site. In the event an inspection is conducted, all parties shall be invited in order to present any information necessary or useful to a proper and complete review of the proposed activity and its effects upon the interests identified in M.G.L. c. 131, § 40. Any party presenting information as a result of such a meeting shall provide copies to the other parties. Based upon its review of the Notice of Intent, the Order, any informal meeting or site inspection, and any other additional plans, information, or documentation submitted under 310 CMR 10.05(7)(f) or (g), the Department may issue a Superseding Order which affirms the Order issued by the conservation commission. (j) 1. Timely Filings. Papers required or permitted to be filed under 310 CMR 10.05 must be filed with the Department, at the address designated in the Reviewable Decision, within the timelines specified in 310 CMR 10.05. Papers shall be considered filed as set forth in 310 CMR 1.01(3). 2. Appeal Notice. a. Any applicant, landowner, aggrieved person if previously a participant in the permit proceedings, conservation commission, or any ten residents of the city or town where the land is located, if at least one resident was previously a participant in the permit proceeding may request review of a Reviewable Decision by filing an Appeal Notice no later than ten business days after the issuance of the Reviewable Decision. Previously participating in the permit proceeding means the submission of written information to the conservation commission prior to close of the public hearing, requesting an action by the Department that would result in a Reviewable Decision, or providing written information to the Department prior to issuance of a Reviewable Decision. The Appeal Notice must be filed with the Department with a copy sent to the appropriate regional Department office by certified mail or hand delivered within ten days after the date of issuance of the Reviewable Decision, and a copy thereof must at the same time be sent by certified mail or hand delivered to the conservation commission (if not filed by the conservation commission) and to the applicant (if not filed by the applicant). The Appeal Notice shall also be served by certified mail or hand delivered on any person that requested the action by the Department that resulted in the Reviewable Decision. In the event that the entity that requested the action is a ten resident group, the Appeal Notice shall be served on the designated representative of the ten resident group, whose name and contact information shall be included in the Reviewable Decision. Any party listed in 310 CMR 10.05(7)(j)2.a. that fails to timely file an Appeal Notice pursuant to 310 CMR 10.05, shall be deemed to have waived its right to appeal the Reviewable Decision.

10/19/07 310 CMR - 349 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

10.05: continued

b. The Appeal Notice shall include: i. the Petitioner's complete name, address, phone number, fax number and email address and, if represented, counsel’s name, address, phone number, fax number and email address, and if a ten resident group, the same information for the group’s designated representative. ii. The department’s wetlands file number, if applicable, the name of applicant and address of the project. iii. if filed by an aggrieved person, demonstration of participation in previous proceedings, in accordance with 310 CMR 10.05(7)(j)3.a. and sufficient written facts to demonstrate status as a person aggrieved; iv. if filed by a ten resident group, demonstration of participation in previous proceedings, in accordance with 310 CMR 10.05(7)(j)(3)(a); v. a clear and concise statement of the alleged errors contained in the Reviewable Decision and how each alleged error is inconsistent with 310 CMR 10.00 and does not contribute to the protection of the interests identified in the Wetlands Protection Act, M.G.L. c. 131, § 40, including reference to the statutory or regulatory provisions the Party alleges has been violated by the Reviewable Decision, and the relief sought, including specific changes desired in the Reviewable Decision; vi. a copy of the Reviewable Decision appealed and a copy of the underlying Conservation Commission decision if the Reviewable Decision affirms the Conservation Commission decision; and vii. if asserting that a matter is Major or Complex, a statement requesting that the Presiding Officer make a designation of Major or Complex, with specific reasons supporting the request. c. An Appeal Notice that does not contain all of the information required in 310 CMR 10.05(7)(j)1.b. may be dismissed. d. Within five business days of receipt of a written request by any potential party, the applicant shall make all documents submitted to the department in support of the Reviewable Decision, including but not limited to the notice of intent, plan of record, or other information, available to any person who states that they intend to appeal or intervene. In the case of a ten resident group, or a group intervening pursuant to M.G.L. c. 30A, the applicant need only make one copy available to the group’s designated representative. e. Within five days of the receipt by the applicant and/or property owner of a written request by any person who has filed an appeal or intervened, and/or such person’s consultants, attorneys, or other representatives, shall be allowed to visit the site with the property owner, upon reasonable conditions of the applicant and/or property owner. The purpose of a site visit shall be related solely to the Reviewable Decision under appeal and shall be specifically identified by the requesting party. The person requesting the site visit may request a later date for the site visit, which shall be reasonably accommodated by the applicant and/or property owner. f. The Department, the conservation commission, the petitioner, the applicant, and any interveners pursuant to 310 CMR 10.05(7)(j) shall be deemed to be parties to the proceeding and are entitled to service of all documents filed in the proceeding, and shall be included in a certificate of service to accompany all filings in accordance with 310 CMR 1.01(4)(f). g. No work shall be undertaken until all administrative appeal periods from a Reviewable Decision have elapsed, or if such an appeal has been taken, until all procedures before the Department have been completed. h. The Presiding Officer may rule on the timeliness, standing and compliance with the requirements of 310 CMR 10.05(7)(j)3.b., sua sponte, and provide a prompt ruling to the parties; or if in response to a motion, within ten days of the filing of such motion. 3. Petitioner’s Direct Case. a. A Party who has timely filed an Appeal Notice must file with the Department and serve a copy on all parties its Direct Case no later than 45days after the Prescreening Conference.

10/19/07 310 CMR - 350 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

10.05: continued

b. The Petitioner has the burden of going forward pursuant to 310 CMR 10.03(2), and proving its direct case by a preponderance of the evidence. c. In its Direct Case, the Petitioner must establish the legal and factual basis for its position on the issues identified by the Presiding Officer in the pre-screening report. Failure to do so will result in a waiver of Petitioner’s Direct Case for that issue. In addition, the Direct Case at a minimum shall include: i. a description of the subject matter of the Reviewable Decision; ii. credible evidence from a competent source in support of each claim of factual error, including any relevant expert report(s), plan(s), or photograph(s). 4. Respondents’ Direct Case. A party that seeks to support or defend the Reviewable Decision shall file and serve on all parties a Direct Case within 30 days of the filing of the Petitioner’s Direct Case. A responding party shall be deemed to be a “Respondent.” a. Response Content: The response shall at a minimum include: i. A rebuttal to the Petitioner’s Direct Case setting forth the legal and factual basis supporting the Reviewable Decision, including relevant statutory and regulatory citations and evidentiary support consisting of credible evidence from a competent source; ii. any affirmative defenses and evidentiary support for them, including but not limited to the defense of lack of standing; and iii. if asserting that a matter is Major or Complex, a statement requesting that the Presiding Office make designation of Major or Complex, with specific reasons supporting the request. 5. Intervention and Intervenors’ Direct Case. a. Pursuant to M.G.L. c. 30A, § 10A, a group of ten citizens may intervene in a proceeding by filing and serving on all parties a Motion to Intervene within 21 days of the filing of the Appeal Notice. The Motion to Intervene shall provide the names, addresses, phone and fax numbers and email address of each of the members of the ten citizens group, and a certification under oath by each member that they consent to the Motion to Intervene, and authorize the group representative to act for the member. The Motion shall also designate a representative who shall represent the group and receive documents on its behalf. Upon filing a Motion in conformance with 310 CMR 10.05(7)(j)5.a., the ten citizen group shall be deemed a party, subject to disqualification if the Presiding Officer determines that the group does not consist of at least ten consenting citizens. b. A person who claims that he or she is substantially and specifically affected by the proceeding, may intervene by filing and serving on all parties a Motion to Intervene within 21 days of the filing of the Appeal Notice. The Motion must include a statement demonstrating that the moving party is substantially and specifically affected, in accordance with 310 CMR 1.01(7)(d). Upon filing a Motion in conformance with 310 CMR 10.05(7)(j)5., the moving party shall be deemed a party, subject to disqualification if the Presiding Officer determines that the moving party is not substantially and specifically affected. c. An intervenor that contests the Reviewable Decision shall file a Direct Case that conforms to 310 CMR 10.05(7)(j)3. no later than the due date of Petitioner’s Direct Case. An intervenor that supports the Reviewable Decision shall file a Direct Case that conforms to 310 CMR 10.05(7)(j)4. no later than the due date of the Respondent’s Direct Case. d. The Presiding Officer may rule on the timeliness, standing and compliance with the requirements of 310 CMR 10.05(7)(j)5., sua sponte, and provide a prompt ruling to the parties, or if in response to a motion within ten days of the filing of such motion. 6. Rebuttal. The Petitioner or an Intervenor aligned with the Petitioner may file and serve on all parties rebuttal evidence no later than seven days after the filing of the Direct Case by the Respondent or any Intervenor aligned with the Respondent. The rebuttal evidence shall be limited to countering evidence submitted in a Respondent’s or Intervenor’s Direct Case in support of the Reviewable Decision.

10/19/07 310 CMR - 350.1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

10.05: continued

7. Pre-screening and Hearing a. Upon receipt of the Appeal Notice, the Presiding Officer will schedule a prescreening conference to be conducted pursuant to 310 CMR 1.01(5)(a)15., and will send notice to all parties. Such prescreening conference will presumptively occur not more than 30 days after the Appeal Notice is filed. As used in this regulation, “presumptively” means that the time-line is binding, absent extraordinary circumstances in which case the Presiding Officer has authority to extend the time- line. b. Upon receipt of the Appeal Notice, the Department will schedule a hearing and will send notice to all parties. A hearing will be presumptively held within 120 days after the Appeal Notice is filed. c. Intervenors who subsequently intervene shall promptly receive the notice, but intervention shall not change the schedule of the pre-screening conference or the hearing. d. Parties may file motions regarding jurisdictional defects such as standing or timeliness by a date set by the presiding officer before the prescreening. Motions for directed verdict or summary decision may be filed by a date set by the presiding officer at the prescreening. Motions will not change the schedule of the prescreening conference or the hearing. e. Upon notice to the parties, the Presiding Officer may provide an opportunity for a simplified hearing conducted pursuant to 310 CMR 1.01(8)(a). f. If the Presiding Officer determines an appeal to be Major or Complex, she will adjust the schedule either by extending it up to 30 days, or by taking the matter ahead of other cases. g. All parties must attend and be prepared to discuss settlement and the narrowing of issues at the pre-screening conference. At the conclusion of the pre-screening conference or shortly thereafter, the Presiding Officer shall prepare and circulate a prescreening conference report, for any appeal not resolved in prescreening. The prescreening conference report shall contain a list of issues that are in dispute and which are legally relevant, and that are to be addressed in the parties’ direct and rebuttal cases. h. The Presiding Officer shall conduct a hearing. At the hearing, the parties’ Direct Cases shall consist of, and be limited to, the evidence contained in their respective Direct Cases and rebuttal evidence, subject to evidentiary rulings of the Presiding Officer. The primary function of the hearing shall be cross-examination of witnesses and, at the Presiding Officer’s discretion an oral closing argument. The hearing shall be limited to one day, unless the Presiding Officer finds that there is good cause for a longer hearing. 8. Final Action. The Presiding Officer shall issue a written recommended decision, not more than 30 days after the close of hearing, that shall include findings on the contested issues. The Commissioner shall issue a final written decision consistent with 310 CMR 1.01(14)(b), presumptively within six months of the Reviewable Decision, or in the case of an appeal deemed Major or Complex in which the schedule was extended, within seven months of the Reviewable Decision. Should a party request a tentative decision, the request shall be gverned by 310 CMR 1.01(14)(a). 9. Relationship to Other Rules of Adjudicatory Proceedings. a. To the extent there is conflict between the regulations governing wetland appeals set forth in 310 CMR 10.04 and 310 CMR 10.05(7)(j), on the one hand, and the Rules of Adjudicatory Proceedings set forth in 310 CMR 1.01, on the other hand, the former shall prevail. b. The following regulations shall apply to wetland appeals: 310 CMR 1.01(1); 1.01(2); (3); (4); (5); (6)(c), (f), (g), (h), (i), (j), (k); (8); (10); 12(a), (c), (d); 13 (a), (b), (c), (e), (f), (g) (h), (j), (l), (m), (n); 14(b), (c), (d), (e), (f), (g); 1.03. 10. Effective Date. The revised procedures for wetland appeals set forth in 310 CMR 10.04 and 310 CMR 10.05(7)(j) take effect on October 31, 2007 and shall apply to all wetland appeals for which a notice of claim is filed on or after October 31, 2007.

10/19/07 310 CMR - 350.2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

10.05: continued

(k) No work shall be undertaken until all administrative appeal periods from an Order or Notification of Non-Significance have elapsed or, if such an appeal has been taken, until all proceedings before the Department have been completed.

(8) Extensions of Orders of Conditions and Orders of Resource Area Delineations. (a) The issuing authority may extend an Order for one or more periods of up to three years each, which shall be made on Form 7. The request for an extension shall be made to the issuing authority at least 30 days prior to expiration of the Order. (b) The issuing authority may deny the request for an extension and require the filing of a new Notice of Intent for the remaining work or a new Abbreviated Notice of Resource Area Delineation in the following circumstances: 1. where no work has begun on the project, except where such failure is due to an unavoidable delay, such as appeals, in the obtaining of other necessary permits; 2. where new information, not available at the time the Order was issued, has become available and indicates that the Order is not adequate to protect the interests identified in M.G.L. c. 131, § 40; or 3. where incomplete work is causing damage to the interests identified in M.G.L. c. 131, § 40; 4. where work has been done in violation of the Order or 310 CMR 10.00; or 5. where a resource area delineation or certification under 310 CMR 10.02 (2)(b)2. in an Order of Resource Delineation is no longer accurate. (c) If issued by the conservation commission, the Extension Permit shall be signed by a majority of the commission. A copy of the Extension Permit shall be sent to the conservation commission or the Department, whichever is appropriate, by the issuing authority. (d) The Extension Permit shall be recorded in the Land Court or the Registry of Deeds, whichever is appropriate. Certification of recording shall be sent to the issuing authority on the form at the end of Form 7. If work is undertaken without the applicant so recording the Extension Permit, the issuing authority may issue an Enforcement Order (Form 9) or may itself record the Extension Permit.

(9) Certificates of Compliance. (a) Upon completion of the work described in a Final Order of Conditions, or the completion of work certified under 310 CMR 10.02(2)(b)2. but not later than the three year term of an Order of Resource Area Delineation or any extension thereunder, the applicant shall request in writing the issuance of a Certificate of Compliance stating that the work has been satisfactorily completed. Upon written request by the applicant, a Certificate of Compliance shall be issued by the issuing authority within 21 days of receipt thereof, and shall certify on Form 8 that the activity or portions thereof described in the Notice of Intent and plans has been completed in compliance with the Order. If issued by the Conservation Commission, the Certificate of Compliance shall be signed by a majority of the commission. A copy of the Certificate of Compliance shall be sent to the conservation commission or the Department, whichever is appropriate, by the issuing authority. (b) Prior to the issuance of a Certificate of Compliance, a site inspection shall be made by the issuing authority, in the presence of the applicant or the applicant's agent. If the Department is the issuing authority, it shall notify the conservation commission of the request and the date of the site inspection. (c) If the issuing authority determines, after review and inspection, that the work has not been done in compliance with the Order, it may refuse to issue a Certificate of Compliance. Such refusal shall be issued within 21 days of receipt of a request for a Certificate of Compliance, shall be in writing and shall specify the reasons for denial.

10/19/07 310 CMR - 350.3 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

NON-TEXT PAGE

10/19/07 310 CMR - 350.4 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 508

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Notice of Compliance Secretary of the Commonwealth Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 310 CMR 4.00

CHAPTER TITLE: Timely Action Schedule and Fee Provisions

AGENCY: Department of Environmental Protection

ADDRESS: One Winter St., Boston, MA 02108

09/28/2007 mrs

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 69 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 70 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

4.03: continued

$200 Motor Vehicle Fuel Dispensing Facility as defined in 310 CMR 7.24(6). Additional fee where specific service performed: (fee applicable in any year in which service performed, for each instance), effective June 27, 2003

HAZARDOUS WASTE

$2,810 Land disposal facility closure, effective June 27, 2003 $8,435 Treatment, storage or disposal facility, effective June 27, 2003 $3,160 Large Quantity Generator excluding dry cleaner, photo processor, and printer certifiers pursuant to 310 CMR 70.00, effective June 27, 2003 $525 Small Quantity Generator excluding dry cleaner, photo processor, and printer certifiers pursuant to 310 CMR 70.00, effective June 27, 2003 $3,160 Level III recycling facility, effective June 27, 2003

SOLID WASTE

$1,610 Small Transfer Station or C and D Processing Facility, effective October 7, 2005 $6,680 Large Transfer Station or C and D Processing Facility, effective October 7, 2005 $1,210 Small Handling Facility, effective June 27, 2003 $2,725 Large Handling Facility, effective June 27, 2003 $14,240 Landfill holding permit SW10 Authorization to Operate and or permit SW25 Landfill Closure/ Corrective Action Design excluding permits for woodwaste landfill and landfill permitted to received less than ten tons per day/3120 tons per year, effective June 27, 2003 $2,420 Woodwaste landfill (effective June 27, 2003) $865 Landfill permitted to receive less than ten tons per day/3120 tons per year, effective July 5, 2002 $1,140 Landfill holding permit SW43 Closure Completion or an Approved Post Closure Monitoring Plan, effective June 27, 2003 $6,680 Combustion Facility, effective June 27, 2003

COMPOST FACILITIES

$1,050 Compost Facility permitted by solid waste or water pollution control, effective June 27, 2003

INDUSTRIAL WASTEWATER

Groundwater discharges $10,110 Type II facility with a permit to discharge industrial wastewater and authorization to construct and operate a type II wastewater treatment system, effective June 27, 2003 $2,725 Type I facility with a permit to discharge industrial wastewater and authorization to construct and operate a type I wastewater treatment system, effective June 27, 2003 $175 Other facility with a permit only to discharge industrial wastewater, effective June 27, 2003

1/12/07 310 CMR - 75 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

4.03: continued

Sewer connections $175 Permitted sewer dischargers holding a permit including IW38, IW39, or IW40 and certifiers pursuant to 314 CMR 7.17(2), excluding dry cleaner, photo processor, printer, and dental certifiers pursuant to 310 CMR 70.00, effective July 13, 2007

Surface Water $8,790 Type II facility with a permit to discharge industrial wastewater and authorization to construct and operate a type II wastewater treatment system, effective June 27, 2003 $1,490 Type I facility with a permit to discharge industrial wastewater and authorization to construct and operate a type I wastewater treatment system, effective June 27, 2003 $175 Other facility with a permit only to discharge industrial wastewater, effective June 27, 2003

WATER SUPPLY

$85 Cross connections fee per connection in non-delegated water supplier communities, effective June 27, 2003

WATERSHED MANAGEMENT

$175 Withdrawl permit and or registration within a single water source considered to be a single river basin as defined by 310 CMR 36.03 and 313 CMR 4.03, effective June 27, 2003 $8,790 Surface Water Discharge (NPDES) of 150,000 gpd or greater; or requiring more than secondary treatment; or from a categorical industry with pretreatment standards at 40 CFR 400.00 et seq.; or from marine or pipeline oil terminal; or of noncontact cooling water in excess 1 mgd, and excluding 310 CMR 4.10(6)(tt), (uu), (vv), and (zz), effective October 6, 2006 $1,490 Surface Water Discharge Permit WM06 Type I Facility with no higher applicable compliance fee, and General Permit Notifications WM12 for groundwater remediation and WM13 minor non-process wastewater, effective October 6, 2006 $175 Surface Water Discharge General Permit Notification WM11 for noncontact cooling water and WM14, effective October 6, 2006

WATER POLLUTION CONTROL

Groundwater Discharges $12,500 Facility with a permit authorizing discharge of sewage equal to or greater than 40,000 gallons per day of sewage; other discharges not included in the other groundwater discharge compliance assurance categories, effective October 7, 2005 $7,000 Facility with a permit authorizing discharge of greater than 10,000 but less than 40,000 gallons per day of sewage, effective October 7, 2005 $3,000 Facility with a permit authorizing discharge of 10,000 or less gallons per day of sewage; or discharges from groundwater reclamation project; or discharges from laundromats and carwashes, effective October 7, 2005 $175 Facility with a permit authorizing discharge of noncontact cooling water or stormwater, discharges with a heat exchanger; pH adjustment and/or an oil/water separator as the sole means of treatment, effective June 27, 2003 Residuals management $1,050 residuals landfill, effective June 27, 2003 $1,050 pelletizing facilities, effective June 27, 2003

10/19/07 (Effective 6/29/07) 310 CMR - 76 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

4.10: continued

(c) (BWPIW03) Permits for Industrial Wastewater Management Program: groundwater discharges. 1. Category: permit and plan approval for Type II wastewater treatment facility. 2. Description: permit to discharge pursuant to 314 CMR 5.00 and authorization to construct and operate a Type II wastewater treatment facility, as required under 314 CMR 12.00 and defined in 257 CMR 2.00. 3. Schedule for timely action: for projects for which applications are filed and fees received on or after July 1, 2007, a. Within 24 days of receipt of an application and payment of the permit application fee, the Department shall complete an administrative completeness review. b. Within 120 days of making a determination of administrative completeness, the Department shall complete a technical review. c. The permit applicant may remedy identified deficiencies within 180 days of the Department's statement identifying deficiencies, if any. d. Within 120 days of receipt of materials from the applicant in response to the Department's statement identifying deficiencies, the Department shall complete a supplemental technical review. e. Within 72 days of the close of the period for public comment, including any public hearing, the Department shall complete a public comment review. 4. Permit application fee: $5,725 (d) (BWPIW05) Permits for Industrial Wastewater Management Program: groundwater discharges. 1. Category: permit and plan approval for Type I wastewater treatment facility. 2. Description: permit to discharge pursuant to 314 CMR 5.00 and authorization to construct and operate a Type I wastewater treatment facility, as required under 314 CMR 12.00 and defined in 257 CMR 2.00. 3. Schedule for timely action: for projects for which applications are filed and fees received on or after July 1, 2007, a. Within 24 days of receipt of an application and payment of the permit application fee, the Department shall complete an administrative completeness review. b. Within 96 days of making a determination of administrative completeness, the Department shall complete a technical review. c. The permit applicant may remedy identified deficiencies within 180 days of the Department's statement identifying deficiencies, if any. d. Within 96 days of receipt of materials from the applicant in response to the Department's statement identifying deficiencies, the Department shall complete a supplemental technical review. e. Within 72 days of the close of the period for public comment, including any public hearing, the Department shall complete a public comment review. 4. Permit application fee: $ 2,945 (e)(1) (BWPIW30) Permit for Industrial Wastewater Management Program: groundwater discharges. 1. Category: permit renewal or modification, with plan modification of wastewater treatment facility. 2. Description: permit renewal or modification, with plan modification, for facility holding permit BWPIW03 or BWPIW05. 3. Schedule for timely action: for projects for which applications are filed and fees received on or after July 1, 2007, a. Within 24 days of receipt of an application and payment of the permit application fee, the department shall complete an administrative completeness review. b. Within 88 days of making a determination of administrative completeness, the Department shall complete a technical review. c. The permit applicant may remedy identified deficiencies within 180 days of the Department's statement identifying deficiencies, if any. d. Within 88 days of receipt of materials from the applicant in response to the Department's statement identifying deficiencies, the Department shall complete a supplemental technical review. e. Within 72 days of the close of the period for public comment including any period for public hearing, the Department shall complete a public comment review. 4. Permit application fee: $1,340

6/29/07 (Effective 7/1/07) 310 CMR 117 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

4.10: continued

(e)(2) (BWPIW31) Permits for Industrial Wastewater Management Program: groundwater discharges. 1. Category: permit renewal or modification, without plan modification of wastewater treatment facility. 2. Description: permit renewal or modification, without plan modification, for facility holding permit BWPIW03 or BWPIW05. 3. Schedule for timely action: for projects for which applications are filed and fees received on or after July 1, 2007, a. Within 24 days of receipt of an application and payment of the permit application fee, the department shall complete an administrative completeness review. b. Within 72 days of making a determination of administrative completeness, the Department shall complete a technical review. c. The permit applicant may remedy identified deficiencies within 90 days of the Department's statement identifying deficiencies, if any. d. Within 72 days of receipt of materials from the applicant in response to the Department's statement identifying deficiencies, the Department shall complete a supplemental technical review. e. Within 72 days of the close of the period for public comment including any period for public hearing, the Department shall complete a public comment review. 4. Permit application fee: $600. (e)(3) (BWPIW32) Permits for Industrial Wastewater Management Program: groundwater discharges. 1. Category: plan approval for treatment system modification. 2. Description: plan approval modification for facility holding permit BWPIW03 or BWPIW05. 3. Schedule for timely action: for projects for which applications are filed and fees received on or after July 1, 2007, a. Within 24 days of receipt of an application and payment of the permit application fee, the department shall complete an administrative completeness review. b. Within 72 days of making a determination of administrative completeness, the Department shall complete a technical review. c. The permit applicant may remedy identified deficiencies within 90 days of the Department's statement identifying deficiencies, if any. d. Within 72 days of receipt of materials from the applicant in response to the Department's statement identifying deficiencies, the Department shall complete a supplemental technical review. 4. Permit application fee: $870. (f) (BWPIW ) reserved (g) (BWPIW ) reserved

Sewer Connection

(m) (BWPIW25) Permits for Industrial Wastewater Management Program: sewer connections 1. Category: permit to discharge with experimental or alternative treatment technology pursuant to 314 CMR 7.03. 2. Schedule for timely action: for projects for which applications are filed and fees received on or after July 1, 1992, Individual rule project subject to 310 CMR 4.05. 3. Permit application fee: Individual rule project subject to 310 CMR 4.05. (n) (BWPIW38) Permits for Industrial Wastewater Management Program: sewer connection/extension. 1. Category: Sewer connection. 2. Description: Permit pursuant to 314 CMR 7.03 and 7.05(2)(g)11. for any sewer connection or addition to an existing connection for discharges greater than 50,000 gallons per day to an IPP POTW. 3. Schedule for timely action: for projects for which applications are filed and/or fees received on or after July 13, 2007, a. Within 15 days of receipt of an application and payment of the permit application fee, the Department shall complete an administrative completeness and technical review.

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4.10: continued

b. The permit applicant may remedy identified deficiencies within 15 days of the Department's statement identifying deficiencies, if any. c. Within 15 days of receipt of materials from the applicant in response to the Department's statement identifying deficiencies, the Department shall complete a supplemental technical review. d. Within 15 days of the close of the period for public comment, including a public hearing, if any, the Department shall complete a public comment review. 4. Permit application fee: $1,605 (o) (BWPIW39) Permits for Industrial Wastewater Management Program: sewer connections. 1. Category: Sewer connection. 2. Description: Permit pursuant to 314 CMR 7.03 and 7.05(2)(g)12. for any sewer connection or addition to an existing connection for discharges greater than 25,000 gallons per day to a non-IPP POTW. 3. Schedule for timely action: for projects for which applications are filed and/or fees received on or after July 13, 2007, a. Within 15 days of receipt of an application and payment of the permit application fee, the Department shall complete an administrative completeness and technical review. b. The permit applicant may remedy identified deficiencies within 15 days of the Department's statement identifying deficiencies, if any. c. Within 15 days of receipt of materials from the applicant in response to the Department's statement identifying deficiencies, the Department shall complete a supplemental technical review. d. Within 15 days of the close of the period for public comment, including a public hearing, if any, the Department shall complete a public comment review. 4. Permit application fee: $1,605 (o)(1) (BWPIW40) Permits for Industrial Wastewater Management Program: sewer connections 1. Category: Sewer connection. 2. Description: Permit for a discharge required by the Department pursuant to 314 CMR 7.03. 3. Schedule for timely action: for projects for which applications are filed and/or fees received on or after July 13, 2007, a. Within 24 days of receipt of an application and payment of the permit application fee, the Department shall complete an administrative completeness review b. Within 96 days of making a determination of administrative completeness, the Department shall complete a technical review. c. The permit applicant may remedy identified deficiencies within 180 days of the Department's statement identifying deficiencies, if any. d. Within 96 days of receipt of materials from the applicant in response to the Department's statement identifying deficiencies, the Department shall complete a supplemental technical review. e. Within 72 days of the close of the period for public comment, including a public hearing, if any, the Department shall complete a public comment review. 4. Permit application fee: $2,010 (o)(2) (BWPIW41) Permits for Industrial Wastewater Management Program: sewer connections 1. Category: Plan Approval for Industrial Wastewater Pretreatment System (IWPS). 2. Description: Plan Approval for a wastewater pretreatment system pursuant to 314 CMR 12.03(4) and (11), as required by the Department pursuant to 314 CMR 7.03. 3. Schedule for timely action: for projects for which applications are filed and/or fees received on or after July 13, 2007, a. Within 24 days of receipt of an application and payment of the permit application fee, the Department shall complete an administrative completeness review b. Within 96 days of making a determination of administrative completeness, the Department shall complete a technical review. c. The permit applicant may remedy identified deficiencies within 180 days of the Department's statement identifying deficiencies, if any.

10/19/07 (Effective 6/29/07) 310 CMR 119 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

4.10: continued

d. Within 96 days of receipt of materials from the applicant in response to the Department's statement identifying deficiencies, the Department shall complete a supplemental technical review. e. Within 72 days of the close of the period for public comment, including a public hearing, if any, the Department shall complete a public comment review. 4. Permit application fee: $1,340

Surface Water Discharges (NPDES)

(p) (BWPIW16) Permits for Industrial Wastewater Management Program: surface water (NPDES). 1. Category: permit and plan approval for Type II wastewater treatment facility. 2. Description: permit to discharge pursuant to 314 CMR 3.00 and authorization to construct and operate a Type II wastewater treatment facility, as required under 314 CMR 12.00 and defined in 257 CMR 2.00.

10/19/07 (Effective 6/29/07) 310 CMR 120 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 512

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 310 CMR 44.00

CHAPTER TITLE: DEP Selection, Approval and Regulation of Water Pollution Abatement Projects Receiving Financial Assistance from the State Revolving Fund AGENCY: Department of Environmental Protection

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Sets forth the Department's authority and responsibilities to select, approve and regulate water pollution abatement projects receiving financial assistance under the State Revolving Fund (SRF) program

REGULATORY AUTHORITY: M.G.L. c. 21, § 27A and St. 1989, c. 275

AGENCY CONTACT: Steven McCurdy PHONE: 617-292-5779

ADDRESS: One Winter Street, 6th floor, Boston, MA 02108-4747

Compliance with M.G.L. c. 30A

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency.

PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. Executive Office of Energy and Environment 9/4/07 Local Government Advisory Committee 2/6/07 Water Resources Commission 4/12/07

Date of public hearing or comment period: Public Hearing February 14, 2007

For the first five years: not applicable

No fiscal effect: not applicable

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: water pollution abatement

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST:

SIGNATURE: SIGNATURE ON FILE DATE: Oct 5 2007

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007

EFFECTIVE DATE: 10/19/2007

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 2169 - 2180 2169 - 2180

10/05/2007 kr

310 CMR 44.00: DEP SELECTION, APPROVAL AND REGULATION OF WATER POLLUTION ABATEMENT PROJECTS RECEIVING FINANCIAL ASSISTANCE FROM THE STATE REVOLVING FUND

Section

44.01: Authority 44.02: Purpose 44.03: Definitions 44.04: Eligible Projects 44.05: Priority System 44.06: Project Selection Criteria 44.07: Eligible Project Costs 44.08: Planning Requirements 44.09: Environmental Review and Federal Cross-cutter Requirements 44.10: Affirmative Action and Minority/Women Business Enterprise Requirements 44.11: Project Approval and Regulation

44.01: Authority

310 CMR 44.00 has been adopted pursuant to M.G.L. c. 21, § 27A.

44.02: Purpose

310 CMR 44.00 sets forth the Department's authority and responsibilities to select, approve and regulate water pollution abatement projects receiving financial assistance under the State Revolving Fund (SRF) Program. The Department may issue supplemental policies, guidelines, guidance documents and/or administrative procedures to assist in the implementation and administration of 310 CMR 44.00.

44.03: Definitions

For the purposes of 310 CMR 44.00 et seq., the following terms shall have the meaning set forth in 310 CMR 44.00 unless the context clearly requires otherwise.

Clean Water Act: The Federal Water Pollution Control Act, Public Law 92-500, 33 USC § 1251, et seq.

Collection System Projects: Projects for the construction of a collection system or its related components. Collection systems generally consist of each and all of the common lateral sewers and appurtenances of publicly owned treatment works which are primarily installed to receive wastewaters from individual structures or from private property, and which include service connection "Y" fittings and service connections within the boundary of the public way or easement.

Community Septic Management Program: As authorized by St. 1996, c. 15, § 2, or by any other applicable law, a loan program to local governmental units administered within the Fund and under 310 CMR 44.00 to assist eligible homeowners to upgrade failed septic systems in compliance with 310 CMR 15.000 (Title 5) through underlying betterment agreements between the local governmental unit and such homeowners pursuant to M.G.L. c. 111, § 127B½.

Comprehensive Water Resource Management Plan: In accordance with the Department’s Guide to Water Resource Management Planning, a Comprehensive Water Resource Management Plan identifies all the community’s needs/problems in one sector of its water resource structure, evaluates alternative means of meeting those needs, selects the most cost-effective and environmentally appropriate remedy, and proposes an implementation plan and schedule. There are three types of Comprehensive Water Resource Management Plans: Comprehensive Wastewater Management Plans that evaluate the community’s wastewater infrastructure/ management needs, Comprehensive Water Supply Management Plans that focus on the

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44.03: continued

community’s water supply infrastructure and management issues, and Comprehensive Stormwater Management Plans that focus on the community’s stormwater management needs.

Cost: As applied to any water pollution abatement project, any or all costs, whenever incurred, approved by the Department in accordance with M.G.L. c. 21, § 27A, of carrying out a project including, without limiting the generality of the foregoing: costs for planning, preparation of studies and surveys, design, construction, expansion, facilities, improvement and rehabilitation, acquisition of real property, personal property, materials, machinery or equipment, start-up costs, demolitions and relocations, reasonable reserves and working capital, interest on loans, local governmental obligations and notes in anticipation thereof prior to and during construction of such project or prior to the date of such loan, if later, administrative, legal and financing expenses, and other expenses necessary or incidental to the aforesaid.

Department: The Department of Environmental Protection.

Federal Cross-cutters: Federal laws and authorities that apply by their own terms to projects receiving federal financial assistance such as the federal SRF. Such federal cross-cutters include, but are not limited to, environmental laws and authorities such as the Clean Air Act, Safe Drinking Water Act, Endangered Species Act, Coastal Zone Management Act, Wild and Scenic Rivers Act and the National Historic Preservation Act of 1966, and economic and miscellaneous authorities such as the procurement and contractor requirements associated with financial assistance programs under the Clean Water Act and Clean Air Act.

Infiltration: Water other than wastewater that enters a sewer system (including sewer service connections and foundation drains) from the ground through means which include, but are not limited to, defective pipes, pipe joints connections, or manholes. Infiltration does not include, and is distinguished from, inflow.

Infiltration/Inflow Projects: Projects which remove infiltration and inflow (i.e. water other than wastewater) from a sewer system, including construction associated with infiltration/inflow rehabilitation.

Infiltration/Inflow Rehabilitation: Contruction associated with the rehabilitation of a sewer system to remove infiltration/inflow rehabilitation.

Inflow: Water other than wastewater that enters a sewer system (including sewer service connections) from sources which include but are not limited to, roof leaders, cellar drains, yard drains, area drains, drains from springs and swampy areas, manhole covers, cross connections between storm sewers and sanitary sewers catch basins, cooling towers, storm waters, surface runoff, street wash waters or drainage. Inflow does not include, and is distinguished from infiltration.

Integrated Water Resources Management Plan: In accordance with the Department’s Guide to Water Resource Management Planning, an Integrated Water Resource Management Plan is a plan that identifies all of a community’s/(ies’) water resource infrastructure and management needs/problems including wastewater, water supply and stormwater, evaluates alternative means of meeting those needs, selects the most environmentally appropriate and cost-effective remedy, and proposes an implementation plan and schedule.

Intended Use Plan: An annual plan submitted by the Trust to EPA pursuant to § 606(c) of the Clean Water Act which identifies the intended use of the amounts available to the Fund as determined from time to time by the Trust and derived from the federal capitalization grant, state match amounts, loan repayments, investment earnings and any other moneys deposited by the Trust available to fund projects eligible for funding under Title VI of the Clean Water Act. The Intended Use Plan includes a project listing, a description of short and long term goals for the use of the funds, information on the activities to be supported, assurances for meeting certain Title VI requirements, and the criteria and method for the distribution of funds.

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44.03: continued

Intended Use Plan Project Listing: Those projects identified by the Department for inclusion on the fundable portion of the calendar year priority list pursuant to 310 CMR 44.05(2).

Loan: Any form of financial assistance subject to repayment which is provided by the Trust to a local governmental unit for all or any part of the cost of a water pollution abatement project.

Loan Agreement: Any agreement entered into between the Trust and a local governmental unit pertaining to a loan or local governmental obligations.

Loan Commitment: A written commitment by the Trust to make a loan to a local governmental unit to finance a project approved by the Department on terms consistent with the Department's Project Approval Certificate.

Local Government Unit or Local Governmental Unit: Any town, city, district, commission, agency, authority, board or other instrumentality of the commonwealth or of any of its political subdivisions, including any regional local governmental unit defined in M.G.L. c. 29C, which is responsible for the ownership or operation of a water pollution abatement project and is authorized by a bond act to finance all or any part of the cost thereof through the issue of bonds.

MEPA: The Massachusetts Environmental Policy Act, M.G.L. c. 30, §§ 61 through 62H.

NEPA: The National Environmental Policy Act, 42 U.S.C. 4321 et seq.

Nonpoint Source Project: Projects which implement or are consistent with the Nonpoint Source Management Plan, developed and updated by the Department pursuant to § 319 of the Clean Water Act, which may include, but are not limited to, the repair replacement and/or upgrading of subsurface sewage disposal systems regulated under 310 CMR 15.000 (Title 5), landfill capping and closure, remediation of leaking underground storage tanks, erosion control, the control of stormwater runoff, brownfields remediation projects, and other water pollution prevention projects.

Policy on Eligible Project Costs: The Department's document entitled "Policy on Eligible Project Costs", which identifies the specific types of project costs determined by the Department to be generally within the eligible project categories identified in 310 CMR 44.07(1) and (2).

Project Approval Certificate: The certificate issued by the Department to the Trust approving the project and certifying those costs of the project determined by the Department to be eligible for assistance from a loan and those costs eligible for financial assistance pursuant to M.G.L. c. 29C, § 6.

Project Regulatory Agreement: An agreement between the Department and a local governmental unit, executed and delivered to the Trust on or prior to the date of a loan from the Trust to the local governmental unit to finance a project approved by the Department, which contains provisions relating to the Department's regulation and supervision of the project in accordance with 310 CMR 44.00.

State Revolving Fund (SRF) Program: The financial assistance program for water pollution abatement projects authorized under M.G.L. c. 21, § 27A and the Clean Water Act, including the Water Pollution Abatement Revolving Loan Program established pursuant to M.G.L. c. 29C, the Department's related authority and responsibilities set forth in M.G.L. c. 21, § 27A and elsewhere in M.G.L. c. 21, § 27A, and the Water Pollution Abatement Revolving Fund established pursuant to M.G.L. c. 29, § 2L.

Title 5: Title 5 of the State Environmental Code, 310 CMR 15.000.

Trust: The Massachusetts Water Pollution Abatement Trust established by M.G.L. c. 29C.

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44.03: continued

Wastewater Treatment Project: Abatement facilities eligible for SRF assistance under the Clean Water Act providing, or being upgraded or rehabilitated to provide, secondary or more stringent wastewater treatment (or any cost effective alternatives), including conveyancing components (such as interceptors) and appurtenances related to such facilities as well as the correction of combined sewer overflows. Wastewater treatment project does not, however, include activities and/or facilities within the definitions of an Infiltration and Inflow Project or a Collection System Project under 310 CMR 44.03.

Watershed Management Plans: Plans developed, updated and/or approved by the Department to assess and manage the water resources of any watershed or subwatershed, including plans which implement or are consistent with the Department's Nonpoint Source Management Plan. Watershed Management Plans may include watershed related plans developed and updated by other parties which, as approved by the Department, implement or are consistent with the Department's Nonpoint Source Management Plan.

Water Pollution Abatement Project: Any abatement facilities, including without limitation rehabilitation of abatement facilities to remove, curtail or otherwise mitigate infiltration and inflow, collection system, treatment works and treatment facilities as defined in M.G.L. c. 21, § 26A, and any eligible facilities for implementation of a nonpoint source pollution control management program or estuary conservation and management plan pursuant to the Clean Water Act.

44.04: Eligible Projects

(1) Any water pollution abatement project, as defined in 310 CMR 44.03, is eligible to receive financial assistance from the Trust pursuant to 310 CMR 44.00. More specifically, eligible projects fall into the following categories: (a) Wastewater Treatment Projects, as defined in 310 CMR 44.03; (b) Infiltration Inflow ("I/I") Projects, as defined in 310 CMR 44.03; (c) Collection System Projects, as defined in 310 CMR 44.03, provided, however, that at least 85% of the expected wastewater flow into the proposed collection system will be for wastewater flows in existence as of July 1, 1995, except, subject to the approval of the Department, in areas designated as city or town centers, rural village districts, or brownfields redevelopment areas where no less than 50% of the expected wastewater flow into the proposed collection system will be for wastewater flows in existence as of July 1, 1995; (d) Nonpoint Source Projects, as defined in 310 CMR 44.03, including but not limited to projects financed under the Community Septic Management Program within the Fund to assist eligible homeowners to upgrade failed septic systems in compliance with 310 CMR 15.000 (Title 5) through underlying betterment agreements between a local governmental unit and such homeowners; (e) The planning and/or design for any one of the project categories identified in 310 CMR 44.04(1)(a) through (d), including but not limited to comprehensive wastewater management planning under 310 CMR 44.08(2) and (3) and planning projects which implement the Nonpoint Source Management Plan, as developed and updated by the Department pursuant to § 319 of the Clean Water Act, provided that the total funding allocated for planning and/or design projects shall not exceed 10% of the total financial assistance authorized on the calendar year Intended Use Plan Project Listing portion of the priority list. The Department may modify the allocation of funds consistent with its identification of planning and/or design projects as a funding priority in a particular calendar year pursuant to 310 CMR 44.06(3); and (f) Any project in the categories identified in 310 CMR 44.04(1)(a) through (d) which utilizes a single contractor to design, build and/or operate the project facilities, provided the procurement and use of such contractor is authorized by law, the project conforms with the state constitutional requirements governing the use of Commonwealth funds for public purposes, and the project otherwise meets the requirements of 310 CMR 44.00. The operational costs of such projects shall be ineligible for SRF assistance.

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44.05: Priority System

(1) Establishment of Calendar Year Priority List. (a) Prior to the beginning of each calendar year, the Department shall establish a single, annual list of projects prioritized to receive financial assistance pursuant to 310 CMR 44.00. The Department will prioritize projects in the order of their numerical rating, as determined by the Department based on the proponent’s responses to questions in the Project Evaluation Form. For the purpose of prioritizing projects financed under the Community Septic Management Program, which has its own legislatively dedicated funding allotment, the Department may distinguish the priority and the funding status of Community Septic Management Program projects from other projects on the priority list. (b) In establishing the priority list, the Department may require local government units to submit a Project Evaluation Form containing information deemed necessary by the Department for project evaluation, including but not limited to, information which addresses the proposed project’s compliance with the Intended Use Plan Project Listing criteria in 310 CMR 44.03(2) and the Project Selection Criteria in 310 CMR 44.06. The Department may establish a reasonable deadline for its receipt of such information, and may decline to evaluate and prioritize a project if the Department determines that the local governmental unit has failed to provide sufficient information. (c) Prior to adopting the priority list, the Department shall conduct a public hearing to receive and consider public comment on the proposed list. The Department will ensure that notice of the public hearing will be published in one or more newspapers of general circulation 30 days prior to the date of the hearing.

(2) Intended Use Plan Project Listing. (a) Eligible projects which the Department finds are ready to proceed and for which funds are available in the calendar year in which the priority list is established shall be placed on the Intended Use Plan Project Listing portion of the priority list. The Department reserves the right to expand the Intended Use Plan Project Listing during the course of the relevant calendar year based on an additional allocation of available funding. (b) The local governmental unit proposing the project must show that its project meets each of the following criteria in order for the Department to place the project on the Intended Use Plan Project Listing: 1. As determined by the Department, the project's environmental, and/or public health benefits, as evidenced by its ranking on the priority list, are sufficiently high to warrant its funding as a priority in the relevant calendar year; 2. As determined by the Department, based on a review of reliable and relevant information, the project's environmental and/or public health benefits outweigh any expected negative impacts to water quality or water quantity or to the public health which are directly attributable to the project; 3. The local governmental unit has already obtained its local funding authorization for the project, or has committed to a specific schedule to obtain such funding authorization by June 30th of the relevant calendar year; and 4. The local governmental unit demonstrates to the Department's satisfaction that its project is sufficiently advanced in its implementation such that the local governmental unit will file a complete loan application with the Department for the project by October 15th of the relevant calendar year. A complete application includes, as applicable, approvable plans and specifications for the project and evidence that the local governmental unit has, at a minimum, filed applications for any permits or environmental reviews applicable to the project. As provided in 310 CMR 44.11(1)(b), the Department may deny any application which it determines to be incomplete. (c) In the event that a project placed on Intended Use Plan Project Listing fails during the course of the calendar year to meet one or more of the criteria in 310 CMR 44.05(2)(b), the project may be removed from the Intended Use Plan Project Listing. In such event, the Department reserves the right to raise one or more project(s) which are determined by the Department to be of the highest priority and which meet the criteria in 310 CMR 44.05(2)(b), consistent with available funding, to the Intended Use Plan Project Listing. Subject to the availability of funding and the project’s priority, the Department further reserves the right to restore any project removed from the Intended Use Plan Project Listing for failure to meet the criteria in 310 CMR 44.05(2)(b) if the project thereafter meets those criteria prior to the end of the relevant calendar year.

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44.05: continued

(d) The implementation of some projects on the Intended Use Plan Project Listing will take place over two years or more. For such multi-year projects, the Department will limit the amount of actual funding reserved for the project on each annual Intended Use Plan Project Listing to the amount needed to fund the project for two years. In the event that a multi-year project receives a project approval certificate from the Department by the end of the relevant calendar year, the Department will reserve another annual increment(s) of funding for the project on subsequent calendar year Intended Use Plan Project Listings, subject to the availability of funding, and provided the project is implemented in accordance with the schedule in the project approval certificate, as determined by the Department. The limitation on financial assistance in 310 CMR 44.05(3) shall apply to any amounts reserved as annual increments of funding for a multi-year project on subsequent calendar year Intended Use Plan Project Listings.

(3) Limitation on Financial Assistance. (a) No local government unit shall receive Department approval for financial assistance from the Trust for a project or projects in a calendar year in any amount in excess of 33% of the total financial assistance authorized on the Intended Use Plan Project Listing portion of the priority list in that calendar year, including any amounts reserved as annual increments of funding for a multi-year project on subsequent calendar year Intended Use Plan Project Listings. (b) The Department reserves the right to waive the borrower limitation on financial assistance set forth in 310 CMR 44.05(3)(a) if the Department determines that one or more projects on the Intended Use Plan Project Listing portion of the applicable priority list has failed or will fail to meet the criteria in 310 CMR 44.05(2)(b) by October 15th in the relevant calendar year, or if the Department allocates additional available funding to the Intended Use Plan Project Listing during the course of the relevant calendar year.

44.06: Project Selection Criteria

(1) Except as provided for in 310 CMR 44.06(2), (3) and (4), the Department will use the evaluation criteria in 310 CMR 44.06(1)(a) and (b) to determine a project's priority and ranking on the calendar year priority list. The Department, through written guidance, will assign a numerical point range to each of the evaluation criteria in 310 CMR 44.06(1) which will be used to further determine a project's ranking on the priority list. (a) Environmental Criteria. 1. The extent to which the project will eliminate or mitigate a risk to public health. Relevant factors to consider may include but are not limited to: a. The extent to which the project is needed to improve, restore or protect a public or private drinking water supply. b. The size and character of the population threatened or negatively impacted by the identified risk to public health (e.g., users of a community public water system, owners of private wells, the number of children, the elderly, persons with pre-existing health risks), and the extent to which the project will eliminate or mitigate the public health risk to the identified population. c. The extent to which the project will eliminate or mitigate a public health hazard or public nuisance, as determined by the local health authority and/or the Department (e.g., sewerage surcharging; failed 310 CMR 15.000 (Title 5) systems). 2. The severity of the environmental problem which the project is intended to address. Relevant factors to consider may include but are not limited to: a. The severity of the specific water quality or sediment parameter problems in the relevant water body (e.g., biochemical oxygen demand, suspended solids, pH, temperature, nitrogen, phosphorus, metals). b. Whether the relevant water body has been identified on the Commonwealth's § 303(d) list as failing to meet water quality standards for specific parameters. c. Whether the relevant water body currently meets water quality standards and its designated water quality uses under 314 CMR 4.00, including any Total Maximum Daily Load (TMDL) established by the Department for the relevant water body. d. Whether the relevant water body is a significant public recreation resource, a state Area of Critical Environmental Concern, an outstanding resource water as determined by the Commonwealth, a federally designated river, etc.

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44.06: continued

e. Whether there are adverse impacts to living resources such as commercial or recreational fisheries, or endangered or wildlife species and their habitats. f. The extent to which there are other sensitive environmental resources (such as wetlands, Zones I and II of public water supplies, shellfish or cold water fisheries) or water dependent recreational uses which are threatened or negatively impacted by the identified environmental problem. 3. The extent to which the project will have demonstrable water quality benefits which will effectively address the identified environmental problems. Relevant factors to consider may include but are not limited to: The extent to which the local governmental unit's jurisdiction and the project's objectives, scope and proposed implementation demonstrate the project's capability to eliminate or significantly mitigate the identified environmental problems. 4. The extent to which the project is needed to come into or maintain compliance with applicable federal and/or state discharge permit(s) or other federal and/or state water pollution control requirements, and the effect of compliance on water quality and/or public health. Relevant factors to consider may include but are not limited to: a. The extent to which the project is needed to ensure compliance with an existing federal or state court or administrative order. b. The extent to which the project is needed to ensure compliance with a federal or state discharge permit (e.g., NPDES permit limits) or federal or state water pollution control regulations and requirements (e.g., 310 CMR 15.000 (Title 5) control of stormwater discharges, compliance with Total Maximum Daily Load Limitations). c. The extent to which the project's maintenance of compliance with an order, discharge permit or regulation demonstrably benefits or protects the water quality and/or public health (e.g., projects which rehabilitate or upgrade existing facilities and are designed to keep a facility in compliance and/or to prevent water resource degradations). (b) Program and Implementation Criteria. 1. The extent to which the project implements or is consistent with one or more current watershed management plans (e.g., DEP basin plans) and/or watershed protection plans (e.g., local Zone II land use controls, comprehensive conservation management plans), or otherwise effectively addresses a watershed priority, as determined by the Department. 2. The extent to which the capacity provided by the project is needed, including, more specifically, whether the project will duplicate existing treatment or disposal capacity available at an economic cost within the relevant region. 3. The extent to which, as determined by the Department based on a review of reliable and relevant information, the project's environmental and/or public health benefits outweigh any expected negative impacts to water quality, water quantity or to the public health which are directly attributable to the project. 4. The extent to which the project is consistent with local and regional growth and/or infrastructure plans, and promotes the rehabilitation and revitalization of infrastructure, structures, sites, and areas previously developed and still suitable for economic (re)use. 5. Whether the project constitutes or is a component of a multi-community or regional approach to addressing the identified environmental problem. 6. The extent to which the project utilizes Department-approved innovative/alternative technology to effectively address the identified environmental problem. 7. Whether the local governmental unit has implemented a pricing system for sewer services in accordance with the provisions of M.G.L. c. 40, § 39J and St. 1985, c. 275.

(2) Certain of the project selection criteria in 310 CMR 44.06(1) do not apply to planning projects (e.g., the extent to which the project will have demonstrable water quality benefits which will effectively address the identified problem). The Department will limit its evaluation of planning projects to the relevant criteria.

(3) In establishing the calendar year priority list pursuant to 310 CMR 44.05(1), the Department may: (a) identify project categories and/or watersheds as funding priorities warranting a high priority status in a particular calendar year, consistent with the Project Selection Criteria in 310 CMR 44.06(1); and

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44.06: continued

(b) modify and/or further specify the factors or point system to be used to evaluate the extent to which a project meets the Project Selection Criteria in 310 CMR 44.06(1), including any project or program priorities identified by the Department as a funding priority in a particular calendar year pursuant to 310 CMR 44.06(3) and (4).

(4) Before finally adopting substantial modifications to the Project Selection Criteria and/or the related point system, the Department will notice such modifications in the Environmental Monitor and provide an opportunity for public comment for a period of not less than 30 days, including conducting a minimum of one public hearing.

44.07: Eligible Project Costs

(1) Costs which the Department determines are necessary for the completion of the project are eligible for financing in the loan and to receive a subsidy under the loan.

(2) Costs which the Department determines are not necessary for completion of the project are ineligible for financing in the loan.

(3) The Department will base its eligible project cost determinations on its "Policy on Eligible Project Costs", which identifies the specific types of costs that are within the two categories under 310 CMR 44.07(1) and (2).

(4) Project costs incurred by an applicant prior to the date of issuance of the Department's project approval certificate are not eligible for a subsidy under the loan, except as follows: (a) Preliminary engineering, comprehensive wastewater management planning, design or related professional services and construction work, may be approved by the Department prior to the issuance of a project approval certificate as project costs eligible for subsidy if: 1. the applicant has submitted a written and adequately substantiated request for approval; 2. written approval by the Department is obtained before initiation of the project and award of any loan for the project; and 3. the project is included and maintains its status on the current calendar year priority list. (b) The Department's prior approval of costs in accordance with 310 CMR 44.07(4)(a) does not constitute a commitment to approve financial assistance for any project. Instead, such costs will be considered eligible project costs only if a loan is made by the Trust for the project. Accordingly, an applicant receiving the Department's prior approval of costs in accordance with 310 CMR 44.07(4)(a) proceeds at its own risk.

(5) Costs incurred in excess of the approved project costs are not eligible for financing by the loan unless the project approval certificate and the loan are both amended to include the cost increase.

(6) A loan recipient shall exercise its best efforts to accomplish the work program set forth in the loan within the loan amount. Whenever a loan recipient reasonably believes that its project costs will exceed or be substantially less than the approved loan amount, it must promptly notify the Department in writing. The loan recipient must submit revised cost estimates for the project to the Department as soon thereafter as practicable. Neither the Department or the Trust is under any obligation to approve costs in excess of the amount previously approved in the project approval certificate and loan.

(7) The final eligible project costs shall be the eligible costs approved by the Department upon completion of the project, unless audited. If such project costs are audited, the final eligible costs shall be the eligible costs approved by the Department at the completion of the audit.

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44.08: Planning Requirements

(1) Introduction. 310 CMR 44.08 addresses two categories of requirements related to planning. 310 CMR 44.08(2) requires a local government unit to demonstrate that its SRF project is consistent with existing state, regional and local water resource and wastewater planning requirements. The Department’s Guide to Water Resource Management Planning identifies three levels of planning (Project Evaluation or Engineering Reports, Comprehensive Water Resource Management Plans and Integrated Water Resource Management Plans) which may be used to evaluate different types of SRF projects. Unless determined otherwise by the Department, Comprehensive Wastewater Management Plans or Integrated Water Resource Management Plans are required only for controversial or complex wastewater projects. Unless otherwise determined by the Department, a less comprehensive report, the Project Evaluation Report or Engineering Report, is required for all other wastewater projects eligible for financial assistance from the SRF.

(2) Consistency of SRF projects with Water Resource and Wastewater Planning Requirements. (a) As provided in M.G.L. c. 21, § 27A(d), a local government unit applying for assistance from the Trust must demonstrate that its project is consistent with existing state, regional and local water resource and wastewater planning requirements, including but not limited to: 1. river basin water quality plans pursuant to § 303(e) of the Clean Water Act; 2. nonpoint source management plans pursuant to § 319 of the Clean Water Act; 3. estuaries management plans pursuant to § 320 of the Clean Water Act; 4. local water resource management plans pursuant to regulations of the water resources commission; and 5. water emergency planning pursuant to M.G.L. c. 21G. (b) Applicants shall also certify that land use and other controls in place (e.g., zoning bylaws) are consistent with the wastewater system service populations projected in any comprehensive wastewater management plan of the applicant. An applicant's certification shall include a description of all such land use and other controls in place as supporting documentation for its certification.

(3) Planning Required for SRF Projects. (a) Comprehensive Wastewater and Integrated Water Resource Management Planning. Unless otherwise determined by the Department, major, complicated or controversial wastewater projects shall be the result of a Comprehensive Wastewater Management Plan or an Integrated Water Resource Management Plan that systematically: 1. assesses the need for the project; 2. examines alternatives to the project; 3. proposes a plan and schedule for the project; 4. evaluates all the environmental impacts of the project including without limitation secondary growth impacts and impacts of the overall water balance in the watershed or subwatershed; 5. identifies means of mitigating those impacts; 6. demonstrates that the project is not only environmentally appropriate and cost- effective, but also implementable from a legal, institutional, financial and management standpoint. The Department will determine the scope of work for any Comprehensive Management Plan or Integrated Water Resource Management Plan used to fulfill the requirements in accordance with the Department’s Guide to Water Resource Management Planning. The Scope of Work for all Comprehensive Management Plans and Integrated Water Resource Management Plans must provide for a public participation program that includes at a minimum one public meeting to discuss the alternatives to the project and their environmental impacts and a public hearing on the environmental impacts, plan, and schedule of the project. (b) Project Evaluation or Engineering Report. Unless otherwise determined by the Department, planning for projects other than the project categories identified in 310 CMR 44.08(3)(a) shall be limited to the development of a Project Evaluation or Engineering Report. Based on the nature and duration of the proposed project, the Department will determine the required scope of the Project Evaluation or Engineering Report in accordance with the Guide to Water Resource Management Planning. Unless otherwise determined by the Department, a complete Project Evaluation or Engineering Report for a wastewater project shall include:

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44.08: continued

1. A description of the proposed project; 2. An analysis of the cost-effectiveness of the project and the alternatives considered; 3. For the selected alternative, a concise description at an appropriate level of detail, of at least the following: a. the relevant design parameters for the project; b. the estimated capital construction and operation and maintenance costs of the project; c. the cost impacts on system users and non-users, or where the project is not user- based, cost impacts on the local government unit budget; and d. the institutional, financial, legal and management arrangements necessary for successful implementation of the project. 4. A public participation program that includes, at a minimum, one public meeting on the proposed project.

44.09: Environmental Review and Federal Cross-cutter Requirements

(1) Environmental Review Requirements. (a) All projects approved by the Department to receive a loan from the Trust shall, at a minimum, comply with the requirements of MEPA and the regulations promulgated thereunder at 301 CMR 11.00. In addition, a public hearing shall be held on the project if the Department determines that the project is controversial, or if the Department otherwise determines that a hearing is in the public interest. The Department may also require the local governmental unit to consider project alternatives and to provide the public an opportunity to comment on such alternatives. (b) Projects required to be the result of comprehensive wastewater management planning, as provided in 310 CMR 44.08(2)(a) and (3), shall also comply with the environmental review and process requirements in the Department’s Guide to Water Resource Management Planning.

(2) Federal Cross-cutter Requirements. All projects to be funded by funds directly made available by federal capitalization grants shall comply with all federal cross-cutters applicable to the project, as determined by the Department. The Department may require any other project to comply with one or more of the federal cross-cutters deemed applicable to the project by the Department.

44.10: Affirmative Action and Minority/Women Business Enterprise Requirements

Local governmental units receiving financial assistance from the Trust shall comply with applicable federal and state anti-discrimination laws and requirements, including the Department’s requirements in the areas of Affirmative Action in employment and Minority and Women Business Enterprise (M/WBE) utilization in contracting.

44.11: Project Approval and Regulation

(1) Application. (a) A local governmental unit whose project is on the Intended Use Plan Project Listing portion of the calendar year priority list must first apply to the Department to receive a loan from the Trust to finance costs of the project. The local governmental unit must file a complete application with the Department containing the following information and documentation: 1. General Information which must include evidence of a funding authorization by the local governmental unit sufficient to cover the project cost, and certification of the authority of the local governmental unit to file the application. 2. Financial Information pertinent to the Trust's evaluation of the applicant's ability to repay the loan. 3. Project Information which demonstrates to the Department's satisfaction that the project is sufficiently advanced in its implementation, including, as applicable: a. approvable plans and specifications for the project;

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44.11: continued

b. evidence that the local governmental unit has, at a minimum, filed applications for any permits or environmental reviews applicable to the project; c. the project scope of work, project evaluation report or the comprehensive wastewater management planning for the project; and d. project schedule that demonstrates to the Department's satisfaction that the project will commence no later than six months from the expected date of issuance of a project approval certificate, assuming the Department determines that the project is approvable. 4. Supplemental Information such as title to project site or evidence of some other appropriate property interest in the project site, any necessary inter-municipal agreements, documentation related to the user charge system, etc. 5. Applicant Certification as to the completeness of the application in accordance with the Department's application form and requirements, and as to the accuracy and completeness of the information provided by the applicant in its application. (b) The Department may deny any application which it determines to be incomplete. Prior to taking final action on an application, the Department may request the applicant to clarify and/or supplement information contained in its application, or to attend an informal conference(s) with the Department to discuss the application.

(2) Project Approval Certificate. (a) The Department's approval of an applicant's project shall be contained in a Project Approval Certificate issued to the Trust. As provided in the Act, the Department's issuance of a Project Approval Certificate is a prior necessary condition to the award of a loan by the Trust to finance the costs of a project. (b) The Department shall not approve a project for a loan from the Trust unless the local governmental unit: 1. demonstrates that its project is consistent with existing state, regional and local water resource and wastewater planning requirements as described in 310 CMR 44.08(2) ("Consistency of SRF Projects with Water Resource and Wastewater Planning Requirements"); and 2. adopts a user charge system in accordance with the Department guidance which is designed to provide adequate revenues required for operation and maintenance, including replacement, of the project. The Department reserves the discretion to determine that the user charge system requirement does not apply to certain Nonpoint Source Projects (e.g., a stormwater control project that is not providing ongoing service to an identified set of users). (c) In addition to approving the project, the Project Approval Certificate shall certify those costs of the project determined by the Department to be eligible for assistance from a loan, and those costs determined to be eligible for a subsidy or interest rate under the loan. The Project Approval Certificate shall also identify the level of subsidy applicable to the project in accordance with M.G.L. c. 29C and, as applicable, any additional subsidy applicable to the project authorized by special law. Subsidy is expressed as an interest rate in the Project Approval Certificate. (d) The Project Approval Certificate may also contain such other conditions and limitations as the Department deems necessary to ensure compliance by a local governmental unit with 310 CMR 44.00 and with all other federal and state statutes and regulations applicable to the construction and operation of the project. Such conditions shall include, but are not limited to, a project completion schedule which shall require the local government unit to initiate the project, as determined by the Department, no later than six months from the date of the Department’s issuance of the Project Approval Certificate. The Department, at its sole discretion, may extend this six-month deadline based on evidence demonstrating to the Department’s satisfaction that the delay is beyond the reasonable control of and without the fault of the local governmental unit or its contractors or other agents. (e) The Department shall issue the Project Approval Certificate to the Trust for its action and forward a copy of such certificate to the local governmental unit concurrently. The Trust shall thereafter enter into a loan commitment with a local governmental unit consistent with the terms of the Project Approval Certificate. Following entry into a binding loan commitment, the Trust shall prepare and deliver a loan agreement for execution by the local governmental unit, consistent with the terms of the Project Approval Certificate as incorporated into the Department's Project Regulatory Agreement.

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44.11: continued

(3) Project Regulatory Agreement. (a) On or prior to the date of a loan from the Trust for a project approved by the Department, the local governmental unit and the Department shall execute and deliver to the Trust a Project Regulatory Agreement relating to the Department's regulation and supervision of the project in accordance with 310 CMR 44.00. The Project Regulatory Agreement shall be in form and substance satisfactory to the Department. The Project Regulatory Agreement shall be incorporated by reference in the Trust loan agreement and failure by the local governmental unit to comply with the Project Regulatory Agreement shall constitute an event of default under the loan agreement. (b) The Project Regulatory Agreement shall contain provisions consistent with the Project Approval Certificate. In addition to incorporating pertinent conditions in the Project Approval Certificate, the Project Regulatory Agreement may also contain such other conditions and limitations as the Department deems necessary for its regulation and supervision of the project in accordance with 310 CMR 44.00, including but not limited to: 1. the schedule for disbursement of loan proceeds; 2. the payment requisition requirements and procedures; 3. the requirements and procedures for the Department's audit of payment requisitions; 4. covenants by the local governmental unit related to the project, including a covenant to comply with all federal and state statutes and regulations applicable to the local governmental unit's construction and operation of the project; 5. the measures available to the Department to remedy a default by the local governmental unit under the Project Regulatory Agreement; 6. any requirements regarding certification of a project's performance in accordance with the Department's approval; 7. compliance with the Department's guidance on the use of and requirements for professional subagreements.

REGULATORY AUTHORITY:

310 CMR 44.00: St. 1989, c. 275, § 3; St. 1992, c. 203, § 1; M.G.L. c. 21, § 27A.

10/19/07 310 CMR - 2180 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 511

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 310 CMR 7.00

CHAPTER TITLE: Air Pollution Control

AGENCY: Department of Environmental Protection

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. The revised regulations further reduce emissions of volatile organic compounds (VOCs) from architectural and industrial maintenance (AIM) coatings (e.g., paints, stains, varnishes, etc.) and consumer products (e.g., household cleaners, hairsprays, etc.). VOC emissions contribute to the formation of ground-level ozone. Massachusetts is currently in non-attainment of the 8-hour ozone National Ambient Air Quality Standard. These regulations will be submitted to the United States Environmental Protection Agency (EPA) as part of the Massachusetts Ozone State Implementation Plan (SIP).

REGULATORY AUTHORITY: M.G.L. Chapter 111, §§ 142A through 142N

AGENCY CONTACT: Azin Kavian PHONE: 617-574-6801

ADDRESS: One Winter Street, Boston, MA 02108

Compliance with M.G.L. c. 30A

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency.

PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. Notice given January 2007 to: Mass. Municipal Association, Mass. Historical Society, Dept. of Public Health, Joint Legislative Committee on Environment, Natural Resources and Agriculture, Local Government Advisory Committee, EOEEA, DTE, and MEPA Office.

Date of public hearing or comment period: Public Hearings: 2/28/07, 3/02/07. Comment: 1/26/07-3/12/07.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 73 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. FISCAL EFFECT - Estimate the fiscal effect of the public and private sectors. For the first and second year: Compliant products already are on the market due to similar rules in other states; therefore little fiscal effect is expected. For the first five years: Same as above.

No fiscal effect:

Small businesses that manufacture consumer products or coatings in Massachusetts may incur some cost increases if they must reformulate their products to comply with the lower VOC standards. However, many products already comply with the lower VOC standards.

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: Consumer products, architectural and industrial maintenance coatings, ozone, VOCs, Massachusetts Ozone State Implementation Plan (SIP).

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST:

SIGNATURE: SIGNATURE ON FILE DATE: Oct 5 2007

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007

EFFECTIVE DATE: 10/19/2007

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 250.71 - 250.72.12 250.71 - 250.72.12

10/05/2007 mrs

7.24: continued

2. Any person subject to 310 CMR 7.24(8) who owns or operates a marine terminal shall, upon the request of the Department, conduct tests of the emission control equipment, to demonstrate compliance with 310 CMR 7.24(8). Testing shall be conducted in accordance with EPA Method 21 and Method 25 as described in CFR Title 40 Part 60, or by other methods approved by the Department and EPA. 3. The owner or operator of any marine terminal shall notify the Department in writing of the date of any test to demonstrate compliance with the emission limitations of 7.24(8)(c)1. at least 30 days in advance of that date. Testing results shall be submitted to the Department within 30 days of completion of the test. Testing results shall also be maintained at the marine terminal for a period of five years.

7.25: U Best Available Controls for Consumer and Commercial Products

(1) Purpose. 310 CMR 7.25 applies to and sets forth requirements for the control of volatile organic compound emissions from the use of consumer and commercial products as defined in Title I Part D Subpart 2 Section 183(e)(1)(B) of the federal Clean Air Act.

[(2) through (10): Reserved]

(11) Architectural and Industrial Maintenance (AIM) Coatings. (a) Applicability. 1. Except as provided in 310 CMR 7.25(11)(a)2., the requirements of 310 CMR 7.25(11) apply to any person who, on or after January 1, 2009, supplies, sells, offers for sale, blends for sale, or manufactures any architectural coating listed in 310 CMR 7.25(11)(b) for use within Massachusetts, as well as any person who applies or solicits the application of any architectural coating within Massachusetts. 2. The provisions of 310 CMR 7.25(11) do not apply to any person who supplies, sells, offers for sale, blends for sale, or manufactures any architectural coating that is for exclusive use outside of Massachusetts. (b) Definitions. Terms used in 310 CMR 7.25 are defined at 310 CMR 7.00: Definitions or in 310 CMR 7.25. Where a term is defined in both 310 CMR 7.00: Definitions and in 310 CMR 7.25, the definition in 310 CMR 7.25 shall apply.

AEROSOL COATING PRODUCT means an aerosol coating product containing pigments or resins that is packaged in a disposable can for hand-held application, or for use in specialized equipment for ground traffic/marking applications.

ANTENNA COATING means a coating labeled and formulated exclusively for application to equipment and associated structural appurtenances that are used to receive or transmit electromagnetic signals.

ANTIFOULING COATING means a coating labeled and formulated for application to submerged stationary structures and their appurtenances to prevent or reduce the attachment of marine or freshwater biological organisms. To qualify as an antifouling coating, the coating must be registered with both the U.S. EPA under the Federal Insecticide, Fungicide and Rodenticide Act (7 U.S.C. § 136 et seq.) and with the under the Massachusetts Pesticide Control Act.

APPURTENANCE means any accessory to a stationary structure coated at the site of installation, whether installed or detached, including but not limited to: bathroom and kitchen fixtures; cabinets; concrete forms; doors; elevators; fences; hand railings; heating equipment, air conditioning equipment, and other fixed mechanical equipment or stationary tools; lampposts; partitions, pipes and piping systems; rain gutters and downspouts; stairways; fixed ladders; catwalks and fire escapes; and window screens.

ARCHITECTURAL COATING means a coating to be applied to stationary structures or the appurtenances at the site of installation, to portable buildings at the site of installation, to pavements, or to curbs. Coatings applied in shop applications or to nonstationary structures such as airplanes, ships, boats, railcars, and automobiles, and adhesives are not considered architectural coatings for the purposes of 310 CMR 7.25.

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7.25: continued

ASTM means the American Society for Testing and Materials.

BAAQMD means Bay Area Air Quality Management District of the State of California.

BITUMENS means black or brown materials including, but not limited to, asphalt, tar, pitch, and asphaltite that are soluble in carbon disulfide, consist mainly of hydrocarbons, and are obtained from natural deposits or as residues from the distillation of crude petroleum or coal.

BITUMINOUS ROOF COATING means a coating that incorporates bitumens that is labeled and formulated exclusively for roofing.

BITUMINOUS ROOF PRIMER means a primer that incorporates bitumens that is labeled and formulated exclusively for roofing.

BOND BREAKER means a coating labeled and formulated for application between layers of concrete to prevent a freshly poured top layer of concrete from bonding to the layer over which it is poured.

CALCIMINE RECOATER means a flat solvent-borne coating formulated and recommended specifically for recoating calcimine-painted ceilings and other calcimine-painted substrates.

CARB means the California Air Resources Board.

CLEAR BRUSHING LACQUERS means clear wood finishes, excluding clear lacquer sanding sealers, formulated with nitrocellulose or synthetic resins to dry by solvent evaporation without chemical reaction and to provide a solid, protective film, which are intended exclusively for application by brush and which are labeled as specified in 310 CMR 7.25(11)(d)3.

CLEAR WOOD COATINGS means clear and semi-transparent coatings, including lacquers and varnishes, applied to wood substrates to provide a transparent or translucent solid film.

COATING means a material applied onto or impregnated into a substrate for protective, decorative, or functional purposes. Such materials include, but are not limited to, paints, varnishes, sealers, and stains.

COLORANT means a concentrated pigment dispersion in water, solvent, and/or binder that is added to an architectural coating after packaging in sale units to produce the desired color.

CONCRETE CURING COMPOUND means a coating labeled and formulated for application to freshly poured concrete to retard the evaporation of water.

CONCRETE SURFACE RETARDER means a mixture of retarding ingredients such as extender pigments, primary pigments, resin, and solvent that interact chemically with the cement to prevent hardening on the surface where the retarder is applied, allowing the retarded mix of cement and sand at the surface to be washed away to create an exposed aggregate finish.

CONSUMER means any person who purchases or acquires any product for personal, family, household, or institutional use. Persons acquiring a product for resale are not consumers for that product.

CONVERSION VARNISH means a clear acid curing coating with an alkyd or other resin blended with amino resins and supplied as a single component or two-component product. Conversion varnishes produce a hard, durable, clear finish designed for professional application to wood flooring. The film formation is the result of an acid-catalyzed condensation reaction, affecting a transetherification at the reactive ethers of the amino resins.

DATE-CODE means the day, month and year on which the product was manufactured, filled, or packaged, or a code indicating such a date.

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7.25: continued

DRY FOG COATING means a coating labeled and formulated only for spray application such that overspray droplets dry before subsequent contact with incidental surfaces in the vicinity of the surface coating activity.

EXEMPT COMPOUND a compound identified as exempt under the definition of Volatile Organic Compound (VOC), under 310 CMR 7.25(11)(b). Exempt compounds content of a coating shall be determined by U.S. EPA Method 24 or South Coast Air Quality Management District (SCAQMD) Method 303-91 (Revised August 1996).

FAUX FINISHING COATING means a coating labeled and formulated as a stain or a glaze to create artistic effects including, but not limited to, dirt, old age, smoke damage, and simulated marble and wood grain.

FIRE-RESISTIVE COATING means an opaque coating labeled and formulated to protect structural integrity by increasing the fire endurance of interior or exterior steel and other structural materials, that has been fire tested and rated by a testing agency and approved by building code officials for use in bringing assemblies of structural materials into compliance with federal, state, and local building code requirements. The fire-resistive coating and the testing agency shall have been approved by building code officials. The fire-resistive coating shall be tested in accordance with ASTM Designation E 119-98.

FIRE-RETARDANT COATING means a coating labeled and formulated to retard ignition and flame spread, that has been fire tested and rated by a testing agency approved by building code officials for use in bringing building and construction materials into compliance with federal, state, and local building code requirements. Building code officials shall have been approved the fire-retardant coating and the testing agency. The fire-retardant coating shall be tested in accordance with ASTM Designation E 84-99.

FLAT COATING means a coating that is not defined under any other definition in 310 CMR 7.25 and that registers gloss less than 15 on an 85° meter or less than five on a 60° meter according to ASTM Designation D 523-89 (1999).

FLOOR COATING means an opaque coating that is labeled and formulated for application to flooring, including, but not limited to, decks, porches, steps, and other horizontal surfaces that may be subjected to foot traffic.

FLOW COATING means a coating labeled and formulated exclusively for use by electric power companies or their subcontractors to maintain the protective coating systems present on utility transformer units.

HIGH-TEMPERATURE COATING means a high performance coating labeled and formulated for application to substrates exposed continuously or intermittently to temperatures above 204/C.

IMPACTED IMMERSION COATING means a high performance maintenance coating formulated and recommended for application to steel structures subject to immersion in turbulent, debris-laden water. These coatings are specifically resistant to high-energy impact damage caused by floating ice or debris.

INDUSTRIAL MAINTENANCE COATING means high performance architectural coating, including primers, sealers, undercoaters, intermediate coats, and topcoats, formulated for application to substrates exposed to one or more of the following extreme environmental conditions listed in a. through e., and labeled as specified in 310 CMR 7.25(11)(d)2.: (a) Immersion in water, wastewater, or chemical solutions (aqueous and non-aqueous solutions), or chronic exposures of interior surfaces to moisture condensation; (b) Acute or chronic exposure to corrosive, caustic, or acidic agents, or to chemicals, chemical fumes, or chemical mixtures or solutions; (c) Repeated exposure to temperatures above 121/C (250/F); (d) Repeated heavy abrasion, including mechanical wear and frequently repeated scrubbing with industrial solvents, cleansers, or scouring agents; or (e) Exterior exposure of metal structures and structural components.

10/19/07 310 CMR - 250.72.1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

LABEL means any written, printed, or graphic matter affixed to, applied to, attached to, blown into, formed, molded into, embossed on, or appearing upon any product or product package, for purposes of branding, identifying, or giving information with respect to the product or to the contents of the package.

LACQUER means a clear or opaque wood coating, including clear lacquer sanding sealers, formulated with cellulosic or synthetic resins to dry by evaporation without chemical reaction and to provide a solid, protective film.

LOW-SOLIDS COATING means a coating containing 0.12 kilogram or less of solids per liter (one pound or less of solids per gallon) of coating material.

LUBRICANT means a product designed to reduce friction, heat, noise, or wear between moving parts, or to loosen rusted or immovable parts or mechanisms. Lubricant does not include automotive power steering fluids; products for use inside power generating motors, engines, and turbines, and their associated power-transfer gearboxes; two-cycle oils or other products designed to be added to fuels; products for use on the human body or animals or products that are sold exclusively to establishments that manufacture or construct goods or commodities, and labeled not for retail sale.

MAGNESITE CEMENT COATING means a coating labeled and formulated for application to magnesite cement decking to protect the magnesite cement substrate from erosion by water.

MANUFACTURER means any person who manufactures, processes, imports, assembles, produces, packages, repackages, or re-labels a product.

MANUFACTURERS MAXIMUM RECOMMENDATION means the maximum recommendation for thinning that is indicated on the label or lid of the coating container.

MASTIC TEXTURE COATING means a coating labeled and formulated to cover holes and minor cracks and to conceal surface irregularities, and is applied in a single coat of at least ten mils (0.010 inch) dry film thickness.

METALLIC PIGMENTED COATING means a coating containing at least 48 grams of elemental metallic pigment per liter of coating as applied (0.4 pounds per gallon) when tested in accordance with SCAQMD Method 318-95.

MULTI-COLOR COATING means a coating that is packaged in a single container and that exhibits more than one color when applied in a single coat.

NON-FLAT HIGH GLOSS COATING means a non-flat coating that registers a gloss of 70 or above on a 60° meter according to ASTM Designation D 523-89 (1999).

NON-FLAT COATING means a coating that is not defined under any other definition in 310 CMR 7.25(11)(b) and that registers a gloss of 15 or greater on an 85° meter and five or greater on a 60° meter according to ASTM Designation D 523-89 (1999).

NON-INDUSTRIAL USE means any use of architectural coatings except in the construction or maintenance of any of the following: facilities used in the manufacturing of goods and commodities; transportation infrastructure, including highways, bridges, airports and railroads; facilities used in mining activities, including petroleum extraction; and utilities infrastructure, including power generation and distribution, and water treatment and distribution systems.

NUCLEAR COATING means a protective coating formulated and recommended to seal porous surfaces such as steel or concrete that otherwise would be subject to intrusion by radioactive materials. These coatings must be resistant to long-term, e.g., service life, cumulative radiation exposure (tested according to ASTM Method D 4082-89, Standard Test Method for Effects of Gamma Radiation on Coatings for Use in Light-Water Nuclear Power Plants), relatively easy to decontaminate, and resistant to various chemicals to which the coatings are likely to be exposed (Tested according to ASTM Method D 3912-80, Reapproved 1989, Standard Test Method for Chemical Resistance of Coatings Used in Light-Water Nuclear Power Plants.

10/19/07 310 CMR - 250.72.2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

PESTICIDE means and includes any substance or mixture of substances labeled, designed, or intended for use in preventing, destroying, repelling or mitigating any pest, or any substance or mixture of substances labeled, designed, or intended for use as a defoliant, desiccant, or plant regulator, provided that the term “pesticide” does not include any substance, mixture of substances, or device that the U.S. EPA does not consider to be a pesticide.

POST-CONSUMER COATING means a finished coating that would have been disposed of as waste, having completed its usefulness to a consumer, and does not include manufacturing wastes.

PRE-TREATMENT WASH PRIMER means a primer that contains a minimum of 0.5% acid, by weight, when tested in accordance with ASTM Designation D 1613-96, and that is labeled and formulated for application directly to bare metal surfaces to provide corrosion resistance and to promote adhesion of subsequent topcoats.

PRIMER means a coating labeled and formulated for application to a substrate to provide a firm bond between the substrate and subsequent coats.

QUICK-DRY ENAMEL means non-flat coating that is labeled as specified in 310 CMR 7.25(11)(d)6. and that is formulated to have the following characteristics: (a) Is capable of being applied directly from the container under normal conditions with ambient temperatures between 16/C and 27/C; (b) When tested in accordance with ASTM Designation D 1640-95, sets to touch in two hours or less, is tack free in four hours or less, and dries hard in eight hours or less by the mechanical test method; and (c) Has a dried film gloss of 70 or above on a 60° meter.

QUICK-DRY PRIMER SEALER AND UNDERCOATER mean a primer, sealer, or undercoater that is dry to the touch in 30 minutes and can be re-coated in two hours when tested in accordance with ASTM Designation D 1640-95.

RECYCLED COATING means an architectural coating formulated such that 50% or more of the total weight consists of secondary and post-consumer coating, with 10% or more of the total weight consisting of post-consumer coating.

RESIDENCE means areas where people reside or lodge, including, but not limited to, single and multiple family dwellings, condominiums, mobile homes, apartment complexes, motels, and hotels.

ROOF COATING means a non-bituminous coating labeled and formulated exclusively for application to roofs for the primary purpose of preventing penetration of the substrate by water or reflecting heat and ultraviolet radiation. Metallic pigmented roof coatings, which qualify as metallic pigmented coatings, shall not be considered in this category, but shall be considered to be in the Metallic Pigmented Coatings category.

RUST PREVENTIVE COATING means a coating formulated exclusively for non-industrial use to prevent the corrosion of metal surfaces and labeled as specified in 310 CMR 7.25(11)(d)4.

SANDING SEALER means a clear or semi-transparent wood coating labeled and formulated for application to bare wood to seal the wood and to provide a coat that can be abraded to create a smooth surface for subsequent applications of coatings. A Sanding Sealer that also meets the definition of a Lacquer is not included in this category, but it is included in the Lacquer category.

SCAQMD means South Coast Air Quality Management District of the State of California.

SEALER means a coating labeled and formulated for application to a substrate for one or more of the following purposes: to prevent subsequent coatings from being absorbed by the substrate, or to prevent harm to subsequent coatings by materials in the substrate.

10/19/07 310 CMR - 250.72.3 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

SECONDARY COATING (REWORK) means a fragment of a finished coating or a finished coating from a manufacturing process that has converted resources into a commodity of real economic value, but does not include excess virgin resources of the manufacturing process.

SHELLAC means a clear or opaque coating formulated solely with the resinous secretions of the lac beetle (Laciffer lacca), thinned with alcohol, and formulated to dry by evaporation without a chemical reaction.

SHOP APPLICATION means application of a coating to a product or a component of a product in or on the premises of a factory or a shop as part of a manufacturing, production, or repairing process (e.g., original equipment manufacturing coatings).

SOLICIT means to require for use or to specify, by written or oral contract.

SPECIALTY PRIMER, SEALER, AND UNDERCOATER means a coating that is formulated for application to a substrate to seal fire, smoke or water damage; to condition excessively chalky surfaces; or to block stains. An excessively chalky surface is one that is defined as having a chalk rating of four or less as determined by ASTM Designation D 4214-98.

STAIN means a clear, semi-transparent, or opaque coating labeled and formulated to change the color of a surface, but not conceal the grain pattern or texture.

SWIMMING POOL COATING means a coating labeled and formulated to coat the interior of swimming pools and to resist the adverse effects of chemicals in swimming pool water.

SWIMMING POOL REPAIR AND MAINTENANCE COATING means a rubber-based coating labeled and formulated to be used over existing rubber-based coatings for the repair and maintenance of swimming pools.

TEMPERATURE-INDICATOR SAFETY COATING means a coating labeled and formulated as a color-changing indicator coating for the purpose of monitoring the temperature and safety of the substrate, underlying piping, or underlying equipment, and for application to substrates exposed continuously or intermittently to temperatures above 204/C (400/F).

THERMOPLASTIC RUBBER COATING AND MASTIC means a coating or mastic formulated and recommended for application to roofing or other structural surfaces and that incorporates no less than 40% by weight of thermoplastic rubbers in the total resin solids and may also contain other ingredients including, but not limited to, fillers, pigments, and modifying resins.

TINT BASE means an architectural coating to which colorant is added after packaging in sale units to produce a desired color.

TRAFFIC MARKING COATING means a coating labeled and formulated for marking and striping streets, highways, or other traffic surfaces including, but not limited to, curbs, driveways, parking lots, sidewalks, and airport runways.

UNDERCOATER means a coating labeled and formulated to provide a smooth surface for subsequent coatings.

VARNISH means a clear or semi-transparent wood coating, excluding lacquers and shellacs, formulated to dry by chemical reaction on exposure to air. Varnishes may contain small amounts of pigment to color a surface, or to control the final sheen or gloss of the finish.

VOC CONTENT means the weight of VOC per volume of coating, calculated according to the procedures specified in 310 CMR 7.25(11)(f)1.

WATERPROOFING CONCRETE/MASONRY SEALER means a clear or pigmented film- forming coating that is labeled and formulated for sealing concrete and masonry to provide resistance against water, alkalis, acids, ultraviolet light, and staining.

10/19/07 310 CMR - 250.72.4 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

WATERPROOFING SEALER means a coating labeled and formulated for application to a porous substrate for the primary purpose of preventing the penetration of water.

WOOD PRESERVATIVE means a coating labeled and formulated to protect exposed wood from decay or insect attack that is registered with both the U.S. EPA under the Federal Insecticide, Fungicide, and Rodenticide Act (7 U.S.C. § 136, et seq.) and with the Massachusetts Pesticide Control Act.

(c) Standards. 1. VOC Content Limits. Except as provided in 310 CMR 7.25(11)(c)2. through 310 CMR 7.25(11)(c)4., 310 CMR 7.25(11)(c)6., and 310 CMR 7.25(11)(c)7., no person subject to 310 CMR 7.25 shall: a. manufacture or blend for sale within Massachusetts; b. supply, sell, or offer for sale within Massachusetts; or c. solicit for application or apply within Massachusetts any architectural coating with a VOC content in excess of the corresponding limit specified in 310 CMR 7.25(11)(c)1.: Table 1.

Table 1. VOC Content Limits for Architectural And Industrial Maintenance Coatings Effective January 1, 2009

VOC Content Limit Coating Category (grams/liter) Flat Coatings 100 Non-flat Coatings 150 Non-flat High Gloss Coatings 250 SPECIALTY COATINGS Antenna Coatings 530 Antifouling Coatings 400 Bituminous Roof Coatings 300 Bituminous Roof Primers 350 Bond Breakers 350 Calcimine Recoater 475 Clear Wood Coatings Clear Brushing Lacquers 680 Lacquers (including lacquer sanding sealers) 550 Sanding Sealers (other than lacquer sanding sealers) 350 Varnishes 350 Conversion Varnishes 725 Concrete Curing Compounds 350 Concrete Surface Retarders 780 Dry Fog Coatings 400 Faux Finishing Coatings 350 Fire Resistive Coatings 350 Fire Retardant Coatings Clear 650 Opaque 350 Floor Coatings 250 Flow Coatings 420 Form-release Compounds 250 Graphic Arts Coatings (Sign Paints) 500 High Temperature Coatings 420 Impacted Immersion Coatings 780 Industrial Maintenance Coatings 340 Low-solids Coatings 120 Magnesite Cement Coatings 450 Mastic Texture Coatings 300 Metallic Pigmented Coatings 500 Multi-color Coatings 250

10/19/07 310 CMR - 250.72.5 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

VOC Content Limit Coating Category (grams/liter) Nuclear Coatings 450 Pre Treatment Wash Primers 420 Primers, Sealers, and Undercoaters 200 Quick Dry Enamels 250 Quick Dry Primers, Sealers and Undercoaters 200 Recycled Coatings 250 Roof Coatings 250 Rust Preventative Coatings 400 Shellacs Clear 730 Opaque 550 Specialty Primers, Sealers, and Undercoaters 350 Stains 250 Swimming Pool Coatings 340 Swimming Pool Repair and Maintenance Coatings 340 Temperature-indicator Safety Coatings 550 Thermoplastic Rubber Coatings and Mastics 550 Traffic Marking Coatings 150 Waterproofing Sealers 250 Waterproofing Concrete/Masonry Sealers 400 Wood Preservatives 350

Limits are expressed in grams of VOC per liter of coating thinned to the manufacturer's maximum recommendation, excluding the volume of any water, exempt compounds, or colorant added to tint bases.

2. Most Restrictive VOC Limit. If anywhere on the container of any architectural coating, or any label or sticker affixed to the container, or in any sales, advertising, or technical literature supplied by a manufacturer or anyone acting on its behalf, any representation is made that indicates that the coating meets the definition of, or is recommended for use, for more than one of the coating categories specified in 310 CMR 7.25(11)(c)1., then the lowest VOC content limit shall apply. 310 CMR 7.25(11)(c)2. does not apply to the following coating categories: a. Lacquer coatings (including lacquer sanding sealers). b. Metallic pigmented coatings. c. Shellacs. d. Fire-retardant coatings. e. Pretreatment wash primers. f. Industrial maintenance coatings. g. Low-solids coatings. h. Wood preservatives. i. High-temperature coatings. j. Temperature-indicator safety coatings. k. Antenna coatings. l. Antifouling coatings. m. Flow coatings. n. Bituminous roof primers. o. Specialty primers, sealers, and undercoaters. p. Calcimine recoaters. q. Concrete surface retarders. r. Conversion varnishes. s. Impacted Immersion Coatings. t Nuclear coatings. u. Thermoplastic rubber coating and mastic. 3. Sell-through of Coatings. A coating manufactured prior to January 1, 2009, may be sold, supplied, offered for sale, or applied after January 1, 2009, until January 1, 2012, so long as the coating complied with the VOC content standards and other applicable requirements in effect at the time the coating was manufactured. 310 CMR 7.25(11)(c)3. shall not apply if:

10/19/07 310 CMR - 250.72.6 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

a. A coating does not display the date on which the product was manufactured or a code indicating such date as required by 310 CMR 7.25(11)(d)1.a.i.; or b. The manufacturer has not filed an explanation of the code with the Department by the deadlines specified in 310 CMR 7.25(11)(d)1.a.ii.(i) for a coating on which the manufacturer has used a code indicating the date of manufacture that is different than the code specified in 310 CMR 7.25(11)(d)1.a.ii.(ii). 4. Exclusions. The VOC content standards specified in 310 CMR 7.25(11)(c)1. shall not apply to: a. Any aerosol coating product. b. Any architectural coating that is sold in a container with a volume of one liter (1.057 quart) or less. 5. Coatings Not Listed in 310 CMR 7.25(11)(c)1.: Table 1. For any coating that does not meet any of the definitions for the specialty coatings categories listed in 310 CMR 7.25(11)(c)1.: Table 1, the VOC content limit shall be determined by classifying the coating as a flat coating, non-flat coating, or non-flat high gloss coating based on its gloss, as defined in 310 CMR 7.25(11)(b), and the corresponding flat, non-flat, or non- flat high gloss coating limit shall apply. 6. Lacquers. Notwithstanding the provisions of 7.25(11)(c)1., a person or facility may add up to 10% by volume of VOC to a lacquer to avoid blushing of the finish during days with relative humidity greater than 70% and temperature below 65/F, at the time of application, provided that the coating contains acetone and no more than 550 grams of VOC per liter of coating, less water and exempt compounds, prior to the addition of VOC. 7. Products Registered Under FIFRA. a. AIM coatings registered under the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA; 7 U.S.C. § 136-136y) must comply with the VOC standards specified in 310 CMR 7.25(11)(c)1.: Table 1, by 12 months after the VOC limit compliance date specified in 310 CMR 7.25(11)(c)1. Such products must also be registered under the Massachusetts Pesticide Control Act. b. The labeling requirements of 310 CMR 7.25(11)(d) do not apply to products that are registered as pesticides under FIFRA and the Massachusetts Pesticide Control Act. c. For coatings that are registered under FIFRA, the three-year sell-through period provided in 310 CMR 7.25(11)(c)3. shall begin one year after the date specified in 310 CMR 7.25(11)(c)1. 8. Thinning. No person who applies or solicits the application of any architectural coating shall apply a coating that is thinned to exceed the applicable VOC limit specified in Table 1. 9. Painting Practices. All architectural coating containers used to apply the contents therein to a surface directly from the container by pouring, siphoning, brushing, rolling, padding, ragging, or other means, shall be closed when not in use. These architectural coatings containers include, but are not limited to, drums, buckets, cans, pails, trays, or other application containers. Containers of any VOC-containing materials used for thinning and cleanup shall also be closed when not in use. (d) Labeling Requirements. 1. Each manufacturer of any architectural coating subject to this rule shall display the information required in 310 CMR 7.25(11)(d)1.a. through 7.25(11)(d)1.c. on the coating container (or label) in which the coating is sold or distributed. a. Product Dating. i. The date the coating was manufactured, or a code representing the date, shall be indicated on the label, lid, or bottom of the container. ii. Explanation of the Code. (i) If the manufacturer uses a code indicating the date of manufacture for any coating, an explanation of the code shall be filed with the Department no later than: - the effective date of the applicable standard specified in 310 CMR 7.25(11)(c)1.; or, the date on which the product first becomes available for sale, distribution, or use within Massachusetts, whichever is later; and - 12 months prior to any date on which the product first becomes available for sale, distribution, or use within Massachusetts after any modification to an existing product’s date-code format.

10/19/07 310 CMR - 250.72.7 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

(ii) A manufacturer who uses the following code to indicate the date of manufacture shall not be subject to the requirements of 310 CMR 7.25(11)(d)1.a.ii.(i), if the code is represented separately from other codes on the product container so that it is easily recognizable:

YY DDD

where:

YY = two digits representing the year in which the product was manufactured.

DDD = three digits representing the day of the year on which the product was manufactured, with “001” representing the first day of the year, “002” representing the second day of the year, and so forth (i.e., the “Julian date”).

iii. No person shall erase, alter, deface or otherwise remove or make illegible any date or code indicating the date of manufacture from any regulated product container without the express authorization of the manufacturer. iv. Codes indicating the date of manufacture are public information and may not be claimed as confidential. b. Thinning Recommendations. A statement of the manufacturer's recommendation regarding thinning of the coating shall be indicated on the label or lid of the container. 310 CMR 7.25(11)(d)1.b. does not apply to the thinning of architectural coatings with water. If thinning of the coating prior to use is not necessary, the recommendation must specify that the coating must be applied without thinning. c. VOC Content. Each container of any coating subject to this rule shall display either the maximum or the actual VOC content of the coating, as supplied, including the maximum thinning as recommended by the manufacturer. VOC content shall be displayed in grams of VOC per liter of coating. VOC content displayed shall be calculated using product formulation data, or shall be determined using the test methods in 310 CMR 7.25(11)(f)2. The equations in 310 CMR 7.25(11)(f)1. shall be used to calculate VOC content. 2. Industrial Maintenance Coatings. In addition to the information specified in 310 CMR 7.25(11)(d)1.a. through 310 CMR 7.25(11)(d)1.c., each manufacturer of any industrial maintenance coating subject to this rule shall display on the label or the lid of the container in which the coating is sold or distributed one or more of the following descriptions: a. “For industrial use only." b. "For professional use only." c. "Not for residential use." or “Not intended for residential use.” 3. Clear Brushing Lacquers. The labels of all clear brushing lacquers shall prominently display the statements "For Brush Application Only" and "This product must not be thinned or sprayed." 4. Rust Preventive Coatings. The labels of all rust preventive coatings shall prominently display the statement "For Metal Substrates Only." 5. Specialty Primers, Sealers, and Undercoaters. The labels of all specialty primers, sealers, and undercoaters shall prominently display one or more of the following descriptions: a. For blocking stains. b. For fire-damaged substrates. c. For smoke-damaged substrates. d. For water-damaged substrates. e. For excessively chalky substrates. 6. Quick Dry Enamels. The labels of all quick dry enamels shall prominently display the words "Quick Dry" and the dry hard time. 7. Non-flat High Gloss Coatings. The labels of all non-flat high gloss coatings shall prominently display the words "High Gloss."

10/19/07 310 CMR - 250.72.8 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

(e) Recordkeeping and Reporting Requirements. 1. Each manufacturer of a product subject to a VOC content limit in 310 CMR 7.25(11)(c) of this regulation shall keep records demonstrating compliance with the VOC content limits in accordance with 310 CMR 7.25(11)(f). Such records shall clearly list each product by name (and identifying number, if applicable) as shown on the product label and in applicable sales and technical literature, the VOC content as determined in 310 CMR 7.25(11)(f), the names and chemical abstract service (CAS) numbers of the VOC constituents in the product, the dates of the VOC content determinations, the coating category and the applicable VOC content limit. These records shall be kept on site for a period not less than three years and shall be made available to the Department within 90 days of a written request. 2. A responsible official from each manufacturer shall, upon request of the Department, provide data concerning the distribution and sales of coatings subject to a VOC content limit in 310 CMR 7.25(11)(c). The responsible official shall within 90 days provide information including, but not limited to: a. the name and mailing address of the manufacturer; b. the name, address and telephone number of a contact person; c. the name of the product as it appears on the label and the coating category in 310 CMR 7.25(11)(c) under which it is regulated; d. whether it is marketed for interior or exterior use or both; e. the number of gallons sold in Massachusetts in containers greater than one liter and less than one liter; f. the actual VOC content and VOC content limit in grams per liter. If thinning is recommended, list the actual VOC content and VOC content after recommended thinning. If containers less than one liter have a different VOC content than containers greater than one liter, list separately; g. the names and CAS numbers of the VOC constituents in the product; and h. the names and CAS numbers of any compounds in the products specifically exempted under 310 CMR 7.25(11)(c). (f) Compliance Provisions and Test Methods. 1. Calculation of VOC Content. For the purpose of determining compliance with the VOC content limits in 310 CMR 7.25(11)(c)1.: Table 1, the VOC content of a coating shall be determined according to 310 CMR 7.25(11)(f)1.a. or 310 CMR 7.25(11)(f)1.b., as appropriate. The VOC content of a tint base shall be determined without colorant that is added after the tint base is manufactured. a. For all coatings other than low-solids coatings, the VOC content of the coating in units of grams of VOC per liter of coating thinned to the manufacturer's maximum recommendation, excluding the volume of any water and exempt compounds, shall be determined using Equation (1) as follows:

VOC Content = (Wv - Wwe - W c) / (Vc - Vw - Vec) Equation (1)

Where,

VOC Content = grams of VOC per liter of coating

Wv = weight of volatiles, in grams

Ww = weight of water, in grams

Wec = weight of exempt compounds, in grams

Vc = volume of coating, in liters

Vw = volume of water, in liters

Vec = volume of exempt compounds, in liters

10/19/07 310 CMR - 250.72.9 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

b. For low-solids coatings, the VOC content in units of grams of VOC per liter of coating thinned to the manufacturer's maximum recommendation, including the volume of any water and exempt compounds, shall be determined using Equation (2) as follows:

VOC Content (ls) = (Wv - Wwe - W c) / (Vc) Equation (2)

where,

VOC Content (ls) = the VOC content of a low solids coating in grams per liter of coating

W = weight of volatile, in grams

Ww = weight of water, in grams

Wec = weight of exempt compounds, in grams

Vc = volume of coating, in liters

2. VOC Content of Coatings. Except as provided in 310 CMR 7.25(11)(f)3. and (f)4., U.S. EPA Method 24 shall be used to determine the physical properties of a coating in order to perform the calculations in 310 CMR 7.25(11)(f)1. An alternative method to determine the VOC content of coatings is SCAQMD Method 304-91 (Revised February 1996). The exempt compounds content shall be determined by SCAQMD Method 303-91 (Revised August 1996). The manufacturer may use U.S. EPA Method 24, an alternative test method as provided in 310 CMR 7.25(11)(f)3., formulation data, or any other reasonable means (e.g., quality assurance records, recordkeeping) to determine the VOC content of the coating. However, if there are any inconsistencies between the results of a Method 24 test and any other means for determining VOC content, the Method 24 results shall govern, except when an alternative method is approved by EPA. The Department may require the manufacturer to conduct a Method 24 analysis. 3. Alternative Test Methods. Other test methods demonstrated to provide results that are acceptable for purposes of determining compliance with 310 CMR 7.25(11)(c)1. may be used provided that the manufacturer has received an approval from CARB for the alternative testing method to be used in architectural and maintenance coatings VOC content determination. A copy of CARB’s approval, including all conditions established by CARB applicable to the testing procedure, shall be submitted to the Department within 30 days upon the Department’s written request. 4. Methacrylate Traffic Coating Markings. Analysis of methacrylate multi-component coatings used as traffic marking coatings shall be conducted according to a modification of U.S. EPA Method 24 (40 CFR 59, subpart D, Appendix A). This method has not been approved for methacrylate multicomponent coatings used for purposes other than traffic marking coatings or for other classes of multicomponent coatings. 5. Test Methods. The following test methods are incorporated by reference herein, and shall be used to test coatings subject to the provisions of this rule: a. Flame Spread Index. The flame-spread index of a fire-retardant coating shall be determined by the ASTM Designation E 84-99, Standard Test Method for Surface Burning Characteristics of Building Materials. b. Fire-resistance Rating. The fire-resistance rating of a fire-resistive coating shall be determined by ASTM designation E 119-98, Standard Test Methods for Fire Tests of Building Construction Materials c. Gloss Determination. The gloss of a coating shall be determined by ASTM Designation D 523-89 (1999), Standard Test Method for Specular Gloss. d. Metal Content of Coatings. The metallic content of a coating shall be determined by SCAQMD Method 318-95, Determination of Weight Percent Elemental Metal in Coatings by X-Ray Diffraction, SCAQMD Laboratory Methods of Analysis for Enforcement Samples.

10/19/07 310 CMR - 250.72.10 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

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e. Acid Content of Coatings. The acid content of a coating shall be determined by ASTM Designation D 1613-96, Standard Test Method for Acidity in Volatile Solvents and Chemical Intermediates Used in Paint, Varnish, Lacquer and Related Products. f. Drying Times. The set-to-touch, dry-hard, dry-to-touch and dry-to-recoat times of a coating shall be determined by ASTM Designation D 1640-95, Standard Methods for Drying, Curing, or Film Formation of Organic Coatings at Room Temperature. The tack free time of a quick-dry enamel coating shall be determined by the Mechanical Test Method of ASTM Designation D 1640-95. g. Surface Chalkiness. The chalkiness of a surface shall be determined using ASTM Designation D 4214-98, Standard Test Methods for Evaluating the Degree of Chalking of Exterior Paint Films. h. Exempt Compounds – Siloxanes. To determine the cyclic, branched, or linear completely methylated siloxanes content of a coating, the coating shall be analyzed according to BAAQMD Method 43, Determination of Volatile Methylsiloxanes in Solvent-Based Coatings, Inks, and Related Materials, BAAQMD Manual of Procedures, Volume III, adopted November 6, 1996. i. Exempt Compounds - Parachlorobenzotrifluoride (PCBTF). To determine parachlorobenzotrifluoride content of a coating, the coating shall be analyzed according to BAAQMD Method 41, Determination of Volatile Organic Compounds in Solvent-Based Coatings and Related Materials Containing Parachlorobenzotrifluoride, BAAQMD Manual of Procedures, Volume III, adopted December 20, 1995. j. Exempt Compounds – Volatile Organic Compounds Exempted Under U.S. EPA Method 24. To determine the composition of a coating with respect to volatile organic compounds that are exempt under U.S. EPA Method 24, the coating shall be analyzed according to SCAQMD Method 303-91 (Revised August 1996), Determination of Exempt Compounds, SCAQMD "Laboratory Methods of Analysis for Enforcement Samples." k. VOC Content of Coatings. The VOC content of a coating shall be determined by U.S. EPA Method 24 as it exists in appendix A of 40 Code of Federal Regulations (CFR) Part 60, Determination of Volatile Matter Content, Water Content, Density, Volume Solids, and Weight Solids of Surface Coatings. l. Alternative Methods for Determining VOC Content of Coatings. The VOC content of coatings may be determined by either U.S. EPA Method 24 or by SCAQMD Method 304-91 (Revised 1996), Determination of Volatile Organic Compounds (VOC) in Various Materials, SCAQMD Laboratory Methods of Analysis for Enforcement Samples. m. Methacrylate Traffic Marking Coatings. The VOC content of methacrylate multi-component coatings used as traffic marking coatings shall be determined by the procedures in 40 CFR part 59, subpart D, appendix A, Determination of Volatile Matter Content of Methacrylate Multi-component Coatings Used as Traffic Marking Coatings, (September 11, 1998).

(12) Consumer Products. (a) Applicability. 1. Except as provided in 310 CMR 7.25(12)(a)2., the requirements of 310 CMR 7.25(12) apply to any person who, on or after January 1, 2009, sells, supplies, offers for sale, or manufactures any consumer product listed in 310 CMR 7.25(12)(c)1. for use in Massachusetts. 2. a. The provisions of 310 CMR 7.25(12) do not apply to any person who, sells, supplies, offers for sale, or manufactures in Massachusetts any consumer product specified in 310 CMR 7.25(12)(b) that is for exclusive use outside of Massachusetts as long as the manufacturer or distributor can demonstrate both that the consumer product is intended for shipment and use outside of Massachusetts and that the manufacturer or distributor has taken reasonable prudent precautions to assure that the consumer product is not distributed to Massachusetts. b. The provision in 310 CMR 7.25(12)(a)2.a. does not apply to consumer products that are sold, supplied, or offered for sale by any person to retail outlets in Massachusetts.

10/19/07 310 CMR - 250.72.10.1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

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(b) Definitions. Terms used in 310 CMR 7.25 are defined at 310 CMR 7.00: Definitions or in 310 CMR 7.25. Where a term is defined in both 310 CMR 7.00: Definitions and in 310 CMR 7.25, the definition in 310 CMR 7.25 shall apply.

ADHESIVE means any product that is used to bond one surface to another by attachment. Adhesive does not include products used on humans and animals, adhesive tape, contact paper, wallpaper, shelf liners, or any other product with an adhesive incorporated onto or in an inert substrate. For Contact Adhesive, “adhesive” does not include units of product, less packaging, which consist of more than one gallon. For Construction, Panel, and Floor Covering Adhesive, and General Purpose Adhesive, “adhesive” does not include units of product, less packaging, which weigh more than one pound and consist of more than 16 fluid ounces. This limitation does not apply to aerosol adhesives.

ADHESIVE REMOVER means a product designed to remove adhesive from either a specific type of substrate or a variety of types of substrates. Adhesive removers do not include products that remove adhesives intended for use on humans or animals. For the purpose of 310 CMR 7.25(11)(b): ADHESIVE REMOVER and 310 CMR 7.25(11)(b): ADHESIVE REMOVER1. through 4. , the term “adhesive” shall mean a substance used to bind one or more materials. Adhesive includes, but is not limited to: caulks; sealants; glues; or similar substances used for the purpose of forming a bond. 1. FLOOR AND WALL COVERING ADHESIVE REMOVER means a product designed or labeled to remove floor or wall coverings and associated adhesive from the underlying substrate; 2. GASKET OR THREAD LOCKING ADHESIVE REMOVER means a product designed or labeled to remove gaskets or thread locking adhesives. Products labeled for dual use as a paint stripper and gasket remover and/or thread locking adhesive remover are considered Gasket or Thread Locking Adhesive Remover. 3. GENERAL PURPOSE ADHESIVE REMOVER means a product designed or labeled to remove cyanoacrylate adhesives as well as non-reactive adhesives or residue from a variety of types of substrates. General Purpose Adhesive Remover includes, but is not limited to, products that remove thermoplastic adhesives; pressure sensitive adhesives; dextrin or starch-based adhesives; casein glues; rubber or latex-based adhesives; as well as products that remove stickers; decals; stencils; or similar materials. General Purpose Adhesive Remover does not include Floor or Wall Covering Adhesive Remover. 4. SPECIALTY ADHESIVE REMOVER means a product designed to remove reactive adhesives from a variety of substrates. Reactive adhesives include adhesives that require a hardener or catalyst in order for the bond to occur. Examples of reactive adhesives include, but are not limited to: epoxies, urethanes, and silicones. Specialty Adhesive Remover does not include Gasket or Thread Locking Adhesive Remover.

AEROSOL ADHESIVE means an aerosol adhesive product in which the spray mechanism is permanently housed in a non-refillable can designed for hand-held application without the need for ancillary hoses or spray equipment. Aerosol Adhesives include Special Purpose Spray Adhesives, Mist Spray Adhesives, and Web Spray Adhesives.

AEROSOL COOKING SPRAY means any aerosol product designed either to reduce sticking on cooking and baking surfaces or to be applied on food, or both.

AEROSOL PRODUCT means a pressurized spray system that dispenses product ingredients by means of a propellant contained in a product’s container or a mechanically induced force. Aerosol Product does not include Pump Spray.

AGRICULTURAL USE means the use of any pesticide or method or device for the control of pests in connection with the commercial production, storage or processing of any animal or plant crop. Agricultural Use does not include the sale or use of pesticides in properly labeled packages or containers that are intended for home use; use in structural pest control; industrial use; or institutional use. For the purposes of this definition only:

10/19/07 310 CMR - 250.72.10.2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

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1. HOME USE means use in a household or its immediate environment. 2. STRUCTURAL PEST CONTROL USE means a use requiring a license under the Massachusetts Pesticide Control Act. 3. INDUSTRIAL USE means use for or in a manufacturing, mining, or chemical process or use in the operation of factories, processing plants, and similar sites. 4. INSTITUTIONAL USE means use within the lines of or on property necessary for the operation of buildings such as hospitals, schools, libraries, and auditoriums.

AIR FRESHENER means any consumer product including, but not limited to, sprays, wicks, powders, and crystals, designed for the purpose of masking odors, or freshening, cleaning, scenting, or deodorizing the air. Air Freshener includes dual-purpose air freshener/ disinfectant products. Air Freshener does not include products that are used on the human body, products that function primarily as cleaning products as indicated on a product label, or Toilet/Urinary Care Products, disinfectant products claiming to deodorize by killing germs on surfaces, or institutional/industrial disinfectants when offered for sale solely through institutional and industrial channels of distribution. Air Freshener does include spray disinfectants and other products that are expressly represented for use as air fresheners, except institutional and industrial disinfectants when offered for sale through institutional and industrial channels of distribution. To determine whether a product is an air freshener, all verbal and visual representations regarding product use on the label or packaging and in the product's literature and advertising may be considered. The presence of, and representations about, a product's fragrance and ability to deodorize (resulting from surface application) shall not constitute a claim of air freshening.

ALL OTHER CARBON CONTAINING COMPOUNDS means any other compound that contains at least one carbon atom and is not an Exempt Compound or an LVP-VOC.

ALL OTHER FORMS means all consumer product forms for which no form-specific VOC standard is specified. Unless specified otherwise by the applicable VOC standard, All Other Forms include, but are not limited to, solids, liquids, wicks, powders, crystals, and cloth or paper wipes (towelettes).

ANTIMICROBIAL HAND OR BODY CLEANER OR SOAP means a cleaner, or soap, that is designed to reduce the level of microorganisms on the skin through germicidal activity. Antimicrobial Hand or Body Cleaner or Soap includes, but is not limited to antimicrobial hand or body washes/cleaners, food-handler hand washes, healthcare personnel hand washes, pre-operative skin preparations and surgical scrubs. Antimicrobial Hand or Body Cleaner or Soap does not include prescription drug products, Antiperspirants, Astringent/Toner, Deodorant, Facial Cleaner or Soap, General-use Hand or Body Cleaner or Soap, Hand Dishwashing Detergent (including antimicrobial), Heavy-duty Hand Cleaner or Soap, Medicated Astringent/Medicated Toner, and Rubbing Alcohol.

ANTIPERSPIRANT means any product including, but not limited to, aerosols, roll-ons, sticks, pumps, pads, creams, and squeeze bottles, that is intended by the manufacturer to be used to reduce perspiration in the human axilla by at least 20% in at least 50% of a target population.

ANTI-STATIC PRODUCT means a product that is labeled to eliminate, prevent, or inhibit the accumulation of static electricity. Anti-Static Product does not include Electronic Cleaner, Floor Polish or Wax, Floor Coating, and products that meet the definition of Aerosol Coating Product or Architectural Coating.

ASTM means the American Society for Testing and Materials.

10/19/07 310 CMR - 250.72.10.3 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

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ASTRINGENT/TONER means any product not regulated as a drug by the United States Food and Drug Administration (FDA) that is applied to the skin for the purpose of cleaning or tightening pores. This category also includes clarifiers and substrate-impregnated products. This category does not include any hand, face, or body cleaner or soap product, Medicated Astringent/Medicated Toner, cold cream, lotion, or antiperspirant.

AUTOMOTIVE BRAKE CLEANER means a cleaning product designed to remove oil, grease, brake fluid, brake pad material or dirt from motor vehicle brake mechanisms.

AUTOMOTIVE HARD PASTE WAX means an automotive wax or polish that is: 1. designed to protect and improve the appearance of automotive paint surfaces; and 2. a solid at room temperature; and 3. contains 0% water by formulation.

AUTOMOTIVE INSTANT DETAILER means a product designed for use in a pump spray that is applied to the painted surface of automobiles and wiped off prior to the product being allowed to dry.

AUTOMOTIVE RUBBING OR POLISHING COMPOUND means a product designed primarily to remove oxidation, old paint, scratches or swirl marks, and other defects from the painted surfaces of motor vehicles without leaving a protective barrier.

AUTOMOTIVE WAX, POLISH, SEALANT OR GLAZE means a product designed to seal out moisture, increase gloss, or otherwise enhance a motor vehicle’s painted surfaces. Automotive Wax, Polish, Sealant or Glaze includes, but is not limited to, products designed for use in autobody repair shops and drive-through car washes, as well as products designed for the general public. Automotive Wax, Polish, Sealant or Glaze does not include Automotive Rubbing or Polishing Compounds, automotive wash and wax products, surfactant-containing car wash products, and products designed for use on unpainted surfaces such as bare metal, chrome, glass, or plastic.

AUTOMOTIVE WINDSHIELD WASHER FLUID means any liquid designed for use in a motor vehicle windshield washer system either as antifreeze or for the purpose of cleaning, washing, or wetting the windshield. Automotive windshield washer fluid does not include fluids placed by the manufacturer in a new vehicle.

BATHROOM AND TILE CLEANER means a product designed to clean tile or surfaces in bathrooms. Bathroom and Tile Cleaner does not include products designed primarily to clean toilet bowls, toilet tanks, or urinals.

BUG AND TAR REMOVER means a product labeled to remove either or both of the following from painted motor vehicle surfaces without causing damage to the finish: 1. biological-type residues such as insect carcasses and tree sap; and 2. road grime, such as road tar, roadway paint markings, and asphalt.

CARB means the California Air Resources Board.

CARBURETOR OR FUEL-INJECTION AIR INTAKE CLEANERS means a product designed to remove fuel deposits, dirt, or other contaminants from a carburetor, choke, throttle body of a fuel-injection system, or associated linkages. Carburetor or fuel-injection air intake cleaners does not include products designed exclusively for direct introduction into the fuel lines or fuel storage tank prior to introduction into the carburetor or fuel injectors.

CARPET AND UPHOLSTERY CLEANER means a cleaning product designed for the purpose of eliminating dirt and stains on rugs, carpeting, and the interior of motor vehicles and/or on household furniture or objects upholstered or covered with fabrics such as wool, cotton, nylon or other synthetic fabrics. Carpet and Upholstery Cleaner includes, but is not limited to, products that make fabric protectant claims. Carpet and Upholstery Cleaner does not include General Purpose Cleaners, Spot Removers, vinyl or leather cleaners, dry cleaning fluids, or products designed exclusively for use at industrial facilities engaged in furniture or carpet manufacturing.

10/19/07 310 CMR - 250.72.10.4 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

CHARCOAL LIGHTER MATERIAL means any combustible material designed to be applied on, incorporated in, added to, or used with charcoal to enhance ignition. Charcoal Lighter Material does not include any of the following: 1. electrical starters and probes; 2. metallic cylinders using paper tinder; 3. natural gas; 4. propane; and 5. fat wood.

COLORANT means any pigment or coloring material used in a consumer product for an aesthetic effect, or to dramatize an ingredient.

CONSTRUCTION, PANEL, AND FLOOR COVERING ADHESIVE means any one component adhesive that is designed exclusively for the installation, remodeling, maintenance, or repair of: 1. structural and building components that include, but are not limited to, beams, trusses, studs, paneling (such as drywall or drywall laminates, fiberglass reinforced plastic (FRP), plywood, particle board, insulation board, pre-decorated hardboard or tileboard, etc.), ceiling and acoustical tile, molding, fixtures, countertops or countertop laminates, cover or wall bases, and flooring or subflooring; or 2. floor or wall coverings that include, but are not limited to, wood or simulated wood covering, carpet, carpet pad or cushion, vinyl backed carpet, flexible flooring material, non-resilient flooring material, mirror tiles and other types of tiles, and artificial grass. Construction, Panel, and Floor Covering Adhesive does not include Floor Seam Sealer.

CONSUMER means any person who purchases or acquires any product for personal, family, household, or institutional use. Persons acquiring a product for resale are not Consumers for that product.

CONSUMER PRODUCT means a chemically formulated product used by household and institutional consumers including, but not limited to, detergents; cleaning compounds; polishes; floor finishes; cosmetics; personal care products; home, lawn, and garden products; disinfectants; sanitizers; aerosol paints; and automotive specialty products; but does not include other paint products, furniture coatings, or architectural coatings. Consumer Product, as defined in 310 CMR 7.25, includes Aerosol Adhesives used for consumer, industrial, or commercial uses.

CONTACT ADHESIVE means an adhesive that: 1. is designed for application to both surfaces to be bonded together; and 2. is allowed to dry before the two surfaces are placed in contact with each other; and 3. forms an immediate bond that is impossible, or difficult, to reposition after both adhesive-coated surfaces are placed in contact with each other; and 4. does not need sustained pressure or clamping of surfaces after the adhesive-coated surfaces have been brought together using sufficient momentary pressure to establish full contact between both surfaces. Contact Adhesive does not include rubber cements that are primarily intended for use on paper substrates. Contact Adhesive also does not include vulcanizing fluids that are designed and labeled for tire repair only.

CONTACT ADHESIVE - GENERAL PURPOSE means any contact adhesive that is not a Contact Adhesive - Special Purpose.

CONTACT ADHESIVE - SPECIAL PURPOSE means a contact adhesive that: 1. is used to bond melamine-covered board, unprimed metal, unsupported vinyl, Teflon, ultra-high molecular weight polyethylene, rubber, high pressure laminate or wood veneer 1/16 inch or less in thickness to any porous or nonporous surface, and is sold in units of product, less packaging, that contain more than eight fluid ounces; or 2. is used in automotive applications that are: a. automotive under-the-hood applications requiring heat, oil or gasoline resistance; or b. body-side molding, automotive weather-strip or decorative trim.

10/19/07 310 CMR - 250.72.10.5 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

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CONTAINER/PACKAGING means the part or parts of the consumer or institutional product that serve only to contain, enclose, incorporate, deliver, dispense, wrap or store the chemically formulated substance or mixture of substances which is solely responsible for accomplishing the purposes for which the product was designed or intended. Container/ Packaging includes any article onto or into which the principal display panel and other accompanying literature or graphics are incorporated, etched, printed or attached.

CRAWLING BUG INSECTICIDE means any insecticide product that is designed for use against ants, cockroaches, or other household crawling arthropods, including, but not limited to, mites, silverfish or spiders. Crawling Bug Insecticide does not include products designed to be used exclusively on humans or animals, or any house dust mite product. For the purposes of 310 CMR 7.25(11)(b): CRAWLING BUG INSECTICIDE only: 1. HOUSE DUST MITE PRODUCT means a product whose label, packaging, or accompanying literature states that the product is suitable for use against house dust mites, but does not indicate that the product is suitable for use against ants, cockroaches, or other household crawling arthropods. 2. HOUSE DUST MITE means mites that feed primarily on skin cells shed in the home by humans and pets and which belong to the phylum Arthropoda, the subphylum Chelicerata, the class Arachnida, the subclass Acari, the order Astigmata, and the family Pyroglyphidae.

DATE-CODE means the day, month and year on which the product was manufactured, filled, or packaged, or a code indicating such a date.

DEODORANT means any product including, but not limited to, aerosols, roll-ons, sticks, pumps, pads, creams, and squeeze bottles, that indicates or depicts on the container or packaging, or any sticker or label affixed thereto, that the product can be used on or applied to the human axilla to provide a scent and or minimize odor. A Deodorant Body Spray product that indicates or depicts on the container or packaging, or any sticker or label affixed thereto, that it can be used on or applied to the human axilla is a Deodorant as defined in 310 CMR 7.25(12)(b).

DEODORANT BODY SPRAY is a Personal Fragrance Product, as defined in 310 CMR 7.25(12)(b), with 20% or less fragrance that is designed for application all over the human body to provide a scent. A Deodorant Body Spray product that indicates or depicts on the container or packaging, or any sticker or label affixed thereto, that it can be used on or applied to the human axilla is a Deodorant as defined in 310 CMR 7.25(12)(b).

DEVICE means any instrument or contrivance other than a firearm that is designed for trapping, destroying, repelling, or mitigating any pest or any other form of plant or animal life (other than human and other than bacterium, virus, or another microorganism on or in living human or other living animals); but not including equipment used for the application of pesticides when sold separately therefrom.

DISINFECTANT means any product intended to destroy or irreversibly inactivate infectious or other undesirable bacteria, pathogenic fungi, or viruses on surfaces or inanimate objects and whose label is registered under the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA, 7 U.S.C. 136, et seq.). Disinfectant does not include any of the following: 1. products designed solely for use on humans or animals; 2. products designed for agricultural use; 3. products designed solely for use in swimming pools, therapeutic tubs, or hot tubs; 4. products which, as indicated on the principal display panel or label, are designed primarily for use as bathroom and tile cleaners, glass cleaners, general purpose cleaners, toilet bowl cleaners, or metal polishes.

DISTRIBUTOR means any person to whom a consumer product is sold or supplied for the purposes of resale or distribution in commerce, except that manufacturers, retailers, and consumers are not distributors.

10/19/07 310 CMR - 250.72.10.6 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

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DOUBLE PHASE AEROSOL AIR FRESHENER means an aerosol air freshener with the liquid contents in two or more distinct phases that requires the product container be shaken before use to mix the phases, producing an emulsion.

DRY CLEANING FLUID means any non-aqueous liquid product designed and labeled exclusively for use on: 1. fabrics that are labeled “for dry clean only,” such as clothing or drapery; or 2. S-coded fabrics. Dry Cleaning Fluid includes, but is not limited to, those products used by commercial dry cleaners and commercial businesses that clean fabrics such as draperies at the customer’s residence or work place. Dry Cleaning Fluid does not include Spot Remover or Carpet and Upholstery Cleaner. For the purposes of 310 CMR 7.25(11)(b): DRY CLEANING FLUID, S-coded fabric means an upholstery fabric that is designed to be cleaned only with water-free spot cleaning products as specified by the Joint Industry Fabric Standards Committee.

DUSTING AID means a product designed to assist in removing dust and other soils from floors and other surfaces without leaving a wax or silicone based coating. Dusting Aid does not include Pressurized Gas Duster.

ELECTRICAL CLEANER means a product labeled to remove heavy soils such as grease, grime, or oil from electrical equipment, including, but not limited to, electric motors, armatures, relays, electric panels, or generators. Electrical Cleaner does not include General Purpose Cleaner, General Purpose Degreaser, Dusting Aid, Electronic Cleaner, Energized Electrical Cleaner, Pressurized Gas Duster, Engine Degreaser, Anti-static Product, or products designed to clean the casings or housings of electrical equipment.

ELECTRONIC CLEANER means a product labeled for the removal of dirt, moisture, dust, flux, or oxides from the internal components of electronic or precision equipment such as circuit boards, and the internal components of electronic devices, including but not limited to, radios, compact disc (CD) players, digital video disc (DVD) players, and computers. Electronic Cleaner does not include General Purpose Cleaner, General Purpose Degreaser, Dusting Aid, Pressurized Gas Duster, Engine Degreaser, Electrical Cleaner, Energized Electrical Cleaner, Anti-static Product, or products designed to clean the casings or housings of electronic equipment.

ENERGIZED ELECTRICAL CLEANER means a product that meets both of the following criteria: 1. the product is labeled to clean and/or degrease electrical equipment, where cleaning and/or degreasing is accomplished when electrical current exists, or when there is a residual electrical potential from a component such as a capacitor; and 2. the product label clearly displays the statements: “For Energized Equipment use only. Not to be used for motorized vehicle maintenance, or their parts.” Energized Electrical Cleaner does not include Electronic Cleaner.

ENGINE DEGREASER means a cleaning product designed to remove grease, grime, oil and other contaminants from the external surfaces of engines and other mechanical parts.

EXISTING PRODUCT means any formulation of the same product category and form sold, supplied, manufactured, or offered for sale in Massachusetts prior to January 1, 2009, or any subsequently introduced identical formulation.

FABRIC PROTECTANT means a product designed to be applied to fabric substrates to protect the surface from soiling from dirt and other impurities or to reduce absorption of liquid into the fabric's fibers. Fabric Protectant does not include waterproofers, products designed for use solely on leather, or products designed for use solely on fabrics that are labeled for dry clean only and sold in containers of ten fluid ounces or less.

10/19/07 310 CMR - 250.72.10.7 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

FABRIC REFRESHER means a product labeled to neutralize or eliminate odors on non- laundered fabric including, but not limited to, soft household surfaces, rugs, carpeting, draperies, bedding, automotive interiors, footwear, athletic equipment, clothing and/or on household furniture or objects upholstered or covered with fabrics such as, but not limited to, wool, cotton, or nylon. Fabric Refresher does not include Anti-static Product, Carpet and Upholstery Cleaner, soft household surface sanitizers, Footwear or Leather Care Product, Spot Remover, or Disinfectant, or products labeled for application to both fabric and human skin. For the purposes of 310 CMR 7.25(11)(b): FABRIC REFRESHER only, soft household surface sanitizer means a product labeled to neutralize or eliminate odors on surfaces whose label is registered as a sanitizer under the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA, 7 U.S.C. 136 et seq.).

FACIAL CLEANER OR SOAP means a cleaner or soap designed primarily to clean the face. Facial Cleaner or Soap includes, but is not limited to, facial cleansing creams, semisolids, liquids, lotions, and substrate-impregnated forms. Facial Cleaner or Soap does not include prescription drug products, Antimicrobial Hand or Body Cleaner or Soap, Astringent/Toner, General-use Hand or Body Cleaner or Soap, Medicated Astringent/Medicated Toner, or Rubbing Alcohol.

FAT WOOD means pieces of wood kindling with high naturally occurring levels of sap or resin that enhance ignition of the kindling. Fat wood does not include any kindling with substances added to enhance flammability, such as wax-covered or wax-impregnated wood- based products.

FLEA AND TICK INSECTICIDE means any insecticide product that is designed for use against fleas, ticks, their larvae, or their eggs. Flea and Tick Insecticide does not include products that are designed to be used exclusively on humans or animals and their bedding.

FLEXIBLE FLOORING MATERIAL means asphalt, cork, linoleum, no-wax, rubber, seamless vinyl, and vinyl composite flooring.

FLOOR POLISH OR WAX means a wax, polish, or any other product designed to polish, protect, or enhance floor surfaces by leaving a protective coating that is designed to be periodically replenished. Floor Polish or Wax does not include spray buff products, products designed solely for the purpose of cleaning floors, floor finish strippers, products designed for unfinished wood floors, and coatings subject to architectural coatings regulations.

FLOOR SEAM SEALER means any product designed and labeled exclusively for bonding, fusing, or sealing (coating) seams between adjoining rolls of installed flexible sheet flooring.

FLOOR WAX STRIPPER means a product designed to remove natural or synthetic floor polishes or waxes through breakdown of the polish or wax polymers, or by dissolving or emulsifying the polish or wax. Floor Wax Stripper does not include aerosol floor wax strippers or products designed to remove floor wax solely through abrasion.

FLYING BUG INSECTICIDE means any insecticide product that is designed for use against flying insects or other flying arthropods, including but not limited to flies, mosquitoes, moths, or gnats. Flying Bug Insecticide does not include wasp and hornet insecticide, products that are designed to be used exclusively on humans or animals, or any mothproofing product. For the purposes of 310 CMR 7.25(11)(b): FLYING BUG INSECTICIDE only, moth-proofing product means a product whose label, packaging, or accompanying literature indicates that the product is designed to protect fabrics from damage by moths, but does not indicate that the product is suitable for use against flying insects or other flying arthropods.

10/19/07 310 CMR - 250.72.10.8 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

FOOTWEAR OR LEATHER CARE PRODUCT means any product designed or labeled to be applied to footwear or to other leather articles/components, to maintain, enhance, clean, protect, or modify the appearance, durability, fit, or flexibility of the footwear or leather article/component. Footwear includes both leather and non-leather foot apparel. Footwear or Leather Care Product does not include Fabric Protectant, General Purpose Adhesive, Contact Adhesive, Vinyl/Fabric/Leather/Polycarbonate Coating, Rubber and Vinyl Protectant, Fabric Refresher, products solely for deodorizing, or sealant products with adhesive properties used to create external protective layers greater than two millimeters thick.

FORM-RELEASE COMPOUND means a coating labeled and formulated for application to a concrete form to prevent the freshly poured concrete from bonding to the form. The form may consist of wood, metal, or some material other than concrete.

FRAGRANCE means a substance or complex mixture of aroma chemicals, natural essential oils, and other functional components with a combined vapor pressure not in excess of two millimeters of mercury at 20oC, the sole purpose of which is to impart an odor or scent, or to counteract a malodor.

FURNITURE COATING means any paint designed for application to room furnishings including, but not limited to, cabinets (such as kitchen, bath and vanity cabinets), tables, chairs, beds, and sofas.

FURNITURE MAINTENANCE PRODUCT means a wax, polish, conditioner, or any other product designed for the purpose of polishing, protecting or enhancing finished wood surfaces other than floors. Furniture Maintenance Product does not include Dusting Aids, Wood Cleaners and products designed solely for the purpose of cleaning, and products designed to leave a permanent finish such as stains, sanding sealers and lacquers.

GEL means a colloid in which the disperse phase has combined with the continuous phase to produce a semisolid material, such as jelly.

GENERAL PURPOSE ADHESIVE means any non-aerosol adhesive designed for use on a variety of types of substrates. General Purpose Adhesive does not include: 1. contact adhesives; 2. construction, panel, and floor covering adhesives; 3. adhesives designed exclusively for application on one specific category of substrates (i.e., substrates that are composed of similar materials, such as different types of metals, paper products, ceramics, plastics, rubbers, or vinyls); or 4. adhesives designed exclusively for use on one specific category of articles (i.e., articles that may be composed of different materials but perform a specific function, such as gaskets, automotive trim, weather-stripping, or carpets).

GENERAL PURPOSE CLEANER means a product designed for general all-purpose cleaning, in contrast to cleaning products designed to clean specific substrates in certain situations. General Purpose Cleaner includes products designed for general floor cleaning, kitchen or countertop cleaning, and cleaners designed to be used on a variety of hard surfaces and does not include general purpose degreasers and electronic cleaners.

GENERAL PURPOSE DEGREASER means any product labeled to remove or dissolve grease, grime, oil and other oil-based contaminants from a variety of types of substrates, including automotive or miscellaneous metallic parts. General Purpose Degreaser does not include Engine Degreaser, General Purpose Cleaner, Adhesive Remover, Electronic Cleaner, Electrical Cleaner, Energized Electrical Cleaner, Metal Polish/Cleanser, products used exclusively in solvent cleaning tanks or related equipment, or products that are: 1. sold exclusively to establishments that manufacture or construct goods or commodities; and 2. labeled “not for retail sale”. Solvent cleaning tanks or related equipment includes, but is not limited to, cold cleaners, vapor degreasers, conveyorized degreasers, film cleaning machines, or products designed to clean miscellaneous metallic parts by immersion in a container.

10/19/07 310 CMR - 250.72.10.9 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

GENERAL-USE HAND OR BODY CLEANER OR SOAP means a cleaner or soap designed to be used routinely on the skin to clean or remove typical or common dirt and soils. General-use Hand or Body Cleaner or Soap includes, but is not limited to, hand or body washes, dual-purpose shampoo-body cleaners, shower or bath gels, and moisturizing cleaners or soaps. General-use Hand or Body Cleaner or Soap does not include prescription drug products, Antimicrobial Hand or Body Cleaner or Soap, Astringent/Toner, Facial Cleaner or Soap, Hand Dishwashing Detergent, Heavy-duty Hand Cleaner or Soap, Medicated Astringent/Medicated Toner, or Rubbing Alcohol.

GLASS CLEANER means a cleaning product designed primarily for cleaning surfaces made of glass. Glass cleaner does not include products designed solely for the purpose of cleaning optical materials used in eyeglasses, photographic equipment, scientific equipment and photocopying machines.

GRAFFITI REMOVER means a product labeled to remove spray paint, ink, marker, crayon, lipstick, nail polish, or shoe polish, from a variety of non-cloth or non-fabric substrates. Graffiti Remover does not include Paint Remover or Stripper, Nail Polish Remover, or Spot Remover. Products labeled for dual use as both a paint stripper and graffiti remover are considered Graffiti Removers.

GRAPHIC ARTS COATING OR SIGN PAINT means a coating labeled and formulated for hand-application by artists using brush or roller techniques to indoor and outdoor signs (excluding structural components) and murals including letter enamels, poster colors, copy blockers, and bulletin enamels.

HAIR MOUSSE means a hair-styling foam designed to facilitate styling of a coiffure and provide limited holding power.

HAIR SHINE means any product designed for the primary purpose of creating a shine when applied to the hair. Hair Shine includes, but is not limited to, dual-use products designed primarily to impart sheen to the hair. Hair Shine does not include Hair Spray, Hair Mousse, Hair Styling Product, or products whose primary purpose is to condition or hold the hair.

HAIR SPRAY means a product that is applied to styled hair, and is designed or labeled to provide sufficient rigidity to hold, retain and/or (finish) the style of the hair for a period of time. Hair Spray includes aerosol hair sprays, pump hair sprays, spray waxes; color, glitter, or sparkle hairsprays that make finishing claims; and products that are both a styling and finishing product. Hair Spray does not include spray products that are intended to aid in styling but do not provide finishing of a hairstyle. For the purposes of 310 CMR 7.25(11)(b): HAIR SPRAY, “finish” or “finishing” means the maintaining and/or holding of previously styled hair for a period of time. For the purposes of 310 CMR 7.25(11)(b): HAIR SPRAY, “styling” means the forming, sculpting, or manipulating of the hair to temporarily alter the hair's shape.

HAIR STYLING PRODUCT means a product manufactured on or after January 1, 2009, that is designed or labeled for the application to wet, damp, or dry hair to aid in defining, shaping, lifting, styling and/or sculpting the hair. Hair Styling Product includes, but is not limited to, hair balm, clay, cream, creme, curl straightener, gel, liquid, lotion, paste, pomade, putty, root lifter, serum, spray gel, stick, temporary hair straightener, wax, spray products that aid in styling but do not provide finishing of a hairstyle, and leave-in volumizers, detanglers and/or conditioners that make styling claims. Hair Styling Product does not include Hair Mousse, Hair Shine, Hair Spray, or shampoos and/or conditioners that are rinsed from the hair prior to styling. For the purposes of 310 CMR 7.25(11)(b): HAIR STYLING PRODUCT, “finish” or “finishing” means the maintaining and/or holding of previously styled hair for a period of time, and "styling" means the forming, sculpting, or manipulating of the hair to temporarily alter the hair's shape.

10/19/07 310 CMR - 250.72.10.10 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

HEAVY-DUTY HAND CLEANER OR SOAP means a product designed to clean or remove difficult dirt and soils such as oil, grease, grime, tar, shellac, putty, printer’s ink, paint, graphite, cement, carbon, asphalt, or adhesives from the body with or without the use of water. Heavy-duty Hand Cleaner or Soap does not include prescription drug products, Antimicrobial Hand or Body Cleaner or Soap, Astringent/Toner, Facial Cleaner or Soap, General-use Hand or Body Cleaner or Soap, Medicated Astringent/Medicated Toner or Rubbing Alcohol.

HERBICIDE means a pesticide product designed to kill or retard a plant’s growth, but excludes products that are: 1. for agricultural use; or 2. restricted materials that require a permit for use and possession.

HIGH VOLATILITY ORGANIC COMPOUND (HVOC) means any volatile organic compound that exerts a vapor pressure greater than 80 millimeters of mercury when measured at 20oC.

HOUSEHOLD PRODUCT means any consumer product that is primarily designed to be used inside or outside of living quarters or residences that are occupied or intended for occupation by individuals, including the immediate surroundings.

INSECTICIDE means a pesticide product that is designed for use against insects or other arthropods, but excluding products that are: 1. for agricultural use; or 2. for a use that requires a structural pest control license under the Massachusetts Pesticide Control Act; or 3. restricted materials that require a permit for use and possession.

INSECTICIDE FOGGER means any insecticide product designed to release all or most of its content, as a fog or mist, into indoor areas during a single application.

INSTITUTIONAL PRODUCT OR INDUSTRIAL AND INSTITUTIONAL (I&I) PRODUCT means a consumer product that is designed for use in the maintenance or operation of an establishment that: 1. manufactures, transports, or sells goods or commodities, or provides services for profit; or 2. is engaged in the nonprofit promotion of a particular public, educational, or charitable cause. Establishments include, but are not limited to, government agencies, factories, schools, hospitals, sanitariums, prisons, restaurants, hotels, stores, automobile service and parts centers, health clubs, theaters, or transportation companies. Institutional Product does not include household products and products that are incorporated into or used exclusively in the manufacture or construction of the goods or commodities at the site of the establishment.

LAUNDRY PREWASH means a product that is designed for application to a fabric prior to laundering and that supplements and contributes to the effectiveness of laundry detergents and/or provides specialized performance.

LAUNDRY STARCH PRODUCT means a product that is designed for application to a fabric, either during or after laundering, to impart and prolong a crisp, fresh look and may also act to help ease ironing of the fabric. Laundry Starch Product includes, but is not limited to, fabric finish, sizing, and starch.

10/19/07 310 CMR - 250.72.10.11 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

LAWN AND GARDEN INSECTICIDE means an insecticide product labeled primarily to be used in household lawn and garden areas to protect plants from insects or other arthropods.

LIQUID means a substance or mixture of substances that is capable of a visually detectable flow as determined under ASTM D4359-90(2000)e1, D 4359 90 Standard Test Method For Determining Whether A Material Is A Liquid Or A Solid, ASTM International. Liquid does not include powders or other materials that are composed entirely of solid particles.

LVP-VOC or Low-Vapor-Pressure VOC means a chemical compound or mixture that contains at least one carbon atom and meets one of the following: 1. has a vapor pressure less than 0.1 millimeters of mercury at 20oC, as determined by CARB Method 310; or 2. is a chemical compound with more than 12 carbon atoms, or a chemical mixture comprised solely of compounds with more than 12 carbon atoms as verified by formulation data, and the vapor pressure and boiling point are unknown; or 3. is a chemical compound with a boiling point greater than 216oC, as determined by CARB Method 310; or 4. is the weight percent of a chemical mixture that boils above 216o C, as determined by CARB Method 310. For the purposes of 310 CMR 7.25(11)(b): LVP-VOC, chemical compound means a molecule of definite chemical formula and isomeric structure, and chemical “mixture” means a substrate comprised of two or more chemical compounds.

MANUFACTURER means any person who manufactures, processes, imports, assembles, produces, packages, repackages, or re-labels a product.

MEDICATED ASTRINGENT/MEDICATED TONER means any product regulated as a drug by the FDA that is applied to the skin for the purpose of cleaning or tightening pores. Medicated Astringent/Medicated Toner includes, but is not limited to, clarifiers and substrate-impregnated products. Medicated Astringent/Medicated Toner does not include hand, face, or body cleaner or soap products, Astringent/Toner, cold cream, lotion, antiperspirants, or products that must be purchased with a doctor’s prescription.

MEDIUM VOLATILITY ORGANIC COMPOUND (MVOC) means any volatile organic compound that exerts a vapor pressure greater than two millimeters of mercury and less than or equal to 80 millimeters of mercury when measured at 20oC.

METAL POLISH/CLEANSER means any product designed primarily to improve the appearance of finished metal, metallic, or metallized surfaces by physical or chemical action. To improve the appearance means to remove or reduce stains, impurities, or oxidation from surfaces or to make surfaces smooth and shiny. Metal Polish/Cleanser includes, but is not limited to, metal polishes used on brass, silver, chrome, copper, stainless steel and other ornamental metals. Metal Polish/Cleanser does not include Automotive Wax, Polish, Sealant or Glaze, wheel cleaner, Paint Remover or Stripper, products designed and labeled exclusively for automotive and marine detailing, or products designed for use in degreasing tanks.

MIST SPRAY ADHESIVE means any aerosol that is not a special purpose spray adhesive and which delivers a particle or mist spray, resulting in the formation of fine, discrete particles that yield a generally uniform and smooth application of adhesive to the substrate.

MULTI-PURPOSE DRY LUBRICANT means any lubricant that is: 1. designed and labeled to provide lubricity by depositing a thin film of graphite, molybdenum disulfide (moly), or polytetrafluoroethylene or closely related fluoropolymer (teflon) on surfaces; and 2. designed for general purpose lubrication, or for use in a wide variety of applications.

10/19/07 310 CMR - 250.72.10.12 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

MULTI-PURPOSE LUBRICANT means any lubricant designed for general purpose lubrication, or for use in a wide variety of applications. Multi-purpose Lubricant does not include Multi-purpose Dry Lubricants, Penetrants, or Silicone-based Multi-purpose Lubricants.

MULTI-PURPOSE SOLVENT means any organic liquid designed to be used for a variety of purposes, including cleaning or degreasing of a variety of types of substrates, or thinning, dispersing or dissolving other organic materials. Multi-purpose Solvent includes solvents used in institutional facilities, except for laboratory reagents used in analytical, educational, research, scientific or other laboratories. Multi-purpose Solvent does not include solvents used in cold cleaners, vapor degreasers, conveyorized degreasers or film cleaning machines, or solvents that are incorporated into, or used exclusively in the manufacture or construction of, the goods or commodities at the site of the establishment.

NAIL POLISH means any clear or colored coating designed for application to the fingernails or toenails and including but not limited to, lacquers, enamels, acrylics, base coats, and top coats.

NAIL POLISH REMOVER means a product designed to remove nail polish and coatings from fingernails or toenails.

NON-AEROSOL PRODUCT means any consumer product that is not dispensed by a pressurized spray system.

NON-CARBON CONTAINING COMPOUND means any compound that does not contain any carbon atoms.

NON-RESILIENT FLOORING means flooring of a mineral content that is not flexible. Non-Resilient Flooring includes terrazzo, marble, slate, granite, brick, stone, ceramic tile and concrete.

NON-SELECTIVE TERRESTRIAL HERBICIDE means a terrestrial herbicide product that is toxic to plants without regard to species.

OVEN CLEANER means any cleaning product designed to clean and to remove dried food deposits from oven walls.

PAINT means any pigmented liquid, liquefiable, or mastic composition designed for application to a substrate in a thin layer that is converted to an opaque solid film after application and is used for protection, decoration or identification, or to serve some functional purpose such as the filling or concealing of surface irregularities or the modification of light and heat radiation characteristics.

PAINT REMOVER OR STRIPPER means any product designed to strip or remove paints or other related coatings, by chemical action, from a substrate without markedly affecting the substrate. Paint Remover or Stripper does not include Multi-purpose Solvents, paintbrush cleaners, products designed and labeled exclusively as Graffiti Removers, and hand cleaner products that claim to remove paints and other related coatings from skin.

PENETRANT means a lubricant designed and labeled primarily to loosen metal parts that have bonded together due to rusting, oxidation, or other causes. Penetrant does not include Multi-purpose Lubricants that claim to have penetrating qualities, but are not labeled primarily to loosen bonded parts.

PERSONAL FRAGRANCE PRODUCT means any product which is applied to the human body or clothing for primary purpose of adding a scent, or masking a malodor, including cologne, perfume, aftershave, and toilet water. Personal Fragrance Product does not include: 1. Deodorant; 2. medicated products designed primarily to alleviate fungal or bacterial growth on feet or other areas of the body;

10/19/07 310 CMR - 250.72.10.13 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

3. mouthwashes, breath fresheners and deodorizers; 4. lotions, moisturizers, powders or other skin care products used primarily to alleviate skin conditions such as dryness and irritations; 5. products designed exclusively for use on human genitalia; 6. soaps, shampoos, and products primarily used to clean the human body; and 7. fragrance products designed to be used exclusively on non-human animals.

PRESSURIZED GAS DUSTER means a pressurized product labeled to remove dust from a surface solely by means of mass air or gas flow, including surfaces such as photographs, photographic film negatives, computer keyboards, and other types of surfaces that cannot be cleaned with solvents. Pressurized Gas Duster does not include Dusting Aid.

PRINCIPAL DISPLAY PANEL OR PANELS means that part or those parts of a label that are so designed as to most likely be displayed, presented, shown or examined under normal and customary conditions of display or purchase. Whenever a principal display panel appears more than once, all requirements pertaining to the principal display panel shall pertain to all such principal display panels.

PRODUCT BRAND NAME means the name of the product exactly as it appears on the principal display panel of the product.

PRODUCT CATEGORY means the applicable category that best describes the product as listed in Definitions.

PRODUCT LINE means a group of products of identical form and function belonging to the same product category or categories.

PROPELLANT means a liquefied or compressed gas that is used in whole or in part, such as a co-solvent, to expel a liquid or any other material from the same self-pressurized container or from a separate container.

PUMP SPRAY means a packaging system in which the product ingredients within the container are not under pressure and in which the product is expelled only while a pumping action is applied to a button, trigger or other actuator.

RESPONSIBLE PARTY means the company, firm or establishment that is listed on the product label. If the label lists two companies, firms or establishments, the responsible party is the party that the product was manufactured for or distributed by, as noted on the label.

RESTRICTED MATERIALS means pesticides established as restricted materials under applicable Massachusetts laws or regulations.

RETAIL OUTLET means any establishment at which consumer products are sold, supplied, or offered for sale directly to consumers.

RETAILER means any person who sells, supplies, or offers consumer products for sale directly to consumers.

ROLLON PRODUCT means any antiperspirant or deodorant that dispenses active ingredients by rolling a wetted ball or wetted cylinder on the affected area.

10/19/07 310 CMR - 250.72.10.14 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

RUBBER AND VINYL PROTECTANT means any product designed to protect, preserve or renew vinyl, rubber, and plastic on vehicles, tires, luggage, furniture, and household products such as vinyl covers, clothing, and accessories. Rubber and Vinyl Protectant does not include products primarily designed to clean the wheel rim, such as aluminum or magnesium wheel cleaners, and tire cleaners that do not leave an appearance-enhancing or protective substance on the tire.

RUBBING ALCOHOL means any product containing isopropyl alcohol (also called isopropanol) or denatured ethanol and labeled for topical use, usually to decrease germs in minor cuts and scrapes, to relieve minor muscle aches, as a rubefacient, and for massage.

SEALANT AND CAULKING COMPOUND means any product with adhesive properties that is designed to fill, seal, waterproof, or weatherproof gaps or joints between two surfaces. Sealant and Caulking Compound does not include roof cements and roof sealants; insulating foams; removable caulking compounds; clear, paintable, or water resistant caulking compounds; floor seam sealers; products designed exclusively for automotive uses; or sealers that are applied as continuous coatings. Sealant and Caulking Compound also does not include units of product, less packaging, which weigh more than one pound and consist of more than 16 fluid ounces. For the purposes of 310 CMR 7.25(11)(b): SEALANT AND CAULKING COMPOUND only, removable caulking compound means a compound that temporarily seals windows or doors for three to six month time intervals. For the purposes of 310 CMR 7.25(11)(b): SEALANT AND CAULKING COMPOUND only, clear/paintable/water resistant caulking compound means a compound that: 1. contains no appreciable level of opaque fillers or pigments; 2. transmits most or all visible light through the caulk when cured; 3. is paintable; and 4. is immediately resistant to precipitation upon application.

SEMISOLID means a product that, at room temperature, will not pour, but will spread or deform easily, including but not limited to gels, pastes, and greases.

SHAVING CREAM means an aerosol product that dispenses a foam lather intended to be used with a blade or cartridge razor, or other wet shaving system, in the removal of facial or other bodily hair. Shaving Cream does not include Shaving Gel.

SHAVING GEL means an aerosol product that dispenses a post-foaming semisolid designed to be used with a blade, cartridge razor, or other shaving system in the removal of facial or other bodily hair. Shaving Gel does not include Shaving Cream.

SILICONE-BASED MULTI-PURPOSE LUBRICANT means any lubricant that is: 1. signed and labeled to provide lubricity primarily through the use of silicone compounds including, but not limited to, polydimethylsiloxane; and 2. designed and labeled for general purpose lubrication, or for use in a wide variety of applications. Silicone-based Multi-purpose Lubricant does not include products designed and labeled exclusively to release manufactured products from molds.

SINGLE-PHASE AEROSOL AIR FRESHENER means an aerosol air freshener with the liquid contents in a single homogeneous phase and that does not require that the product container be shaken before use.

SOLID means a substance or mixture of substances that, either whole or subdivided (such as the particles comprising a powder), is not capable of visually detectable flow as determined under ASTM D4359-90(2000)e1, Standard Test Method For Determining Whether A Material Is A Liquid Or A Solid, ASTM International.

SPECIAL PURPOSE SPRAY ADHESIVE Means an aerosol adhesive that meets any of the following definitions: 1. MOUNTING ADHESIVE means an aerosol adhesive designed to permanently mount photographs, artwork, and any other drawn or printed media to a backing (such as paper, board, cloth, etc.) without causing discoloration to the artwork.

10/19/07 310 CMR - 250.72.10.15 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

2. FLEXIBLE VINYL ADHESIVE means an aerosol adhesive designed to bond flexible vinyl to substrates. Flexible vinyl means a non-rigid polyvinyl chloride plastic with at least 5%, by weight, of plasticizer content. A plasticizer is a material, such as a high boiling point organic solvent, that is incorporated into a plastic to increase its flexibility, workability, or distensibility, and may be determined using ASTM D1045- 95(2001), “Standard Test Methods for Sampling and Testing Plasticizers Used in Plastics,” ASTM International, or from product formulation data. 3. POLYSTYRENE FOAM ADHESIVE means an aerosol adhesive designed to bond polystyrene foam to substrates. 4. AUTOMOBILE HEADLINER ADHESIVE means an aerosol adhesive designed to bond together layers in motor vehicle headliners. 5. POLYOLEFIN ADHESIVE means an aerosol adhesive designed to bond polyolefins to substrates. 6. LAMINATE REPAIR/EDGEBANDING ADHESIVE means an aerosol adhesive designed for: a. The touch-up or repair of items laminated with high-pressure laminates (e.g., lifted edges, delaminates, etc.); or b. The touch-up, repair, or attachment of edge-bonding materials, including but not limited to, other laminates, synthetic marble, veneers, wood molding, and decorative metals. For the purposes of this definition, high pressure laminate means sheet materials that consist of paper, fabric, or other core material that have been laminated at temperatures exceeding 265° F, and at pressures between 1,000 and 1,400 psi. 7. AUTOMOTIVE ENGINE COMPARTMENT ADHESIVE means an aerosol adhesive designed for use in motor vehicle under-the-hood applications that require oil and plasticizer resistance, as well as high shear strength, at temperatures of 93oC through 135oC.

SPOT REMOVER means any product labeled to clean localized areas, or remove localized spots or stains on cloth or fabric such as drapes, carpets, upholstery, and clothing, that does not require subsequent laundering to achieve stain removal. Spot Remover does not include Dry Cleaning Fluid, Laundry Prewash, or Multi-purpose Solvent.

SPRAY BUFF PRODUCT means a product designed to restore a worn floor finish in conjunction with a floor buffing machine and special pad.

STICK PRODUCT means any antiperspirant or deodorant that contains active ingredients in a solid matrix form, and that dispenses the active ingredients by frictional action on the affected area.

STRUCTURAL WATERPROOF ADHESIVE means an adhesive whose bond lines are resistant to conditions of continuous immersion in fresh or salt water, and that conforms with Federal Specification MMM-A-181D (Type 1, Grade A).

TERRESTRIAL means to live on or grow from land.

TIRE SEALANT AND INFLATION means any pressurized product that is designed to temporarily inflate and seal a leaking tire.

TOILET/URINAL CARE PRODUCT means any product designed or labeled to clean and/or to deodorize toilet bowls, toilet tanks, or urinals. Toilet bowls, toilet tanks, or urinals include, but are not limited to, toilets or urinals connected to permanent plumbing in buildings and other structures, portable toilets or urinals placed at temporary or remote locations, and toilet or urinals in vehicles such as buses, recreational motor homes, boats, ships, and aircraft. Toilet/Urinal Care Product does not include Bathroom and Tile Cleaner or General Purpose Cleaner.

TYPE A PROPELLENT means a compressed gas such as CO2, N22, N O, or compressed air that is used as a propellant, and is either incorporated with the product or contained in a separate chamber within the product's packaging.

10/19/07 310 CMR - 250.72.10.16 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

TYPE B PROPELLENT means any halocarbon that is used as a propellant, including chlorofluorocarbons (CFCs), hydrochlorofluorocarbons (HCFCs), and hydrofluorocarbons (HFCs).

TYPE C PROPELLENT means any propellant that is not a Type A or Type B propellant, including propane, isobutane, n-butane, and dimethyl ether (also known as dimethyl oxide).

UNDERCOATING means any aerosol product designed to impart a protective, non-paint layer to the undercarriage, trunk interior, and/or firewall of motor vehicles to prevent the formation of rust or to deaden sound. Undercoating includes, but is not limited to, rubberized, mastic, or asphaltic products.

USAGE DIRECTIONS means the text or graphics on the product's principal display panel, label, or accompanying literature that describes to the end user how and in what quantity the product is to be used.

VINYL/FABRIC/LEATHER/POLYCARBONATE COATING means a coating designed and labeled exclusively to coat vinyl, fabric, leather, or polycarbonate substrates.

VOC CONTENT means except for charcoal lighter products, the total weight of VOC in a consumer product expressed as a percentage of the product weight (exclusive of the container or packaging), as determined pursuant to 310 CMR 7.25(12)(h)1. For charcoal lighter material products only,

VOC CONTENT = Certified Emissions * 100 / Certified Use Rate.

Where:

Certified Emissions = the emissions level for products approved by the CARB and as determined pursuant to South Coast Air Quality Management District Rule 1174 Ignition Method Compliance Certification Protocol (February 27, 1991), expressed to the nearest 0.001 pound CH2 per start.

Certified Use Rate = the usage level for products approved by CARB and as determined pursuant to South Coast Air Quality Management District Rule 1174 Ignition Method Compliance Certification Protocol (February 27, 1991), expressed to the nearest 0.001 pound certified product used per start.

WASP AND HORNET INSECTICIDE means any insecticide product that is designed for use against wasps, hornets, yellow jackets or bees by allowing the user to spray from a distance a directed stream or burst at the intended insects, or their nest.

WATERPROOFER means a product designed and labeled exclusively to repel water from fabric or leather substrates. Waterproofer does not include Fabric Protectants.

WAX means a material or synthetic thermoplastic substance generally of high molecular weight hydrocarbons or high molecular weight esters of fatty acids or alcohols, except glycerol and high polymers (plastics). Wax includes, but is not limited to, substances derived from the secretions of plants and animals such as carnuba wax and beeswax, substances of a mineral origin such as ozocerite and paraffin, and synthetic polymers such as polyethylene.

WEB SPRAY ADHESIVE means any aerosol adhesive that is not a mist spray or special purpose spray adhesive.

WOOD CLEANER means a product labeled to clean wooden materials including, but not limited to, decking, fences, flooring, logs, cabinetry, and furniture. Wood Cleaner does not include Dusting Aid, General Purpose Cleaner, Furniture Maintenance Product, Floor Wax Stripper, Floor Polish or Wax, or products designed and labeled exclusively to preserve or color wood.

10/19/07 310 CMR - 250.72.10.17 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

WOOD FLOOR WAX means wax based products for use solely on wood floors.

(c) Standards. 1. VOC Content Limits. Except as provided in 310 CMR 7.25(12)(d) (Variances) and 310 CMR 7.25(12)(e) (Innovative Products), no person subject to 310 CMR 7.25 shall: a. manufacture for use within Massachusetts; or b. sell, supply, or offer for sale within Massachusetts any consumer product that contains volatile organic compounds in excess of the limits specified in 310 CMR 7.25(11)(c)1.: Table 2.

Table 2. VOC Content Limits for Consumer Products Effective January 1, 2009

Product Category Percent VOC by Weight (%W) Adhesive Removers Floor or Wall Covering 5 Gasket or Thread Locking 50 General Purpose 20 Specialty 70 Adhesives Aerosol: Mist Spray 65 Web Spray 55 Special Purpose Spray Adhesives: Mounting; Automotive Engine Compartment; Flexible Vinyl 70 Polystyrene Foam and Automobile Headliner 65 Polyolefin and Laminate Repair/Edgebanding 60 Construction, Panel, and Floor Covering 15 Contact: General Purpose 55 Special Purpose 80 General Purpose 10 Structural Waterproof 15 Air Fresheners Single-phase Aerosols 30 Double-phase Aerosols 25 Liquids/pump Sprays 18 Solids/Semisolid 3 Antiperspirants Aerosol 40 HVOC 10 MVOC Non-aerosol 0 HVOC 0 MVOC Anti-static Non-aerosol 11 Automotive Brake Cleaners 45 Automotive Rubbing or Polishing Compound 17 Automotive Wax, Polish, Sealant or Glaze Hard Paste Waxes 45 I Instant Detailers 3 All Other Forms 15 Automotive Windshield Washer Fluids 35 Bathroom and Tile Cleaners Aerosols 7 All Other Forms 5 Bug and Tar Remover 40 Carburetor or Fuel-injection Air Intake Cleaners 45

10/19/07 310 CMR - 250.72.10.18 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

Product Category Percent VOC by Weight (%W) Carpet and Upholstery Cleaners Aerosols 7 Non-aerosols (Dilutables) 0.1 Non-aerosols (Ready-to-Use) 3.0 Charcoal Lighter Material See 310 CMR 7.25(12)(c)8. Cooking Spray Aerosols 18 Deodorants Aerosol 0 HVOC 10 MVOC Non-aerosol 0 HVOC 0 MVOC Dusting Aids Aerosols 25 All Other Forms 7 Engine Degreasers Aerosols 35 Non-aerosols 5 Electrical Cleaner 45 Electronic Cleaner 75 Fabric Protectants 60 Fabric Refresher Aerosol 15 Non-aerosol 6 Floor Polishes/ Waxes Products for Flexible Flooring Materials 7 Products for Non-resilient Flooring 10 Wood Floor Wax 90 Floor Wax Strippers Non-aerosol See 310 CMR 7.25(12)(c)10. Footwear or Leather Care Products Aerosol 75 Solid 55 All Other Forms 15 Furniture Maintenance Products Aerosols 17 All other Forms Except Solid or Paste 7 Graffiti Remover Aerosol 50 Non-aerosols 30 General Purpose Cleaners Aerosols 10 Non-aerosols 4 General Purpose Degreasers Aerosols 50 Non-aerosols 4 Glass Cleaners Aerosols 12 Non-aerosols 4 Hair Mousses 6 Hair Shines 55 Hair Sprays 55 Hair Styling Products Aerosol and Pump Sprays 6 All Other Forms 2 Heavy-duty Hand Cleaner or Soap 8

10/19/07 310 CMR - 250.72.10.19 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

Product Category Percent VOC by Weight (%W) Insecticides Crawling Bug (Aerosol) 15 Crawling Bug (all other forms) 20 Flea and Tick 25 Flying Bug (Aerosol) 25 Flying Bug (all other forms) 35 Foggers 45 Lawn and Garden (all other forms) 20 Lawn and Garden (Non-Aerosol) 3 Wasp and Hornet 40 Laundry Prewash Aerosol / Solids 22 All Other Forms 5 Laundry Starch Products 5 Metal Polishes/ Cleansers 30 Multi-purpose Lubricant (Excluding Solid or Semi-solid Products) 50 Nail Polish Remover 75 Non-selective Terrestrial Herbicide Non-aerosols 3 Oven Cleaners Aerosols/Pump Sprays 8 Liquids 5 Paint Remover or Stripper 50 Penetrants 50 Rubber and Vinyl Protectants Aerosols 10 Non-aerosols 3 Sealants and Caulking Compounds 4 Shaving Creams 5 Shaving Gel 7 Silicone-based Multi-Purpose Lubricants (Excluding Solid or Semi-solid Products) 60 Spot Removers Aerosols 25 Non-aerosols 8 Tire Sealants and Inflators 20 Toilet/Urinal Care Products Aerosol 10 Non-aerosols 3 Undercoatings Aerosols 40 Wood Cleaner Aerosol 17 Non-aerosols 4

2. Most Restrictive Limit. Notwithstanding the definition of product category in 310 CMR 7.25(12)(b), if anywhere on the container or packaging of any consumer product manufactured on or after January 1, 2009, or any FIFRA-registered insecticide manufactured on or after January 1, 2010, or on any sticker or label affixed thereto, any representation is made that the product may be used as, or is suitable for use as a consumer product for which a lower VOC limit is specified in 310 CMR 7.25(12)(c)1., then the lowest VOC limit shall apply. This requirement does not apply to general purpose cleaners, antiperspirant/deodorant products and insecticide foggers. This lowest VOC limit requirement shall apply to the consumer product irrespective of whether the definition of the consumer product category, as defined in 310 CMR 7.25(12)(b), explicitly excludes the other consumer product category or categories that have been represented in the product’s labeling information.

10/19/07 310 CMR - 250.72.10.20 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

3. Sell-through of Consumer Products. a. A consumer product listed in 310 CMR 7.25(12)(c)1.: Table 2 and manufactured prior to the effective date specified in 310 CMR 7.25(12)(c)1., may be sold, supplied, or offered for sale after the effective date specified in 310 CMR 7.25(12)(c)1.: Table 2, so long as the consumer product complied with the VOC content standards and other applicable requirements in effect at the time the consumer product was manufactured. This does not apply to the following: i. Any consumer product that does not display on the product container or package the date on which the product was manufactured, or a code indicating such date, in accordance with 310 CMR 7.25(12)(f)1. ii. Any consumer product on which the manufacturer has used a code indicating the date of manufacture that is different than the code specified in 310 CMR 7.25(12)(f)1.e.ii., but an explanation of the code has not been filed with the Department by the deadlines specified in 310 CMR 7.25(12)(f)1.e.i. iii. Solid Air Fresheners and Toilet/Urinal Care Products that contain paradichlorobenzene. These products are subject to a one-year sell-through period as provided in 310 CMR 7.25(12)(c)13.b. 4. Exclusions. a. The VOC content standards specified in 310 CMR 7.25(12)(c)1. shall not apply to: i. Any LVP-VOC. ii. Fragrances up to a combined level of 2% by weight contained in any consumer product, and colorants up to a combined level of 2% by weight contained in any antiperspirant or deodorant. iii. VOCs that contain more than ten carbon atoms per molecule and for which the vapor pressure is unknown, or that have a vapor pressure of two mm Hg or less at 20oC in antiperspirants or deodorants. iv. Air fresheners that are comprised entirely of fragrance, less compounds not defined as VOCs in 310 CMR 7.25(12)(b) or exempted under 310 CMR 7.25(12)(c)4.a.i. v. Insecticides containing at least 98% paradichlorobenzene. vi. Adhesives sold in containers of one fluid ounce or less. vii. Bait Station Insecticides. For the purpose of 310 CMR 7.25(11)(c)4., bait station insecticides are containers enclosing an insecticidal bait that is not more than 0.5 ounce by weight, where the bait is designed to be ingested by insects and is composed of solid material feeding stimulants with less than 5% active ingredients. b. The medium volatility organic compound (MVOC) content standards specified in 310 CMR 7.25(12)(c)1. for antiperspirants or deodorants shall not apply to ethanol. 5. Use of Toxic Air Contaminants in Antiperspirant or Deodorant. No person shall sell, supply, offer for sale, or manufacture any antiperspirant or deodorant for use in Massachusetts that contains any compound that has been identified by the CARB in Title 17, California Code of Regulations, Division 3, Chapter 1, Subchapter 7, Section 93000, as a toxic air contaminant. 6. Products That Are Diluted Prior To Use. a. For consumer products for which the label, packaging, or accompanying literature specifically states that the product should be diluted with water or non-VOC solvent prior to use, the limits specified in 310 CMR 7.25(12)(c)1. shall apply to the product only after the minimum recommended dilution has taken place. For purposes of 310 CMR 7.25(11)(c)6., minimum recommended dilution shall not include recommendations for incidental use of a concentrated product to deal with limited special applications such as hard-to-remove soils or stains. b. For consumer products for which the label, packaging, or accompanying literature states that the product should be diluted with any VOC solvent prior to use, the limits specified in 310 CMR 7.25(12)(c)1. shall apply to the product only after the maximum recommended dilution has taken place.

10/19/07 310 CMR - 250.72.10.21 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

7. Products Registered Under FIFRA. a. For consumer products registered under the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA; 7 U.S.C. § 136-136y), the effective date of the VOC standards is one year after the date specified in 310 CMR 7.25(12)(c)1.: Table 2 Such products shall also be registered under the Massachusetts Pesticide Control Act. b. The labeling requirements of 310 CMR 7.25(12)(f) do not apply to products that are registered as pesticides under FIFRA and under the Massachusetts Pesticide Control Act. 8. Charcoal Lighter Materials. No person shall sell, supply, offer for sale or manufacture for use in Massachusetts any charcoal lighter materials as defined in 310 CMR 7.25(12)(b) unless the manufacturer of that product has been granted a currently effective charcoal lighter materials certification (Executive Order) for that product by CARB under the Consumer Products provisions of Title 17 California Code of Regulations, § 94509(h). A copy of the certification decision by CARB, including all conditions established by CARB applicable to the certification, shall be submitted to the Department within 30 days upon the Department’s written request. 9. Aerosol Adhesives. a. These standards apply to all uses of aerosol adhesives, including consumer, industrial, and commercial uses. Except as otherwise provided in 310 CMR 7.25(12)(c)3. (Sell-Through of Consumer Products), 310 CMR 7.25(12)(d) (Variances), and 310 CMR 7.25(12)(e) (Innovative Products), no person shall sell, supply, offer for sale, or manufacture any aerosol adhesive for use in Massachusetts that, at the time of sale, use, or manufacture, contains VOCs in excess of the specified standard. b. No person shall sell, supply, offer for sale, or manufacture any aerosol adhesive for use in Massachusetts that, at the time of sale, use, or manufacture, contains any of the following compounds: methylene chloride, perchloroethylene, or trichloroethylene. c. If a product meets more than one of the definitions specified in 310 CMR 7.25(12)(b) for Special Purpose Spray Adhesive, then the VOC limit for the product shall be the lowest applicable VOC limit specified in 310 CMR 7.25(12)(c)1.: Table 2. 10. Floor Wax Strippers. Effective January 1, 2009, no person shall sell, supply, offer for sale or manufacture any floor wax stripper for use in Massachusetts unless the following requirements are met: a. The label of each non-aerosol floor wax stripper must specify a dilution ratio for light or medium build-up of polish that results in an as-used VOC concentration of 3% by weight or less. b. If a non-aerosol floor wax stripper is also intended to be used for removal of heavy build-up of polish, the label of that floor wax stripper must specify a dilution ratio for its use on heavy build-up of polish that results in an as-used VOC concentration of 12% by weight or less. c. The term “light build-up”, “medium build-up”, or “heavy build-up” is not specifically required, as long as comparable terminology is used. 11. Contact Adhesives, Electronic Cleaners, Footwear or Leather Care Products, and General Purpose Degreasers. a. Except as provided in 310 CMR 7.25(12)(c)11.b., 310 CMR 7.25(12)(c)11.c., and 310 CMR 7.25(12)(c)11.d., effective January 1, 2009, no person shall sell, supply, offer for sale, or manufacture for use in Massachusetts any contact adhesive, electronic cleaner, footwear or leather care product, or general purpose degreaser that contains any of the following compounds: methylene chloride, perchloroethylene, or trichloroethylene. b. Impurities. The requirements of 310 CMR 7.25(12)(c)11.a. shall not apply to any contact adhesive, electronic cleaner, footwear or leather care product, or general purpose degreaser containing methylene chloride, perchloroethylene, or trichloroethylene that is present as an impurity in a combined amount equal to or less than 0.01% by weight.

10/19/07 310 CMR - 250.72.10.22 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

c. Sell-through of Products. Contact adhesives, electronic cleaners, footwear or leather care products, and general purpose degreasers that contain methylene chloride, perchloroethylene, or trichloroethylene and were manufactured before January 1, 2009, may be sold, supplied, or offered for sale until January 1, 2012, so long as the product container or package displays the date on which the product was manufactured, or a code indicating such date, in accordance with 310 CMR 7.25(12)(f). d. Notification for products sold during the sell-through period. Any person who sells or supplies a consumer product subject to standards in 310 CMR 7.25(12)(c)11.a. shall notify, in writing, the purchaser that the sell-through period for that product will end on January 1, 2012 if both of the following conditions are met: (i) the product is sold or supplied to a distributor or retailer; and (ii) the product is sold or supplied on or after June 30, 2012. 12. Adhesive Removers, Electrical Cleaners, and Graffiti Removers. a. Except as provided below in 310 CMR 7.25(12)(c)12.b., effective January 1, 2009, no person shall sell, supply, offer for sale, or manufacture for use in Massachusetts any adhesive remover, electrical cleaner, or graffiti remover that contains any of the following compounds: methylene chloride, perchloroethylene, or trichloroethylene. b. Impurities. The requirements of 310 CMR 7.25(12)(c)12.a. shall not apply to any adhesive remover, electrical cleaner, or graffiti remover containing methylene chloride, perchloroethylene, or trichloroethylene that is present as an impurity in a combined amount equal to or less than 0.01% by weight. c. Sell-through of Products. adhesive removers, electrical cleaners, and graffiti removers that contain methylene chloride, perchloroethylene, or trichloroethylene and were manufactured before January 1, 2009, may be sold, supplied, or offered for sale until January 1, 2012, so long as the product container or package displays the date on which the product was manufactured, or a code indicating such date, in accordance with 310 CMR 7.25(12)(f). d. Notification for Products Sold During the Sell-through Period. Any person who sells or supplies a consumer product subject to standards in 310 CMR 7.25(12)(c)12.a. shall notify, in writing, the purchaser that the sell-through period for that product will end on January 1, 2012 if both of the following conditions are met: (i) the product is sold or supplied to a distributor or retailer; and (ii) the product is sold or supplied on or after June 30, 2012. 13. Solid Air Fresheners and Toilet/Urinal Care Products. a. Effective January 1, 2009, no person shall sell, supply, offer for sale, or manufacture for use in Massachusetts any solid air freshener or toilet/urinal care products that contain para-dichlorobenzene. b. Solid air fresheners and toilet/urinal care products that contain paradichlorobenzene and were manufactured before January 1, 2009 may be sold, supplied, or offered for sale until January 1, 2010, so long as the product container or package displays the date on which the product was manufactured, or a code indicating such date, in accordance with 310 CMR 7.25(12)(f). 14. Products Containing Ozone-depleting Compounds. a. Effective January 1, 2009, no person shall sell, supply, offer for sale or manufacture for use in Massachusetts any consumer product that contains any of the following ozone-depleting compounds: CFC-11 (trichlorofluoromethane), CFC-12 (dichlorodifluoromethane), CFC-113 (1,1,1-trichloro-2,2,2-trifluoroethane), CFC-114 (1-chloro-1,1-difluoro-2-chloro-2,2-difluoroethane), CFC-115 (chloropentafluoroethane), halon 1211 (bromochlorodifluoromethane), halon 1301 (bromotrifluoromethane), halon 2402 (dibromotetrafluoroethane), HCFC-22 (chlorodifluoromethane), HCFC-123 (2,2-dichloro-1,1,1-trifluoroethane), HCFC-124 (2-chloro-1,1,1,2-tetrafluoroethane), HCFC-141b (1,1-dichloro-1-fluoroethane), HCFC-142b (1-chloro-1,1-difluoroethane), 1,1,1-trichloroethane, and carbon tetrachloride.

10/19/07 310 CMR - 250.72.10.23 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

b. The requirements of 310 CMR 7.25(12)(c)14.a. shall not apply to any ozone depleting compounds that may be present as impurities in a consumer product in an amount equal to or less than 0.01% by weight of the product. c. The requirements of 310 CMR 7.25(12)(c)14.a. shall not apply to any existing product formulation that complies with the requirements in 310 CMR 7.25(12)(c)1. or any existing product formulation that is reformulated to meet the requirements in 310 CMR 7.25(12)(c)1., provided that ozone depleting compound content of the reformulated product does not change. (d) Variances. 1. Any person who cannot comply with the requirements set forth in 310 CMR 7.25(12)(c)1., because of extraordinary reasons beyond the person's reasonable control may apply in writing to the Department for a variance. The variance application shall set forth the following: a. the specific grounds upon which the variance is sought; b. the proposed dates by which compliance with the provisions of 310 CMR 7.25(12)(c)1. will be achieved; c. a compliance report detailing the methods by which compliance will be achieved. d. information to support criteria in 310 CMR 7.25(12)(d)3. 2. Upon receipt of a variance application containing the information required in 310 CMR 7.25(12)(d)1., the Department shall hold a public hearing to determine whether, under what conditions, and to what extent, a variance from the requirements in 310 CMR 7.25(12)(c)1. is necessary and will be permitted. A hearing shall be initiated no later than 75 days after receipt of a variance application. Notice of the time and place of the hearing shall be sent to the applicant by certified mail not less than 30 days prior to the hearing. Notice of the hearing shall also be submitted for publication in the Massachusetts Register and sent to every person who requests such notice, not less than 30 days prior to the hearing. The notice shall state that the parties may, but need not be, represented by counsel at the hearing. At least 30 days prior to the hearing, the variance application shall be made available to the public for inspection. Information submitted to the Department by a variance applicant may be claimed as confidential, and such information shall be handled in accordance with the Department’s confidentiality procedures. The Department may consider such confidential information in reaching a decision on a variance application. Interested members of the public shall be allowed a reasonable opportunity to testify at the hearing and their testimony shall be considered. 3. No variance shall be granted unless all of the following findings are made: a. that because of reasons beyond the reasonable control of the applicant, requiring compliance with 310 CMR 7.25(12)(c)1. would result in extraordinary economic hardship; b. that the public interest in mitigating the extraordinary hardship to the applicant by issuing the variance outweighs the public interest in avoiding any increased emissions of air contaminants which would result from issuing the variance; c. that the compliance report proposed by the applicant can reasonably be implemented, and will achieve compliance as expeditiously as possible. 4. Any variance order shall specify a final compliance date by which the requirements of 310 CMR 7.25(12)(c)1. will be achieved. Any variance order shall contain a condition that specifies increments of progress necessary to assure timely compliance, and any other conditions that the Department deems necessary. 5. A variance shall cease to be effective upon failure of the party to whom the variance was granted to comply with any term or condition of the variance. 6. Upon the application of any person, the Department may review, and for good cause, modify or revoke a variance from requirements of 310 CMR 7.25(12)(c)1. 7. All variances, or modifications to variances, shall be approved by EPA.

10/19/07 310 CMR - 250.72.10.24 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

(e) Innovative Products. 1. Any manufacturer of a consumer product which has been granted an Innovative Product exemption by CARB under the Innovative Products provisions in Subchapter 8.5, Article 2, Section 94511, or Subchapter 8.5, Article 1, Section 94503.5 of Title 17 of the California Code of Regulations, and such Innovative Products Exemption has been approved by EPA, shall be, for that product, exempt from the VOC limits in 310 CMR 7.25(12)(c)1.: Table 2 for the period of time that the CARB Innovative Product exemption remains in effect. Any manufacturer claiming an Innovative Product exemption on this basis must submit to the Department a copy of the CARB Innovative Product exemption decision (i.e., the Executive Order), including all conditions established by CARB applicable to the exemption. 2. Manufacturers of consumer products that have been granted an Innovative Products exemption under the Innovative Products provisions in Subchapter 8.5, Article 2, Section 94511, or Subchapter 8.5, Article 1, Section 94503.5 of Title 17 of the California Code of Regulations based on California specific data, or that have not been granted an exemption by CARB, may seek an Innovative Products exemption in accordance with the following criteria: a. The Department shall exempt a consumer product from the VOC limits specified in 310 CMR 7.25(12)(c)1. if a manufacturer demonstrates by clear and convincing evidence that, due to some characteristic of the product formulation, design, delivery systems or other factors, the use of the product will result in less VOC emissions as compared to: i. the VOC emissions from a representative consumer product which complies with the VOC limits specified in 310 CMR 7.25(12)(c)1., or ii. the calculated VOC emissions from a non-complying representative product, if the product had been reformulated to comply with the VOC limits specified in 310 CMR 7.25(12)(c)1. VOC emissions shall be calculated using the following equation:

ER = ENC x VOCSTD / VOCNC

where:

ER = the VOC emissions from the non-complying representative product, had it been reformulated

ENC = the VOC emissions from the non-complying representative product in its current formulation

VOCSTD = the VOC limit specified in the table of standards in 310 CMR 7.25(12)(c)1.

VOCNC = the VOC content of the non-complying product in its current formulation

If a manufacturer demonstrates that this equation yields inaccurate results due to some characteristic of the product formulation or other factors, an alternative method that accurately calculates emissions may be used upon approval of the Department. b. For the purposes 310 MR 7.25(11)(e)2.b., “representative consumer product” means a consumer product that meets all of the following criteria: i. the representative product shall be subject to the same VOC limit in 310 CMR 7.25(12)(c)1. as the innovative product. ii. the representative product shall be of the same product form as the innovative product, unless the innovative product uses a new form that does not exist in the product category at the time the application is made. iii. the representative product shall have at least similar efficacy as other consumer products in the same product category based on tests generally accepted for that product category by the consumer products industry.

10/19/07 310 CMR - 250.72.10.25 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

c. A manufacturer shall apply in writing to the Department for any exemption claimed under 310 CMR 7.25(12)(e)2.a. The application shall include the supporting documentation that demonstrates the emissions from the innovative product, including the actual physical test methods used to generate the data and, if necessary, the consumer testing undertaken to document product usage. In addition, the applicant shall provide any information necessary to enable the Department to establish enforceable conditions for granting the exemption including the VOC content for the innovative product and test methods for determining the VOC content. All information submitted by a manufacturer pursuant to 310 CMR 7.25(11)(e)2.c. shall be handled in accordance with the procedures specified in applicable Massachusetts confidentiality requirements. d. Within 30 days of receipt of the exemption application, the Department shall determine whether an application is complete. e. Within 90 days after an application has been deemed complete, the Department shall determine whether, under what conditions, and to what extent, an exemption from the requirements of 310 CMR 7.25(12)(c) will be permitted. The applicant and the Department may mutually agree to a longer time period for reaching a decision, and additional supporting documentation may be submitted by the applicant before a decision has been reached. The Department shall notify the applicant of the decision in writing and specify such terms and conditions that are necessary to insure that emissions from the product will meet the emissions reductions specified in 310 CMR 7.25(e)2.a. f. In granting an exemption for a product, the Department shall establish conditions that are enforceable. These conditions shall include the VOC content of the innovative product, dispensing rates, application rates and any other parameters determined by the Department to be necessary. The Department shall also specify the test methods for determining conformance to the conditions established. The test methods shall include criteria for reproducibility, accuracy, sampling and laboratory procedures. g. For any product for which an exemption has been granted pursuant to this section, the manufacturer shall notify the Department in writing within 30 days of any change in the product formulation or recommended product usage directions, and shall also notify the Department within 30 days if the manufacturer learns of any information which would alter the emissions estimates submitted to the Department in support of the exemption application. h. If the VOC limits specified in 310 CMR 7.25(12)(c)1. are lowered for a product category through any subsequent rule making, all innovative product exemptions granted for products in the product category, except as provided in 310 CMR 7.25(12)(e)2.h., shall have no force and effect as of the effective date of the modified VOC standard. 310 CMR 7.25(12)(e)2.h. shall not apply to those innovative products which have VOC emissions less than the applicable lowered VOC limit and for which a written notification of the product's emissions status versus the lowered VOC limit has been submitted to and approved by the Department at least 60 days before the effective date of such limits. i. If the Department determines that a consumer product for which an exemption has been granted no longer meets the criteria for an innovative product specified in 310 CMR 7.25(12)(e)2.a., the Department may modify or revoke the exemption as necessary to assure that the product will meet these criteria. (f) Labeling Requirements. 1. Product Dating. a. No person shall sell, supply, offer for sale, or manufacture a consumer product subject to 310 CMR 7.25(12)(c) for use in Massachusetts unless each consumer product container or package clearly displays the day, month, and year on which the product was manufactured, or a code indicating such date. b. For products manufactured on or after January 1, 2009, the date-code shall be displayed on the product container or package such that it is readily observable without irreversibly disassembling any portion of the product container or packaging. For the purposes of 310 CMR 7.25(11)(f)1.b., information may be displayed on the bottom of a container as long as it is clearly legible without removing any product packaging.

10/19/07 310 CMR - 250.72.10.26 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

c. No person shall erase, alter, deface or otherwise remove or make illegible any date or code indicating the date of manufacture from any regulated product container without the express authorization of the manufacturer. d. Explanation of the Code. i. If a manufacturer uses a code indicating the date of manufacture for any consumer product subject to 310 CMR 7.25(12)(c), an explanation of the code shall be filed with the Department no later than 12 months prior to: - the effective date of the applicable standard specified in 310 CMR 7.25(12)(c)1.; or, the date on which the product first becomes available for sale, distribution, or use within Massachusetts, whichever is later; and -- any date on which the product first becomes available for sale, distribution, or use within Massachusetts after any modification to an existing product’s date-code format. ii. A manufacturer who uses the following code to indicate the date of manufacture shall not be subject to the requirements of 310 CMR 7.25(12)(f)1.d.i., if the code is represented separately from other codes on the product container so that it is easily recognizable:

YY DDD

where:

YY = two digits representing the year in which the product was manufactured

e. The requirements of 310 CMR 7.25(12)(f)1. shall not apply to products containing no VOCs, as defined in 310 CMR 7.25(12)(b), or containing VOCs at 0.10 percent by weight or less. f. Codes indicating the date of manufacture are public information and may not be claimed as confidential. 2. Additional Labeling Requirements for Aerosol Adhesives, Adhesive Removers, Electronic Cleaners, Electrical Cleaners, Energized Electrical Cleaners, and Contact Adhesives. a. In addition to the requirements specified in 310 CMR 7.25(12)(f)1., the manufacturer and responsible party for each aerosol adhesive, adhesive remover, electronic cleaner, electrical cleaner, energized electrical cleaner, and contact adhesive product subject to 310 CMR 7.25 shall ensure that all products clearly display the following information on each product container that is manufactured on or after January 1, 2009: i. The product category as specified in 310 CMR 7.25(12)(c)1. or an abbreviation of the category shall be displayed; ii. The applicable VOC standard for the product that is specified in 310 CMR 7.25(12)(c)1., except for energized electrical cleaner, expressed as a percentage by weight, shall be displayed; iii. If the product is classified as a special purpose spray adhesive, the applicable substrate and/or application or an abbreviation of the substrate or application that qualifies the product as special purpose shall be displayed; iv. If the manufacturer or responsible party uses an abbreviation as allowed under 310 CMR 7.25(12)(f)2.a.i. and 310 CMR 7.25(12)(f)2.a.iii., an explanation of the abbreviation must be filed with the Department no later than 90 days prior to: - the effective date of the applicable standard specified in 310 CMR 7.25(12)(c)1.; or, the date on which the product first becomes available for sale, distribution, or use within Massachusetts, whichever date is later; and -- any date on which the product first becomes available for sale, distribution, or use within Massachusetts after any modification to an existing product’s abbreviation.

10/19/07 310 CMR - 250.72.10.27 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

b. The information required in 310 CMR 7.25(12)(f)3.a., shall be displayed on the product container such that it is readily observable without removing or disassembling any portion of the product container or packaging. For the purposes of this subsection, information may be displayed on the bottom of a container as long as it is clearly legible without removing any product packaging. c. No person shall remove, alter, conceal, or deface the information required in 310 CMR 7.25(12)(f)2.a. prior to final sale of the product. (g) Recordkeeping and Reporting Requirements. 1. Each responsible party for a product subject to a VOC content limit in 310 CMR 7.25(12)(c) shall keep records demonstrating compliance with the VOC content limits in accordance with 310 CMR 7.25(12)(h). If the Department requests such information and the responsible party does not have or does not provide the information requested by the Department, the Department may require the reporting of this information by the person that has the information, including, but not limited to, any formulator, manufacturer, supplier, parent company, private labeler, distributor, or repackager. All records for compliance determination, including 310 CMR 7.25(12)(g)2. and 310 CMR 7.25(12)(g)3., shall be kept on site for a period of time not less than three years and shall be made available to the Department within 90 days of request. 2. Upon a written request by the Department, a responsible official from each responsible party shall provide, to the Department within 90 days, the information for any consumer product or products that the Department may specify including, but not limited to, all or part of the following information: a. the company name, telephone number, and designated contact person; b. any claim of confidentiality made pursuant to applicable Massachusetts confidentiality requirements, 310 CMR 3.00; c. the product brand name for each consumer product subject to recordkeeping and reporting requirements and the product label; d. the product category to which the consumer product belongs; e. the applicable product form(s) listed separately; f. an identification of each product brand name and form as a Household Product or Industrial and Institutional Product, or both; g. for reporting information submitted by multiple companies, an identification of each company that is submitting relevant data separate from that submitted by the responsible party. h. for each product brand name and form, the net percent by weight of the total product, less container and packaging, comprised of the following, rounded to the nearest 0.1%: i. Total Exempt Compounds i. Total LVP-VOCs that are not fragrances iii. Total All Other Carbon-Containing Compounds that are not fragrances iv. Total All Non-Carbon-Containing Compounds v. Total Fragrance vi. For products containing greater than two percent by weight fragrance: - the percent of fragrance that are LVP-VOCs, and -- the percent of fragrance that are All Other Carbon-Containing Compounds vii. Total Paradichlorobenzene i. for each product brand name and form, the identity, including the specific chemical name and associated Chemical Abstract Services (CAS) number, of the following: i. Each Exempt Compound ii. Each LVP-VOC that is not a fragrance j. if applicable, the weight percent comprised of propellant for each product; k. If applicable, an identification of the type of propellant (Type A, Type B, Type C, or a blend of the different types); l. If applicable, the net percent by weight of each ozone-depleting compound that is listed in 310 CMR 7.25(12)(c)14. and is contained in a product subject to reporting under 310 CMR 7.25(12)(g) in any amount greater than 0.1% by weight.

10/19/07 310 CMR - 250.72.10.28 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.25: continued

(h) Compliance Testing Requirements. 1. The responsible party shall determine compliance with the VOC content requirements of this regulation according to one of the following: a. CARB Method 310 Determination of Volatile Organic Compounds (VOC) in Consumer Products and Reactive Organic Compounds in Aerosol Coating Products, adopted September 25, 1997, and as last amended on May 5, 2005; b. An alternative test method to CARB Method specified in 310 CMR 7.25(12)(h)1.a. that is shown to accurately determine the concentration of VOCs in a subject product, or its emissions, if the applicant has received an approval from CARB for the alternative test method for determining the VOC content of the subject product and the applicant submits to the Department a copy of the CARB Executive Order, including all applicable conditions and limitations; c. VOC content determination using product formulation and records. i. Testing to determine compliance with the requirements of 310 CMR 7.25 may be demonstrated through calculation of the VOC content from records of the amounts of constituents used to make the product pursuant to the following equation:

VOC Content = (B-C) x 100 /A

where,

A = total net weight of unit (excluding container and packaging)

B = total weight of all VOCs, as defined in 310 CMR 7.25(12)(b), per unit

C = total weight of VOCs exempted under 310 CMR 7.25(12)(c)4., per unit

ii. If product records demonstrate compliance with the VOC limits, but these records are contradicted by product testing performed using CARB Method 310, the results of CARB Method 310 shall take precedence over the product records and may be used to establish a violation of the requirements of 310 CMR 7.25. iii. Compliance determinations based on product formulation records may not be used unless the manufacturer of a consumer product keeps accurate records for each day of production of the amount and chemical composition of the individual product constituents. These records shall be kept for at least three years. 2. Testing to determine whether a product is a liquid or solid shall be performed using ASTM D4359-90(2000)e1, Standard Test Method for Determining Whether a Material Is a Liquid or a Solid, ASTM International. 3. Testing to determine compliance with the certification requirements for charcoal lighter material shall be performed using the procedures specified in the South Coast Air Quality Management District Rule 1174 Ignition Method Compliance Certification Protocol (Table 1, Section 200.9)(February 28, 1991). 4. Testing to determine distillation points of petroleum distillate-based charcoal lighter materials shall be performed using ASTM D86-04b, Standard Test Method for Distillation of Petroleum Products at Atmospheric Pressure, ASTM International. 5. Testing to determine plasticizer in flexible vinyl adhesive shall be performed using ASTM D1045-95(2001), Standard Test Methods for Sampling and Testing Plasticizers Used in Plastics, ASTM International. 6. Records shall accurately reflect the constituents used to manufacture a product, the chemical composition of the individual product, and any other test, processes, or records used in connection with product manufacture.

10/19/07 310 CMR - 250.72.10.29 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

NON-TEXT PAGE

10/19/07 310 CMR - 250.72.10.30 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.26: Industry Performance Standards

((1) - (9) RESERVED)

(10) Perchloroethylene Air Emissions Standards for Dry Cleaning Facilities - Applicability. (a) The provisions of 310 CMR 7.26(10) through (16) apply to the owner or operator of each dry cleaning facility that uses perchloroethylene that is not a major source. (b) Each dry cleaning system shall be in compliance with the provisions of 310 CMR 7.26(10) through (16) beginning on May 2, 1997 or immediately upon startup, whichever is later except as provided in 310 CMR 7.26(12)(a) and (b) also referenced. (c) A dry cleaning facility is a major source if the facility emits or has the potential to emit more than ten tons per year of perchloroethylene to the atmosphere. In lieu of measuring a facility's potential to emit perchloroethylene emissions or determining a facility's potential to emit perchloroethylene emissions, a dry cleaning facility is a major source if: 1. It includes only dry-to-dry machine(s) and has a total yearly perchloroethylene consumption greater than 2,100 gallons as determined according to 310 CMR 7.26(14)(c); or 2. It includes only transfer machine system(s) or both dry-to-dry machine(s) and transfer machine system(s) and has a total yearly perchloroethylene consumption greater than 1800 gallons as determined according to 310 CMR 7.26(14)(c). (d) A dry cleaning facility is an area source if it does not meet the conditions of 310 CMR 7.26(10)(c). (e) If the total yearly perchloroethylene consumption of a dry cleaning facility determined according to 310 CMR 7.26(14)(c) is initially less than the amounts specified in 310 CMR 7.26(10)(c), but then exceeds those amounts, the dry cleaning facility becomes a major source and all dry cleaning systems located at that dry cleaning facility must comply with the appropriate requirements for major sources under 40 CFR 63 Subpart M by 180 calendar days from the date that the facility exceeded the amount specified, or by May 2, 1997 whichever is later. (f) All coin-operated dry cleaning machines are exempt from the requirements of 310 CMR 7.26(10) through (16).

(11) Definitions. The definitions found in 310 CMR 7.00 apply to 310 CMR 7.26(10) through (16). The following words and phrases shall have the following meanings as they appear in 310 CMR 7.03(14) and 7.26(10) through (16). Where a term is defined in the 310 CMR 7.00 Definitions section and the definition also appears in 310 CMR 7.26(11), the definition in 310 CMR 7.26(11) controls for 310 CMR 7.03(14) and 7.26(10) through (16).

Ancillary equipment means the equipment used with a dry cleaning machine in a dry cleaning system including, but not limited to, emission control devices, pumps, filters, muck cookers, stills, solvent tanks, solvent containers, water separators, exhaust dampers, diverter valves, interconnecting piping, hoses, and ducts.

10/19/07 310 CMR - 250.72.11 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

7.26: continued

Articles mean clothing, garments, textiles, fabrics, leather goods, and the like, that are dry cleaned.

Area source means any perchloroethylene dry cleaning facility that meets the conditions of 310 CMR 7.26(10)(d).

Carbon adsorber means a bed of activated carbon into which an air-perchloroethylene gas-vapor stream is routed and which adsorbs the perchloroethylene on the carbon.

Coin-operated dry cleaning machine means a dry cleaning machine that is operated by the customer (that is, the customer places articles into the machine, turns the machine on, and removes articles from the machine).

Colorimetric detector tube means a glass tube (sealed prior to use), containing material impregnated with a chemical that is sensitive to perchloroethylene and is designed to measure the concentration of perchloroethylene in air.

Construction, for purposes of 310 CMR 7.26(10) through (16), means the fabrication (onsite), erection, or installation of a dry cleaning system subject to 310 CMR 7.26(10) through (16).

Desorption means regeneration of a carbon adsorber by removal of the perchloroethylene adsorbed on the carbon.

Diverter valve means a flow control device that prevents room air from passing through a refrigerated condenser when the door of the dry cleaning machine is open.

Dry cleaning means the process of cleaning articles using perchloroethylene.

Dry cleaning cycle means the washing and drying of articles in a dry-to-dry machine or transfer machine system.

Dry cleaning facility means an establishment with one or more dry cleaning systems.

Dry cleaning machine means a dry-to-dry machine or each machine of a transfer machine system.

Dry cleaning machine drum means the perforated container inside the dry cleaning machine that holds the articles during dry cleaning.

Dry cleaning system means a dry-to-dry machine and its ancillary equipment or a transfer machine system and its ancillary equipment.

Dryer means a machine used to remove perchloroethylene from articles by tumbling them in a heated air stream (see reclaimer).

Dry-to-dry machine means a one-machine dry cleaning operation in which washing and drying are performed in the same machine.

Exhaust damper means a flow control device that prevents the air-perchloroethylene gas-vapor stream from exiting the dry cleaning machine into a carbon adsorber before room air is drawn into the dry cleaning machine.

Filter means a porous device through which perchloroethylene is passed to remove contaminants in suspension. Examples include, but are not limited to, lint filter (button trap), cartridge filter, tubular filter, regenerative filter, prefilter, polishing filter, and spin disc filter.

Heating coil means the device used to heat the air stream circulated from the dry cleaning machine drum, after perchloroethylene has been condensed from the air stream and before the stream reenters the dry cleaning machine drum.

5/2/97 310 CMR - 250.72.12 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 111

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Notice of Compliance Secretary of the Commonwealth Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 314 CMR 7.00

CHAPTER TITLE: Sewer System Extensions and Connection Permit Program

AGENCY: Division of Water Pollution Control

ADDRESS: One Winter St., Boston, MA 02108

09/28/2007 mrs

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 75 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 76 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 314 CMR: DIVISION OF WATER POLLUTION CONTROL

7.05: continued

(a) Existing Sewer Extensions Constructed Prior to May 10, 1979. Existing sewer extensions for which a permit has not been issued by the Department and which have been constructed and effected prior to May 10, 1979 and are currently being used and maintained. Physical alteration or modification of such existing extensions are also authorized without a permit, except that an increase in the length to the existing sewer extension of 1,000 feet or more shall be subject to a sewer extension permit application to the Department pursuant to 314 CMR 7.09. Any increase in flow, or change in use of such extension shall not result in a condition in violation of any applicable local or regional sewer use rules and regulations or the provisions of 314 CMR 12.00. (b) Existing Sewer Extensions Previously Permitted by the Department. Existing sewer extensions for which a permit has been issued by the Department and which have been constructed effected and maintained in accordance with that permit. Physical alteration or modification of such previously permitted extensions are also authorized without a permit, except that an increase in the length to the existing sewer extension of 1,000 feet or more shall require a sewer extension permit pursuant to 314 CMR 7.09. (c) New Sewer Extensions of Less Than 1,000 Feet. Any new sewer extension to a sewer system that is less than 1,000 feet in length and meets all applicable requirements in 314 CMR 7.05(1)(c)1. through 5., unless an outstanding permit, order, determination, notice or other action of the Department in effect pursuant to 314 CMR 7.04 requires otherwise. 1. the sewer extension has been designed in accordance with TR-16 and applicable Department policies; 2. the sewer extension has been permitted by the local or regional sewer authority and the permittee for such extension is in compliance with the local or regional permit, including, where applicable, any infiltration/inflow removal requirements contained therein; 3. where applicable, the permittee has complied with the requirements of MEPA and the MA Historical Commission; 4. for a sewer extension that includes a privately owned pump station, the owner of such pump station has satisfied any requirements imposed by the local or regional sewer authority in its permit for the ownership, operation and maintenance, financial assurance for emergency repair and long-term replacement, or other conditions applicable to the pump station; and 5. the owner or operator of the sewer connection has filed a one-time certification statement in accordance with 314 CMR 7.17(1). (d) New Sewer Extensions Approved by the Department for Funding under the Clean Water State Revolving Fund Loan Program. Any new sewer extension for which the Department has issued a project approval certificate pursuant to 310 CMR 44.00 (the Clean Water State Revolving Fund Program Regulations). (e) Existing Sanitary Sewer Connections Constructed Prior to May 10, 1979. Existing sanitary sewer connections for which a permit has not been issued by the Department and which have been constructed and effected prior to May 10, 1979 and are currently being used and maintained. Any increase in flow of sanitary sewage through such connection of 15,000 gallons per day or more above the rate of discharge prevailing in May of 1979 is also authorized without a permit, provided such increase in flow of sanitary sewage meet all applicable conditions in 314 CMR 7.05(1)(h) unless an outstanding permit, order, determination, notice or other action of the Department in effect pursuant to 314 CMR 7.04 requires otherwise. Any change in use of such connections, regardless of the level of flow or whether it is a discharge of sanitary sewage or industrial wastewater, shall not result in a violation of any applicable local or regional sewer use rules and regulations or the provisions of 314 CMR 12.00. (f) Existing Sanitary Sewer Connections Previously Permitted by the Department. Existing sanitary sewer connections which discharge only sanitary sewage to the sewer system and for which a permit has been issued by the Department and which have been constructed, effected and maintained in accordance with that permit. Any increase in flow of 15,000 gallons per day or more above the permitted discharge through such connections is also authorized without permit, provided such increase in flow of sanitary sewage meet all applicable conditions in 314 CMR 7.05(1)(h). Any change in use of such connection from the discharge of sanitary sewage to industrial wastewater is also authorized without a permit, provided such discharge meets all applicable conditions in 314 CMR 7.05(2), unless an outstanding permit, order, determination, notice or other action of the Department in effect pursuant to 314 CMR 7.04 requires otherwise.

1/12/07 314 CMR - 217 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 314 CMR: DIVISION OF WATER POLLUTION CONTROL

7.05: continued

(g) New Sewer Connections of Less Than 15,000 GPD. Any new connection that discharges sanitary sewage or industrial wastewater from a facility with an SIC code not listed in 314 CMR 7.17(2)c. to an existing sewer system that will add less than or equal to 15,000 gallons per day to the system, unless an outstanding permit, order, determination, notice or other action of the Department in effect pursuant to 314 CMR 7.04 requires otherwise. (h) Other New Sewer Connections. 1. Except as provided in 314 CMR 7.05(1)(h)2., any new sanitary sewer connection or industrial sewer connection from a facility with an SIC code not listed in 314 CMR 7.17(2)c. or increase in flow to an existing sewer connection, that results in a discharge greater than 15,000 gallons per day and less than or equal to 50,000 gallons per day, provided that such sewer connection meets all the following criteria, unless an outstanding permit, order, determination, notice or other action of the Department in effect pursuant to 314 CMR 7.04 requires otherwise: a. the sewer connection has been permitted by the local or regional sewer authority and the permittee for such connection is in compliance with the local or regional permit, including, where applicable, any infiltration/inflow removal requirements contained therein; b. where applicable, the permittee has complied with the requirements of MEPA and the MA Historical Commission; c. for a sewer connection that includes a privately owned pump station, the owner of such pump station has satisfied any requirements imposed by the local or regional sewer authority in its permit for the ownership, operation and maintenance, financial assurance for emergency repair and long-term replacement, or other conditions applicable to the pump station; and d. the owner or operator of the sewer connection has filed a one-time certification statement in accordance with 314 CMR 7.17(1). e. For a sewer connection serving a restaurant or public kitchen, the owner or operator shall also certify compliance with the requirements of 314 CMR 7.05(2)(g)9. f. For a sewer connection serving a carwash, the owner or operator shall also certify compliance with the requirements of 314 CMR 7.05(2)(g)10. 2. Any new sanitary sewer connection or industrial sewer connection from a facility with an SIC code not listed in 314 CMR 7.17(2)c. or increase in flow to an existing sewer connection that results in a discharge that is greater than 50,000 gallons per day shall require a sewer connection permit pursuant to 314 CMR 7.09.

(2) The provisions of 314 CMR 7.05 (2)(a) through (f) are effective on January 12, 2007. The provisions of 314 CMR 7.05 (2)(g) are effective on July 12, 2007. Facilities subject to 314 CMR 7.05(2)(g) have six months after the effective date to submit either a permit application or a certification, as applicable, to the Department. The following Industrial Users are not required to obtain or renew a permit under 314 CMR 7.00 and M.G.L. c. 21, § 43(2), provided that the Industrial User meets all the conditions of the applicable permit exemption in 314 CMR 7.05(2), as determined by the Department. (a) Printers. Printers subject to 310 CMR 71.00 need not comply with 314 CMR 7.00. (b) Photo Processors. Photo processors subject to 310 CMR 71.00 need not comply with 314 CMR 7.00. (c) Drycleaners. Drycleaners subject to 310 CMR 72.00 need not comply with 314 CMR 7.00. (d) Dental Facilities. Dental facilities subject to 310 CMR 73.00 need not comply with 314 CMR 7.00.

10/19/07 (Effective 6/29/07) 314 CMR - 218 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 314 CMR: DIVISION OF WATER POLLUTION CONTROL

7.16: continued

(3) Withdrawal or Modification of Approval to Administer the System of Permits. The Department may withdraw, condition or modify its approval to administer the system of permits, in whole or in part, for cause, including but not limited to, obtaining approval by misrepresentation or failing to disclose fully all relevant factors or any change in, or discovery of conditions, or noncompliance with the conditions of approval, that calls for modification or withdrawal of the Department's approval. If the Department withdraws its approval from an administering entity, the permits issued under the approved program shall continue in effect as permits from the Department for all purposes, unless they are reissued, modified, suspended or revoked by the Department. The administering entity shall provide the Department with at least 60 days advance written notice of the administering entity's withdrawal from the approved program.

(4) Permits from the Administering Entity. A facility with a new or existing connection for a discharge of industrial waste to a sewer controlled by an administering entity approved pursuant to M.G.L. c. 21, § 43(8) and 314 CMR 7.16 to administer the system of permits, shall comply with the permitting requirements of the administering entity. Any alteration of the treatment works or the characteristics of a permitted facility's effluent shall be approved as required by the administering entity's permitting program. Any connection permitted under an approved program shall be registered either by the administering entity or the permittee with the Department, and is subject to inspection and enforcement action by the Department. A permit issued by an administering entity shall be considered a permit from the Department for all purposes related to enforcement and compliance with M.G.L. c. 21 and 314 CMR 7.00, 8.00, 12.00 and M.G.L. c. 21C and 310 CMR 30.801(4).

(5) Outstanding Department Permits. Upon the effective date of any approval to administer the system of permits, a facility with an existing Department permit within the approved system may request the Department to modify its permit to conform the permit's monitoring and reporting requirements to those of the permit issued by the administering entity. Such modifications shall be considered minor modifications pursuant to 314 CMR 7.12, and are not subject to the permit modification fee established in 310 CMR 4.10. With respect to facilities subject to M.G.L. c. 21C and 310 CMR 30.801(4), the administering entity shall issue permits under the approved program prior to the expiration of the Department's permit.

(6) Application and Compliance Fees. Permit applications submitted to an administering entity are not subject to the Department's industrial wastewater permit application fee, but may be subject to fees established by the administering entity. Facilities permitted by an administering entity are subject to annual compliance fees established by the Department in 310 CMR 4.03.

7.17: Certification

(1) Sewer Extension and Sanitary or Industrial Wastewater Connection. (a) Beginning on January 12, 2007, any new sewer extensions less than 1,000 feet in length subject to 314 CMR 7.05(1)(c), or any new sanitary sewer connection or industrial sewer connection from a facility with an SIC code not listed in 314 CMR 7.17(2)c., or any increase in flow to an existing sewer connection, subject to 314 CMR 7.05(1)(h)1., shall submit a one-time compliance certification to the Department in accordance with the Environmental Results Program Certification regulations at 310 CMR 70.03 on a form prescribed by the Department within the following time line: 1. For a new sewer extension less than 1,000 feet in length, within 60 days after commencement of use of the sewer extension; 2. For a new sewer connection and any increase in flow to an existing sewer connection subject to 314 CMR 7.05(1)(h)1., within 60 days after commencement of use of the connection to the sewer line; and

1/12/07 314 CMR - 226.3 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 314 CMR: DIVISION OF WATER POLLUTION CONTROL

7.17: continued

(b) A subsequent owner, operator, user of, or occupant served by, a sewer extension or connection subject to 314 CMR 7.17(1) shall comply with the compliance certification submitted to the Department in accordance with 310 CMR 70.00. Specifically, the subsequent owner, operator, user, or occupant shall ensure that systems to maintain compliance are in place at the facility and will be maintained even if processes or operating procedures are changed. The current owner shall provide a copy of the compliance certification to the subsequent owner, operator, user, or occupant, but failure to receive or have notice of such certification shall not relieve the subsequent owner, operator, user, or occupant from compliance with 314 CMR 7.17(1)(b).

(2) Industrial User Listed in 314 CMR 7.17(2)(c). (a) Beginning on July 12, 2007, an Industrial User listed under 314 CMR 7.17(2)(c) and subject to 314 CMR 7.05(2)(g)12. shall submit an initial compliance certification to the Department in accordance with the Environmental Results Program Certification regulations under 310 CMR 70.03 on a form prescribed by the Department as follows: 1. For an existing Industrial User without a DEP permit in accordance with 314 CMR 7.03, before January 12, 2008; 2. For an existing Industrial User with a DEP permit in accordance with 314 CMR 7.03, before January 12, 2008 or within 60 days after the permit expires, whichever date is later; 3. For a new Industrial User, including a new owner, before January 12, 2008 or within 60 days after the commencement of the operation, whichever is later; and After initial certification, an Industrial User shall submit a compliance certification every five years. (b) Except as provided in 314 CMR 7.05(2)(g)11., an Industrial User serviced by an IPP POTW is not required to submit a certification pursuant to 310 CMR 70.00 but shall comply with applicable requirements under 314 CMR 7.05(2)(g). (c) Standard Industrial Classification (SIC) Codes. 1. An Industrial User with a discharge to a sewer system and which the Department determines is classified by the following Standard Industrial Classification (SIC) Codes, or the corresponding North America Industry Classification System (NAICS) codes, is subject to 314 CMR 7.05(2)(g): 1000-1399 Metal Mining, Coal Mining, Oil and Gas Exploration; 1474-1499 Chemical/Fertilizer Mining, Nonmetallic Minerals; 2000-3999 Manufacturing; 4231 Maintenance Facilities for Motor Freight Transport; 4581 Airports, Flying Fields and Airport Terminal Service; 4911-4939 Electric and Gas Production; 4953 Refuse Systems; 7216 Dry-cleaning (except rug cleaning); 7217 Carpet and Upholstery Cleaning; 7218 Industrial Laundries; 7384 Photofinishing Laboratories; 7532-7539 Automotive Repair Shops and Paint Shops; 7549 Automotive Services; 7819 Motion Picture Developing/Printing/Film Processing; 8062-8069 Hospitals; 8071 Medical Laboratories; 8072 Dental Laboratories; 8731 Commercial Physical and Biological Research; and Remedial discharges under M.G.L. c. 21E at any active or inactive facility falling in one or more of the above SIC Code categories. 2. An Industrial User with a discharge to the sewer system and which is not classified by the above standard industrial classification (SIC) codes and which generates hazardous industrial wastewater is subject to applicable requirements in 314 CMR 7.05(2)(g).

REGULATORY AUTHORITY

314 CMR 7.00: M.G.L. c. 21, § 43.

10/19/07 (Effective 6/29/07) 314 CMR - 226.4 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 650

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 322 CMR 6.00

CHAPTER TITLE: Regulation of Catches

AGENCY: Division of Marine Fisheries

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. 1) Implements amended maximum size and v-notch regulations for commercial and recreational fishermen harvesting lobsters in LCMAs 2, 3, 4, 5, & 6 and the Southern New England Recreational Lobster Area in compliance with Addendum XI to the Interstate Fishery Management Plan for American Lobster, 2) establishes a 100-lb. possession limit and prohibition on finning for smooth dogfish, and 3) amends state regulations governing mobile gear harvest of loligo squid to complement current federal trimester quota system.

REGULATORY AUTHORITY: MGL c.21A s2 & c.30A s3 & c.130 ss. 17A, 44, and 44A

AGENCY CONTACT: Melanie Griffin PHONE: 617.626.1528

ADDRESS: 251 Causeway St., Suite 400 Boston, MA 02114

Compliance with M.G.L. c. 30A

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency.

PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. Massachusetts Marine Fisheries Advisory Commission...September 6, 2007 Commissioner, Department of Fish & Game...September 19, 2007

Date of public hearing or comment period: August 27 & 28, 2007

For the first five years:

No fiscal effect:

Reduced opportunities for harvesting lobster and smooth dogfish.

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation:

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST:

SIGNATURE: SIGNATURE ON FILE DATE: Sep 19 2007

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007

EFFECTIVE DATE: 10/19/2007

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 1, 2 1, 2 33 - 34.2 33 - 34.2 58.5 - 58.12 58.5 - 58.12

10/02/2007 M.O.

Table of Contents Page

322 CMR 1.00: ENFORCEMENT OF RULES AND REGULATIONS 5

Section 1.01: Safe Boarding and Inspection 5

322 CMR 2.00: ADOPTING ADMINISTRATIVE REGULATIONS 7

Section 2.01: Definition of Regulation 7 Section 2.02: Petition for Adoption of Regulations 7 Section 2.03: Initial Procedure to Handle Recommended Regulations 7 Section 2.04: Participation at Preliminary Meeting 7 Section 2.05: Procedure for the Adoption, Amendment or Repeal of Regulations Where No Public Hearing is Required 8 Section 2.06: Procedure for the Adoption or Amendment of Regulations Where a Public Hearing is Required 8 Section 2.07: Availability of Regulation 9 Section 2.08: Filing of Regulation 10 Section 2.09: Advisory Ruling 10

322 CMR 3.00: 1971 COMPILATION 11

Section 3.01: Protect Shad in the Palmer River, Rehoboth 11 Section 3.02: Taking of White Perch from the Agawam River, Wareham 11 Section 3.03: Transplanting Seed or Adult Oysters (Special Permit) 11 Section 3.04: Use and Operation of Mobile Fishing Gear in Certain Territorial Waters of the Commonwealth 11 Section 3.05: Taking of Anadromous Fish, Except Alewives and River Herring, in the Territorial Waters of Massachusetts 14 Section 3.06: Taking of Coho Salmon (Oncorhynchus kisutch) 14 Section 3.07: Marking of Lobster Equipment 15

322 CMR 4.00: FISHING AND SHELLFISH EQUIPMENT 17

Section 4.01: Use of Purse Seines in Cape Cod Bay 17 Section 4.02: Nets in Inshore Waters 18 Section 4.04: Fish Weir Buffer Zone 21 Section 4.05: Use of Nets for the Taking of Bluefish (Pomatomus Saltatrix) 22 Section 4.06: Use of Mobile Gear 23 Section 4.08: Use of Bottom Gillnets North of Cape Ann 25 Section 4.09: Use of Gillnets South and West of Cape Cod 25 Section 4.10: Use of Sea Scallop Dredges 25 Section 4.11: Use of Gillnets in Massachusetts Bay 26 Section 4.12: Use of Nets for Taking Striped Bass (Morone saxatalis) or Shad (Alosa sapidissima) 27 Section 4.13: Fixed Gear Marking and Maximum Length Requirements 27

322 CMR 5.00: NORTHERN SHRIMP 29

Section 5.01: Purpose 29 Section 5.02: Definitions 29 Section 5.03: Permits 30 Section 5.04: Annual Specifications 30 Section 5.05: Gear Restrictions 30 Section 5.06: Regulated Species Prohibition 32

322 CMR 6.00: REGULATION OF CATCHES 33 Section 6.01: Lobster Maximum and Minimum Sizes 33 Section 6.02: Taking of Lobsters in the Coastal Waters of the Commonwealth 34 Section 6.03: Cod, Haddock, Pollock, Yellowtail Flounder and Halibut 34.2 Section 6.04: Atlantic Bluefin Tuna 34.4 Section 6.05: Atlantic Sea Scallop (Placopecten Magellanicus) Management 38 Section 6.06: Atlantic Salmon Restoration 39 Section 6.07: Striped Bass Fishery (Morone Saxatalis) 39

8/10/07 322 CMR - 1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

Table of Contents Page 322 CMR 6.00: REGULATION OF CATCHES (continued)

Section 6.08: Surf Clam and Ocean Quahog Fisheries 42.2 Section 6.09: Winter Flounder, Fluke, Dabs and Gray Sole 48 Section 6.10: Management of the Asiatic Freshwater Clam (Corbicula Fluminea) 48 Section 6.11: Management of Billfish (Reserved) 49 Section 6.12: Fish Pot Fishery Permits 49 Section 6.13: Lobster Trap Limit in the Coastal Waters of the Commonwealth 51 Section 6.14: Lobster Car Restrictions 52.2 Section 6.15: Black Sea Bass, Scup, and Conch Fishery Pot Limit 52.2 Section 6.16: Atlantic Sturgeon Prohibition 52.3 Section 6.17: River Herring 53 Section 6.18: Bluefish Recreational Catch Limit 53 Section 6.19: Blue Crab Restrictions 53 Section 6.20: Minimum Sizes for Quahogs, Soft Shelled Clams and Oysters 54 Section 6.21: Minimum Size for Conch 54 Section 6.22: Summer Flounder (Fluke) Restrictions 54 Section 6.23: Winter Flounder Restrictions 56 Section 6.24: Sea Urchin Management 56 Section 6.25: Lobster Landing Window 57 Section 6.26: Lobster Landing/Possession Limit 57 Section 6.27: Scup and Black Sea Bass Permitting and Reporting Requirements 58 Section 6.28: Commercial Scup and Black Sea Bass Fishery Limits 58 Section 6.29: Acushnet River Estuary Fisheries Closures 58.2 Section 6.30: American Eels 58.2 Section 6.31: Trap Tags 58.3 Section 6.32: Frozen Shell-on Lobster Parts 58.4 Section 6.33: Lobster Management Areas 58.5 Section 6.34: Horseshoe Crab Management 58.8 Section 6.35: Spiny Dogfish Management 58.9 Section 6.36: Quahog Management in State Waters 58.10 Section 6.37: Coastal Shark Conservation and Management 58.11 Section 6.38: Shellfish Landing Restrictions Necessitated by Marine Biotoxins 58.11 Section 6.39: Loligo Squid Management 58.11 Section 6.40: Commercial Tautog (Tautoga onitis) Fishery Limits 58.12 Section 6.41: Smooth Dogfish (Mustelus canis) Management 58.12

322 CMR 7.00: PERMITS 59 Section 7.01: Form, Use and Contents of Permits 59 Section 7.02: Master and Subordinate Digger Permits 64 Section 7.03: Coastal Lobster Permit and Trap Allocation Transfer Programs 66 Section 7.04: Commercial Fisheries Control Date 67 Section 7.05: Coastal Access Permit (CAP) 67 Section 7.06: Transfer of Limited Entry Permits 68.1 Section 7.07: Dealers Acting as Primary Buyers 68.2 Section 7.08: Offshore Lobster Fishery Control Date and Moratorium 68.3 Section 7.09: Fish Pot Permits and Transfers 68.3

322 CMR 8.00: COASTAL FISHERIES CONSERVATION AND MANAGEMENT 69 Section 8.01: Purpose and Scope 69 Section 8.02: Definitions 69 Section 8.03: Night Closure to Mobile Gear Fishing 70.1 Section 8.04: Mobile Gear Restriction 70.1 Section 8.05: Vessel Length Limits 70.1 Section 8.06: Minimum Size and Possession Limits 70.1 Section 8.07: Mesh Size Restrictions 71 Section 8.08: Permits 72 Section 8.09: Spawning Area Closures 73 Section 8.10: Gillnet Mesh Size and Permit Requirements 74 Section 8.11: Prohibitions 74 Section 8.12: Groundfish Closures in the Gulf of Maine 75 Section 8.13: Coastal Fisheries Conservation and Management (Reserved) 76 Section 8.14: Upper Cape Cod Whiting Area 76 Section 8.15: Seasonal Cod Protection Measures 76.2

10/19/07 322 CMR - 2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

322 CMR 6.00: REGULATION OF CATCHES

Section

6.01: Lobster Maximum and Minimum Sizes 6.02: Taking of Lobsters in the Coastal Waters of the Commonwealth 6.03: Cod, Haddock, Pollock, Yellowtail Flounder, and Halibut 6.04: Atlantic Bluefin Tuna 6.05: Atlantic Sea Scallop (Placopecten Magellanicus) Management 6.06: Atlantic Salmon Restoration 6.07: Striped Bass Fishery (Morone Saxatalis) 6.08: Surf Clam and Ocean Quahog Fisheries 6.09: Winter Flounder, Flukes, Dabs and Gray Sole 6.10: Management of the Asiatic Freshwater Clam (Corbicula Fluminea) 6.11: Management of White Marlin, Blue Marlin, Striped Marlin, Atlantic Sailfish, and the Longbill Spearfish 6.12: Fish Pot Fishery Permits 6.13: Lobster Trap Limit in the Coastal Waters of the Commonwealth 6.14: Lobster Car Restrictions 6.15: Black Sea Bass, Scup and Conch Fishery Pot Limit 6.16: Atlantic Sturgeon Prohibition 6.17: River Herring 6.18: Bluefish Recreational Catch Limit 6.19: Blue Crab Restrictions 6.20: Minimum Sizes for Quahogs, Soft Shelled Clams and Oysters 6.21: Minimum Size for Conch 6.22: Summer Flounder (Fluke) Restrictions 6.23: Winter Flounder Restrictions 6.24: Sea Urchin Management 6.25: Lobster Landing Window 6.26: Lobster Landing/Possession Limit 6.27: Scup and Black Sea Bass Permitting and Reporting Requirements 6.28: Commercial Scup and Black Sea Bass Fishery Limits 6.29: Acushnet River Estuary Fisheries Closures 6.30: American Eels 6.31: Trap Tags 6.32: Frozen Shell-on Lobster Parts 6.33: Lobster Management Areas 6.34: Horseshoe Crab Management 6.35: Spiny Dogfish Management 6.36: Quahog Management in State Waters 6.37: Coastal Shark Conservation and Management 6.38: Shellfish Landing Restrictions Necessitated by Marine Biotoxins 6.39: Loligo Squid Management 6.40: Commercial Tautog (Tautoga onitis) Fishery Limits 6.41: Smooth Dogfish (Mustelus canis) Management

6.01: Lobster Maximum and Minimum Sizes

(1) Maximum and Minimum Size. (a) Commercial Fishery. 1. Commercial Fishermen Fishing or Authorized to Fish in LCMA 1 as defined in 322 CMR 6.33 are prohibited from possessing a lobster with a carapace length smaller than 3¼ inches or larger than five inches. 2. Commercial Fishermen Fishing or Authorized to Fish in LCMA 2, 4, and 5 as defined in 322 CMR 6.33 are prohibited from possessing a lobster with a carapace length smaller than 3d inches and, effective July 1, 2008, larger than 5¼ inches. 3. Commercial Fishermen Fishing or Authorized to Fish in LCMA 3 as defined in 322 CMR 6.33 are prohibited from possessing a lobster with a carapace length: a. smaller than: i. 3 15/32 inches from July 1, 2007 through June 30, 2008; ii. 3 ½ inches from July 1, 2008 and beyond; and b. larger than: i. seven inches from June 30, 2008 through June 30, 2009; ii. 6 f inches from July 1, 2009 through June 30, 2010; iii. 6 ¾ inches from July 1, 2010 and beyond.

10/19/07 322 CMR - 33 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

6.01: continued

4. Commercial Fishermen Fishing or Authorized to Fish in LCMA Outer Cape Cod as defined in 322 CMR 6.33 are prohibited from possessing a lobster with a carapace length smaller than 3 d inches. 5. Commercial Fishermen Fishing or Authorized to Fish in LCMA Area 6 as defined in 322 CMR 6.33 are prohibited from possessing a lobster with a carapace length smaller than 3 9/32 inches and, effective July 1, 2008, larger than 5 ¼ inches. (b) Non-commercial Fishery. 1. Non-commercial fishermen fishing in the Gulf of Maine Recreational Area as authorized under 322 CMR 7.01(4)(b) and defined in 322 CMR 6.33 are prohibited from possessing a lobster with a carapace length smaller than 3¼ inches or larger than five inches. 2. Non-commercial fishermen fishing in the Outer Cape Cod Recreational Area as authorized under 322 CMR 7.01(4)(b) and defined in 322 CMR 6.33 are prohibited from possessing a lobster with a carapace length smaller than 3d inches. 3. Non-commercial fishermen fishing in the Southern New England Recreational Area as authorized under 322 CMR 7.01(4)(b) and defined in 322 CMR 6.33 are prohibited from possessing a lobster with a carapace length smaller than 3d inches or larger than 5¼ inches.

(3) Method of Measurement. (a) All lobsters shall be measured immediately. Any person diving for lobster shall measure all lobsters in possession prior to surfacing. (b) Lobsters shall be measured from the rear of the eye socket along a line parallel to the center line of the body shell to the rear end of the body shell.

6.02: Taking of Lobsters in the Coastal Waters of the Commonwealth

(1) Gear Restrictions. It is unlawful for any person to take or attempt to take lobsters from waters under the jurisdiction of the Commonwealth by use of pots or traps without said pots or traps having the following features: (a) Escape Vent: One or more unobstructed rectangular escape vents or openings or two or more unobstructed round openings in the parlor section(s) of the trap from which lobsters are normally removed by the fisherman. Separate parlors shall be vented individually, while only the outer of connected parlors must be vented. 1. Commercial Fishermen Fishing or Authorized to Fish in LCMA 1 as defined in 322 CMR 6.33 shall rig their traps with vents that measure at least 1-15/16 inches by 5¾ inches or two circular vents that measure at least 2-7/16 inches. 2. Commercial Fishermen Fishing or Authorized to Fish in LCMA 2, 3, 4, 5, 6 or Outer Cape Cod as defined in 322 CMR 6.33 shall rig their traps with vents that measure at least two inches by 5¾ inches or two circular vents that measure at least 2e inches. 3. Non-commercial Fishermen Fishing in the Gulf of Maine Recreational Lobster Area as defined in 322 CMR 6.33 shall rig their traps with vents that measure at least 1-15/16 inches by 5¾ inches or two circular vents that measure at least 2-7/16 inches. 4. Non-commercial Fishermen Fishing in the Outer Cape Cod or Southern New England Recreational Lobster Areas as defined in 322 CMR 6.33 shall rig their traps with vents that measure at least two inches by 5¾ inches or two circular vents that measure at least 2e inches. (b) Ghost Panel: a panel or other mechanism which is designed to create an opening to allow the escapement of lobsters within 12 months after a trap has been abandoned or lost, the specifications of which are as follows: 1. The opening covered by the panel or created by other approved mechanism shall be rectangular and measure at least 3¾ by 3¾ inches, shall be located in the outer parlor section(s) of the trap, and in a position which allows an unobstructed exit of lobsters from the trap. 2. The panel shall be constructed of, or fastened to the trap with, one of the following materials: wood lath; cotton, hemp, sisal or jute twine not greater than 3/16 inch in diameter; or non-stainless, uncoated ferrous metal not greater than 3/32 inch in diameter. 3. The door of the trap may serve as the ghost panel if fastened to the trap with a material specified in 322 CMR 6.02(1)(b).

10/19/07 322 CMR - 34 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

6.02: continued

4. The escape vent specified in 322 CMR 6.02(1) may serve as a ghost panel if incorporated into a panel constructed of, or attached to the trap with, a material specified in 322 CMR 6.02(1)(b), and upon breakdown of the degradable materials, will create an opening for egress of lobsters at least 3¾ by 3¾ inches. 5. For purposes of 322 CMR 6.02 traps constructed entirely or partially of wood shall be considered to be in compliance if constructed of wood lath to the extent that deterioration of wooden component(s) will result in an unobstructed opening as specified in 322 CMR 6.02. (c) Maximum Trap Size. Volume of any trap must not exceed 22,950 cubic inches.

(2) Egg-bearing Lobsters. (a) It is unlawful to remove eggs from any berried lobster. (b) It is unlawful to land or possess any lobster: 1. from which eggs have been removed. 2. that has come in contact with any substance capable of removing lobster eggs.

(3) V-notched Female Lobster Protection. (a) Purpose. The purpose of 322 CMR 6.02(3) is to protect certain female lobsters from harvest that bear a v-shaped notch or the remnant of a healed notch on a specific flipper, evidence that the lobster has been marked and released for conservation purposes. Area- specific v-notch standards regarding the possession of previously notched lobsters are created by 322 CMR 6.02(3) consistent with the area-specific components of the interstate management plan. For purposes of complying with 322 CMR 6.02(3) commercial fishing areas and non-commercial fishing areas are those referenced in 322 CMR 6.33 and 322 CMR 6.01, respectively. (b) V-notching Methods. Any commercial fishermen required by 322 CMR or authorized to mark lobsters with a v-shaped notch shall carve a v-shaped notch in the base of a specific flipper by means of a sharp bladed instrument, at least ¼ inch and not greater than a ½ inch in depth and tapering to a sharp point. For purposes of 322 CMR 6.02 (3) the specific flipper is to the right of the center flipper as viewed from the rear of the female lobster when the underside of the lobster is down. (c) Mutilated V-notch. For purposes of complying with 322 CMR 6.02(3), it is unlawful for any person to possess a female lobster that is mutilated in a manner that could hide, obscure or obliterate a v-shaped notch. (d) Requirements for Commercial Lobstermen in LCMA 1 to V-notch all Egg-bearing Females. Commercial lobstermen fishing or authorized to fish in LCMA 1 are required to v-notch and release immediately all egg bearing female lobsters caught in the process of lobstering. (e) Area-specific Restrictions on Possessing V-notched Female Lobsters. 1. Commercial Fishermen in LCMA 1 and Non-commercial Fishermen in the Gulf of Maine Recreational Lobster Area . It is unlawful for any commercial fisherman fishing or authorized to fish in LCMA 1 and non-commercial fishermen fishing in the Gulf of Maine Recreational Lobster Area as defined in 322 CMR 6.33 to possess any female lobster bearing a v-shaped notch in the base of the flipper that is of any size with or without setal hairs. 2. Commercial Fishermen in LCMA 2. It is unlawful for any commercial fisherman fishing or authorized to fish in LCMA 2 as defined in 322 CMR 6.33 to possess any female lobster that bears a notch or indentation in the base of the flipper that is at least as deep as 1/8 inch, with or without setal hairs. 3. Commercial Fishermen in LCMA 3, 4, 5, and 6. It is unlawful for any commercial fisherman fishing or authorized to fish in LCMAs 3, 4, 5, and 6 as defined in 322 CMR 6.33, to possess any female lobster bearing: i. a v-shaped notch that is at least ¼ inch in depth and tapering to a sharp point without setal hairs, through June 30, 2008; ii. a notch or indentation in the base of the flipper that is at least as deep as c inch, with or without setal hairs, from July 1, 2008 and beyond. 4. Commercial Fishermen in the Outer Cape Cod LCMA, Non-commercial Fishermen in the Outer Cape Cod Recreational Lobster Area and Dealers. It is unlawful for any commercial fisherman fishing or authorized to fish in the Outer Cape Cod LCMA or any non-commercial fisherman fishing in the Outer Cape Cod Recreational Lobster Area as defined in 322 CMR 6.33 or any dealer to possess any female lobster that bears a notch or indentation in the base of the flipper that is at least as deep as ¼ inch and tapering to a sharp point without setal hairs.

11/2/07 (Effective 8/10/07) 322 CMR - 34.1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

6.02: continued

5. Non-commercial Fishermen Fishing in the Southern New England Recreational Lobster Area. It is unlawful for any non-commercial fisherman fishing in the Southern New England Recreational Lobster Area as defined in 322 CMR 6.33 to possess any female lobster bearing a notch or indentation in the base of the flipper that is at least as deep as c inch, with or without setal hairs.

(4) Non-commercial Lobster Daily Possession and Landing Limit. It shall be unlawful for any person to harvest more than 15 lobsters per calendar day for personal use, or possess more than 15 lobsters while lobster fishing in waters under the jurisdiction of the Commonwealth.

(5) Seasonal Closures. Fishing for lobster with pots is prohibited in the Outer Cape LCMA from January 15th through March 15th. Fishermen are required to remove all lobster traps from waters of the Outer Cape LCMA as defined in 322 CMR 6.33 during this closed period. It is unlawful for any fisherman authorized to fish traps in the Outer Cape LCMA to fish, set, or abandon any lobster traps in the OCC LCMA during this seasonal closure.

(6) Prohibitions. No person shall possess any female lobster that bears a notch or indentation in the base of the flipper that is at least as deep as c inch, with or without setal hairs.

6.03: Cod, Haddock, Pollock, Yellowtail Flounder, and Halibut

(1) Definitions. For the purpose of 322 CMR 6.00 only, the following words shall have the following meanings: Cape Cod South and East Cod Management Area means those waters under the jurisdiction of the Commonwealth south of 42° 00' excluding waters of Cape Cod Bay. Cod means that species of fish known as Gadus morhua. Fish for means to harvest, catch, take, have on board, possess or land or attempt to harvest, catch, take, have on board, possess or land any cod, haddock, pollock or yellowtail flounder. Gonads means sex glands commonly known as ovaries or testes or any portions thereof removed from fish and retained for purposes of sale. Gulf of Maine Cod Management Area means those waters under the jurisdiction of the Commonwealth north of 42° 00' and in all waters of Cape Cod Bay. Haddock means that species of fish known as Melanogrammus aegleinus. Halibut means that species of fish known as Hippoglossus hippoglossus. Land means to transfer or offload any cod, haddock, pollock or yellowtail flounder onto any vessel, boat, watercraft, land, dock, pier, wharf or other artificial structure used for the purpose of receiving fish. Recreational Fishing means fishing for cod, haddock, pollock or yellowtail flounder with hand-held gear other than nets for a purpose or use other than sale, exchange or barter. Pollock means that species of fish known as Pollachius virens. Yellowtail Flounder means that species of fish known as Limanda ferruginea. Total Length means the greatest straight line length in inches as measured on a fish with its mouth closed from the anterior most tip of the jaw or snout to the farthest extremity of the tail. For fish with forked tails, the upper and lower fork may be squeezed together to measure the tail extremity.

(2) Minimum Size. It is unlawful to fish for cod, haddock, pollock or yellowtail flounder of a size less than the following: (a) Commercial Fishing. 1. Cod: 22 inches 2. Haddock: 18 inches 3. Pollock: 19 inches. 4. Yellowtail flounder: 13 inches. 5. Halibut: 36 inches. (b) Recreational Fishing. 1. Cod: i. Gulf of Maine Cod Management Area: 24 inches. ii. Cape Cod South and East Cod Management Area: 22 inches. 2. Haddock: 19 inches. 3. Yellowtail flounder: 13 inches. 4. Halibut: 36 inches.

11/2/07 (Effective 8/10/07) 322 CMR - 34.2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

6.33: Lobster Management Areas

(1) Definitions.

Lobster Management Area means one of three Recreational Lobster Areas or one of seven Lobster Conservation Management Areas (LCMA) as specified in the Atlantic States Marine Fisheries Commission American Lobster Fishery Management Plan (FMP) and endorsed on the Massachusetts Commercial Fisherman Permit pursuant to 322 CMR 6.31..

(2) Area Boundaries. (a) LCMA 1. Beginning at the Massachusetts/New Hampshire border, following the outer boundary of the territorial waters of New Hampshire and Maine to the US/Canada border, thence to the intersection of LORAN C 9960-Y-44400 with the boundary of the US Exclusive Economic Zone, thence to the intersection of 9960-Y-44400 with 70° West Longitude, thence following the 70th meridian to its intersection with 9960-W-13700, thence following 9960-W-13700 to its intersection with 9960-Y-44120, thence following 9960-Y- 44120 westerly to its intersection with 9960-W-13850, thence following 9960-W-13850 southeasterly to its intersection with 9960-Y-44110, thence following 9960-Y-44110 easterly to Race Point in Provincetown, thence following the MA shoreline back to the beginning. (b) Outer Cape LCMA. Beginning at Race Point in Provincetown, following 9960-Y- 44110 westerly to its intersection with 9960-W-13850, thence following 9960-W-13850 northwesterly to 9960-Y-44120, thence following 9960-W-44120 easterly to its intersection with 9960-W-13700, thence following 9960-W-13700 southerly to 9960-Y-43780, thence following 9960-Y-43780 westerly to its intersection with 70° five minutes West Longitude, thence following 70° five minutes West Longitude north through Nantucket Island to the shoreline of Harwich, thence following the shoreline of Cape Cod east and north back to the beginning. (c) Overlap- Area 1/OCLMA. Beginning at Race Point in Provincetown, following 9960- Y-44110 westerly to its intersection with 9960-W-13850, thence following 9960-W-13850 southeasterly to its intersection with 9960-X-25330, thence following 9960-X-25330 northeasterly to the shoreline of Great Island in Wellfleet, thence following the shoreline northerly back to the beginning. Fishermen endorsed for either LCMA 1 or OCLMA may fish in the overlap zone under the rules of the area(s) endorsed on their permits. Fishermen with both areas endorsed must observe the most restrictive rules. (d) Overlap- Area 1/Area 2. The Cape Cod Canal, from the Massachusetts Maritime Academy pier at the southern end to the end of the east breakwater on the northern end. Fishermen from either LCMA 1 or LCMA 2 may fish in the overlap zone under the rules of the area(s) endorsed on their permits. Fishermen with both areas endorsed must observe the most restrictive rules. (e) LCMA 2. Beginning at the shoreline of Harwich, following the 70° five minutes West Longitude south through the Island of Nantucket to its intersection with 9960-Y-43780, thence following 9960-Y-43780 easterly to its intersection with 9960-W-13700, thence following 9960-W-13700 southerly to its intersection 9960-W-14610, thence following 9960-14610 northerly to the outer boundary of New York territorial waters, thence following the outer boundary of the territorial waters of New York and Rhode Island to the Massachusetts/Rhode Island boundary, thence following the Massachusetts/Rhode Island boundary to the shoreline, thence following the shoreline of Massachusetts back to the beginning. (f) LCMA 3. All waters of the Exclusive Economic Zone (EEZ) of the United States seaward of LCMA 1, OC, 2, 4, 5, and 6. (g) Overlap Area 2/Area 3. Fishermen from either Area 2 or Area 3 may fish in an area bounded as follows under their respective LCMA rules: Beginning at the intersection of 9960-W-13700 and 9960-Y-43700, thence westerly along the 43700 line to the intersection with 9960-W-14610, thence southwesterly along a line whose extension reaches the intersection of 9960-Y-43500 with 9960-X-26400 to 9960-Y-43600, thence easterly along the 43600 line to 9960-W-13700, thence northwesterly along the 13700 line to the beginning.

10/19/07 322 CMR - 58.5 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

6.33: continued

(h) LCMA 4. All waters including state and federal waters that are near-shore in the northern Mid-Atlantic area, as defined by the area bounded by straight lines connecting the following points: Point LATITITUDE (ºN) LONGITUDE (ºW) M 40º 27.5’ 72º 14' N 40º 45.5 71º 34' O 41º 07’ 71º 43’ P 41º 06.5’ 71º 47’ S 40º 58’ 72º 00’ T 41º 00.5 72º 00’ From pt. “T”, along the NY/NJ coast to pt. “W” W 39º 50’ 74º 09’ V 39º 50’ 73º 01’ U 40º 12.5’ 72º 48.5’ From pt. “U” back to pt. “M”.

(i) LCMA 5. All waters including state and federal waters that are near-shore in the southern Mid-Atlantic area, as defined by the area bounded by straight lines connecting the following points, in the order stated: Point LATITITUDE (ºN) LONGITUDE (ºW) W 39º 50’ 74º 09’ V 39º 50’ 73º 01’ X 38º 39.5’ 73º 40’ Y 38º 12’ 73º 55’ Z 37º 12’ 74º 44’ ZA 35º 34’ 74º 51’ ZB 35º 14.5’ 75º 31’ From pt “ZB”, along the coasts of NC/VA/MD/DE/NJ back to pt. “W”.

(j) LCMA 6. All state waters as defined by the area bounded by straight lines connecting the following points, in the order stated: Point LATITITUDE (ºN) LONGITUDE (ºW) T 41º 00.5’ 72º 00’ S 40º 58’ 72º 00’ From pt. “S”, boundary follows the three mile limit of NY state waters as it curves around Montauk Pt. To pt. “P” P 41º 06.5’ 71º 47’ Q 41º 18’ 30” 71º 54’ 30” R 41º 11’ 30” 71º 47’ 15” From pt. “R”, along the maritime boundary between CT & RI to the coast; then west along the coast of CT to the western entrance of Long Island Sound; then east along the NY coast of Long Island Sound and back to pt. “T”.

7/2/04 322 CMR - 58.6 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

6.33: continued

(k) Gulf of Maine Recreational Lobster Area means those state waters north of Cape Cod Bay to the New Hampshire border including waters of the Cape Cod Canal.

10/19/07 322 CMR - 58.7 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

6.34: Horseshoe Crab Management

(1) Permit. It shall be unlawful for any person to take, land or possess more than six horseshoe crabs (Limulus polyphemus) per day for any purpose without a regulated fishery permit for horseshoe crabs issued by the Director. Licensed pot fishermen using horseshoe crabs as bait may possess more than six horseshoe crabs without a regulated permit, provided their documented source is a wholesale or bait dealer.

(2) Reporting. Each holder of a regulated fishery permit for horseshoe crabs or a scientific collecting permit shall file a monthly catch report on forms supplied by the Division. Failure to report by the fifth day of each successive month shall be grounds for suspension or non-renewal of the permit.

(3) Dealers. Wholesale Dealers and Bait Dealers who purchase horseshoe crabs from licensed fishermen shall register with the Division and record purchases on forms supplied by the Division. Failure to report purchases by the fifth day of each successive month shall be grounds for administrative action.

(4) Minimum Size. (reserved)

(5) Quota. The Director may set the annual horseshoe crab commercial quota according to state allocations by the Atlantic States Marine Fisheries Commission and any adjustments necessary to offset previous year overages.

(6) Notice. When 100% of the annual quota is reached, a notice of fishery closure shall be filed with the Massachusetts Register and made available to all horseshoe crab regulated fishery permit holders.

(7) Limit. It shall be unlawful for any licensed horseshoe crab harvester to take, land or possess more than 1000 horseshoe crabs during any 24 hour period beginning at 12:00 P.M.. This limit shall not apply to horseshoe crabs held in frozen or cold storage by licensed conch or eel fishermen or bait dealers.

(8) Closed Days. No horseshoe crabs may be taken for any purpose at any time on Saturday or Sunday.

(9) Closed Areas. The Director may close any area to the taking of horseshoe crabs provided: (a) A majority of the members of the Massachusetts Marine Fisheries Commission approve, and; (b) A notice of closure has been filed with the Massachusetts Register stating the rationale for the closure, the duration of the closure and a description of the area to be closed, and; (c) All permit holders and dealers are notified.

(10) Biomedical/Research. (a) Harvesters collecting horseshoe crabs exclusively for use by the biomedical industry for the manufacture of limulus lysate or sale to a permitted scientific institution for research purposes must obtain a special permit limited to that purpose. (b) The holder of the biomedical special permit shall not be allowed to obtain a permit for bait harvest. (c) Horseshoe crabs harvested for biomedical or research purposes by harvesters licensed under 322 CMR 6.34(10)(a) which are bled and released alive in the area of capture or used for display or research shall not be counted against the annual quota established by the Atlantic States Marine Fisheries Commission, but must be reported to the Division by the harvester and the company or institution. (d) If a biomedical company or permitted scientific institution chooses to purchase horseshoe crabs from persons licensed to harvest horseshoe crabs for bait, or from bait dealers, the company or institution shall keep records sufficient to show the number and source(s) of said horseshoe crabs, including the harvester or dealer and harvest area. Horseshoe crabs purchased from bait harvesters or bait dealers must be reported to the Division of Marine Fisheries (DMF) by the harvesters or dealers and counted against the annual quota if harvested in Massachusetts.

10/19/07 322 CMR - 58.8 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

6.34: continued

(e) Horseshoe crabs purchased by a biomedical company from bait harvesters or bait dealers may be returned to the harvesters for use or sale as bait, or returned or sold to a bait dealer, at the discretion of the biomedical company. (f) Horseshoe crabs which are imported from other states for biomedical purposes shall be counted against the quota of the producing state or returned to the producing state for release, according to established rules and regulations of the state of origin.

6.35: Spiny Dogfish Management

(1) Definitions. For the purposes of 322 CMR 6.35:

Finning means the act of taking a spiny dogfish, removing the fins, and returning the remainder of the spiny dogfish to the sea.

Night means the time between ½ hour after sunset to ½ hour before sunrise during the period March 1 through October 31, or from 6:00 P.M. to 6:00 A.M. during the period November 1 through the last day of February.

Spiny Dogfish means that species of fish known as Squalus acanthias.

Spiny Dogfish Commercial Quota means allowable commercial landings established by the Director each year. For 2000, the quota is 7,000,000 lbs.

(2) Permit. A regulated fishery Special Permit issued by the Director shall be: (a) required of all commercial fishermen taking or landing spiny dogfish from waters under the jurisdiction of the Commonwealth; and (b) carried by the holder at all times when catching, taking, possessing, or selling spiny dogfish taken from waters under the jurisdiction of the Commonwealth; and (c) displayed forthwith on demand by any Environmental Police Officer or other official authorized to enforce 322 CMR 6.35;

(3) Dealer Authorization. It is unlawful for dealers without written authorization from the Director to purchase spiny dogfish from commercial fishermen.

(4) Dealer Reporting. Dealers shall report all purchases of spiny dogfish by phone and in writing based on schedules established and on forms to be provided by the Division.

(5) Possession Limit. (a) Declaration of Annual Specifications. The Director may, by declaration, establish and adjust the manner and times of taking spiny dogfish, and the legal size limits, numbers and/or quantities of spiny dogfish to be taken as prescribed by M.G.L. c. 130, § 17A and specified by the Atlantic States Marine Fisheries Commission (ASMFC). (b) Declaration Process. Annual specifications shall not be effective until: 1. a notice has been filed with the Massachusetts Register; 2. a notice has been published by at least one local newspaper; 3. a copy of the notice has been emailed via the Marine Fisheries Listserv and posted on the Division’s website; 4. a two-week comment period has been conducted by the Division; and 5. it has been approved by a majority of the members of the Massachusetts Marine Fisheries Advisory Commission.

(6) Commercial Quota. It is unlawful for commercial fishermen to land or possess spiny dogfish when the Commonwealth’s spiny dogfish quota has been reached.

(7) Prohibitions. It is unlawful for any fisherman to fin dogfish. Fins removed at sea must be retained, landed at the same time and in the same location with carcasses, and not exceed a maximum 5% fin to carcass ration, by weight.

(8) Commercial Quota. It is unlawful for commercial fishermen to land or possess spiny dogfish when the Commonwealth’s spiny dogfish quota has been reached.

10/19/07 322 CMR - 58.9 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

6.36: Quahog Management in State Waters

(1) Definitions.

Batch means all shellfish in each separate container.

Bushel means a standard 32 quart (volume) container.

Dredge means any variety of towed devices which utilize blades, knives or teeth to dig into the substrate and remove shellfish including the hydraulic dredge which utilizes pumped water to enhance fishing performance.

Effective Fishing Width means the width of the sea bottom from which the dredge collects shellfish, including the width of the blades and carriers, bars, wires, suction heads or similar structures or openings, including any water jet area, which affect the swath or overall width of the path from which the shellfish are taken.

Hinge Width means the distance between the convex apex of the right shell and the convex apex of the left shell, also known as shell thickness.

Quahog means the hard clam or bay quahog, Mercenaria mercenaria, including its various sub- species.

State Waters for purposes of 322 CMR 6.36 means those waters between the outer jurisdiction of the coastal cities and towns to regulate shellfish pursuant to M.G.L. c. 130, § 52, as appearing on official maps of the Commonwealth prepared pursuant to M.G.L. c. 1, § 3 and the outer fisheries jurisdiction of the Commonwealth (Territorial Sea), including all of Nantucket Sound outside town jurisdiction and west of 70.00° longitude.

(2) Permit. No person may dredge for quahogs in state waters as defined in 322 CMR 6.36(1)(g) unless in possession of a Commercial Fisherman Permit (boat) endorsed for shellfishing and endorsed for quahog dredging. The quahog dredging endorsement is not necessary if dredging in city or town waters pursuant to a local shellfish permit.

(3) Quahog Trip Limits. It is unlawful for any person or vessel fishing in state waters to harvest, possess or land more than 40 bushels of quahogs per 24-hour day. No quahog dredging is authorized at night pursuant to 322 CMR 8.03.

(4) Sorting. The catch shall be sorted in the area of harvest, and seed quahogs (less than one inch hinge width) amounting to more than 5% of the catch by count shall be released in the area of harvest. It shall be unlawful to release legal-sized quahogs to change the size composition of the catch. All legal-sized quahogs must be landed in one bushel containers, tagged pursuant to 105 CMR 533.005, and counted as part of the daily limit.

(5) Quahog Gear Restrictions. It shall be unlawful for any person or vessel to dredge for quahogs in state waters using more than one dredge or a dredge with an effective fishing width greater than 48 inches.

(6) Reporting Requirements. (a) Any person to whom a quahog dredge endorsement is issued must provide the Director with an accurate monthly record of the following: 1. Areas fished 2. Times fished 3. Daily record of quahogs harvested by bushel (b) Forms for such reporting may be obtained from the Director. (c) Failure to supply the Director with an accurate statistical report within five days following the end of the reporting period specified on the form or falsification of any form supplied by the Director shall result in the suspension of the quahog dredge endorsement.

(7) Control Date. After December 31, 2001, no new quahog dredge endorsements shall be issued. Endorsements issued prior to December 31, 2001, may be renewed. Existing endorsements may be transferred pursuant to 322 CMR 7.06.

10/19/07 322 CMR - 58.10 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

6.37: Coastal Shark Conservation and Management

(1) Definition.

Basking Shark means that species of fish known as Cetorhinus maximus.

Dusky Shark means that species of fish known as Carcharhinus obscurus.

Sand Tiger Shark means that species of fish known as Carcharias taurus.

White Shark means that species of fish known as Carcharodon carcharias.

(2) Prohibition. It shall be unlawful to attempt to harvest, or to harvest, catch, take, possess, transport, sell or offer to sell any basking shark, dusky shark, sand tiger shark, or white shark taken from the coastal waters of the Commonwealth.

(3) Incidental Catch. All basking sharks, dusky sharks, sand tiger sharks, or white sharks caught incidental to fisheries directed toward other species must be released in such a manner as to ensure maximum probability of survival.

6.38: Shellfish Landing Restrictions Necessitated by Marine Biotoxins

(1) Purpose and Scope. To protect public health, welfare, and safety, the Director may determine through studies and reports regarding concentration levels of toxic phytoplankton and associated biotoxin levels in certain shellfish species that the harvest of certain species should be restricted. In addition to closures enacted within waters under the jurisdiction of the Commonwealth under authority of M.G.L. c. 130, §§ 74A and 75, the Director may restrict the taking of certain shellfish species and the landing of those products by any vessel registered under the laws of the Commonwealth from areas determined to contain levels of toxic phytoplankton, including waters within the Exclusive Economic Zone, that may place the public health at risk from consumption of shellfish products.

(2) Emergency Closure Areas. The Director shall determine areas where the taking of certain shellfish species and shellfish products and/or the landing of such species and product is prohibited to protect public health.

(3) Prohibited Species and Products. The Director shall determine those species and products for which it shall be prohibited to harvest and/or possess for commercial or recreational purposes within the Commonwealth.

(4) Procedure. These closures and landing prohibitions shall apply to any vessel registered under the laws of the Commonwealth provided that: (a) a notice has been filed with the Massachusetts Register; (b) a copy of the notice has been emailed via the Marine Fisheries Listserv and posted on the Division’s website; and (c) said notice contains the rationale for the closure. After the effective date of the closure the Director shall consider any written comments on the closure from the public or state or federal agency. Based on these comments the Director may alter, amend or rescind the closure pursuant to the procedural requirements of 322 CMR 6.38.

6.39: Loligo Squid Management

(1) Season. It is unlawful for any commercial fisherman to land or possess Loligo squid using small-mesh otter trawls as specified in 322 CMR 8.07 from June 10th through April 22nd, unless the period when trawlers are allowed to use small-mesh nets to fish for squid is amended by the Director.

(2) Possession Limits. It is unlawful for commercial fishermen using mobile gear to land or possess greater than 2,500 lbs. of Loligo squid established in 50 CFR § 648.22(c) per vessel per 24-hour day when:

10/19/07 322 CMR - 58.11 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

6.39: continued

(a) NOAA Fisheries has announced that the federal incidental trip limit is in effect; (b) the Director has filed a notice with the Massachusetts Register; and (c) the Director has posted a notice on the MarineFisheries listserv and website.

(3) Commercial Fishery Limit Adjustments. The director may adjust Loligo squid commercial fishery landing/possession limits to correspond to limits established by NOAA Fisheries.

6.40: Commercial Tautog (Tautoga onitis) Fishery Limits

(1) Definitions. (a) Commercial Fishermen means fishermen fishing for purposes of sale, barter, or exchange. (b) Fall Open Season means that period when commercial fishing is allowed beginning on September 1st and ending when the quota is reached or November 30th, whichever comes first. (c) Quota means the Commonwealth’s annual total allowable commercial catch of tautog. (d) Spring Open Season means that period when commercial fishing is allowed beginning on April 16th and ending when 28% of the quota is reached or May 15th, whichever comes first. (e) Tautog means that species of fish known as Tautoga onitis.

(2) Commercial Fishery Limits. (a) Minimum Size. It is unlawful for commercial fishermen to possess tautog less than 16 inches in total length. (b) Possession Limit. 1. It is unlawful for commercial fishermen to possess more than 40 tautog per 24-hour day during the open commercial seasons defined in 322 CMR 6.40; 2. It is unlawful for commercial fishermen to land or possess tautog when the quota has been reached for any open season or during the closed periods from December 1st through April 15th and May 16th through August 31st.

6.41: Smooth Dogfish (Mustelus canis) Management

(1) Definitions For the purposes of 322 CMR 6.41: (a) Smooth Dogfish means that species known as Mustelus canis. (b) Finning means the act of taking a smooth dogfish, removing the fins, and returning the remainder of the smooth dogfish to the sea.

(2) Possession Limit. It is unlawful for any person to land or possess more than 100-lbs. of smooth dogfish per trip or per day whichever is the longer period of time.

(3) Prohibitions. It is unlawful for any fisherman to fin smooth dogfish. Fins removed at sea must be retained, landed at the same time and in the same location with carcasses, and not exceed a maximum 5% fin to carcass ratio, by weight.

REGULATORY AUTHORITY

322 CMR 6.00: M.G.L. c. 130, §§ 2, 17A, 80, 100A and 104.

10/19/07 322 CMR - 58.12 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 651

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 322 CMR 8.00

CHAPTER TITLE: Coastal Fisheries Conservation and Management

AGENCY: Division of Marine Fisheries

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Addendum II to the Interstate Fishery Management Plan for weakfish requires the Commonwealth to reduce the recreational possession limit for weakfish from 10 to 6 fish.

REGULATORY AUTHORITY: MGL c.21A ss2 & c.30A, ss3. & c.130, ss.17A

AGENCY CONTACT: Melanie Griffin PHONE: 617.626.1528

ADDRESS: 251 Causeway St., Suite 400 Boston, MA 02114

Compliance with M.G.L. c. 30A

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency.

PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. Massachusetts Marine Fisheries Advisory Commission...September 6, 2007 Commissioner, Department of Fish & Game...September 19, 2007

Date of public hearing or comment period: August 27 & 28, 2007

For the first five years:

No fiscal effect:

Reduced opportunities for recreational harvest of weakfish

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation:

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST:

SIGNATURE: SIGNATURE ON FILE DATE: Sep 19 2007

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007

EFFECTIVE DATE: 10/19/2007

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 71, 72 71, 72

10/02/2007 M.O.

8.06: continued

(3) Redfish. It is unlawful for any person to possess redfish less than nine inches in total length.

(4) Tautog. (a) It is unlawful for recreational fishermen to possess tautog less than 16 inches in total length. (b) It is unlawful for recreational fishermen to possess more than three tautog per 24-hour day.

(5) Weakfish. (a) It is unlawful for any person to possess weakfish less than 16 inches in total length. (b) It is unlawful for recreational fishermen to possess more than six weakfish per day.

(6) Monkfish. It is unlawful for any person to possess monkfish less than 17 inches in total length or monkfish tails less than 11 inches in total length.

(7) Shad. It is unlawful for any fishermen to possess more than six shad at any one time

(8) White Perch. (a) It is unlawful for recreational fishermen to possess white perch less than eight inches in total length. (b) It is unlawful for recreational fishermen to possess more than 25 white perch at any time. (c) The limits established by 322 CMR 8.06(8)(a) and (b) apply only to white perch harvested in coastal waters as defined by M.G.L. c. 130, § 1.

8.07: Mesh Size Restrictions

(1) Trawl Net Mesh Minimum Size. (a) A minimum size of 6½ inches throughout the cod-end and six inches throughout the remainder of the net shall apply for all vessels fishing with trawls in waters under the jurisdiction of the Commonwealth north and east of Cape Cod from January 1st through December 31st, within an area circumscribed by an imaginary line beginning at the intersection of the Loran C line 9960-Y-43940 with the Chatham shoreline; thence seaward following the Loran C line 9960-Y-43940 to the territorial seas line; thence in a northerly direction following the territorial seas line to the Massachusetts/New Hampshire boundary; thence in a westerly direction following the Massachusetts/New Hampshire boundary to the shoreline; thence following the shoreline in a southerly direction to the starting point. (b) A minimum mesh size of 6½ inches throughout the cod-end and six inches throughout the remainder of the net shall apply for all vessels fishing with trawls in waters under the jurisdiction of the Commonwealth south of Cape Cod from November 1st through April 22nd, within an area circumscribed by an imaginary line beginning at the intersection of the Loran C line 9960-Y-43940 with the Chatham shoreline; thence seaward following the Loran C line 9960-Y-43940 to the territorial seas line; thence in a southerly directions following the territorial seas line to its intersection with the 70º W meridian; thence in a southerly direction along the 70º W meridian to its intersection with the territorial seas line; thence following the territorial seas line in a southerly direction and south of Nantucket Island and Martha’s Vineyard to the Massachusetts/Rhode Island boundary; thence in a northerly direction following the Massachusetts/Rhode Island boundary to the shoreline; thence following the shoreline in an easterly direction to the starting point. Exception for Squid Trawling. A minimum mesh size less than 6½ inches throughout the cod-end and six inches throughout the remainder of the net may apply for vessels permitted under 322 CMR 8.08(5) during the period April 23rd through June 9th. The Director may extend the small-mesh squid trawling season if he determines that continued fishing with small mesh will not result in large catches of small squid less than five inches mantle length and/or juvenile scup, black sea bass, or fluke.

10/19/07 322 CMR - 71 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

8.07: continued

(c) No mesh size less than 6½ inches throughout the cod-end and six inches throughout the remainder of the net shall be possessed by vessels fishing from June 10 through April 22 in the area defined in 322 CMR 8.07(1)(b). (d) No mesh size less than 6½ inches throughout the cod-end and six inches throughout the remainder of the net shall be possessed by vessels fishing in the area defined in 322 CMR 8.07(1)(b) when more than a total of 100 pounds of winter flounders, yellowtail flounder, fluke, or windowpane flounder, in any combination, is in possession.

(2) Small Mesh Exemption for Vessels Fishing for Whiting. Vessels may use raised footrope trawls as defined in 322 CMR 8.14(2) to fish for whiting in two areas: (a) Cape Ann Whiting Area during September as defined in 322 CMR 3.04(2) (b) Upper Cape Cod Bay Whiting Area during September through November 20 as defined in 322 CMR 8.14.

(3) Experimental Fisheries. The Director may in his discretion authorize small-mesh trawling in other areas and times for the purposes of collecting data to determining other appropriate times and places that small-mesh trawling may be appropriate. Vessels must request and obtain a letter of authorization to conduct experimental fishing.

(4) Mesh Measurements. Mesh sizes are measured by a wedge-shaped gauge having a taper of two centimeters in eight centimeters and thickness of 3.2 millimeters, inserted into the meshes under a pressure or pull of five kilograms. The mesh size will be the average of the measurements of any series of 20 consecutive meshes. The mesh in the cod end will be measured at least ten meshes from the lacings beginning at the after-end and running parallel to the long axis. The Director may approve in writing the use of other mesh size gauges or methods.

(5) Net Modifications. No fishing vessel may use any means, device, or material, including but not limited to ropes, lines, chafing gear, liners, net strengtheners, or double nets, if it obstructs the meshes of the net or otherwise diminishes the size of meshes of the net described in 322 CMR 8.07. All netting in trawl nets not made on a braiding machine, whether of braided or twisted twine, whether machine made or hand made, shall use only one knot, the weavers knot or sheet bend or a knot by another name, which in only a weavers knot. The ends of the twine, called the bars, that exit the knot are constructed so their lay does not cross or twist. One splitting strap and one bull rope (if present) consisting of line or rope no more than two inches in diameter, may be used if such splitting strap and/or bull rope does not obstruct the meshes of the net or otherwise diminish the size of meshes of the net. Canvas, netting, or other material may be attached to the underside of the cod end to reduce wear and prevent damage provided that no more than 25% of the meshes are obstructed.

8.08: Permits

In addition to any other permit required by law, the following permits are required for the following activities:

(1) At-sea Processing. At-sea processing of any fish or shellfish in any waters under the jurisdiction of the Commonwealth, including all of Nantucket Sound and Cape Cod Bay, requires a special permit of the Director pursuant to 322 CMR 7.01, unless otherwise authorized pursuant to 322 CMR 11.00, or unless 25 pounds or less of fish fillets per person are in possession and intended for personal use only and not for purposes of sale, barter, or exchange. The 25-pound limit on fillets does not apply to fish caught by hook and line recreational fishing, and it does not apply to species which cannot be mutilated, such as striped bass.

(2) Fish and Shellfish. Fishing for scup, sea bass or conch by means of a pot requires a special permit of the Director pursuant to 322 CMR 7.01.

5/20/05 322 CMR - 72 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 12

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 930 CMR 5.00

CHAPTER TITLE: Exemptions from M.G.L. c. 268A

AGENCY: State Ethics Commission

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. The purpose of 930 CMR is to provide reasonable exemptions from the provisions of sections 3 to 7, inclusive, sections 11 to 14, inclusive, sections 17 to 20 inclusive, and section 23 of M.G.L. c. 268A. The proposed regulations include exemptions related to public employees receiving gifts, benefits and payments of travel and admissions; state employees receiving payments from the Department of Social Services; and public employees participating in and disclosing interests in school fees.

REGULATORY AUTHORITY: M.G.L. c. 268B, § 3(a)(2)

AGENCY CONTACT: Diane M. Meibaum PHONE: (617) 371-9509

ADDRESS: 1 Ashburton Place, Room 619, Boston, MA 02108

Compliance with M.G.L. c. 30A

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency.

Date of public hearing or comment period: July 25, 2007

For the first five years: $0

No fiscal effect: No fiscal effect

The proposed regulation does not impact small business.

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: Conflict of Interest, Ethics, Exemptions, Gifts, Travel

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST:

SIGNATURE: SIGNATURE ON FILE DATE: Oct 2 2007

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1089 DATE: 10/19/2007

EFFECTIVE DATE: 10/19/2007

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 1, 2 1, 2 ____ 23 - 28

10/03/2007 M.O.

Table of Contents Page

930 CMR 1.00: RULES OF PRACTICE AND PROCEDURE 3

Section 1.01: Formal Rules 3 Section 1.02: Miscellaneous Provisions Applicable to All Adjudicatory Proceedings 12 Section 1.03: Advisory Opinions to Municipal Employees 13

930 CMR 2.00: DESIGNATIONS OF PUBLIC EMPLOYEES 15

Section 2.01: Scope and Purpose 15 Section 2.02: Definitions 15 Section 2.03: Submission of Annual Designation Lists 17 Section 2.04: Amendment of Lists 17 Section 2.05: Identification of New Public Employees 18 Section 2.06: Designations by the Executive Director and Appeals Therefrom 18

930 CMR 3.00: CONFIDENTIALITY 19

Section 3.01: Confidentiality of Commission Proceedings 19

930 CMR 4.00: STATEMENTS OF FINANCIAL INTERESTS: INSPECTIONS 21

Section 4.01: Public Inspection Request and Notification Procedures 21

930 CMR 5.00: EXEMPTIONS FROM M.G.L. C. 268A 23

Section 5.01: Purpose and Scope 23 Section 5.02: General Provisions 23 Section 5.03: Definitions 23 Section 5.04: Gifts and Benefits 24 Section 5.05: Free or Discounted Travel and Admissions 26 Section 5.06: State Employee Receipt of Department of Social Services Payments 27 Section 5.07: School Fees: Participation and Disclosure 28

10/19/07 930 CMR - 1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 930 CMR: STATE ETHICS COMMISSION

NON-TEXT PAGE

7/1/93 930 CMR - 2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 930 CMR: STATE ETHICS COMMISSION

930 CMR 5.00: EXEMPTIONS FROM M.G.L. C. 268A

Section

5.01: Purpose and Scope 5.02: General Provisions 5.03: Definitions 5.04: Gifts and Benefits 5.05: Free or Discounted Travel and Admissions 5.06: State Employee Receipt of Department of Social Services Payments 5.07: School Fees: Participation and Disclosure

5.01: Purpose and Scope

M.G.L. c. 268B, § 3(a)(2) authorizes the State Ethics Commission to carry out the purposes of M.G.L. c. 268A by promulgating rules and regulations providing for reasonable exemptions from the provisions of M.G.L. c. 268A, §§ 3 through 7, §§ 11 through 14, §§ 17 through 20, and § 23. 930 CMR 5.00 is intended to establish reasonable exemptions to the provisions of M.G.L. c. 268A. The establishment of such exemptions shall not be the basis for inferring that any conduct, items or other matters not so exempted are prohibited, permitted, restricted or otherwise regulated by M.G.L. c. 268A.

5.02: General Provisions

Authority. 930 CMR 5.00 is promulgated under authority and in conformity with M.G.L. c 268B, § 2 and M.G.L. c. 30A.

5.03: Definitions

Terms defined in M.G.L. c. 268A and c. 268B shall have the same meanings as in 930 CMR 5.00. In addition for purposes of 930 CMR 5.00:

Appointing Authority means the individual official, board, commission or other governmental body that has the legal authority to appoint a state, county or municipal employee or has otherwise been delegated by such appointing authority to act as the appointing authority for purposes of any disclosure filed pursuant to M.G.L. c. 268A and 930 CMR 5.00.

Commission means the State Ethics Commission.

Disclosure means a written statement on a form prescribed by the Commission, or in another writing that otherwise complies with M.G.L. c. 268A and 930 CMR 5.00, of all relevant facts as required by the circumstances and the provisions of 930 CMR 5.00. Disclosures shall be public records for purposes of M.G.L. c. 4, § 7, cl. 26 and shall be filed as follows: (a) An appointed public employee shall file a disclosure with his or her appointing authority. (b) An elected state or county employee shall file a disclosure with the Commission. (c) An elected municipal employee shall file a disclosure with the city or town clerk in his or her respective municipality.

Free or Discounted Admission means a waiver of all or part of the fees for admission to, and food, refreshment, instruction, and materials provided at an annual business or other meeting, seminar, conference or similar event held by a community group or professional, business, civic, charitable, trade or labor organization, but shall not include entertainment and meals that are not an official part of the event and where some, but not all, attendees are invited to participate.

General School Fee means a fee, waiver or exemption established by a school committee for a school service, program or activity including, but not limited to, fees for school bus transportation, preschool or after school programs, sports or extracurricular activities. The term “general school fee” does not include a fee that applies to a single event.

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5.03: continued

Legitimate Speaking Engagement means giving a speech or serving on a panel where the speech or panel: (a) is formally scheduled on the agenda of a meeting or conference; (b) is scheduled in advance of the speaker’s or panelist’s arrival at the meeting or conference; (c) is before an organization which would normally have outside speakers or panelists address its members at such event; and (d) significantly contributes to the event, taking into account such factors as the length of the speech or presentation, the expected size of the audience, and the extent to which the speaker is providing substantive or unique information or viewpoints.

Legitimate Public Purpose means the promotion of tourism, economic development and other activities to promote the interests of the Commonwealth, a county, or a municipality; attendance at training and educational events designed to improve the efficiencies and effectiveness of public services or to enhance the knowledge and skills of public employees relative to their official duties; business travel necessary to make informed purchasing decisions, selections, and inspections; and similar public purposes.

Public Employee means a state, county or municipal employee or a special state, county or municipal employee as defined in M.G.L. c. 268A, § 1.

Substantial Value means a value of $50 or more. For purposes of determining substantial value, the value of a gift, item, discount or other benefit shall mean the fair market value of the gift, item, discount or other benefit unless the cost or face value is greater. Example: The face value of a ticket to a sporting event is $30 but the giver paid $100. The value of the ticket is $100 and of substantial value. Example: The face value of a ticket to a concert is $100 but, due to the scarcity of such tickets, the fair market value is $500 at the time of the gift. The value of the ticket is $500 and of substantial value. Example: The fair market value of meals and entertainment to a charitable event is $40.00 but the face value or cost of a ticket to the event is $150. The value of the ticket is $150 and of substantial value. If a gift, item, discount or other benefit is given to more than one person, the value to each person shall be the total value of the gift, item, discount or other benefit divided by the number of recipients. Example: The total cost including tax and tips of dinner for ten people is $750. Each individual attending the dinner is deemed to have received a $75 dinner, which is of substantial value. In determining substantial value the Commission shall aggregate gifts, items, discounts or other benefits offered or given to, or received by, a public employee within a calendar year by one person or by an organized group of persons having a common interest in a particular matter or legislation before that public employee. Gifts, items, discounts or other benefits whose valuation cannot be readily ascertained are not eligible for exemption pursuant to 930 CMR 5.04.

5.04: Gifts and Benefits

(1) Gifts and Benefits Not Requiring Disclosure. It shall not be a violation of M.G.L. c. 268A, § 3(a) for an individual to give or offer to give or a violation of M.G.L. c. 268A, § 3(b) or § 23(b)(2) for a public employee to receive a gift or benefit set forth in 930 CMR 5.04(1) provided that such gift or benefit has not been solicited by the public employee. No disclosure shall be required by M.G.L. c. 268A, § 23(b)(3) or 930 CMR 5.04(1) for any such gift or benefit received by a public employee. (a) De Minimis Gifts. Anything with a value of less than $50, other than cash. De minimis gifts include multiple gifts or benefits given or offered to a public employee within a calendar year by one person or by an organized group of persons having a common interest in a particular matter or legislation before that public employee, if the aggregated value is less than $50;

10/19/07 930 CMR - 24 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 930 CMR: STATE ETHICS COMMISSION

5.04: continued

(b) Inheritance. Anything received by intestate inheritance; (c) Gifts from Immediate Family and Relatives. Anything received by a public employee from a member of the public employee’s immediate family or from a great grandparent, great grandchild, grandparent, grandchild, uncle, aunt, niece, nephew, cousin, step-parent, step- child of the public employee or of the employee’s spouse and given for reasons unrelated to the public employee’s official position or duties; (d) Informational Material. Informational material relevant to a public employee's official functions and intended for use by the public employee in the exercise of official duties or solicited for the purpose of promulgating, administering and enforcing agency regulations, such as books, pamphlets, reports, documents, periodicals, or other information that is recorded in a written, audio, electronic, or visual format; (e) Professional Organization Membership Fees. Reduced or waived membership or other fees offered by a professional organization if the only requirements for membership relate to professional qualifications; (f) General Discounts. A rebate, discount or promotional item available to the general public or to a class consisting of all public employees from a city or town, county or state on the same terms as offered to the general public; (g) Display Items for Meritorious Public Service. An item intended for display and given by a civic, charitable, professional, religious, or fraternal organization in recognition of meritorious public service that has no or de minimis resale value. Such items shall include but not be limited to trophies, plaques, bowls, and certificates; (h) Honoraria. Honoraria not exceeding $250 for participating in a legitimate speaking engagement provided that: 1. delivering the speech is not part of the public employee’s official duties; 2. public resources are not used in the preparation of the speech; 3. public time is not taken for the preparation or delivery of the speech; and 4. neither the sponsor of the address nor the source of the honorarium is a person or entity with whom the public employee has had or reasonably expects to have dealings in his official duties; (i) Honorary Degrees. An honorary degree from a public or private educational institution given for meritorious public service or achievement provided that the degree does not include a monetary award of substantial value. The public employee who is receiving the degree may also accept meals and entertainment given to him and to guests accompanying the public employee in accordance with the criteria and policies of the educational institution; (j) Gifts between Employees. Gifts appropriate to the occasion given to a public employee by another public employee at a state, county, or municipal agency in recognition of infrequent and irregularly occurring occasions of personal significance such as marriage, illness, or the birth or adoption of a child; or upon occasions that terminate a professional working relationship, such as retirement, transfer, or resignation; (k) Ceremonial Functions. Free or discounted admission of substantial value to a widely attended event open to the general public, when the free or discounted admission is provided to the public employee directly by the organization or committee and not through an intermediary who has purchased admission to the event and where the public employee is expected to perform a ceremonial function directly related to his official position.

(2) Gifts and Benefits Requiring Disclosure. It shall not be a violation of M.G.L. c. 268A, § 3(a) for an individual to give, or offer to give, or a violation of M.G.L. c. 268A, § 3(b) or § 23(b)(2) for a public employee to receive a gift or benefit set forth in 930 CMR 5.04(2). It shall not be a violation of M.G.L. c. 268, § 23(b)(3) or 930 CMR 5.04(2) for a public employee to receive any such gift or benefit if the employee makes a disclosure as provided for in 930 CMR 5.04(3). (a) Awards. Bona fide awards that are given for meritorious public service or achievement as part of a program of recognition provided that the source of the award is not a person or entity with whom the public employee has had or reasonably expects to have dealings in his official duties. A program of recognition is one under which awards are or will be made on a regular basis or which is or will be funded, wholly or in part, to ensure its continuation on a regular basis and under which selection of award recipients is made pursuant to written standards. The public employee who is receiving the award may also accept meals and entertainment given to him and to other guests accompanying the public employee to the awards ceremony in accordance with the criteria and policies of the awards program.

10/19/07 930 CMR - 25 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 930 CMR: STATE ETHICS COMMISSION

5.04: continued

(b) Loans. A commercially reasonable loan made in the ordinary course of business; (c) Random Drawings. Rewards and prizes given to competitors or entrants in contests open to the public.

(3) Disclosure. (a) If any of the gifts, benefits or items listed in 930 CMR 5.04(2) are of substantial value the public employee shall file a written disclosure: 1. upon receipt of the item, if within six months prior to receipt, the donor had a direct interest in the performance of the public employee’s official duties; or 2. when the public employee becomes aware that the donor has a direct interest in the performance of the public employee’s official duties, if the interest occurs within six months after receipt. (b) For purposes of 930 CMR 5.04(3), a donor has a direct interest in the performance of the public employee’s official duties if the donor, whether a person or an organization: 1. is seeking official action by the employee; or 2. has interests that may be substantially affected by the performance or nonperformance of the employee’s official duties. (c) The disclosure shall include a description of the gift, benefit or item given, the actual or estimated value, the identity of the donor, the circumstances under which the item is offered or received, and the interest the donor has in the public employee’s official duties.

5.05: Free or Discounted Travel and Admissions

(1) Free or Discounted Travel. It shall not be a violation of M.G.L. c. 268A, § 3(a) for an individual to offer, or give, or a violation of M.G.L. c. 268A, § 3(b), § 23(b)(2) or § 23(b)(3) for a public employee to receive, free or discounted travel and lodging expenses, including meals, of substantial value that serve legitimate public purposes provided that: (a) Disclosure. A public employee, prior to any travel, shall file a full disclosure in writing of the travel and the expenses to be covered. (b) Appointed Public Employee. An appointed public employee, prior to any travel, shall file a full disclosure as required by 930 CMR 5.05(1)(a) with his or her appointing authority. The appointing authority shall make an advance determination, which shall be filed in the same manner as a disclosure, that the travel serves a legitimate public purpose and that the benefit to the government of the employee’s participation in the travel or event outweighs any non-work related benefit to the employee or the private sponsor taking into account the extent to which such free or discounted travel may convey an appearance of special benefit for any employee. (c) Elected Public Employees. An elected state or county employee, prior to any travel, shall file a full disclosure as required by 930 CMR 5.05(1)(a) with the Commission. An elected municipal employee, prior to any travel, shall file a full disclosure as required by 930 CMR 5.05(1)(a) with the city or town clerk in the respective municipality. Such disclosure shall state that the travel serves a legitimate public purpose and that the benefit to the government of the elected public employee’s participation in the travel or event outweighs any non-work related benefit to the employee or the private sponsor taking into account the extent to which such free or discounted travel may convey an appearance of special benefit for the elected public employee. (d) Reconciliation Statement. If the actual travel for the event differs from the original proposal by an amount of substantial value, within two weeks of his return, the public employee shall submit a statement of reconciliation stating how and why the actual travel for the event differed from the original proposal. Reconciliation statements shall be filed in the same manner as disclosures.

(2) Legitimate Speaking Engagements. Reimbursement for out-of-pocket travel expenses, including transportation, lodging, meals, and conference fees, to a public employee who participates in a legitimate speaking engagement whose purpose is to provide education to conference participants. The travel expenses may only cover the day or days on which the public employee has participation or presentation responsibilities and the days on which the public employee must travel to the conference and return to the Commonwealth.

10/19/07 930 CMR - 26 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 930 CMR: STATE ETHICS COMMISSION

5.05: continued

(a) Disclosure. A public employee, prior to any travel, shall file a full disclosure in writing of the travel and the expenses to be covered. (b) Appointed Public Employee. An appointed public employee, prior to any travel, shall file a full disclosure as required by 930 CMR 5.05(l)(a) with his or her appointing authority. The appointing authority shall make an advance determination, which shall be filed in the same manner as a disclosure, that the speech serves a legitimate public purpose and that the benefit to the government of the employee's participation in the travel or event outweighs any non-work related benefit to the employee or the private sponsor taking into account the extent to which such free or discounted travel may convey an appearance of special benefit for any employee. (c) Elected Public Employees. An elected state or county employee, prior to any travel, shall file a full disclosure as required by 930 CMR 5.05(l)(a) with the Commission. An elected municipal employee, prior to any travel, shall file a full disclosure as required by 930 CMR 5.05(l)(a) with the city or town clerk in the respective municipality. Such disclosure shall state that the speech serves a legitimate public purpose and that the benefit to the government of the elected public employee's participation in the travel or event outweighs any non-work related benefit to the employee or the private sponsor taking into account the extent to which such free or discounted admission may convey an appearance of special benefit for the elected public employee. (d) Reconciliation Statement. If the actual travel for the event differs from the original proposal by an amount of substantial value, within two weeks of his return, the public employee shall submit a statement of reconciliation stating how and why the actual travel for the event differed from the original proposal. Reconciliation statements shall be filed in the same manner as disclosures.

(3) Free or Discounted Admission. It shall not be a violation of M.G.L. c. 268A, § 3(a) for an individual to offer or give or a violation of M.G.L. c. 268A, § 3(b), § 23(b)(2), or § 23(b)(3) for a public employee to receive, free or discounted admission of substantial value. (a) Disclosure. A public employee, prior to accepting such an offer of free or discounted admission of substantial value, shall file a full disclosure of the offer. (b) Appointed Public Employees. An appointed public employee, prior to accepting an offer of free or discounted admission of substantial value, shall file a full disclosure of the offer in writing, with his or her appointing authority. The appointing authority shall make an advance determination, which shall be filed in the same manner as a disclosure, that the attendance at the event serves a legitimate public purpose and that the benefit to the government of the employee’s participation at the event outweighs any non-work related benefit to the employee or the private sponsor taking into account the extent to which such free or discounted admission may convey an appearance of special benefit for any employee. (c) Elected Public Employees. An elected state or county employee, prior to accepting an offer of free or discounted admission of substantial value, shall file a full disclosure of the offer in writing, with the Commission. An elected municipal employee, prior to accepting an offer of free or discounted admission of substantial value, shall file a full disclosure of the offer in writing, with the city or town clerk in the respective municipality. Such disclosure shall state that the attendance at the event serves a legitimate public purpose and that the benefit to the government of the elected public employee’s participation in the travel or event outweighs any non-work related benefit to the employee or the private sponsor taking into account the extent to which such free or discounted travel may convey an appearance of special benefit for the elected public employee.

5.06: State Employee Receipt of Department of Social Services Payments

It shall not be a violation of M.G.L. c. 268A, § 7 for a state employee to have a financial interest in a contract or agreement with the Department of Social Services to serve as a foster parent, guardian, pre-adoptive or adoptive parent, including but not limited to the receipt of payments directly or indirectly from the Commonwealth of Massachusetts according to prevailing schedules, provided that:

(1) the state employee has been approved by the Department of Social Services to be a foster parent, guardian, pre-adoptive, or adoptive parent; and

10/19/07 930 CMR - 27 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 930 CMR: STATE ETHICS COMMISSION

5.06: continued

(2) the state employee files with the Commission a disclosure of the financial interest.

5.07: School Fees: Participation and Disclosure

(1) It shall not be a violation of M.G.L. c. 268A, § 19 for an elected member of a school committee to participate in a particular matter involving a general school fee in which such member or such member’s immediate family has or is reasonably likely to have a financial interest because the elected member or a member of his or her immediate family has a child in the school system, if: (a) the financial interest in the fee is less than $50.00 per child per calendar year for such member or such member’s immediate family, or (b) all the following requirements are met: 1. the fee affects an activity participated in by at least 10% of the students in the school district, and 2. the elected member of a school committee who participates in the particular matter involving a fee pursuant to 930 CMR 5.07(1) files a disclosure with the city or town clerk describing the nature and extent of the financial interest of the elected member or his immediate family member prior to participating in such matter. An elected member of a regional school committee shall file the disclosure with the superintendent of the school district.

(2) Notwithstanding the provisions of 930 CMR 5.07(1), nothing shall authorize an elected member of a school committee to participate in a particular matter involving any fee that would affect the financial interest of only that member’s child and/or a child of that member’s immediate family, regardless of the amount of the financial interest.

REGULATORY AUTHORITY

930 CMR 5.00: M.G.L. c. 268B, § 3(a)(2).

10/19/07 930 CMR - 28 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. William Francis Galvin PERIODICALS Secretary of the Commonwealth State Bookstore U.S. POSTAGE PAID State House, Room 116 Boston, MA 02133 Boston, MA

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